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Transcript of Making Matching Grants Work June 11, 2011 1 Nick Frankle International Services Chair District 5240...
Making Matching Grants Work
June 11, 2011
1
Nick FrankleInternational Services Chair
District 5240 - Rotary Year 2011-12Email: [email protected]
Heather FrankleGrants Committee Co-Chair
District 5240 - Rotary Year 2011-12Email: [email protected]
The Year In Review
• The Rotary Foundation– 1600 Matching Grants Approved– Total budget of $21.5M has been committed
• District 5240– 27 MGs approved– $134,012.00 in D5240 DDF– $851, 437.00 total value
– 38 DSG submitted– 37 approved– $60K of DSG DDF exhausted in early March
D 5240 Grants Seminar 061111 Final 2
TRF Budget Expected To Be $21.5M For RY 2011-12
3
Understanding Matching Grants
Simply PutA Matching Grant Funds
A Community Service ProjectIn Someone Else’s Community
&Sometimes In Our Own Community
In RY 2010-11, there were 2 MGs (sometimes called ‘reverse’ grants) in USA/D5240
D 5240 Grants Seminar 061111 Final
4
What Is a Matching Grant?
D 5240 Grants Seminar 061111 Final
• Addresses humanitarian conditions that benefit a community in need
• Involves at least two countries (host and international)
• Requires direct Rotarian involvement• Provides World Fund matching funds
• Basic Education and Literacy• Disease Prevention and Treatment• Economic and Community Development• Maternal and Child Health• Peace and Conflict Prevention/Resolution• Water and Sanitation
Areas of Focus
D 5240 Grants Seminar 061111 Final 5
6
Matching Grant Process
D 5240 Grants Seminar 061111 Final
Plan the Grant
Write the Grant
Fund the Grant
Close the Grant
Do the Work
Submit the Grant
Prepare the Grant Implement the Grant
APPROVAL
7
The Matching Grant Process
D 5240 Grants Seminar 061111 Final
Plan the Grant
Write the Grant
Fund the Grant
Close the Grant
Do the Work
Submit the Grant
Prepare the Grant Implement the Grant
APPROVAL
Defining Need?
• In Developed Countries – need is perceived to be a lack of things– Water– Health Care– Education
• In Developing Countries – need is perceived to be a lack of opportunity– Hope– Voice– Dignity– Visibility
D 5240 Grants Seminar 061111 Final 8
A Successful Matching Grant Solves a Need and Provides Hope, Voice, and Control of the Future
9
Defining A Need
D 5240 Grants Seminar 061111 Final
Your Club
Beneficiaries
Host Club
Government LocalInstitutions
Other NGOsCommunityInfluencers
Project FairsExisting RelationshipsDistrict Travel Grants
District/RI Events
Matchinggrants.orgProject Link
Personal KnowledgeResearch
Projects Are Not Done “For” BeneficiariesThey Are Done “With” Beneficiaries
Finding a Host Partner
• Clubs that you have relationships with today• Districts doing matching grants with D 5240• People in your club who have knowledge of a host
country• People in your club who have an interests in a host
country• Clubs that are in good standing with The Rotary
Foundation
D 5240 Grants Seminar 061111 Final 10
Successful Projects Are Founded On Relationships
The Story:Famine Strikes Niger
You can start with an idea but –
• You need to be– open and flexible– sensitive to local cultures– ensure that the beneficiaries are invested in the process and
the results– ready to learn that your solution does not fit the need
D 5240 Grants Seminar 061111 Final 11
Your Beneficiaries Know What They NeedAll You Have To Do Is Ask And Listen
The Story:Thank you for your offer of wheelchairs but what we really need is a factory to make artificial limbs
Ask Open Ended Questions
• What is the need?• Who has the need?• How is the need best addressed?• What will Rotarians do as part of the grant?• What other entities need to be involved in the solution?• How will success be measured?• What happens when Rotary leaves?
D 5240 Grants Seminar 061111 Final 12
Don’t Ask Question That Begin “Do You Want?”Be Prepared For Silence
The Story:Can You Help Me?
Requirements of a Matching Grant
• Matching Grants must involve a Rotary club or district in the project country (host) and a Rotary club or district in another country (international) implementing a humanitarian project. Partners are expected to: – Maintain communication for the life of the project – Establish a committee of at least three Rotarians to oversee
the project – Treat grant funds as a sacred trust – Maintain clear and accurate accounting
D 5240 Grants Seminar 061111 Final 13
Requirements of a Matching Grant
• All projects must have active Rotarian participation and oversight. Active participation can include: – Managing project funds – Visiting the project site on an as-needed basis – The international and host partners sharing information via
correspondence – The partners sharing expertise – Purchasing, shipping, or distributing items purchased – Publicizing the project to local media and the district
D 5240 Grants Seminar 061111 Final 14
A Matching Grant Is More Than Just Writing Checks
15
Project Eligibility for a Matching Grant?
D 5240 Grants Seminar 061111 Final
ELIGIBLE INELIGIBLERevolving loans/microcredit Establishment of a foundation, permanent trust, or long-term
interest-bearing account Short-term rent or lease of buildings Purchase of land or buildings, rent for housingConstruction of infrastructure such as service roads, wells, reservoirs, dams, bridges, latrines, toilet blocks, water supplies, and other similar structures
Construction or renovation of any structure in which individuals live, work, or engage in any gainful activity. This includes buildings, containers, mobile homes, or structures where individuals carry out any type of activity such as manufacturing, processing, mainte nance, or storage, including provision of new services or upgrade of facilities
Purchase of equipment or appliances Provision of plumbing or electrification inside buildings Short-term and/or contracted labor for project implementation
Salaries for individuals working for another organization
Administrative expenses for project activities Operating or administrative expenses of another organization Primary and secondary education, tuition, transportation
Postsecondary education activities, research, or personal or professional development
Domestic travel for beneficiaries and professional staff needed to implement the project
Domestic travel expenses for opening ceremonies or to report on a project
International travel for qualified Rotarians to implement a project. Eligible costs include airfare, travel insurance, immunizations, visas, lodging, food, and other ancillary expenses.
International travel for non-Rotarians or Rotarians that do not have a professional qualification needed to implement the project. Additionally, grant funds cannot be used for Rotarian travel to initiate, promote, or evaluate projects.
Detailed, itemized expenses Contingencies, miscellaneous expenses Assistance to land mine victims Land mine removalPublicity expenses such as newspaper fees, or printing of posters, brochures, or fliers to inform the community of an available service
Rotary signage
Vaccines and immunizations, if the project is consistent with the criteria, procedures, and policies of the PolioPlus program and World Health Organization
Transportation of vaccines or immunizations by hand over national borders
New Rotary-sponsored projects not already in progress or completed
Projects already undertaken and in progress, existing projects, activities primarily sponsored by a non-Rotary organization, or projects already completed
Maternal and prenatal health and education Purchase and distribution of birth control devices and ultrasound equipment for use in sex determination
Budgeted and itemized humanitarian goods Unspecified or cash donations to beneficiaries or cooperating organizations
Humanitarian or service activities benefiting a community in need
Fundraising activities or expenses related to Rotary events such as district conferences, anniversary celebrations, or entertainment activities that do not include a humanitarian aspect
Secular, nonreligious activities that benefit a community in need
Projects that support purely religious functions at churches and other places of worship
Important: Carefully Read The Information on the First Page of the MG Application
To Make Sure Your Project Is Eligible
16
The Matching Grant Process
D 5240 Grants Seminar 061111 Final
Plan the Grant
Write the Grant
Fund the Grant
Close the Grant
Do the Work
Submit the Grant
Prepare the Grant Implement the Grant
APPROVAL
17
Project Description
D 5240 Grants Seminar 061111 Final
Please provide the name of the project site, the city or village, state or province, and country. List multiple locations, if applicable.
Project site
City/Village
State/Province
Country
Clearly And Accurately Define The Location Or Locations Where The Grant Activities Will Take Place
18
Project Description
D 5240 Grants Seminar 061111 Final
Describe the project and the problem or need it will address, including the intended beneficiaries and how the project will benefit the community in need. Provide the estimated length of time needed to complete the project.
• Each grant must stand on its own. There is no special credit given for prior work in an area
• This section of the grant application documents the needs assessment and analysis that you did in the planning process
• Your project must have specific, measurable and time limited goals
• If you have difficulty answering these questions, you should revisit your planning efforts
• Make sure that you highlight the participation of the beneficiaries in the needs assessment process
The Story: We Need Water
19
Project Description
D 5240 Grants Seminar 061111 Final
Describe how the benefiting community will maintain this project after grant funding has been fully expended.
• How are you going to sustain the benefits after Rotary concludes the project?
• Repetitive grants for additional funding do not meet this requirements
The Story:Who Owns the Well?
20
Project Description
D 5240 Grants Seminar 061111 Final
Describe specific activities of the host and international partners in implementing the project. What will the Rotarians who are members of the partner clubs do during the project?
Financial Support Is NOT Active Involvement.
• The Rotarians in the Host Partner Rotary Club Will …• The Rotarians in the International Partner Rotary Club Will …
Host Partner• The host partner is the club or district in the project country. • A committee of at least three Rotarians must be established to
oversee the project. All three committee members must belong to the primary club identified below for club-sponsored projects or belong to clubs in the district for district-sponsored projects.
• The committee members must be committed for the duration of the grant process.
• The primary contact will receive all official communication from TRF by e-mail and should be prepared to disseminate this information to the other committee members. Ensure that your primary contacts have email addresses and read and respond to email communications
• Establish agreements on language or other means to facilitate effective communication
D 5240 Grants Seminar 061111 Final 21
Work With The TRF Grants Coordinator For The Host Country To Ensure That The Host Club Is In Good
Standing And Does Not Have Five Open Grants
Effective Communication?곽향숙 귀하 ,
제 이름은 Heather Frankle 이라고 하는데 로타리 5240 지구 GSE 위원장 직책을 맡고있읍니다 .로타리 재단 GSE 담당자이신 Katie Ediger 씨로부터 곽향숙씨가 3690 지구 GSE 위원장이시라는 정보를 알아서 이렇게 이메일을 올리게 되었읍니다 .
우리가 앞으로 서로 긴밀한 연락을 자주 해야 할텐데 불행하게도 제가 한글을 쓰거나 읽을 줄을 전혀 모릅니다 . 혹시 영어로 교신할 수 있을까요 ? 아니면 이렇게 매번 번역하시는 분의 수고를 얻어야 할 것 같읍니다 .
우리 두 지구의 GSE 팀 교환이 큰 성공을 이루기 바라며 금년 9 월에 귀 지구의 팀을 맞이할 것을 기대하겠읍니다 .귀 지구 GSE 팀 단징과 단원들의 건승을 빕니다 .
Heather Frankle 올림5240 지구 2011-12 GSE 위원장Simi Sunrise 로타리클럽 회원전화 001-1-805-492-5453이메일 [email protected]
D 5240 Grants Seminar 061111 Final 22
Houston – 혹시 영어로 교신할 수 .
23
Host Club Contact Information
D 5240 Grants Seminar 061111 Final
Primary Club/DistrictClub Club ID number (if known)District Country
Primary Contact: Name Member ID Club Rotary position Address City State/Province Postal code Country E-mail Home phone Office phone Fax
Project Contact #2: Name Member ID Club Rotary position Address City State/Province Postal code Country E-mail Home phone Office phone Fax
Project Contact #3: Name Member ID Club Rotary position Address City State/Province Postal code Country E-mail Home phone Office phone Fax
TRF Will Send Communications To And Expect Responses From
The Primary Contact On Behalf Of The Host Club
International Partner• The international partner is the club or district outside the project
country. This is the usual role of the clubs in District 5240 in a Matching Grant.
• A committee of at least three Rotarians must be established to oversee the project.
• All three committee members must belong to the primary club identified below for club-sponsored projects or belong to clubs in the district for district-sponsored projects.
• The committee members must be committed for the duration of the grant process.
• The primary contact will receive all official communication from TRF by e-mail and should be prepared to disseminate this information to the other committee members. Ensure that your primary contacts have email addresses and read and respond to email communications
D 5240 Grants Seminar 061111 Final 24
Choose Your Committee Wisely. The Members Are Responsible For The Performance Of
The Grant And Meeting TRF Requirements.
25
International Partner Contact Info
D 5240 Grants Seminar 061111 Final
Primary Club/DistrictClub Club ID number (if known)District Country
Primary Contact: Name Member ID Club Rotary position Address City State/Province Postal code Country E-mail Home phone Office phone Fax
Project Contact #2: Name Member ID Club Rotary position Address City State/Province Postal code Country E-mail Home phone Office phone Fax
Project Contact #3: Name Member ID Club Rotary position Address City State/Province Postal code Country E-mail Home phone Office phone Fax
TRF Will Send Communications To And Expect Responses From The Primary Contact
On Behalf Of The International Club
26
Project Budget
D 5240 Grants Seminar 061111 Final
• For detailed information on what TRF will fund, please see The Guide to Matching Grants (144-EN).
• Official RI exchange rates can be found at www.oanda.com. Please use the most recent rate.
• You must provide pro-forma invoices for budget items over US$10,000 or when all budget items will be purchased from the same supplier.
Budget item Name of supplier Amount
Subtotal
Exchange rate used US$1=
Total in U.S. dollars
27
Example Project Budget
D 5240 Grants Seminar 061111 Final
Budget item Name of supplier AmountDrill Water Well to an estimated depth of 300 feet @$31.57/foot (Addendum 1)
Maquinaria del Pacifico $ 9,471
PVC 2-inch diameter tubing to connect well to tank (Addendum 2)
$ 842
Pump for well and materials (Addendum 3)
BOMHOSA $ 6,543
Composting Latrines:50 latrines @ $398 ea (Addenda 4 and 5)
Venta de Maderas Kenia $19,900
Hand washing stations:50 stations @ $55/ea
Venta de Maderas Kenia $ 2,758
192 pieces of antibacterial soap for hand washing stations ($0.57/piece of antibacterial soap)
Bodega Soni $ 110
$39,624Exchange rate used US$1=19 Lempiras
$39,624
Financing
• Clearly list all financing in U.S. dollars• Use whole dollars noting which funds will be
contributed in cash and which will be contributed from District Designated Funds (DDF).
• Use of DDF must be authorized by the District Rotary Foundation Committee chair and the District Governor.
• TRF matches US$0.50 for every $1 cash contribution and $1 for every $1 contribution from DDF.
• The primary host club or district must provide at least $100 in either DDF or cash.
D 5240 Grants Seminar 061111 Final 28
No Funds Should Be Sent To TRF Prior To Official Trustee Approval
29
Example Financing Page
29D 5240 Grants Seminar 061111 Final
Host Rotary clubs or
district inside the
project country
(The primary host club or
district must provide at
least US$100.) Cash (US$) DDF (US$)
DRFC Chair
(Print Name)DRFC Chair
Authorization
District
Governor
(Print Name)
District
Governor
AuthorizationRC Choluteca $100 RC Tegucigalpa $100
International Rotary
clubs or district outside
the project country Cash (US$) DDF (US$)
DRFC Chair
(Print Name)DRFC Chair
Authorization
District
Governor
(Print Name)
District
Governor
AuthorizationDistrict 5240 $6,000 Mark Vertin Luz Maria
Ortiz
Simi Sunrise $11,216 Westlake Village Sunrise
$4,000
Camarillo $1,000 Simi Valley $2,000
Subtotals, Cash and
DDF $18,416 $6,000
TOTAL cosponsor
contributions $24,416
Total funds requested
from TRF (must be at
least US$5,000) $15,208
Additional outside
funding
(not matched by, or
forwarded to, TRF)
Total project financing
(must equal budget on
page 4) $39,624
30
Host Partner Participation
D 5240 Grants Seminar 061111 Final
Host Rotary clubs or
district inside the
project country
(The primary host club or
district must provide at
least US$100.) Cash (US$) DDF (US$)
DRFC Chair
(Print Name)DRFC Chair
Authorization
District
Governor
(Print Name)
District
Governor
AuthorizationRC Choluteca $100 RC Tegucigalpa $100
International Rotary
clubs or district outside
the project country Cash (US$) DDF (US$)
DRFC Chair
(Print Name)DRFC Chair
Authorization
District
Governor
(Print Name)
District
Governor
AuthorizationDistrict 5240 $6,000 Mark Vertin Luz Maria
Ortiz
Simi Sunrise $11,216 Westlake Village Sunrise
$4,000
Camarillo $1,000 Simi Valley $2,000
Subtotals, Cash and
DDF $18,416 $6,000
TOTAL cosponsor
contributions $24,416
Total funds requested
from TRF (must be at
least US$5,000) $15,208
Additional outside
funding
(not matched by, or
forwarded to, TRF)
Total project financing
(must equal budget on
page 4) $39,624
The Host Partner Must Contribute A Minimum Of $100
The host partner contribution. Must be a minimum of $100
31
International Partner Participation
D 5240 Grants Seminar 061111 Final
List Rotary Club cash contributions in US Dollars
Host Rotary clubs or
district inside the
project country
(The primary host club or
district must provide at
least US$100.) Cash (US$) DDF (US$)
DRFC Chair
(Print Name)DRFC Chair
Authorization
District
Governor
(Print Name)
District
Governor
AuthorizationRC Choluteca $100 RC Tegucigalpa $100
International Rotary
clubs or district outside
the project country Cash (US$) DDF (US$)
DRFC Chair
(Print Name)DRFC Chair
Authorization
District
Governor
(Print Name)
District
Governor
AuthorizationDistrict 5240 $6,000 Mark Vertin Luz Maria
Ortiz
Simi Sunrise $11,216 Westlake Village Sunrise
$4,000
Camarillo $1,000 Simi Valley $2,000
Subtotals, Cash and
DDF $18,416 $6,000
TOTAL cosponsor
contributions $24,416
Total funds requested
from TRF (must be at
least US$5,000) $15,208
Additional outside
funding
(not matched by, or
forwarded to, TRF)
Total project financing
(must equal budget on
page 4) $39,624
At least 50% of the grant must be funded by the International Partner
32
D5240 DDF
D 5240 Grants Seminar 061111 Final
Host Rotary clubs or
district inside the
project country
(The primary host club or
district must provide at
least US$100.) Cash (US$) DDF (US$)
DRFC Chair
(Print Name)DRFC Chair
Authorization
District
Governor
(Print Name)
District
Governor
AuthorizationRC Choluteca $100 RC Tegucigalpa $100
International Rotary
clubs or district outside
the project country Cash (US$) DDF (US$)
DRFC Chair
(Print Name)DRFC Chair
Authorization
District
Governor
(Print Name)
District
Governor
AuthorizationDistrict 5240 $6,000 Mark Vertin Luz Maria
Ortiz
Simi Sunrise $11,216 Westlake Village Sunrise
$4,000
Camarillo $1,000 Simi Valley $2,000
Subtotals, Cash and
DDF $18,416 $6,000
TOTAL cosponsor
contributions $24,416
Total funds requested
from TRF (must be at
least US$5,000) $15,208
Additional outside
funding
(not matched by, or
forwarded to, TRF)
Total project financing
(must equal budget on
page 4) $39,624
Apply rules for DDF allocation
33
TRF Match
D 5240 Grants Seminar 061111 Final
Host Rotary clubs or
district inside the
project country
(The primary host club or
district must provide at
least US$100.) Cash (US$) DDF (US$)
DRFC Chair
(Print Name)DRFC Chair
Authorization
District
Governor
(Print Name)
District
Governor
AuthorizationRC Choluteca $100 RC Tegucigalpa $100
International Rotary
clubs or district outside
the project country Cash (US$) DDF (US$)
DRFC Chair
(Print Name)DRFC Chair
Authorization
District
Governor
(Print Name)
District
Governor
AuthorizationDistrict 5240 $6,000 Mark Vertin Luz Maria
Ortiz
Simi Sunrise $11,216 Westlake Village Sunrise
$4,000
Camarillo $1,000 Simi Valley $2,000
Subtotals, Cash and
DDF $18,416 $6,000
TOTAL cosponsor
contributions $24,416
Total funds requested
from TRF (must be at
least US$5,000) $15,208
Additional outside
funding
(not matched by, or
forwarded to, TRF)
Total project financing
(must equal budget on
page 4) $39,624
Dollar for Dollar – DDF: $.50 per Dollar for Cash
Grant Financing Total must match
Project Budget Total!
34
Use the MG Financing Calculator
D 5240 Grants Seminar 061111 Final
Matching Grants Calculator Ver. 8
1 If you know how much Cash you have: Cash DDF TotalEnter Cash contributions 18,416 Contributions 18,416 6,000 24,416 Enter Budget 39,624 TRF Award 9,208 6,000 15,208 Solve for DDF needed, and Budget [1:2] [1:1] 39,624 Solve for TRF Award maximum
2 If you know how much DDF you have: Cash DDF TotalEnter DDF contributions 6,000 Contributions 18,416 6,000 24,416 Enter Budget 39,624 TRF Award 9,208 6,000 15,208 Solve for Cash needed, and Budget [1:2] [1:1] 39,624 Solve for TRF Award maximum
3 If you know both Cash and DDF: Cash DDF TotalEnter Cash contributions 18,416 Contributions 18,416 6,000 24,416 Enter DDF contributions 6,000 TRF Award 9,208 6,000 15,208 Solve for TRF Award maximum, and Budget [1:2] [1:1] 39,624 Solve for Budget maximum
This calculator solves for different combinations of Matching Grant funding.DDF contributions are matched 100%: $1.00 TRF to $1.00 DDFCash contributions are matched 50%: $1.00 TRF to $2.00 CashMinimum TRF Award is $5000. Maximum TRF Award is $150,000If too much DDF or Cash is offered, the amount left over is displayed.
*Note: As of 1-Jul-05, the minimum award from The Rotary Foundation is $5000.Applications for awards less than this will be returned to the sponsors.
Results
Project Planning (Revisited)• Identify who will own equipment and maintain, operate, and secure
items purchased with grant funds. (A Rotary club or Rotarian cannot own equipment.)
• Will training in use and maintenance of technical equipment be provided? If so, who will provide training?
• Is software necessary to operate any items? If so, has software been provided?
• Indicate what arrangements have been made for customs clearance if items will be purchased and shipped from outside the project country.
• Provision of plumbing and electrification to structures where people live or work cannot be purchased with grant funds and must be funded with other sources. Have the sponsor clubs and/or districts planned and agreed to fund plumbing or electrification for equipment and appliances in existing buildings (hospitals, schools, libraries, orphanages, etc.)?
D 5240 Grants Seminar 061111 Final 35
Answer Each Question. If Yes Provide An Explanation. Use N/A If Not Applicable.
International Travel Expenses• Matching Grant funds can be used for international travel expenses
of Rotarian volunteers who provide direct humanitarian service as part of a Matching Grant.
• You cannot utilize the Rotary International Travel Service (RITS) for arranging travel.
• Include all travel fees and related expenses such as travel insurance, airfare, immunizations, visas, lodging, and food.
• You must attach to the application background information for each Rotarian traveler detailing his/her qualifications and role in the project’s implementation.
• Have you completed all of these requirements and included travel insurance for all travelers?
D 5240 Grants Seminar 061111 Final 36
Grant Funded Travel Can Only Be Used To Provide A Unique Skill Or Expertise To Support The Project
That Is Not Available In The Host Country
Special Grants
• Competitive grants are grants requesting US$25,001 or above from TRF and require a Community Needs Assessment and other fiduciary information
• Micro Credit grants require a special addendum• Grants with Pilot districts require special handling
D 5240 Grants Seminar 061111 Final 37
Consult The D5240 Grants Committee If You Are Considering One Of These Types of Grants
Authorizations• Authorizations ensure that both partners are aware of, and interested in,
pursuing the described project. By signing below, the current club presidents for club-sponsored projects and current district grants subcommittee chairs for district-sponsored projects, as well as the committee members, agree to the criteria listed and affirm their support of the project. – implement the project as presented in this application. – The club and/or district agrees to undertake this project as an activity of the club and/or
district. – • We ensure all cash contributions (as detailed in Project Financing) will be
forwarded to TRF or directly to the project account after Trustee approval of the grant. – RI and TRF may use information contained in this application to promote the project by
various means such as The Rotarian, the RI international convention, Rotary Video Magazine, etc.
– The partners agree to share information on best practices when asked, and TRF may provide partners’ contact information to other Rotarians who may wish advice on implementing similar projects.
– The entire responsibility of TRF is expressly limited to the dollar amounts approved based on the application’s budget. Additional costs due to changes in budget items, airfares, currency devaluations, etc., are the responsibility of sponsors or outside sources.
D 5240 Grants Seminar 061111 Final 38
Your Signature Has Meaning. Signatories Accept Responsibility for Grant Performance
Conflict of Interest• To the best of my knowledge and belief, except as disclosed
herewith, neither I nor any person with whom I have or had a personal or business relationship is engaged, or intends to engage, in benefiting from TRF grant funds or has any interest that may represent a potential competing or conflicting interest. A conflict of interest is defined as a situation in which a Rotarian, in relationship to an outside organization, is in a position to influence the spending of TRF grant funds, or influence decisions in ways that could lead directly or indirectly to financial gain for the Rotarian, a business colleague, or his or her family, or give improper advantage to others to the detriment of TRF. (NOTE: Any and all exceptions must be explained in an attached statement.)
D 5240 Grants Seminar 061111 Final 39
You Are Responsible For Ensuring That There Are No Conflicts Of Interest Associated With The Grant
Application Or Performance
40
The Final Signatures
40D 5240 Grants Seminar 061111 Final
Host Partner International Partner Club president (club-sponsored)* District grants subcommittee chair (district-sponsored)*
Club president (club-sponsored) District grants subcommittee chair (district-sponsored)
Name Name Title Title Rotary Club
Rotary Club
District # District # Signature Signature Date Date
Primary Contact Primary ContactName Name Signature Signature Date Date Project Contact #2 Project Contact #2Name Name Signature Signature Date Date Project Contact #3 Project Contact #3Name Name Signature Signature Date Date
Club President And The Members Of The Project Committee Must Sign And Confirm Responsibility
For Project Performance
Signatures can be provided on separate pages
Cooperating Organization
• A cooperating organization is an entity directly involved in the implementation of a grant project, offering technical expertise and/or project coordination.
• A benefiting entity is the recipient of goods or services and is not considered a cooperating organization.
• A cooperating organization is considered to be a Rotarian cooperating organization when one-third or more of its Board of Directors and/or governing body is comprised of Rotarians and/or senior management who are also Rotarians directly involved with the grant project
D 5240 Grants Seminar 061111 Final 41
Cooperating Organization• If this project involves a cooperating organization (neither a Rotary club
nor the beneficiary of the project), provide the following:
• The following must be attached: – A letter of endorsement signed by the host club president confirming that the
cooperating organization is reputable and acts within the laws of the project country
– A signed letter of participation from the cooperating organization that specifically states:
– Its responsibilities and how it will interact with Rotarians to implement the grant project
– The organization’s agreement to cooperate in any financial review of the project
– The names of Rotarians on its Board of Directors and/or organizational governing body in addition to any senior management who are also Rotarians and are directly involved with the grant project, if applicable
D 5240 Grants Seminar 061111 Final 42
Name of organization
Street Address
City, State/Province Postal code Country
Office phone Fax
E-mail Web address
Cooperating Organization or Contractor?
• A contractor is paid for a specific job to be performed in the performance of the grant. Contractors do not receive funds from TRF. They are paid by a Rotary Club.
• A cooperating organization uses its skills, expertise and local knowledge to support the performance of the grant. Cooperating organizations do not receive funds from TRF but may receive funds from a Rotary Club to implement the project.
D 5240 Grants Seminar 061111 Final 43
TRF Wants To Ensure That The Project Is Performed By Rotarians And Not
By The Cooperating Organization
Final Report
• Although both partners are responsible for completing progress and final reports, the Trustees require that one partner take primary responsibility for submitting the final report to TRF.
• It is recommended that the club or district receiving the funds should take primary responsibility.
• “By signing below, our club or district accepts primary reporting responsibility.”
D 5240 Grants Seminar 061111 Final 44
Print name Signature
Rotary club District
Even If The Host Partner Signs To Provide The Final Report You Are Responsible For Monitoring And Ensuring That The Report Is Completed On Time
Completion Checklist Does the project meet all grant policies and guidelines (see The
Guide to Matching Grants [144-EN] or the RI website at www.rotary.org)?
Does the project description clearly state how the project will assist those in need?
Are the activities of the host and international partners clearly explained? Will the Rotarians be actively involved in the project?
Have both the host and international partners created committees to oversee the project? Are these individuals correctly listed on the application with their complete contact information?
Is a detailed, itemized budget included in the application?
D 5240 Grants Seminar 061111 Final 45
You Must Fill Out The Completion Checklist Before Sending The Application To The
District Grants Subcommittee Chair
Completion Checklist
Are pro-forma invoices attached for budget items over US$10,000?
Are all partner contributions listed in the application, noting which contributions will be cash and which will be DDF?
• Have the DRFC chair and the district governor provided their signatures authorizing the use of District Designated Funds?
• Have the club presidents or district grants subcommittee chairs from the host and international partner provided their authorizing signatures?
Have all six committee members provided their authorizing signatures?
D 5240 Grants Seminar 061111 Final 46
Completion Checklist
If a cooperating organization is involved, are the following letters included with the application:– A signed letter of endorsement from the host partner
confirming that the cooperating organization is reputable and acts within the laws of the project country
– A signed letter from the organization specifically stating its responsibilities, how it will interact with Rotarians, its agreement to cooperate in any financial review of the project, and if applicable, the names of Rotarians on its Board of Directors and/or organizational governing body in addition to any senior management who are also Rotarians directly involved with the grant project
D 5240 Grants Seminar 061111 Final 47
Completion Checklist
• If the project involves a revolving loan or microcredit, is the Revolving Loan Fund Supplement and Credit Group Plan included?
• If the grant requests TRF matching funds of US$25,001 or more, is a community needs assessment attached?
• Has the district grants subcommittee chair from either the host or international partner certified the application as complete and eligible?
• Is there a minimum of nine authorizing signatures included in the application?
• Have the partners made copies of all documents for their files prior to submitting them to TRF?
D 5240 Grants Seminar 061111 Final 48
Congratulations! You are ready to submit your grant to the D5240 Grants Subcommittee
49
The Matching Grant Process
49D 5240 Grants Seminar 061111 Final
Plan the Grant
Write the Grant
Fund the Grant
Close the Grant
Do the Work
Submit the Grant
Prepare the Grant Implement the Grant
APPROVAL
District Grants Subcommittee Review• Grants are submitted electronically in PDF format to District Grants
Subcommittee Chair Larry Smith. Do not send hard copies, Word documents or Excel spreadsheets. Do NOT send files in .jpg format
• The District Grants Subcommittee reviews the grant for compliance with TRF requirements. They do not judge the merits of the grant but may ask questions about it
• The objective of this review is to identify areas of concern that might result in questions or delays at TRF
• Comments from the District Grants Subcommittee are sent to the grant primary contact
• The primary contact is responsible for responding to the comments of the Subcommittee and resubmitting the grant to the Subcommittee
D 5240 Grants Seminar 061111 Final 50
Do Not Send MG To TRF Until It Has Been Certified By The Chairperson Of The D5240 Grants Subcommittee
District Grants Subcommittee Approval
• The Trustees require that the district grants subcommittee chair (DGSC) from either the host or international sponsor district certifies the application as complete. If the application is not complete or eligible, it will not be processed and the partners will be notified accordingly.
• “On behalf of the committee, I hereby certify that to the best of my knowledge and ability this grant application is complete, meets all TRF guidelines, and is eligible for funding”
D 5240 Grants Seminar 061111 Final 51
Print name of DGSC Signature
District Date
Larry Smith Will Certify the Grant Application Only After It Has Been Reviewed And Approved
By The D5240 Grants Subcommittee
District Grants Subcommittee Approval
• When the District Grants Subcommittee approves the grant application, the Subcommittee Chair will obtain the signatures of the District Governor and the DRFC.
• The Subcommittee Chair will certify the grant and return the completed application to the primary contact.
D 5240 Grants Seminar 061111 Final 52
You Are Now Ready To Submit The Grant Application To TRF
Grant Submission
• The Matching Grant application is sent electronically by the Club (not the District) to The Rotary Foundation Contact Center or directly to the Host Country Grants Coordinator.
E-mail: [email protected]
Email: [email protected]
D 5240 Grants Seminar 061111 Final 53
Make Sure That You Have Retain Copies Of All Materials Submitted To TRF.
The list of TRF Staff Host Country Grant Coordinators has been posted on the District 5240 website
TRF Application Key Dates
1 July – 31 March Applications accepted
1 August – 15 May Applications approved
54D 5240 Grants Seminar 061111 Final
The busiest times for grants submission are the beginning of the Rotary Year (July 1) and at the end of the submission period (March31).
Expect delays if you submit at these times.
TRF Processing
• TRF acknowledges receipt of the Matching Grant application and assigns a unique Matching Grant Number
• Always use this unique number when referring to the Matching Grant in communication with the TRF Grants Coordinator or D5240 Grants Subcommittee Chair.
• The TRF Grants Coordinator will interact with the primary contact to provide clarifications and answers to questions. The D5240 Grants Subcommittee is a resource to assist in responding to TRF.
• You do not have to resubmit to the D5240 Grants Subcommittee unless there is a change in requested DDF
D 5240 Grants Seminar 061111 Final 56
Receipt Of An MG Number Does Not Signify Approval. It Is An Identifier Used By TRF to Track The Grant
TRF Approval
• If the Matching Grant Application is approved, TRF will send an award letter via email.
• Notification is sent to the primary contact, the DRFC and the District Grants Subcommittee Chair.
• It is the responsibility of the Primary Contact to notify other stakeholders.
• The date of approval begins the timetable for funding the grant.
D 5240 Grants Seminar 061111 Final 57
Congratulations! Your Grant Application Has Been Approved
58
The Matching Grant Process
D 5240 Grants Seminar 061111 Final
Plan the Grant
Write the Grant
Fund the Grant
Close the Grant
Do the Work
Submit the Grant
Prepare the Grant Implement the Grant
APPROVAL
60
The Financing Page
D 5240 Grants Seminar 061111 Final
Host Rotary clubs or
district inside the project
country
(The primary host club or
district must provide at
least US$100.) Cash (US$) DDF (US$)
DRFC Chair
(Print Name)DRFC Chair
Authorization
District Governor
(Print Name)
District Governor
AuthorizationRC Choluteca $100
RC Tegucigalpa $100
International Rotary clubs
or district outside the
project country Cash (US$) DDF (US$)
DRFC Chair
(Print Name)DRFC Chair
Authorization
District Governor
(Print Name)
District Governor
AuthorizationDistrict 5240 $6,000 Mark Vertin Luz Maria
Ortiz
Simi Sunrise $11,216
Westlake Village Sunrise
$4,000
Camarillo $1,000
Simi Valley $2,000
Subtotals, Cash and DDF $18,416 $6,000
TOTAL cosponsor
contributions $24,416
Total funds requested
from TRF (must be at least
US$5,000) $15,208
Additional outside
funding
(not matched by, or
forwarded to, TRF)
Total project financing
(must equal budget on
page 4) $39,624
The Time Table
• TRF must receive funds for the Matching Grant within 6 months of the date of approval
• DDF is credited immediately by TRF. You do not have to do anything regarding DDF from our district or any other district
• Cash must be submitted to TRF clearly identifying the amount of the contribution and the correct MG Number using the forms provided by TRF with the award letter
• It is the responsibility of the primary contact to notify contributing clubs when the grant is approved
• Always follow up. TRF makes mistakes.
D 5240 Grants Seminar 061111 Final 61
Do Not Send Cash To TRF Until The Grant Application Has Been Approved
It Will Not Be Refunded
Collaboration and Funding • If your club has agreed to contribute to a matching grant, you have
an obligation to provide the funding in a timely manner after notification of approval ( target: forty five days)– Identify the source of the funds before you make the commitment– Adjust budgets and funding sources to reflect the amount of the
commitment– Remind your board of directors and/or the donor of their
commitment at least monthly– Maintain contact with the Grant Primary Contact to monitor
status– When sending contributions, make copies of everything that you
send.– If mailed, contributions should be sent so that they can be
tracked
• Note: many clubs prefer that the contributions be sentto them for aggregation before sending to TRF
• Always follow up. TRF makes mistakes.D 5240 Grants Seminar 061111 Final 62
Receiving Funds• TRF requires that the Rotary Club receiving funds from TRF
establish and maintain a separate bank account or subaccount for Matching Grant funds
• TRF funds cannot be comingled with club operating funds or accounts
• The grant will be funded 4-6 weeks after receipt of all contributions.
• TRF will notify you when the funds have been transferred. • The Primary Contact is responsible for informing collaborating
clubs that the grant has been funded.
D 5240 Grants Seminar 061111 Final 63
Funding Of The Grant By TRF Starts The Clock For Performance And For Receipt Of The Interim Or Final Report
64
The Matching Grant Process
D 5240 Grants Seminar 061111 Final
Plan the Grant
Write the Grant
Fund the Grant
Close the Grant
Do the Work
Submit the Grant
Prepare the Grant Implement the Grant
APPROVAL
A Grant Is A Project
• It has– A beginning– An end– Tasks– Measurable milestones
• Your project must– Perform the work described in the grant– Ensure that Rotarian participation occurs and is documented– Keep meticulous financial records
D 5240 Grants Seminar 061111 Final 65
Changes Happen
• When they do– Determine how change affects the scope of the project (work,
budget, schedule)– Ensure that the changed scope can be completed within the
approved budget– Both the international and host partners have to be involved in
any change request
• Your revised project and budget must be submitted and approved by TRF in advance of any changes– Interact with your TRF Grants Coordinator – Do not begin work on the changed project until you receive TRF
approval– If you do, you do so at your risk
D 5240 Grants Seminar 061111 Final 66
This Is Part Of Your Stewardship ResponsibilityAsk For Permission – Do Not Beg Forgiveness.
It Will Probably Not Be Forthcoming
Monitor the Project
• Funding of the grant does not end your responsibility– Maintain contact with the host club– If possible, have you or one of your club members visit the project– Request pictures of the work in progress. – Request copies of monthly bank statements for the grant account
• Inform your club members and your primary funding partners of status. They like to know how their money is being spent
• Send informal reports and pictures to your TRF Grants Coordinator• Work with your host club if the project is not progressing as planned
D 5240 Grants Seminar 061111 Final 67
Remind Your Club Members That The Matching Funds From Both The District And TRF Came
As A Result Of Their APF Contributions
The Story:“I’ll always look back on this Honduras participation as one of the most important things my club was able to do during my year”
Stewardship: Taking Care of TRF Funds• Keep accurate financial records. If your club did not receive
TRF funds, request bank statements showing activity on grant funds from your host partner.
• Use grant only as detailed on the approved project budget, which shall be strictly interpreted:– Any deviation from the approved budget or changes in the implementation of
the project must receive prior written authorization from TRF.– Funds expended on unapproved or ineligible items and/or for unapproved or
ineligible purposes must be refunded to TRF.
• Monitor use of funds for potential conflicts of interest and notify TRF of any potential irregularities
D 5240 Grants Seminar 061111 Final 68
Matching Grant Awardees Must Treat TRF Grant Funds As A Sacred Trust To Be Constantly
Safeguarded From Loss, Misuse, Or Diversion
Care of TRF Funds• Conduct all financial transactions and project activity in consonance
with the Declaration of Rotarians in Business and Professions and in the full spirit of The Four Way Test. This requires:– Maintaining regular accounts of all transactions and retaining
original receipts and invoices for a minimum of five years (or more, if required by local law/regulations)
– Keeping grant funds in the established project account without diversion, except for direct payment of project expenses and/or to return funds to TRF
– Establishing an inventory system for the control of equipment and other assets purchased with grant funds, and maintaining records for items that are purchased, produced, and/or distributed through the project
• Exercise the highest care to the prevention of even the appearance that TRF grant funds are being used in an improper manner. Such care is expected to go beyond that afforded to the use of private or corporate funds.
• Return any unused funds and/or interest earned to TRF at the completion of the project
D 5240 Grants Seminar 061111 Final 69
70
The Matching Grant Process
D 5240 Grants Seminar 061111 Final
Plan the Grant
Write the Grant
Fund the Grant
Close the Grant
Do the Work
Submit the Grant
Prepare the Grant Implement the Grant
APPROVAL
Submit Progress and Final Reports• Progress reports are required every twelve months after the initial payment is
received, detailing the project’s progress. • Final reports are due within 2 months of the project’s completion. • Both progress and final reports must include the following:
– A detailed description of the project– How Rotarians from the international partner club/district participated in the project– How Rotarians from the host partner club/district participated in the project – A full description of Rotarian oversight and management– A statement of income and expense– A bank statement which correlates to the statement of income and expense– g. Where expressly requested, receipts appropriately cross-referenced to the
statement of income and expense– h. A narrative statement about the beneficiary– i. The role of the cooperating organization (if applicable)– j. Photo proof that shelter recipients are occupying the homes (Low Cost Shelter
projects only)
• New applications will be returned without processing if project partners have not provided timely progress reports for current grants or have overdue final reports (this includes overdue reports for all grant types). This will affect
both the international partner and the host partner in the project country.
D 5240 Grants Seminar 061111 Final 72
Avoid The Penalty Box At All Cost
Cooperate with TRF Audits• TRF reserves the right to conduct an audit of or send a monitor
to any grant, regardless of size, at any time. A site visit is required for those grants with award amounts of US$50,001 or more.
• In addition, TRF reserves the right to review the project at any time, require the submission of additional documentation, and suspend any or all payments if in its sole discretion progress is not considered to be satisfactory.
• The sponsoring club or district will maintain detailed, accurate, and complete financial records throughout the life of the grant and for a period of five years, or more if required by local law, after the grant closure date. These financial records would include original receipts, canceled checks, invoices, etc. Further, if the grant is selected to receive an audit, the sponsoring club or district must maintain all documentation until such time as TRF advises the documents may be discarded.
D 5240 Grants Seminar 061111 Final 73
74
Project Information
D 5240 Grants Seminar 061111 Final
Project Information
Project Information
Matching Grant Number Project Country
Progress report
Final report
Reporting Period from: to
Host Partner Rotary Club: District:
International Partner Rotary Club: District:
Begin With The Grant Application As A Resource
Project Narrative
1. Briefly describe the project. What were your original objectives?
What was actually accomplished? (Photographs can help to tell your story. Submit photos that show beneficiary participation and demonstrate Rotarian involvement in the project)
When and where did the project take place, and who were the beneficiaries?
2. If the project was changed, how and why was it changed?
D 5240 Grants Seminar 061111 Final 75
If You Have Been Maintaining Accurate And Complete Records Of Project Performance
Writing The Final Report Will Be Easy
Rotarian Involvement and Oversight
3. How did Rotarians manage and oversee the project?
4. How many Rotarians from the host partner club participated in the project?
5. In what way did the host Rotarians participate in the project? Please list all non-financial involvement.
6. How many Rotarians from the international partner club participated in the project?
7. In what way did the international Rotarians participate in the project? Please list all non-financial involvement.
D 5240 Grants Seminar 061111 Final 76
Community Impact
8. How many people benefited from the project?
9. What was the impact of the project on the beneficiaries?
10. What are the expected long-term community impacts of the project?
D 5240 Grants Seminar 061111 Final 77
78
Financial Statement
D 5240 Grants Seminar 061111 Final
Currency Used: Exchange Rate: = 1 USD
11. Income
Sources of Income Currency Amount 1. TRF Matching Grant Award and Contributions 2. Other Income (identify): 3. Other Income (identify): 4. Interest Income (if any):
Total Income:
12. Expenses (add rows as needed)
Budget Items Name of supplier Currency Amount
1. 2.
3.
4.
5.
6.
7.
8.
Total Expenses:
A Bank Statement That Supports The Above Statement Of Income And Expenses MUST Be Attached
For final reports, if there is less than US$200 remaining, please spend it on eligible items. If there is more than US$200 remaining, it must be returned to The Rotary Foundation.
79
Certifying Signature
D 5240 Grants Seminar 061111 Final
Either the Host or International Partner must certify the report. If the grant is club sponsored the current club president must certify the report.
By signing this report, I confirm to the best of my knowledge that these Matching Grant funds were spent according to Trustee-approved guidelines and that all of the information contained herein is true and accurate. Original receipts for all expenses incurred will be kept on file for at least five years, or longer if required by local law, in case they are needed for auditing purposes. I also understand that all photographs submitted in connection with this report will become the property of RI and will not be returned. I warrant that I own all rights in the photographs, including copyright, and hereby grant RI and TRF a royalty free irrevocable license to use the photographs now or at any time in the future, throughout the world in any manner it so chooses and in any medium now known or later developed. This includes the right to modify the photograph(s) as necessary in RI’s sole discretion. This also includes, without limitation, use on or in the web sites, magazines, brochures, pamphlets, exhibitions and any other promotional materials of RI and TRF.
Rotary Impact
Our club or district’s international Rotary connections are stronger as a result of this project.
Club membership has increased as a result of this project. Visibility of Rotary in our community has increased. Our club’s awareness of the needs in our community has
increased. Volunteer activity in our club or district has expanded. Our club or district is more active in pursuing Foundation
grants and Rotary programs. Awareness of the needs in our community has increased
among Rotarians in other countries. Participation in this Matching Grant has not changed our
club or district in any significant way.
D 5240 Grants Seminar 061111 Final 80
Sustainability
The project will continue to function without Foundation funds.
Equipment purchased with grant funds is being maintained with local materials and expertise.
If training was a component of the project, trainees are using their knowledge and skills.
This project has provided community members with the skills, knowledge, or institutions that will allow them to help themselves.
The community has initiated additional projects related to the same or similar problems.
The project has not been sustainable.
D 5240 Grants Seminar 061111 Final 81
Suggestions
• Given your experience, do you have suggestions to improve the Matching Grants program?
• If your project clearly demonstrates Rotarian involvement and is worthy of publication, complete an RI Newstip Form, available on the RI website at www.rotary.org. Attach action photos showing the beneficiaries or showing active Rotarian involvement and indicate the name of the photographer.
D 5240 Grants Seminar 061111 Final 82
Report Checklist
• Does your report include Time period of reporting How and what the project accomplished Rotarian participation, oversight and management Rotary impact Itemized report of income and expenses A bank statement Certifying signature
• Have you done the following Made copies of the report for both the host and international
partner Returned surplus funds over US$200 (except in India where
all unutilized funds must be returned) Made a file to store the report and receipt copies for five
years or longer if required by local law
D 5240 Grants Seminar 061111 Final 83
On The D5240 Website
• Matching Grant Application – 141 EN• The Guide to Matching Grants (144-EN). • Matching Grants Financing Calculator• List of TRF Staff (including Host Country Coordinators)• Final Report Form• Final Report Suggestions and FAQs• Presentations from Today’s Seminar
D 5240 Grants Seminar 061111 Final 84
85
Finding the Forms on the Website
D 5240 Grants Seminar 061111 Final
www.rotarydistrict5240.org
Select Service International Service Grants
86
Finding Forms on the Website
D 5240 Grants Seminar 061111 Final
Information From the Grants Seminar
International Service Coordinators• D5240 International Service Chair
Nick Frankle, RC of Westlake Village Sunrise
Email: [email protected]
• International Service Area Coordinator – Groups 1,2,3– Michael O’Doherty, RC of Bakersfield Breakfast– Email: [email protected]
• International Service Area Coordinator – Groups 4,5,6– Roger Benson, RC of Thousand Oaks– Email: [email protected]
• International Service Area Coordinator – Groups 7,8,9– Bill Boyd, RC of Santa Barbara Sunrise– Email: [email protected]
• International Service Area Coordinator – Groups 10,11,12– Daudi Kaliisa, RC of Los Osos– Email: [email protected]
D 5240 Grants Seminar 061111 Final 87