Overview of Grant Terms for The Leona M. and Harry B. Helmsley Charitable Trust

Transcription

1 Grant Terms Overview Last Overview of Grant Terms for The Leona M. and Harry B. Helmsley Charitable Trust First, congratulations on being invited to submit a grant application to the Helmsley Trust. As a grantmaker, we collaborate with thought leaders within our grantmaking program areas and are excited to explore the possibility of working with your organization. Below is an explanation of some of the grant terms contained in the Trust s grant agreement letter ( GAL ). If approved for funding, your organization will be required to comply with these terms. This is not a comprehensive list of terms in the grant agreement letter, but a guide to give you a sense of the Trust s procedures and expectations. Accessing the Application The Trust uses online applications to ensure timely receipt of submissions. All applications are passwordprotected, so once you create a log-in, please enter the password we provided in the you received. Also, save the link to our general portal (this is the second link in the ) as it will give you access your to saved applications and, if funded, access to required reports. Tax Status Your tax status is important information to us. The Trust generally funds public charities classified as either a Section 509(a)(1) or 509(a)(2) organization. We do not typically fund Section 509(a)(3) supporting organizations. If you have 509(a)(3) classification please contact the Grants Manager (see below for this information). International organizations must complete the documentation for the Trust s process for funding international organizations. It is a two-stage process, and the forms you are sent will explain the information the Trust requires for both processes. Indirect Costs Organizations with operating budgets under $5 million may request no more than 20% in indirect costs and organizations with operating budgets over $5 million may request no more than 10% in indirect costs. Indirect costs on the first $20,000 and $25,000 of equipment and subcontractors, respectively, are allowed within the general ceiling. We will discuss indirect costs with you if your grant is a capital or endowment request. Attachments Please upload all required attachments. The total of all attachments should not exceed 25MB. Use of Grant Funds If your organization is selected to receive a grant, the proposal and budget will be attached to your grant agreement letter and the grant term and payment schedule will be listed. This will ensure clarity regarding what both parties agree to as the project scope and timing. During the life of a grant the Trust prefers an open dialogue regarding proposed changes to the budget. Budget modifications above the threshold specified in your grant agreement letter require written approval by the Trust. Funds may not be used to support violence or any terrorism related activity. The Leona M. and Harry B. Helmsley Charitable Trust presents the information contained in this Grant Terms Overview as a service to our current grantees. The information contained in this document is subject to change and is a reference for application and reporting submissions. Page 1 of 2

2 Grant Modifications The Trust views its grantees as partners in achieving program goals, and to have a successful partnership, communication is vital. If a grant is awarded, we expect that you will maintain an open dialogue with our program staff. All budget modifications of more than $5,000 of an annual payment require prior written permission from the Trust. If you need to carryover funds from one year to the next, any carryover of more than $5,000 requires approval. Also, no change in scope or grant term can be made without prior written approval from the Trust. Intellectual Property If you expect to develop intellectual property during your grant, the grant agreement letter requires that you make your best effort to license out your findings within 24 months, or we will discuss an appropriate timeline for its commercialization. Indemnification Your organization will be asked in the agreement to defend, indemnify and hold harmless the Trust, its Trustees, officers, employees and agents. Publicity If your organization is chosen to receive a grant and wishes to publicize it using the Helmsley Trust name, The Trust must approve any publicity which you initiate or issue. (This is covered in the Acknowledgement, Publicity, Publication, and Communication with Media section of the Trust's grant agreement letter.) Reporting The grant agreement letter will delineate the grant period and reporting timeline. All reports should be submitted ion time and online. No further payments will be made if reports are outstanding. Non-Discrimination and Proselytizing The Trust s agreement includes a non-discrimination clause to ensure that all potential recipients of and participants in a grantee s programs and services have access and receive services without regard to race, sex, education, ethnicity, socio-economic status, religion, ability/disability, sexual orientation, gender selfidentification, age, country of origin, first language, marital status or citizenship. No funds from the Trust may be used to proselytize directly or indirectly on behalf of any religious faith, doctrine or belief. Grant Agreement Letter If you are awarded a grant from the Trust, we will send you our standard grant agreement letter. Our grant agreements letters are binding and comprehensive and all inclusive; therefore, you should read all terms and conditions prior to signing. If you have any questions or concerns, you should inquire about the clause(s), but please be aware that we typically do not modify any terms, except in rare instances where a local law to which a grantee is subject conflicts with a term of the grant agreement letter. Please contact the appropriate program staff member or the Director of Grants Management (Christopher Percopo) with any questions or concerns regarding these grant terms ( or [email protected]). The Leona M. and Harry B. Helmsley Charitable Trust presents the information contained in this Grant Terms Overview as a service to our current grantees. The information contained in this document is subject to change and is a reference for application and reporting submissions. Page 2 of 2

3 General Application Support General Application & Reporting Frequently Asked Questions Q. What is the Lifecycle of a Grant Proposal at the Trust? A. The lifecycle of a grant at the Trust: 1. Potential grantee is invited to submit a Letter of Inquiry ( LOI ) to the Trust. 2. If LOI is approved, Grants Management sends the applicant an invitation to submit a full proposal after reviews are completed If an application is deemed unacceptable after reviews are completed, an applicant is typically contacted by Program Staff. In some cases the Trust may not be able to individually respond to each LOI (e.g. large Request for Proposals or RFPs search). A declination notice is then sent to the applicant. 4. If the application is approved, the proposed grant is presented to the Trustees. 5. Trustees make the decision to either decline or approve proposal. 6. If Approved: Grant Agreement Letter ( GAL ) is drafted and sent to the grantee which indicates the terms and conditions of the grant. Once signed, contracts are returned. 7. Upon completion of the grant term, a final report will be due to the Trust. No additional grant payments or awards will be made until a completed final report is received and accepted by Program Staff. If a satisfactory review of the final report is noted, and all trust funds have been expended, the grant will be marked as closed. 2 1 If Program Staff and Grants Management feels adequate due diligence has been conducted, an applicant may be invited to submit a full proposal without submitting a Letter of Inquiry through a single-stage application process. 2 The above is a typical example of a non-profit organization reporting process. Grants to international and for-profit entities may require additional reporting per trust and IRS policies. Q. Does the Helmsley Charitable Trust issue Requests for Proposals ( RFPs )? A. Should the Trust elect to issue Requests for Proposals ( RFPs ), they will be announced on the Trust s website ( and other media outlets as appropriate. Q. What is a Letter of Inquiry ( LOI )? A. The Trust may choose to have prospective grantees complete a Letter of Inquiry ( LOI ) in order to check for basic qualifications, serving as the first step in the application process before requesting a full proposal from a prospective grantee. Q. Where can I access a Letter of Inquiry ( LOI )? Grants Management will contact prospective grantees via with instructions to the online LOI when invited by Program Staff. In the event of an RFP, the instructions will be made available via the Trust s website. All LOIs must be submitted electronically. Page 1 of 7

4 Q. Where can I access grant applications? A. The Trust does not accept unsolicited grant applications except in the case of Requests for Proposals ( RFPs ). Prospective grantees will be provided access to the Trust s grant application upon invitation from the Trust. All applications must be submitted electronically. Q. What materials do I need to submit with my application? A. Depending on what stage of your application and to which program you are applying to, you may have additional attachments that must be included with your application. Below is a list of the attachments that you may be asked to provide. 501(c)3 determination letter Organizational budget (current and most recent fiscal years) Most recent IRS Form 990 Most recent audited financials (include management letter) List of current and most recent fiscal year supporters (corporate & foundations) with amounts List of board of directors with affiliations Paragraph-length biographies for relevant staff Project budget (format that was sent to you) Subcontract budget Most recent annual report Program specific questionnaire IRB approval(s) List of citations for publications Non-confidential peer-review publications or patent applications If project funding is requested, please provide a current expense budget for the project. This budget should include staff allocations and specific uses of requested funds. If project funding is requested, please provide a list of all major sources of income towards the project. Please indicated if these funds are received, pledges, or pending. Optional three or four examples of recent articles or evaluations of your organization. Confirmation letter your organization will abide by Expenditure Responsibility guidelines, if applicable. Equivalency Affidavit and Public Support test for international organizations Governing documents and organizational by-laws, if applicable Other attachments if applicable. Please note the Helmsley Charitable Trust reserves the right to ask for additional attachments at any time. Page 2 of 8

5 Q. Who should I contact for help with my application? A. The grant agreement letter provides your program contact information, who serve as your primary point of contact with the Trust. Depending on your question, you may need to contact a member of the Grants Management staff. Program Staff and Grants Management collaborate on the entire grantmaking process. Included below is a general breakdown of Grants Management and Program Staff responsibilities. 1. Program Staff a. Primary point of contact with the Trust b. Subject matter experts c. Initiate all grant applications d. Due diligence on project and grantee e. Review grant objectives, reports, requests for modification 2. Grants Management a. Technical assistance with online system b. Grant compliance, due diligence, and processes c. Grantmaking policies and procedures d. Reporting, payment, and other grant requirements e. Payment information (e.g. change wire instructions, ACH preference, and physical address for payment via check, etc.) Online or Grant Request Interface Support Q. How do I access my application? A. The Trust uses online applications to ensure timely receipt of submissions. All applications are password-protected, so once you create a log-in, please enter the password we provided in the you received. Q. Can I get a template in advance of my application? A: The Trust does not issue advance copies of applications. You should be given an adequate amount of time to complete your application. If you need to adjust your application timeline, please contact the program staff who invited your application. Q. What browser works best with the grant application interface? A: When using the Grant Request interface or Helmsley Grants Portal, the preferred browsers are Internet Explorer, Mozilla Firefox and Google Chrome. Page 3 of 8

6 Q. If I am a new or returning applicant, how can I set-up my account and login? A. If this is the first time you are submitting an application, follow the below steps to create a user name and password to access your application. These directions apply to Letter of Inquiry ( LOI ), Proposal or Single-Stage Applications. Please note the below instructions will ask you for two passwords. The first password is the user-defined password you created that is used to access the Grant Request interface. The second password is the application password used to access the proposal you were invited to complete. 1. Use the login URL provided in your application invitation Select the New Applicant option highlighted below (if you are a returning applicant skip step 3 and enter your login credentials here). 3. Follow the below instructions to create your account and user-defined password. This is the password that you will use to access your account. 4. After successfully signing into the system for the first time using your and newly created user-defined password, you will be asked to enter the application password to access the proposal. The application password was sent to you in the invitation requesting a proposal. 5. Once you access the application, you will be prompted to do the following: a. Enter your Employer Identification Number ( EIN ). b. Complete the eligibility quiz. Page 4 of 8

7 Q. Which password should I use when I am trying to complete my application? A. There are always two consecutive prompts for passwords when completing an application. The first password requested is the user-defined password that you created. The second password is the application password that was sent in your invitation . Q. I keep getting an invalid password message when I try to log-in to start or work on my application. A. Double check that you are using the appropriate password when accessing the system. If you are already logged into the Grant Request interface or Helmsley Grants Portal, use the application password to open any applications. This password can be found in your invitation . You should only use your userdefined password to initially log-in to the system. Q. Are all applications password protected? A. Yes. To access any application, the user must use the application password that was sent in your invitation . Q. What is an Employer Identification Number ( EIN )? A. An Employer Identification Number ( EIN ) is a nine-digit number used by the United States Internal Revenue Service (IRS) to identify a business entity. An EIN can also be referred to as a Federal Tax Identification Number or Federal Employer Identification Number (FEIN). You should reach out to the operations or personnel manager at your organization to access this number. Please do not input your personal EIN number. Internationally-based organizations that do not have a US EIN or tax exemption from the IRS are still eligible for funding from the Trust. Q. Does the Trust only fund organizations that have 501(c)(3) status? A. The Trust generally funds public charities classified under Section 501(c)(3). Under the 501(c)(3) status, the Trust awards grants to 509(a)(1) or 509(a)(2) organizations. We do not typically fund 509(a)(3) supporting organizations. The Trust also funds internationally-based organizations without 501(c)(3) status that are found to be equivalent to US-based public charities, and charitable projects at for-profit organizations. If your organization has a 509(a)(3) classification or any relevant tax status questions, please contact Grants Management at [email protected] or your program staff contact. Q. What is my organization s tax status if we are domiciled outside the United States? A. International organizations must complete and submit documentation to meet US IRS criteria for public charity equivalency and the Trust s process to fund international organizations. It is a two-stage application process, and the forms you are sent will explain the information the Trust requires. Depending on review of your organization s documentation and application, there may be additional requirements or limitations on a potential grant. Page 5 of 8

8 Q. Can I change my address or password? A. Yes, you can change your in the Grant Request interface or Helmsley Grant Portal. Simply select the Change /Password text after you log-in to the interface. Below is an image identifying the icon s location. 1. In the top right-hand corner of the Grant Request interface or Helmsley Grant Portal, there is text underneath the Trust s logo that will change your or password if selected. 2. After selecting the Change /Password text, you will be prompted to complete the below instructions. Page 6 of 8

9 Q. Can our organization have multiple people access a grant application? A. Unfortunately, we only have the capacity for one contact on each application. Most of our grantees share log-in information (shared username/password). The second option is to transfer ownership of the application to another person so they can enter grant information. Step-by-step instructions on how to reassign requirements or applications in the Grant Request interface or Helmsley Grant Portal are included in the next Q&A. Q. Can I assign my requirement or application to another member of my organization? A. In order to assign an In Progress or Submitted requirement or application you must first log-in to the Grant Request interface or Helmsley Grant Portal using your and user-defined password. 1. Click on the icon (see below) in order to prompt the action to assign a different member of your organization as the primary and only contact for the grant in the Grant Request interface or Helmsley Grant Portal. 2. Below is the view after selecting the icon to switch the primary contact. Page 7 of 8

10 Q. How can I see previously submitted applications/requirements? A. Simply change the view in the Grant Request interface or Helmsley Grant Portal to show In Progress or Submitted applications or requirements. This is located on the right-side of your screen under the Contact Us/FAQ/Exit Banner. Q. I am getting an error and am not able to upload all of my required attachments to my proposal. A. The total size of all attachments should not exceed 25MB. The maximum size of all attachments is listed on the bottom of your application with the list of required attachments. If your attachments exceed this amount, please contact Grants Management at [email protected]. Q. What grants management software is used by the Trust? A. The Trust uses Micro Edge s GIFTS system. Reporting Support Q. What is a Grant Agreement Letter ( GAL )? A. The Grant Agreement Letter ( GAL ) is a binding legal document that outlines the terms and conditions of the grant. Please read all terms and conditions prior to signing. The Trust does not negotiate grant agreements and only makes adjustments when there is a conflict with local law. Q. When can we expect to receive payments after our proposal has been approved? A. Payments are typically disbursed within 60 days of receipt by the Trust of a fully executed grant agreement. Subsequent payments are contingent upon the reporting or other grant requirements as outlined in the grant agreement letter. Please note payments will not be made if reports are outstanding. All reports must be submitted on time and online. Q. What happens after I submit an interim report? A. Once an interim report is submitted online, Program Staff and Grants Management will review the grant s progress. The Trust will contact you if follow-up is required. Q. What are the reporting requirements for my grant award? A. Grantee reporting requirements will be based on the complexity of the project, grant amount, and term. All reporting must be completed and submitted online. Reporting requirements can be found by referencing your organization s grant agreement with the Trust. Q. If I have a general question, who can I contact? A: You can [email protected]. Page 8 of 8