Grant Management Seminar
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Review the process for planning a grant, applying for a grant and implementing a grant. Mandatory attendance if your club has submitted a District Grant application or plans on submitting a Global Grant application for the 2016-2017 Rotary year.
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Grant Management Seminar
- 2. 2016 • Qualification Process • Designing a Successful Project • Apply for & Implement a Grant • Understand how to manage a Rotary grant • Oversight & Reporting • Learn STEWARDSHIP expectations PURPOSE
- 3. 2016 Grants are Funded With DDF Annual Fund Invest for 3 years – use growth to pay our bills World Fund DDF 45% 50% Operating Expenses 5% + Investment growth Unspent $$$
- 4. 2016 • District grants • Global grants ROTARY FOUNDATION GRANTS
- 6. 2016 • Attend a grant management seminar • READ club MOU and Submit a signed copy to us QUALIFICATION REQUIREMENTS
- 7. 2016 • Valid for one year • Club responsible for grant funds • Disclose conflicts of interest • Cooperate with all audits • Use grant funds properly • Implement the club MOU • Current on all District and RI Dues TERMS OF QUALIFICATION
- 8. 2016 • Follow terms of club MOU • Appoint a club member or committee to manage club qualification • Fully implement stewardship practices to prevent misuse of funds MAINTAINING QUALIFICATION
- 9. 2016 SESSION 2 DESIGNING AND IMPLEMENTING A PROJECT
- 10. 2016 • Meet community needs • Have measurable outcomes • May involve a partner • Sustainable • Have an implementation plan • Maintain proper stewardship of funds SUCCESSFUL GRANT PROJECTS
- 11. 2016 Peace and conflict prevention/resolution Disease prevention and treatment Water and sanitation Maternal and child health Basic education and literacy Economic and community development AREAS OF FOCUS
- 12. 2016 • Base projects on communities’ needs • Determine what resources your club and potential partners have • Talk to the community NEEDS ASSESSMENT
- 13. 2016 • RI & District Conference • Rotary Showcase / Facebook • LinkedIn • Project fairs • Community events • Other Rotary clubs • Rotary Action Groups • Local nonprofit organizations GRANT IDEAS
- 14. 2016 • Form a three-person grant committee • Assign roles • Make an implementation plan • Establish a budget • Have a contingency plan • Have a document retention plan • Set measurable and sustainable goals PROJECT PLANNING
- 15. 2016 • Realistic • Competitive bidding • Reasonable prices • Disclose conflicts of interest CREATING A BUDGET
- 16. 2016 A conflict of interest: • Exists when a Rotarian benefits financially or personally from a grant • Might directly or indirectly benefit a Rotarian • Must be disclosed DISCLOSING CONFLICTS OF INTEREST
- 17. 2016 • Measurable • Sustainable • Qualitative (descriptive) • Quantitative (numeric) • Gather baseline data • Determine method of measurement SETTING GOALS
- 18. 2016 • Communication • Financial management plan • Record keeping • Following original plan IMPLEMENTATION
- 19. 2016 • Assists with reporting • Improves future projects • Is based on goals • Is ongoing • Identifies successes EVALUATION
- 20. 2016 SESSION 3 APPLYING FOR A DISTRICT GRANT
- 21. 2016 • Online application process (currently utilizing District website, Foundation website will be back up over the summer.) • Initial approval from District Share Committee • Final approval from The Rotary Foundation APPLYING FOR DISTRICT GRANTS
- 22. 2016 • Meet all TRF Qualification requirements • Grant request smaller than $30,000.00 • At least 50% funding from Club Contributions. • NO EXPENDITURE CAN HAPPEN AHEAD OF TRF APPROVAL!! • MUST be completed by April 1st 2017. • No more than 3 open grants of any type. DISTRICT GRANT REQUIREMENTS
- 23. 2016 • April 30 Deadline online applications • Goal: June 30 Share Committee decisions • Goal: July 1 District Spending Plan to TRF • Goal: July 15-30 Final approval TRF • Aug/Sep TRF Funds received at District • April 1, 2017 Project complete/ Reports filed DISTRICT GRANT TIMELINE 2016-2017
- 24. 2016 SESSION 4 APPLYING FOR AND IMPLEMENTING A GLOBAL GRANT
- 25. 2016 • All Grant Requirements discussed + • If you want to include DDF in your financial plan, involve the DRFC and the DGC early! • DDF is available on first come first served basis. QUALIFICATION REQUIREMENTS FOR GLOBAL GRANTS
- 26. 2016 • Minimum total budget of US$30,000 • Involve Rotary clubs in at least two districts in different countries • Districts confirm clubs are qualified • Approval of DDF from SHARE Committee • Clubs are expected to contribute toward project funding. • Online application process @ rotary.org APPLYING FOR GLOBAL GRANTS
- 27. 2016 Giving a community the skills and knowledge to maintain project outcomes for the long term, after grant funds have been expended. SUSTAINABLE PROJECTS
- 28. 2016 • Minimum budget for a global grant is US$30,000 • DDF matched 100% with World Fund • Rotarian and non-Rotarian cash contributions matched 50% with World Fund • International sponsors provide at least 30% of total sponsor funding GLOBAL GRANT FINANCING
- 29. 2016 • Funds cannot be raised from beneficiaries or cooperating organizations in exchange for a grant • Funds cannot come from other grants • Contributions credited to donor when routed through TRF • 5% Fee on Cash Contributions directed to TRF for the project FINANCING GUIDELINES
- 30. 2016 $10,000 Club contribution= $35,000 available for Grant CLUB(S) CONTRIBUTION $ 10,000 Note: Does not include the additional 5% TRF Administration Fee DISTRICT 6970 MATCHES: $10,000 Assume District 6970 Matches 100% of Club’s contribution THE WORLD FUND MATCHES: CLUB CONTRIBUTION @ 50% $ 5,000 DISTRICT CONTRIBUTION @ 100% $10,000 TOTAL DOLLARS FOR PROJECT $ 35,000 GLOBAL GRANT FINANCING EXAMPLE Rotary Math!
- 32. 2016 Ensures that projects • Have proper financial controls • Adhere to technical standards • Meet the needs of beneficiaries • Fulfill their objectives • Safeguard funds GRANTS MANAGEMENT
- 33. 2016 Stewardship is the responsible management and oversight of grant funds, including: • Rotarian supervision • Financial records review • Oversight of funds • Reporting any irregularities • Timely submission of reports STEWARDSHIP
- 34. 2016 • Bank account for funds or Quicken / Excel spreadsheet itemizing income/expense detailed ledger • Distributing funds • Use checks or bank cards to track funds • Keep all receipts: scan them! FINANCIAL MANAGEMENT PLAN
- 35. 2016 • Provide access to documents for transparency • Retain for a minimum of seven years • Scan Copies • Provide photos (3) DOCUMENT RETENTION
- 36. 2016 • Report form is available (provided with approval letter) • Grant may be funded through % “draws” – against expenditures up to the total grant amount. • Grant expenditures must be as originally stated on application. • April 1, 2017– Deadline final report DISTRICT GRANT REPORTS
- 37. 2016 Timeline for reporting: • Progress reports within 12 months of first payment • Every 12 months through the term of the grant • Final report within two months of completion GLOBAL GRANT REPORTS
- 38. 2016
Notas do Editor
- Plus 5% of cash donations for Global Grants Plus 10% of donations from business entities Money left over in the World Fund goes to Endowment Fund
- Speaking points: Although this session will focus on applying for DISTRICT grants, the grant management practices discussed can be used for all grant types. There are two types of Rotary grants available: district and global District Grants – Less than $30,000; local or international, do not require an international partner, not required to be in an Area of Focus Global Grants - $30,000 or more; International; requires an International partner, must be in an Area of Focus, must be sustainable For a district grant, clubs apply to the district, following guidelines developed by the district and the Trustees of the Foundation. For global grants, clubs apply to The Rotary Foundation, following guidelines developed by the Trustees of the Foundation AND THEY WILL BE DISCUSSED LATER IN SESSION 5.
- Speaking points: Clubs must qualify to receive Rotary Foundation district or global. The process ensures that clubs are aware of all Rotary requirements before receiving grant funds and provides clubs with the tools needed to complete these requirements and successfully manage their projects. By attending this training, participants complete the first step toward qualification. One club members must attend this seminar annually and then share the information with fellow club members. The second step is to have the club president and president-elect (2016-17 ) sign and submit the club MOU. Discussion questions: How will you communicate this information to your club members?
- Speaking points: Once a club successfully completes the qualification requirements, the club will receive qualified status for one Rotary year. All club members understand that the club as an entity is responsible for the use of grant funds. The club must disclose any conflicts of interest in compliance with the Conflict of Interest Policy as outlined in The Rotary Foundation Code of Policies. The club must cooperate with any site visits, reviews, and audits. Misuse of grant funds could result in suspension of the club’s qualification status. Failure to implement the club MOU could result in a loss of qualified status. Discussion questions: How will you ensure that your club or district will comply with the MOU requirements? If it appears funds have been misused, how will your club handle the situation?
- Speaking points: In order to maintain qualified status for one year, clubs must: Abide by the terms of the MOU, the grant terms and conditions, and the Rotary International and Rotary Foundation codes of policies. Appoint one or more club members to manage club qualification. A committee with staggered terms is recommended for increased transparency, oversight, and continuity. Ensure that stewardship measures and proper grant management practices are implemented for all Rotary Foundation grants, to prevent the misuse of funds. Discussion questions: What MOU requirements has your club already implemented? What requirements does your club need to implement? Who in your club will you ask to help implement the club MOU?
- Speaking points: Beneficiaries are more likely to support and participate in a project that addresses the needs of a community. Rotarians should partner with the community and organizations with technical expertise; however, projects must be managed by Rotarians. Working together means more than financial participation; it also means using each partner’s expertise to implement the project or activity. The implementation plan should include an achievable project timeline and should be shared with partners and beneficiaries. By establishing a financial management plan before applying for grants, clubs ensure that they will have processes in place to manage funds before any money is received.
- Speaking point: Each area of focus has specific goals that should be used to refine projects that are developed to meet real community needs.
- Speaking points: Asking members of the community what they need and what strengths they bring to the project results in greater support and involvement, which leads to a more sustainable, lasting impact. Once the needs are identified, your club should consider which can be addressed with the resources, skills, and availability of your club and its potential partners, including other Rotary clubs, districts, The Rotary Foundation, and non-Rotary organizations. Continue involving the community during the selection of the project and its planning and implementation. The Rotary publications Communities in Action and Community Assessment Tools offer information and resources for conducting a community needs assessment. Discussion questions: Has anyone been involved in conducting a community needs assessment? What was your experience? What successes or challenges can you share?
- Speaking points: WHERE TO FIND DISTRICT GRANT PARTNERS…… With partners, Rotary clubs are able to implement projects they could not do on their own. Partners can include other clubs, districts, other local organizations and schools. Both partners should be involved in all stages — from identifying the need to planning the project to implementing it and reporting on it. Good communication helps keep all partners involved and allows them all to provide oversight. Consider creating new partnerships and expanding Rotary networks. Effective communication with project partners: Establish how and how often you will be in contact to discuss the project. Make sure everyone has correct information, such as email addresses for the club presidents and project committees for all partners. Set up an alternate plan for communication, such as using a webinar, social media, or a teleconference. Discussion questions: What methods have you used to find project partners? What communication strategies worked well for maintaining communication with project partners?
- Speaking points: Rotarians must manage all projects that receive funding from The Rotary Foundation. Roles and responsibilities should be assigned to everyone on the committees. Create a plan for managing funds and implementing the project. Develop a budget that includes details and a timeline for the purchase and distribution of goods, training, and any other activities. Consider your liability for the project, ensure that your club is protected, and have a contingency plan in case something goes wrong. Set up a process for retaining documents related to the grant before funds are received. (Use matchinggrants.org to store documents.) Discussion questions: Who would you include on the three-person project committee? What systems do you use to store grant records? Does everyone on the committee have access to the records?
- Speaking points: A budget should be realistic and comprehensive to ensure adequate funding. When choosing a supplier, Rotarians should use a competitive bidding process to ensure that they get the highest quality goods at the best prices. Clubs should keep records of any submitted bids. Clubs must disclose any potential or real conflicts of interest related to the budget. Discussion question: Has anyone been involved in a competitive bidding process?
- Speaking points: A conflict of interest exists when a Rotarian may benefit financially or personally from grant activities. The benefit can be either direct (the Rotarian benefits) or indirect (an associate of the Rotarian benefits). Financial benefits could include receiving grant funds for being a project manager or receiving grant funds as a vendor for the project. Personal benefits could include receiving a promotion, getting business referrals, or gaining publicity or improved social standing. Associates can include family members, friends, other Rotarians, personal acquaintances, colleagues, and business partners. Rotarians have a reputation for professional integrity. Addressing and preventing conflict of interest helps preserve this reputation for the club, district, and The Rotary Foundation. When Rotarians freely disclose any direct or indirect association with the grant project, they help ensure fair process and transparency in the use of Foundation funds. Rotarians must disclose any conflicts of interest on the grant application. If Rotarians aren’t sure whether a particular situation is a conflict of interest, they should talk with their grant officers. An actual or perceived conflict of interest does not necessarily disqualify a Rotarian from participation in a Rotary grant. Eligibility for participation will be determined case by case upon disclosure of the conflict of interest. Discussion questions: What are some examples of conflict of interest? Why should clubs be concerned about conflicts of interest?
- Speaking points: A good place to start when defining a goal is to consider what change in behavior or knowledge you hope project participants will achieve. Ensure that all project components directly support those goals. Project goals should be measurable so you can quantify the impact of the project. Both qualitative (descriptive) and quantitative (numeric) goals should be included. Start by gathering baseline data from your needs assessment. (For example, a hospital delivering 1,000 babies per year has an infant mortality rate of 15 percent and a maternal mortality rate of 8 percent.) Then set concrete project goals. (For example, within three years, the infant mortality rate will be reduced to 8 percent, and the maternal mortality rate to 4 percent.) Determine how and when you will measure your results. (For example, create an annual report using hospital statistics.) Discussion questions: Describe a project or aspects of a project that directly link to a measurable goal.
- Speaking points: Communication is crucial to a successful implementation. You should communicate regularly with: Partners and community members about the progress of the grant The club must implement a financial management plan for grant funds, a plan to transfer the custody of the account if necessary. Detailed grant records simplify reporting on the use of grant funds, responding to inquiries, and increasing the transparency of how grant funds are managed. Discussion question: How can a club best keep track of its project’s implementation? (Consider Rotary Club Central)
- Speaking points: Conducting an evaluation helps a club determine the success of a project and identify any areas of improvement for the future. Conducting an evaluation will assist clubs with their reporting requirements. Use lessons learned to replicate successes and adjust for challenges in the next project. Use the goals set during the planning stage to evaluate the success of a project or activity. The data and evaluation method and frequency should be set during the planning stage. Project evaluation happens during implementation through completion and beyond. Promoting project and activity successes, both within your club and with the public, gets others involved and interested in participating in Rotary, and it’s a great way to let donors know how funds were spent. Discussion questions: What are some ways your club can evaluate a project’s success? Has anyone conducted a grant evaluation? If yes, what did your club learn from it? What did your club do with the information from the evaluation? How did your club share the success with Rotarians in your club and district as well as to your community?
- Speaking points: To be eligible to receive a district grant, a project or activity must Met all Qualification requirements Attended Grant Management Seminar Signed MOU Less than $30,000 50% funding minimum from Club Contributions No funds spent on project until after TRF approval Must be completed by April 1st 2016
- Speaking points: Clubs must qualify to receive Rotary Foundation global and packaged grant funds. The process ensures that clubs are aware of all Rotary requirements before receiving grant funds and provides clubs with the tools needed to complete these requirements and successfully manage their projects. By attending this training, participants complete the first step toward qualification. One club member must attend this seminar annually and then share the information with fellow club members. The second step is to have the club president and president-elect sign and submit the club MOU. Discussion questions: Has your district told you what the requirements are? Do you understand all of them? How will you communicate this information to your club members?
- Speaking points: Rotary clubs (as well as districts) can apply to Rotary for a global grant. Global grant requests can be submitted online at any time on www.rotary.org. To be eligible to receive a global grant, a project or activity must Support at least one area of focus and meet at least one of that area’s goals Be sustainable Involve Rotary clubs in two districts in two countries (one in the project country and one in another country) Have a minimum total budget of US$30,000 The district must confirm that a club is qualified to receive a global grant.
- Speaking points: To be sustainable, a project or activity will continue to have an impact after the funds are expended. A project must meet a community need that is consistent with the values and culture of the project’s beneficiaries. Equipment and technology for a project should be purchased from local sources whenever possible. Spare parts for equipment should be available within the community. Community members should be involved in selecting the equipment and should be trained to maintain and repair it, and a local funding source should cover long-term operation, maintenance, and repair. A project should strengthen beneficiaries’ knowledge and skills through education and training. Project partners should collaborate with local organizations to supply expertise. Project partners should identify individuals willing to assume leadership roles for sustaining project outcomes. Clear and measurable project objectives should be developed and a method for collecting data established. Figures will, ideally, demonstrate change for at least three years.
- Speaking points: The minimum total budget for a global grant project is US$30,000. Clubs and districts can contribute to the financing of a global grant using: District Designated Fund (matched dollar for dollar by the Foundation’s World Fund) Rotarian cash contributions (outright gifts from Rotarians or funds from Rotarian-led fundraisers; matched 50 cents to the dollar by the Foundation) Non-Rotarian cash contributions (donations from other organizations, businesses, or people; matched 50 cents to the dollar by the Foundation)
- Speaking points: International sponsors of humanitarian projects are required to provide at least 30 percent of the total sponsor funding. Rotarians cannot collect funds from beneficiaries or cooperating organizations in exchange for receiving the grant. Contributions cannot come from other Rotary grant projects. Cash contributions should always be credited to the individuals who gave the funds. Rotarians cannot collect funds from individuals and claim the donation as their own, unless they have received explicit permission from the donors to do so. International sponsors of humanitarian projects are required to provide at least 30 percent of the total sponsor funding. Discussion questions: How do you raise cash contributions for projects? How do you motivate donors to give more?
- While District 6970 does not require a Club to contribute an equal match to apply for a Global Grant today, as our Global Grant process becomes more competitive this will likely mirror District Grants. This is JUST one example of how a Global Grant might look.
- Speaking points: Clubs must follow standard business practices for managing these funds. It’s important to review financial records to confirm proper use of funds. Good stewardship is achieved by putting systems in place that create clubwide awareness of the use of funds. Widespread knowledge helps prevent mismanagement. Any irregularities or misuse of grant funds should be reported immediately. Submit timely, complete, and accurate reports to demonstrate good stewardship of funds to Rotary and all grant partners. A club’s level of oversight, transparency, and accountability in managing Rotary grant funds affects donors’ confidence in giving to The Rotary Foundation and working with that club on future projects.
- Speaking points: Your club should have a club-controlled bank account used for grant funds. This will assist you with keeping accurate financial records. Have a plan in place to transfer custody of the club’s account in case a signatory is no longer able to perform his or her duties. This is a REQUIREMENT for Global Grants. For District Grants if you do not have a separate bank account a Quickbooks or Excel spreadsheet itemizing all income/expenses of the project must accompany bank statements and cancelled checks. Once your club receives grant funds, it is important to have a plan for distributing and tracking funds. Expenditures should be made using a traceable method such as a check or a bank card. Keep track of transaction details. Discussion questions: What are the benefits of a financial management plan? Who is responsible for your club’s financial management plan?
- Speaking points: All documents should be accessible to everyone in the club. You have already scanned the documents and saved them electronically on matchinggrants.org Give the Club the link to the grant on matchinggrants.org – publish it in the newsletter or on the Club’s website. Documents must be retained for a minimum of five years. Discussion questions: What is your club’s system for document retention? What types of documents need to be retained?
- Speaking points: Explain your district’s reporting requirements. These requirements include: Progress or Final reports must be submitted by April 1, 2016. Final Report is due within 2 months of project completion Report form is available on the District Foundation website On the report you must detail Rotarian involvement in the project and income and expenses. The income may vary from the original estimate. The amount of the District Grant stays constant and the amount of the club’s contribution is the amount that you would adjust. The expenses must equal the total income and be supported by invoices and receipts that you have uploaded on the grant page. There can be no deviations in expenditures from the approved grant application. If changes might occur, these should be addressed with a call to DRFC and a request in writing for a modification to the grant BEFORE those expenditures are made.
- Speaking points: Progress reports must be submitted within 12 months of receiving the first global grant payment and every 12 months afterward. The final report must be submitted within two months of completing the project or activity. Unused grant funds may be used for additional eligible and Foundation-approved expenses. Changes to a project must be approved by Rotary. Any unused funds returned to Rotary will be credited to the World Fund.