february 8, 2014grant management seminar1 the rotary foundation of rotary international district...

FEBRUARY 8, 2014 Grant Management Seminar 1

The Rotary Foundation of Rotary International

District 5030

Grant Management

Seminar


Grant Management

This seminar is going to cover the following:• How to Get and Stay Qualified• Key Elements of Grant Management• Secrets of Successful Grant Projects• What Stewardship Requires


Agenda

• TRF’s Annual Programs Fund & World Fund• Becoming Qualified to receive grant funds• Designing Projects• Conflicts of Interest• Working with Cooperating Organizations• Preparing Grant Proposals:

– District Grant applications and process– Global Grant applications and process

• Stewardship and Reporting



Annual Programs Fund • District Grant via DDF• Global Grants via World Fund

Dictionaries for 3rd Graders - Seattle

Kenya Water Project - BBRC


2010-11 D5030 clubs contributed $583K to Annual Fund: This Rotary year’s DDF + residual ≈ $300K split 50/50 $150K to District Grant & $150K to match Global Grants

2011-12 D5030 clubs contributed $489K to Annual Fund:

Next Rotary year’s DDF + residual ≈ $247K split 50/50 $122K to District Grant & $122K to match Global Grants

2012-13 D5030 clubs contributed $594K to Annual Fund: For the 2015-16 Rotary year DDF + residual estimated to be back about this year’s levels.

Contributions to The Rotary Foundation’s Annual Programs Fund DIRECTLY affects how much is available for matching funds

for your projects.


Session 1

Qualification


Qualification Requirements

The Rotary Foundation requires clubs to “qualify” every year if they are to receive grant funds… “qualify in RY 2013-14 to receive grants in RY 2014-15”• Two club members attend a grant manage-

ment seminar each year• Annually submit signed club MOU to district

• Be current with club dues • Be current in all grant reporting


Maintaining Qualification

• Adhere to terms of club MOU• Appoint club member/committee to

manage club’s annual qualification– Sign & Deliver New MOU each year– Attend Grant Mgmt Seminar each year

• Fully implement stewardship practices to prevent misuse of funds


Grant Coordinators

• Advise and support your Club on District and Global Grants

• Track Club’s Annual Fund contribution and MOU compliance

• Serve as contact point, collaborator and catalyst for partnerships

• At least two Club GC’s at one of two Grant Management Seminars


Session 2

Designing a Project


Learning Objectives

• Identify best practices for designing a project

• Develop a plan to implement your project

• Avoiding Conflicts of Interest & Working with Cooperating Organizations

• Create measurable project goals


Successful Grant Projects

• Address real community needs and priorities• Require close Rotary partner communication, collaboration

and active participation• Demand planning & implementation with clear partner roles:

– Community– Host club– International club– Cooperating Organizations

• Benefits must be sustainable • Expect management & stewardship of funds by Host club



Needs Assessment

• Consult TRF’s “Community Needs Assessment” manual for specifics. (See Tool Box)

• Engage the community. Clearly define desired outcomes and how to measure them.

• Assess resources/ limitations of your club, the host club, and potential partners. – Clubs’ $$ commitment must be firm before you start the

app.– Time, energy, passion for project

• Ensure community commitment, capacity to carry out and sustain project after funding is gone.


Project Planning

• Form a 3-person grant committee1. Must be Rotarians from your club.

2. Name one of 3 as Primary Contact

3. All 3 must be knowledgeable about and engaged in project.

4. No conflict of interest with project

• Assign roles


More Planning Requirements• Prepare an Implementation Plan , i.e. detailed

plan to “get things done!” • Look to the RI web-site for step-by-step

– www.rotary.org/myrotary/en/take-action/apply-grants/grant-activities

1.Designing Sustainable Projects

2.Global Grant Monitoring and Evaluation Plan Supplement

3.Specifics about Vocational Training Teams

4.Check out the LEARNING CENTER under “My Rotary”

http://www.rotary.org/myrotary/en/take-action/apply-grants/grant-activities



Know Your Partners• Key to successful project!

– Host club capable, passionate about project, active throughout its life

• Find partner(s) for your: – D5030 clubs, contacts, project site trips,

conventions, online sites– Travel, visit clubs, ask their community needs,

priorities

• BUT: Do your due diligence:– Current in reporting & dues? Qualified? Reliable?– Easy to communicate with?


Know Your Partners

• “Date” before you “propose”: – Do smaller club-to-club project (District Grant

project??) before tackling a Global Grant – Develop relationship

• Contact #1 (Primary Contact) of 3-member teams has critical role in online process: – All online inputting of application info– All communication w/ TRF


Creating a Budget

• Realistic• Scaleable – Yes or No• Include all Expense Items• Competitive bidding• Disclose conflicts of interest


Lifecycle of a Grant Project1. Identify & assess the community’s needs

2. Develop a solution to the need(s)

3. Gather resources to take project forward:

a) Partner clubs and Cooperating Organizations

b) Training resources so community can continue to benefit after grant expended

c) Include methods for on-going financing for repairs, maintenance, upgrades, replacements

4. Evaluate results; compare to project goals.

5. Schedule follow-up attention and training, as required.


Successful Grant Projects Review

• Address the needs of the community as defined by the community

• Have trusted Host & International Partners who communicate frequently & easily

• Have a comprehensive implementation plan• Practice proper stewardship of funds


Conflict of Interest

• Exists when a Rotarian benefits financially or personally from grant activities.

• Benefit may be direct (the Rotarian benefits) or indirect (an associate of the Rotarian benefits)

• “… any potential Conflict of Interest must be disclosed when the grant application is made.” (Grant Mgmt Manual pg 1.3)



Examples…• A Cooperating Organization writes the

grant proposal;• Your club’s in-house NGO provides the

paid project manager;• The Cooperating Organization is

represented on the club committee.



• Actual or perceived Conflicts of Interest must be disclosed in the on-line application.

• An actual or perceived conflict of interest does not necessarily disqualify a Rotarian from participation in the Foundation grants program. Eligibility is determined on a case-by-case basis.



• Serious consequences: – Fellow Rotarians see it as unethical;– Outside donors see it as self-serving…

and unethical.


Tips for Working with NGOs“All projects that receive Foundation grants must be initiated and managed by Rotarians.” (Grant Mgmt Manual pg 1.1)

Grant “funds cannot be managed by or turned over to non-Rotarian entities such as … Cooperating Organizations.” (Grant Mgmt Manual pg 3.2)

Sponsor Clubs – act as if you are the General Contractor. Understand your responsibility and authority!

1. Select Cooperating Organizations (“sub-contractors”) based on bids/ experience. Note your selection process in application.

2. Select equipment, goods, and services based on competitive bids. Describe your process in the app.


Tips for Working with NGOs

3. Manage the project:

a) Work with beneficiaries, cooperating organizations, and partner clubs in selecting suppliers, and to establish budget, timeline, and milestones.

b) Oversee the performance and quality of the work.

c) Receive, review, approve (or deny) invoices from suppliers and cooperating organizations.

d) Prepare regular progress reports to beneficiaries and The Rotary Foundation.

e) Dismiss cooperating organizations [“sub-contractor(s)”] for failure to perform.


Tips for Working with NGOs

REMEMBER:

The project needs to be a Rotary managed effort supported/ aided by the cooperating organization(s).

Not the other way around!

If the cooperating organization does everything except pay for the project, re-write the proposal!


Setting Goals

• Measurable – What are the measurable results you expect from this effort?

• Set Qualitative (descriptive) goals.

• Set Quantitative (numeric) goals.


Setting GoalsUse the Global Grant Monitoring and Evaluation Plan Supplement (in Tool Box) • Gather baseline data • Set goals – What is target and “as of”

date: e.g. “Within two years… school absenteeism will drop by 30%.”

• Determine method of measurement and specify in application.


Learning ObjectivesReview

• Identify best practices for designing a project

• Develop a plan to implement your project

• Avoiding Conflicts of Interest & Working with Cooperating Organizations

• Understand how to create measurable goals


10 Minute Break


Session 3

Applying for and Implementing a Grant


Learning Objectives

• Write a successful grant application

• Understand grant financing of District and Global Grants

• Discuss the importance of evaluation


Rotary Foundation Grants

This Session covers…• District Grants

• Global Grants

• Packaged Grants


District Grants02/08/2014


District Grant 2013-2014 Program

• $300,000 Requested for 37 Projects• $260,000 Investment Proposed by 22

Clubs• $185,000 Requested in #1 Ranked

Proposals• $147,544 Reserved for 22 Projects• One of 22 replaced a withdrawn project


District Grant Partnerships

• Over 30 District Clubs Are Participating

• Over $30,000 Reserved for Partnership Incentives

• Even More Important in Year Ahead


District Grant Program Goals

• Increase project participation

• by Rotarians

• by District Clubs

• Facilitate District Club collaboration

• Encourage strong TRF Annual Fund giving


District Grant Process Schedule

Activity TimingDistrict Grant Proposal June 15 deadline

Proposal Evaluation June – July 15

D.G. Reserve Notification July 15

Submit Acct & Other Info July 15 – Aug 15

Grant $ Remitted On receipt of Info

Final Report Within 60 days of completion


Program Changes for 2014-15 District Grant Proposal Deadline

June 15, 2014

• Reduced maximum project size: $4K-12K

• Increased incentive to qualify for 100% District match

• Participation rate raised to 55% for 100% match

• Less District funds for projects without partners


Grant Maximums2014-15 Rotary Year

$4,000 50% Match and no Partners

$7,000 50% Match and 3 Partners

$8,000 100% Match and no Partners

$12,000 100% Match and 3 Partners

February 8, 2014 Grant Management Seminar 42

District & Global GrantEvaluation Criteria

(See Handouts)

Grant Proposal Requirements

2010- 2014 Do Good In The World 43

Criterion D Grant < $5k D Grant $5k - $12k Global Grant

1 of 6 Areas of Focus Preferred Required Required

District Qualified (MOU) Required Required Required

Needs Assessment Required Required Required in

Depth

Partner Commitments Required Required Required

Line Item Budget Required Required Required

Source of Funds Budget Required Required Required

Sustainable Impact Preferred Required Required

Final Report Required Required Required

Evaluation & Monitoring Preferred Preferred Required


Project Evaluation Criteria6 Areas of Focus

• Peace and conflict prevention/ resolution• Disease prevention and treatment• Water and sanitation• Maternal and child health• Basic education and literacy• Economic & community development

Grant Proposal Evaluation

2010- 2014 Do Good In The World 45

Criterion D Grant < $5k D Grant $5k - $12k Global Grant

Impact Maximized $/bene & value $/bene & value # & impact

Meets Community Need * * ***

Beneficiaries’ Involvement * * ***

Sustainable over long term * ** ***

Project Oversight * * ***

Key Role of Grant * * **

Leverage/Partnerships * * **

Rotarian Involvement * * ***

Promotes New Members & Good PR

* *


District Grant Evaluation Example

Gotas de Agua Childcare Center (Peru)

• $14,100 budget, $7,300 in D5030 grant $

• Funding from: D4450, Host RC, 4 D5030 RCs

• Equip 3 nursery, 3 classrooms & playground

• 60 children per year

• Community involvement

• Outside NGO and local gov’t support


Global Grants


Applying for Global Grants

• Three-step process:1. Send proposal form to D5030

2. Complete “First Steps” of TRF on-line app.

3. Commence TRF on-line application

• Meet goals of Area of Focus • Be sustainable• Involve Rotary clubs in two districts• Minimum budget of US$30,000• District confirms club is qualified


Areas of Focus

Peace and conflict prevention/resolution

Disease prevention and treatment

Water and sanitation

Maternal and child health

Basic education and literacy

Economic and community developmentSee Tool Box for link to Areas of Focus Policy Statements


Sustainable Projects

A “sustainable project” is one that gives a community the skills and knowledge to maintain project outcomes for the long term, after grant funds have been expended.• Involve community members & beneficiaries in

planning, implementing and maintaining project

• Budgeting: acquire services and equipment appropriate to culture and capabilities of beneficiaries

• Finance: Construct/ create local funding sources for long-term operation, maintenance, repair or upgrade of project equipment/ facilities


Sustainable Projects• Incorporate training programs to enable

beneficiaries to maintain, repair, replace.

• See Tool Box for a specific 6-step platform for designing a sustainable project.

• Your project proposal will be expected to address all six steps from planning through implementation to evaluation. If you build on that platform, you will be “good to go!”

• Read handout: “Why Do Ideas Fail?”


Global Grant Application Process

(Your ducks ARE in a row!)

1. Complete the D-5030 Global Grant proposal form (See “Tool Box”)

2. Commence the TRF on-line applicationa. Primary host / international partner completes the

application

b. Requires comprehensive information

c. Include price bids or pro forma invoices

d. Financial information complete and confirmed

e. Authorizations & approvals received from Districts


Global Grant Time Line

• There is NO deadline for submitting Global Grant proposals

• Refer to Global Grant Timeline in HANDOUTS


Implementing a Global Grant Project

• Follow your original plan• Communicate often• Adhere to your project’s

financial management & recordkeeping plan


Evaluating your Global Grant Project

• Did you achieve the results you expected from the project?

• Assists with reporting• Improves future projects• Based on measurable goals • Ongoing process


Global Grant Financing

• Clubs contribute cash• Districts contribute matching DDF• TRF World Fund matches DDF at 100% and …

matches Rotarian cash at 50%• Non-Rotarian cash contributions


Financing Guidelines

• Contributions raised by Rotarians• Funds cannot be raised from

beneficiaries in exchange for a grant• Funds cannot come from other grants• Contributions must be credited to donor


Package Grants

Rotary’s relationship with select strategic partners opens door for Rotarians to work with them directly on large-scale projects:• Goodwill Industries International, Dollywood

Foundation’s Imagination Library, ShelterBox, and numerous others.

• Strategic Partner runs the show.• See “Tool Box” for link to apply.



• Write a successful grant application• Understand grant financing• Discuss the importance of evaluation


Session 4

Oversight and Reporting


Learning Objectives

• Identify requirements for managing grant funds and record keeping

• Identify which documents need to be retained

• Understand reporting requirements


Financial Management Plan

Refer to the Grant Management Manual!• Bank account for grant funds• Distributing funds• Use checks/bank cards to track funds• Detailed ledger• Address local laws


Document Retention

• Provide access• Retain for a minimum

of five years• Make copies

Remember, if funds are misused, your club is responsible for rectifying the situation.


Global Grant Reports: Frequency

• Refer to “Grant Management Manual”, Ch 4

* * Reports must be accepted by TRF before

the grant is considered closed.


Global Grant Reports: Content

• How partners were involved• Type of activity• Evaluation of project goals (Did the project

achieve the results/outcomes you forecast?) • How Area of Focus goals were met• How funds were spent• Number of beneficiaries and how they

benefited



• Identify requirements for managing grant funds and record keeping

• Identify which documents need to be retained

• Understand reporting requirements


Tool Box for District & Global Grants

pg 1 of 4

Areas of Focus Statements of Purpose and Goals:https://www.rotary.org/en/document/595

Community Assessment Tools: “Communities in Action… A Guide to Effective Projects”

http://www.rotary.org/RIdocuments/en_pdf/605a_en.pdf and

“Community Assessment Tools… A Companion Piece to Communities in Action.” http://www.rotary.org/RIdocuments/en_pdf/605c_en.pdf Develop Projects – Project Lifecycle Resourceshttps://www.rotary.org/myrotary/en/project-lifecycle-resources

https://www.rotary.org/en/document/595




http://www.rotary.org/RIdocuments/en_pdf/605a_en.pdf

http://www.rotary.org/RIdocuments/en_pdf/605c_en.pdf

https://www.rotary.org/myrotary/en/project-lifecycle-resources



pg 2 of 4

Developing Sustainable Projects: https://www.rotary.org/myrotary/en/document/638 District 5030 District Grant Application:http://rotarydistrict5030.org/new-grant-model-help-desk

District 5030 Global Grant Proposal Form:http://rotarydistrict5030.org/new-grant-model-help-desk

Global Grant Monitoring and Evaluation Plan Supplement: https://www.rotary.org/myrotary/en/take-action/apply-grants/global-grants

Implementing, Monitoring & Evaluating a Grant project:https://www.rotary.org/en/document/673 (Grant Mgmt Manual, Chapter 3)

https://www.rotary.org/myrotary/en/document/638

https://www.rotary.org/myrotary/en/document/638

http://rotarydistrict5030.org/new-grant-model-help-desk



https://www.rotary.org/myrotary/en/take-action/apply-grants/global-grants






pg 3 of 4

Learning Center: Building a Global Grant; Managing Grantswww.rotary.org/myrotary/en/take-action/apply-grants/grant-activities

Rotary Club Memorandum of Understanding http://www.rotary.org//en/global/docs/Club_Memorandum_of_Understanding_en.pdf

Rotary Club Memorandum of Understanding Worksheet http://www.rotary.org//en/global/docs/Club_Memorandum_of_Understanding_Worksheet_en.pdf

Rotary International Code of Policies: http://www.rotary.org/RIdocuments/en_pdf/trf_code.pdf


http://www.rotary.org/en/global/docs/Club_Memorandum_of_Understanding_en.pdf

http://www.rotary.org/en/global/docs/Club_Memorandum_of_Understanding_en.pdf

http://www.rotary.org/en/global/docs/Club_Memorandum_of_Understanding_Worksheet_en.pdf

http://www.rotary.org/en/global/docs/Club_Memorandum_of_Understanding_Worksheet_en.pdf

http://www.rotary.org/RIdocuments/en_pdf/trf_code.pdf



pg 4 of 4

Rotary International Package Grants: For information and to apply - https://www.rotary.org/myrotary/en/take-action/apply-grants/packaged-grants

Terms & Conditions for TRF District Grants and Global Grants: http://www.rotary.org/myrotary/en/document/728

The Rotary Foundation Grants Management Manual: https://www.rotary.org/myrotary/en/take-action/apply-grants/global-grants

https://www.rotary.org/myrotary/en/take-action/apply-grants/packaged-grants

http://www.rotary.org/myrotary/en/document/728




Annual QualificationDistrict Grant opportunitiesAreas of FocusMeasurable Goals & the project “Lifecycle”

Sustainable OutcomesConflicts of Interest and working with Cooperating Organizations/ NGOsAccurate and timely reporting

What we covered today!


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Do Good In The World

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May 2014 Do Good in the World 74


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2010 - 2014 Do Good in the World 78


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