Policy Statement
Recipients of Alastair Swayn Foundation (ASF) grants are responsible for managing grant funds in accordance with grant agreements and relevant ASF policies.
The ASF has adopted this policy, which sets out the procedures when a grant recipient does not comply with the terms of the grant and the associated agreement(s).
The ASF understands that there can be many reasons why a grant recipient may become non-compliant with the terms of the grant and agreements, including as a result of simple misunderstandings. The majority of non-compliance occurrences are resolved without the need to resort to a formal corrective action plan.
When the ASF is of the opinion that corrective actions are necessary, the first step is to work with the grant recipient to bring the matter back into compliance.
Non-compliance is generally identified by the ASF during standard monitoring and review of the grant program, or during financial reconciliation.
Examples of non-compliance may include, but are not limited to, missing signatures or dates on agreements; lack of detail to justify an expense or payment; expenditure of funds outside the term of the grant agreement or for ineligible activities; incorrect, inadequate, or late reporting; and incomplete grant activity material being made available or presented.
Requirements when non-compliance is identified
When non-compliance is identified, a grant recipient will be notified in writing by the ASF Grants Manager (the Manager) of the non-compliance. That is effected by email or letter.
The Manager will document the non-compliance and set out the corrective actions in order to bring the grant recipient back into compliance, which may include a requirement for repayment to the ASF of the whole or part of the grant funding.
Grant recipients are required to sign an agreement with the ASF at the time of being awarded a grant, which includes references to the recipients obligations. The Alastair Swayn Foundation “Grants Program Information and Background” document refers to these obligations, including forfeiture or repayment of grant funding.
In the case of non-compliance, the grant recipient’s agreement with the ASF authorises the ASF to withhold payments on any or all grant funding, or to suspend execution of future grants. Withholding grant payments and the execution of future grants will be maintained until the recipient is compliant.
In the case of significant non-compliance, the ASF also has authority to require repayment of the grant funds by the recipient, in which case the grant recipient must pay the funds in full directly to the ASF or, upon written approval by the ASF, may be allowed to repay the grant funds in instalments.
A determination by the ASF that a grant recipient is non-complaint with the agreement and terms and conditions of a grant is at the sole discretion of the ASF, and its determination is final and is not subject to appeal by the grant recipient.