Manage grant requirements, reporting deadlines, and restricted fund tracking. Ensures compliance with funder requirements and timely reporting. Customize with your organization's grants and funder-specific requirements.
# Grant Compliance Tracker ## Overview Grants come with strings attached—reporting requirements, spending restrictions, and deadlines. Missing a deadline or misusing funds can result in returned grants, damaged funder relationships, and reputational harm. This skill provides a framework for tracking and meeting grant obligations. ## The Compliance Challenge ``` COMMON GRANT COMPLIANCE FAILURES: ───────────────────────────────── • Missed reporting deadlines • Spending outside approved budget • Commingling restricted funds • Inadequate documentation • Failure to meet match requirements • Incorrect indirect cost allocation • Missed deliverables • Late or incomplete reports ``` ## Grant Lifecycle ``` ┌─────────────────────────────────────────────────────────────────┐ │ GRANT LIFECYCLE │ ├─────────────────────────────────────────────────────────────────┤ │ │ │ AWARDED ACTIVE CLOSEOUT POST │ │ ──────── ────── ──────── ───── │ │ • Accept • Track spending • Final report • Audit │ │ • Set up codes • Meet deliverables • Reconcile • Retain │ │ • Note terms • Submit reports • Return unused • Archive │ │ • Calendar • Document • Closeout docs │ │ deadlines │ │ │ └─────────────────────────────────────────────────────────────────┘ ``` ## Grant Setup Checklist ### When Award is Received ``` GRANT SETUP CHECKLIST ───────────────────── DOCUMENTATION: □ Award letter/agreement received □ All terms and conditions reviewed □ Authorized signatory approved □ Signed agreement returned □ Copy filed in grant folder FINANCIAL SETUP: □ Unique fund/grant code created □ Budget entered in accounting system □ Indirect cost rate applied (if applicable) □ Restricted fund designation set □ Match tracking set up (if required) COMPLIANCE TRACKING: □ Reporting deadlines calendared □ Deliverables timeline created □ Compliance requirements documented □ Staff responsibilities assigned □ Funder contact information noted NOTIFICATION: □ Program staff notified □ Finance staff notified □ Executive Director briefed □ Board notified (if required by policy) ``` ## Grant Master Record ``` GRANT MASTER RECORD ─────────────────── IDENTIFICATION: Grant Name: _________________________________ Funder: _____________________________________ Grant Number: _______________________________ Internal Fund Code: _________________________ AMOUNTS: Award Amount: $______________ Indirect Cost Rate: _____% Match Required: $______________ (Cash: $______ In-Kind: $______) DATES: Award Date: ______________ Start Date: ______________ End Date: ________________ No-Cost Extension Deadline: ______________ KEY CONTACTS: Program Officer: _____________ Email: _________ Phone: _________ Internal Lead: ______________ Finance Contact: ____________ RESTRICTIONS: □ Geographic restrictions: _______________________________ □ Population restrictions: _______________________________ □ Activity restrictions: _________________________________ □ Other: ______________________________________________ REPORTING REQUIREMENTS: [See Reporting Schedule below] ``` ## Reporting Schedule ### Report Types | Report Type | Common Frequency | Typical Contents | |-------------|------------------|------------------| | **Financial/Fiscal** | Quarterly/Annual | Expenditures, budget vs. actual | | **Narrative/Progress** | Quarterly/Semi-annual | Activities, outcomes, stories | | **Final** | At grant end | Comprehensive summary | | **Audit** | Annual | Independent audit report | | **Specialized** | Varies | Funder-specific requirements | ### Reporting Calendar Template ``` GRANT REPORTING CALENDAR ──────────────────────── Grant: [Name] Funder: [Name] Period: [Start] to [End] ┌────────────┬─────────────────┬────────────┬──────────┬─────────┐ │ Report │ Period Covered │ Due Date │ Assigned │ Status │ ├────────────┼─────────────────┼────────────┼──────────┼─────────┤ │ Q1 Fiscal │ [dates] │ [date] │ [name] │ □ │ │ Q1 Narrative│ [dates] │ [date] │ [name] │ □ │ │ Q2 Fiscal │ [dates] │ [date] │ [name] │ □ │ │ Q2 Narrative│ [dates] │ [date] │ [name] │ □ │ │ ... │ │ │ │ │ │ Final │ [full period] │ [date] │ [name] │ □ │ └────────────┴─────────────────┴────────────┴──────────┴─────────┘ DEADLINE ALERTS: Set reminders at: 30 days, 14 days, 7 days, 1 day before due ``` ## Financial Compliance ### Budget Tracking ``` GRANT BUDGET TRACKING ───────────────────── Grant: [Name] Period: [Start] to [End] Total Award: $____________ ┌──────────────────────┬──────────┬──────────┬──────────┬────────┐ │ Budget Category │ Approved │ Spent │ Remaining│ % Used │ ├──────────────────────┼──────────┼──────────┼──────────┼────────┤ │ Personnel │ $ │ $ │ $ │ % │ │ Fringe Benefits │ $ │ $ │ $ │ % │ │ Travel │ $ │ $ │ $ │ % │ │ Equipment │ $ │ $ │ $ │ % │ │ Supplies │ $ │ $ │ $ │ % │ │ Contractual │ $ │ $ │ $ │ % │ │ Other Direct Costs │ $ │ $ │ $ │ % │ ├──────────────────────┼──────────┼──────────┼──────────┼────────┤ │ Total Direct │ $ │ $ │ $ │ % │ │ Indirect Costs │ $ │ $ │ $ │ % │ ├──────────────────────┼──────────┼──────────┼──────────┼────────┤ │ TOTAL │ $ │ $ │ $ │ % │ └──────────────────────┴──────────┴──────────┴──────────┴────────┘ BURN RATE CHECK: Grant period elapsed: ____% Budget spent: ____% Status: □ On track □ Underspending □ Overspending ``` ### Budget Modification Rules ``` BUDGET MODIFICATION REQUIREMENTS ──────────────────────────────── TYPICALLY ALLOWED WITHOUT APPROVAL: • Reallocation <10% between categories • Reallocation within a category • Minor timing shifts TYPICALLY REQUIRES PRIOR APPROVAL: • Reallocation >10% between categories • Adding new budget categories • Equipment purchases over threshold • Change in scope or objectives • Change in key personnel • Subcontracting not in original budget • No-cost extension • Carryover of funds to next period CUSTOMIZATION REQUIRED: ┌─────────────────────────────────────────────┐ │ Check each funder's specific rules. │ │ Federal grants typically stricter than │ │ foundation grants. │ │ │ │ Document funder-specific thresholds here: │ │ ___________________________________________ │ └─────────────────────────────────────────────┘ ``` ### Restricted Fund Accounting ``` RESTRICTED FUND TRACKING ──────────────────────── FUND TYPES: • Temporarily Restricted: Time or purpose limited • Permanently Restricted: Principal cannot be spent • Unrestricted: No donor restrictions FOR EACH GRANT: Restriction Type: □ Temporarily Restricted □ Permanently Restricted Restriction Nature: □ Time □ Purpose □ Both Time Restriction: Available after: ____________ Expires: ____________ Purpose Restriction: Specific use: _________________________________ RELEASE FROM RESTRICTION: Restriction released when: □ Time passes □ Purpose met □ Both Document release with: _________________________________ SEGREGATION: □ Separate bank account required: □ Yes □ No □ Separate fund code: ____________ □ Monthly reconciliation: □ Yes ``` ### Match Tracking ``` MATCH REQUIREMENT TRACKING ────────────────────────── Grant: [Name] Total Match Required: $____________ Match Ratio: ______:______ (e.g., 1:1, 2:1) Match Type Allowed: □ Cash □ In-Kind □ Both MATCH DOCUMENTATION: Cash Match: ┌─────────────────┬────────────┬────────────┬────────────────────┐ │ Source │ Amount │ Date │ Documentation │ ├─────────────────┼────────────┼────────────┼────────────────────┤ │ │ $ │ │ │ │ │ $ │ │ │ ├─────────────────┼────────────┼────────────┼────────────────────┤ │ Total Cash Match│ $ │ │ │ └─────────────────┴────────────┴────────────┴────────────────────┘ In-Kind Match: ┌─────────────────┬────────────┬────────────┬────────────────────┐ │ Description │ Value │ Valuation │ Documentation │ │ │ │ Method │ │ ├─────────────────┼────────────┼────────────┼────────────────────┤ │ │ $ │ │ │ │ │ $ │ │ │ ├─────────────────┼────────────┼────────────┼────────────────────┤ │ Total In-Kind │ $ │ │ │ └─────────────────┴────────────┴────────────┴────────────────────┘ TOTAL MATCH: $____________ MATCH STATUS: □ Met □ On track □ At risk ``` ## Deliverables Tracking ``` GRANT DELIVERABLES TRACKER ────────────────────────── Grant: [Name] ┌────┬─────────────────────────┬────────────┬──────────┬─────────┐ │ # │ Deliverable │ Due Date │ Assigned │ Status │ ├────┼─────────────────────────┼────────────┼──────────┼─────────┤ │ 1 │ │ │ │ □ │ │ 2 │ │ │ │ □ │ │ 3 │ │ │ │ □ │ │ 4 │ │ │ │ □ │ │ 5 │ │ │ │ □ │ └────┴─────────────────────────┴────────────┴──────────┴─────────┘ STATUS KEY: □ Not Started ◐ In Progress ✓ Complete ⚠ At Risk ✗ Missed ``` ## Report Preparation ### Financial Report Checklist ``` FINANCIAL REPORT PREPARATION ──────────────────────────── □ Run expenditure report from accounting system □ Verify all expenses coded to grant □ Check for expenses coded to wrong period □ Calculate indirect costs □ Reconcile to budget categories □ Prepare budget vs. actual comparison □ Calculate match (if required) □ Write variance explanations □ Attach required documentation □ Finance review and sign-off □ Executive approval □ Submit by deadline □ Confirm receipt by funder ``` ### Narrative Report Checklist ``` NARRATIVE REPORT PREPARATION ──────────────────────────── □ Review grant objectives and deliverables □ Collect data from program staff □ Document activities completed □ Calculate output metrics □ Document outcome metrics □ Write success stories (if required) □ Address challenges and how overcome □ Describe any changes to plan □ Include photos/documentation (if required) □ Program Director review □ Executive approval □ Submit by deadline □ Confirm receipt by funder ``` ### Report Content Template ``` GRANT PROGRESS REPORT TEMPLATE ────────────────────────────── SECTION 1: SUMMARY [Brief overview of progress toward goals] SECTION 2: ACTIVITIES [What you did during the reporting period] • Activity 1: [description, dates, participants] • Activity 2: [description, dates, participants] • Activity 3: [description, dates, participants] SECTION 3: OUTPUTS (What you produced) ┌────────────────────────────┬──────────┬──────────┬───────────┐ │ Output Metric │ Goal │ Actual │ % of Goal │ ├────────────────────────────┼──────────┼──────────┼───────────┤ │ │ │ │ │ │ │ │ │ │ └────────────────────────────┴──────────┴──────────┴───────────┘ SECTION 4: OUTCOMES (What changed) [How participants/community benefited] SECTION 5: STORIES/EXAMPLES [Illustrative examples of impact] SECTION 6: CHALLENGES & SOLUTIONS [What obstacles encountered and how addressed] SECTION 7: PLANS FOR NEXT PERIOD [Upcoming activities and focus] SECTION 8: BUDGET NARRATIVE [Explanation of spending, variances] ``` ## Grant Closeout ### Closeout Checklist ``` GRANT CLOSEOUT CHECKLIST ──────────────────────── Grant: [Name] End Date: [Date] Closeout Deadline: [Date] PRE-CLOSEOUT (60-90 days before end): □ Review remaining budget □ Accelerate or wind down spending □ Identify need for no-cost extension □ Notify program staff of end date □ Plan final activities CLOSEOUT ACTIVITIES: □ Complete all grant activities □ Collect final program data □ Prepare final narrative report □ Prepare final financial report □ Reconcile all expenditures □ Calculate any unexpended funds □ Prepare inventory of equipment purchased □ Submit required certifications □ Return unused funds (if required) □ Submit all required reports POST-CLOSEOUT: □ Archive all grant files □ Retain records per funder requirement (typically 3-7 years) □ Note lessons learned □ Thank funder □ Assess relationship for future funding ``` ### Document Retention ``` GRANT DOCUMENT RETENTION ──────────────────────── RETAIN FOR THE REQUIRED PERIOD AFTER CLOSEOUT: Federal Grants: Typically 3 years after final report State Grants: Check specific requirements (often 5-7 years) Foundation Grants: Check grant agreement (typically 3-5 years) DOCUMENTS TO RETAIN: □ Original award and amendments □ All correspondence with funder □ All reports submitted □ All financial records and receipts □ Time and effort documentation □ Match documentation □ Deliverables and work products □ Audit reports □ Closeout documentation STORAGE: Location: _________________________________ Destruction Date: _________________________ ``` ## Compliance Monitoring ### Monthly Compliance Check ``` MONTHLY GRANT COMPLIANCE REVIEW ─────────────────────────────── Month: ____________ FOR EACH ACTIVE GRANT: Grant: _______________ □ Spending on track? (compare burn rate to timeline) □ Any upcoming deadlines in next 30 days? □ Deliverables on schedule? □ Match on track? □ Any compliance concerns? □ Documentation complete? Issues Identified: _________________________________________________ Action Required: _________________________________________________ ``` ### Red Flags ``` GRANT COMPLIANCE RED FLAGS ────────────────────────── ⚠ IMMEDIATE ATTENTION REQUIRED: Financial: □ Spending >20% over/under pace □ Expenses outside approved budget □ Missing documentation >$500 □ Indirect costs calculated incorrectly □ Match shortfall projected □ Costs incurred outside grant period Reporting: □ Report deadline in <7 days (not started) □ Missing required data □ Conflicting information □ Unable to verify metrics Programmatic: □ Key personnel change not reported □ Scope change not approved □ Deliverable significantly delayed □ Beneficiary numbers below target ``` ## Resources ### references/ - **funder-requirements-database.md** — Common funder-specific requirements - **federal-grants-guide.md** — Federal grant compliance specifics - **report-writing-tips.md** — How to write effective grant reports ### scripts/ - **deadline-alerter.py** — Sends deadline reminders - **burn-rate-calculator.py** — Calculates spending pace ### assets/ - **grant-tracker.xlsx** — Master grant tracking spreadsheet - **report-templates.docx** — Standard report templates - **closeout-checklist.xlsx** — Detailed closeout workbook
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