Grant Provision Procedures
A Grant will be submitted to a Grandee based on the Application, if the Expert Committee of the respective SFK program and/or the Board of Trustees has decided to approve the Application.
The Grant should be provided within the initiatives and programs fulfilled by SFK at the moment when the Application is considered; the initiatives and programs will define the Application acceptance procedure and conditions, as well as evaluation criteria.
Grants can be provided through a competition or out-of-competition.
All Grants will be provided to Grantees in strict compliance with these procedures; the process comprises the following steps:
Step 1. Registration of Applications. An Applicant must submit to SFK a completed Application form for individuals or legal entities, and other documentation required for timely and correct consideration of the Application (the list of documents is provided in the application form). All Applications emailed to email@example.com, sent to SFK postal address or submitted at the office of the Foundation should be registered by the Grant Manager. Applications that do not conform to the mission of SFK or are beyond the scope of SFK programs/special initiatives will not be registered.
Step 2. Consideration of Applications. Applications must be considered by the Expert Committee of the corresponding program. Opinions and decisions made with respect to Applications will be recorded in the minutes of the meeting of the Expert Committee. SFK can request additional documents, recommendations or any other information from an Applicant to evaluate their capacity. If the Applicant does not have a Grant History, the Expert Committees and/or the Board of Trustees can request research to be carried out before funding a Grant in order to define the Applicant’s capacity for the project applied.
Step 3. Making the Decision. All decisionsabout the submitted Applications should be taken by the Expert Committee of the respective program. If the limit established by the Board of Trustees is exceeded, a potential conflict of interests exists or if there is disagreement of an associated member of the Board of Trustees with the decision made, etc., the Expert Committee should submit the Application to the Board of Trustees. All decisions will be recorded in the minutes of the meetings of the Expert Committees and/or the Board of Trustees.
The Program Department will notify the Applicant of the decisions taken on the Application and conduct a pre-grant review of the supported application in order to test the Applicant’s capacity to fulfill the project. If the pre-grant review confirms the Applicant’s capacity to fulfill the project effectively, the Program Department will prepare the Grant Agreement. Otherwise, the results of the pre-grant review should be reported to the Expert Committee or the Board of Trustees in order to enable them to make a decision on the Application. The information on awarded grants will be published on the SFK website and in its Annual Report.
If a grant is funded jointly by SFK and the Founder, the Application should undergo a preliminary consideration on the part of the Expert Committee of the corresponding program and, if necessary, on the part of the Board of Trustees before being submitted to the Founder. The Program Department has the right to request the Applicant to provide a translation of the Application and other corresponding documents into English.
If an Application for a grant is rejected, an employee of the Program Department should notify the Applicant by sending an official letter within twenty (20) working days from entering the minutes into the GMS.
Step 4. Grant Formalization. The Program Department must advise the Applicant of all issues regarding the grant, make corresponding changes to the GMS and request all missing documents. The Grant Manager prepares a Grant Agreement and an employee of the Program Department requests the Applicant to sign the Grant Agreement. All appendices to the Agreement and, if necessary, the copyright assignment agreement should be signed along with the Grant Agreement.
Based on the prices for goods and services at the moment of consideration of the Application, the coordinator must estimate the budget efficiency and, if necessary, recommend reducing the amount of the grant. The grant budget will be approved by the Expert Committee and the decision will be documented as an appendix to the corresponding minutes of the meeting.
Step 5. Grant Administration. At this phase, the Program Department makes grant payments, receives the performance and financial reports and verifies the accuracy of the provided information. If necessary, the Program Department and/or the Project Learning, Monitoring and Evaluation Coordinator will advise the Grantee on project management issues and provide support for successful implementation of the project.
If the amount of goods or services to be purchased within the grant in tenge exceeds the equivalent of one thousand and five hundred (1,500) US dollars at the exchange rate set by the National Bank of Kazakhstan, the Grantee must invite bids. The Program Department and the Grant Manager must ensure that the tender is carried out in due form.
Step 6. Grant Monitoring and Evaluation. The Program Department monitors the implementation of the Grant Agreement by verifying the availability and proper use of Grant money, the financial documents and observing that the Grant activities comply with the goals and objectives specified in the Application. The Project Learning, Monitoring and Evaluation Coordinator will monitor the following grants:
- grants approved by the Board of Trustees;
- grants co-funded by third parties; and
- grants upon request by the Grant Manager, Programs Director or Chair of the Executive Council.
The Program Department may monitor the Grant at any moment with or without prior notification to a Grantee.
During the implementation of an Agreement, which provides for a seminar, training, conference or other events within the established timeframes, a representative of SFK has the right to carry out monitoring during the event. The Grantee may familiarize themselves with the monitoring results.
If the monitoring report rates the performance of a Grant Agreement as poor, an issue of Grant cancellation must be raised. The monitoring report will be entered into the GMS.
Step 7. Grant Closure. Once an employee from the Program Department ensures that the provided information about the Grant implementation is correct, they will accept and approve the financial and performance reports submitted by the Grantee. The Grant is considered closed if the SFK approves the final financial report and the report on implementation of the activities provided in the Agreement and Application. The Grant cannot be closed if the financial report amounts to less than 98 (ninety-eight) percent of the Grant budget or the unused amount exceeds ten thousand (10,000) tenge. An employee from the Program Department should write their comments on the grant fulfillment in the GMS.
 See details on Grant Agreement in clause 3 of this section.