Grant Management Seminar Session 3 1 Session 3 Oversight and Reporting 10/12/13

Grant Management SeminarSession 3 1

Session 3

Oversight and Reporting

10/12/13


Learning Objectives

• Identify best practices for managing funds and record keeping

• Understand reporting requirements• Understand Conflict of Interest• Identify which documents need to be

retained• Understand how to use the D-5240

Document Retention System

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Financial Management Plan

• Bank account for funds• Distributing funds• Use checks/bank cards to track funds• Detailed ledger• Include local laws• All of the above will

be needed for Final Reports!

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Global Grant Reports: Frequency

• Progress reports• Within 12 months of first payment• Every 12 months through the life of the grant

• Final report within 2 months of completion

GRANT REPORTING IS PART OFSTEWARDSHIP

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Grant Management SeminarSession 3

Global Grant Reports: Content

• How partners were involved• Type of activity (humanitarian project,

scholar, vocational training team)• Evaluation of project goals • How area of focus goals were met• How funds were spent• Number of beneficiaries and how they

benefited

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Conflict of Interest• Exists when a Rotarian benefits

financially or personally from a grant• Benefit can be direct (the Rotarian

benefits) or indirect (an associate of the Rotarian benefits)

REPORTING CONFLICT OF INTEREST IS PART OF

STEWARDSHIP

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A Rotarian’s niece is invited to participate on a vocational training team and selected over a participant with more experience.

A Rotarian lives in a community that is receiving a water well.

A Rotary Foundation grant recipient is the child of a Rotarian.

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Examples of Conflict of Interest

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Conflict of Interest Case Studies

Case Study 1A Rotary club in Egypt (host sponsor) has partnered with a Rotary

club in Belgium (international sponsor) to apply for a global grant to promote education by refurbishing a school and implementing a training and recruitment program for teachers. The grant committee from the host sponsor conducts a competitive bidding process for contractors to complete the renovations. Three competitively priced quotes are received; however, the company with the best-quality product is owned by a member of the host club.

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Conflict of Interest Case Studies

Case Study 2

Your club is planning a water and sanitation project. One of the club members who volunteers to serve on the three-person grant committee is a board member of the organization that would cooperate on the project.

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Why Disclose Conflict of Interest?

Rotarians have a reputation for honesty.

It ensures a fair process & transparency.

Potential Conflict of Interest doesn’t mean automatic disqualification from participation.

TRF Grant Coordinators can help resolve questions about Conflict of Interest.

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Document Retention

• Required for all documents related to qualification and grants• Retain for a minimum of five years• Provide access to The Rotary Foundation

GRANT DOCUMENT RETENTION IS PART OFSTEWARDSHIP

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District 5240 Objectives• Meet the requirements for document storage and retention

established by The Rotary Foundation• Provide an easy and standardized method for clubs to

include their documents in the storage system• Facilitate access to documents that should be available to

all Rotarians• Ensure the integrity of the information in the storage

system• Secure those documents containing financial or personal

data that are required to be protected• Provide an audit trail for document storage and retention• Minimize cost

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Document Retention• District 5240 has established a document retention policy based on the

third party service provider Box.com• Documents in electronic form only. No requirement for paper copies

unless required by laws in the host country.• All documents stored as PDF for ease of use and to prevent changes

• Received as PDF from another source• Created from other systems such as Microsoft Office• Scanned as PDF• Pictures in .jpg format are acceptable

• Documents required to be placed in the storage system have been established by the District Grants Subcommittee and are provided later in this presentation

• Clubs may retain additional documents

• Documents may not be removed from the storage system except in accordance with TRF or District destruction policies

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Box.com• Box.com provides businesses with the

simplest solution to share, access and manage their information

• Box.com provides storage, security, backup, disaster recovery and tools for managing documents

• Grant document retention services are being provided at no cost to the clubs by D5240

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Grant Document Retention

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1.D5240 District Grants Subcommittee Approval

Grant Retention Folder

TRF InteractionTRF Approval Letter

3. Club Performs the

Grant

4.Club Closes the Grant

Pictures

Invoices

Inventory Control

Interim Reports

Emails

Other

Final ReportBank Statements

Pictures

Invoices

Inventory Control

Acceptance Letter

2. Club Obtains TRF Global Grant Approval

D5240 Approved Grant Supporting DocumentsDSC Recommendation


CLUB RECORD RETENTION• Club MOU • District 5240 Addendum• Resolution of the Club BOD (if required)• Grant Management Seminar Attendance• Correspondence on Club Qualification,

including emails• Club Document Retention Procedures• Succession Plans• Reports of Misuse of Grant Funds• Other Documentation as Defined by the Club or by the District• Grant Bank Information if required

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The club folder is created by D5240 staff when the signed MOU and District 5240 addendum are received and accepted by the 2013-16 DRFC


MOU and Club Process

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Club completes and signs MOU

Club completes and signs D5240 Addendum

Club identifies Document Retentioncoordinator

Club forwards signed documents to 2013-16 DRFC

DR Team creates club folder

DR Team assigns permissions

DR Team notifies club and DGS of new folder

DR Team places MOU and D5240 Addendum in club folder

Club responsible for maintaining folder content

2013-16 DRFC approves documents and sends to DR Team

DGS = District Grants Subcommittee DR= District Documents Retention Team


Current Status

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Folders in the document retention system have been created for all clubs that have submitted signed MOUs and District Addendums

The TRF MOU and D5240 Addendum have been placed in the club’s folder.

The originating club has the ability to add or review files in their folder

Information on the use of the system has been sent to current club Presidents and PEs

Read only access to the folders is available using the information posted in the District website

Note: any file placed in a club folder should begin with the name of the club


DISTRICT GRANT RETENTION

District Grant Application*

Needs Assessments*

Cooperating Organization Information*

Club DDF Transfer Forms*

Club Cash Contribution Forms*

Quotes for materials*

Information required by the district grants subcommittee*

Notification of approval by District Grants Committee

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• Vendor Documentation• Quotes for materials• Receipts and invoices• Agreements

• Scholar Documentation• Receipts and invoices• Agreements

• Vocational Training Teams• Documentation• Receipts and invoices• Agreements

• Financial • Bank statements• Receipts and

invoices• Inventory list

• Grant Reports• Photos• Project summary• Final Report• Approval Letter

• Other Documentation

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Final Report

* - placed in folder by D5240 staff when grant is approved

Application


District Grants

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Club completes grant application

Club forwards application to DGSC

District Grants Committee works with club on approval

DR Team creates DG folder


DR Team notifies club and DGS team of new folder

DR Team places grant application in folder


District Grants Committee approves grant

District Grants Committee notifies club

District Grants Committee sends approved application and supporting materials to DR Team

DGS = District Grants Subcommittee DGSC District Grants Subcommittee Chair DR= District Documents Retention Team


Current Status

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• Folders in the document retention system have been created for each District Grant approved by the District Grants Subcommittee

• Folders are named by the D5240 Grant ID Number (DG NN 2013-14)

• The approved grant application and supporting documentation has been placed in the grant folder

• The originating club has ability to add or review files in the grant folder

• Information on the use of the system has been sent to the primary contact for the grant

• Read only access to the folders is available using the information posted in the District website

• Note: any file placed in a District Grant folder should begin with the ID number of the grant for identification purposes


GLOBAL GRANTS Application

District

Application and any attachments*

Needs Assessment*

Cooperating Organization*

Quotes*

Cash Contribution Forms*

Project Partner Correspondence*

D5240 Approval Notices*

TRF

Grant Correspondence with TRF including e-mail

Approval Letter from TRF

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• Vendor Documentation• Quotes for materials• Receipts and invoices• Agreements• Scholar Documentation• Receipts and invoices• Agreements• Correspondence• Vocational Training • Receipts and invoices• Agreements

• Financial Documentation• Bank statements• Receipts and

invoices• Inventory list

• Grant Reports• Photos• Project summaries• Interim Reports• Final Report• Acceptances by TRF

• Other Documents

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* - placed in folder by D5240 staff when grant is approved


Global Grants

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Club completes District 5240 grant application

Club forwards application to DGSC

Global Grants Committee works with club on approval

DR Team creates GG folder


DR Team notifies club and DGS team of new folder

DR Team places grant application in folder


Global Grants Committee approves grant

Global Grants Committee notifies club

Global Grants Committee sends approved application and supporting materials to DR Team

DGS = District Grants Subcommittee DGSC District Grants Subcommittee Chair DR= District Documents Retention Team


Document Retention Organization

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Each type of D5240 Grant has a folder at www.box.com


District Grant Reports• Application and supporting documentation• Interaction with the District Grants

Subcommittee (e.g. requests for changes in use of grant funds)

• Final report and supporting documentation including invoices and receipts

• Encouraged: Pictures and stories about the project

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Document Retention Organization

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Each type of D5240 Grant has a folder at www.box.com


Accessing the Grants

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ROTARY DISTRICT 5240 DISTRICT GRANTS ROTARY YEAR 2013-14Updated As Of May 26, 2013

Grant Number Rotary Club of Title DDF Cash DDF Cash Other Grant Total Primary Contact Multiclub

Final Report Received

Check Sent Closed

DG 01 2013-2014 Santa Maria South CET - Get Dressed to Work 706 794 1,500 Jane KokkinakisTen $150 Dressed-To-Work Scholarships will be used to purchase appropriate work-related attire for ten Center for Education Training (CET) graduates in Santa Maria.

DG 02 2013-2014 Bakersfield South Meet BOB 163 163 326 John BaconOne “BOB Human Form Punching Bag for Boxing and Martial Arts” provided to a group home in Bakersfield, CA that provides psychological services to six residents at any one time.

DG 03 2013-2014 Shafter Scholarships 696 704 1,400 Patricia Stockman Scholarships primarily directed to graduating seniors from Morro Bay High SchoolDG 04 2013-2014 Withdrawn -

DG 05 2013-2014 Los Olivos Adaptive/Assistance to autism by Hidden Wings House 1,487 1,487 2,974 Joe SanguinetThis project is to support Hidden Wings in providing a master computer/server and TV monitor to provide instructor with access to autistic student's desktops for learning skills.

DG 06 2013-2014 Bakersfield South LDS Bakersfield South Stake YW Camp service project 150 150 300 Jeffrey BellMaking and supplying hygiene kits for use by women at the Alliance Against Family Violence center. Making quilts for project Linus to distribute to infants at hospitals.

DG 07 2013-2014 Bakersfield South Valley Achievement Center 102 102 204 Roger Allred Walkie Talkies for a school that teaches children through adult students who are autistic.

Lead Club Other D5240 Clubs

A summary of the of each of the Grants for Rotary Year 2013-14 and links to the folders in the Document Retention System is posted on the D5240 website and updated as needed by the District Grants Subcommittee or by the club responsible for the grant

These are examples using 2013-14 District Grants. The other grant folders are maintained in the same manner


DG Organization

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There is one folder for each grant. The folder name is the identification number of the grant in the form DG nn 2013-14.


Populating the System

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Information provided by the club as part of the district grant application has been posted the in appropriate folder of the document retention system by the District Grants Subcommittee. Note that each document begins with the grant identification number.


Read or Download Files

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Clicking on the file allows you to open it for viewing. You can also download it to your computer by using the Download option

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Club Access

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The primary contact on the grant will receive an email from the Box Document Retention System establishing access rights to the folder containing the grant information. The primary contact will be provided a link to access the folder containing the grant documents. The primary contact will be able to add, download, preview and share files related to the grant.


Questions

Send your questions or suggestions to:Nick Frankle ([email protected])

FAQs and information of general interest will be uploaded to the D5240 website

Remember – this is a work in progress. We are all learning together

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mailto:[email protected]


Learning Objectives

• Identify best practices for managing funds and record keeping

• Understand reporting requirements• Understand Conflict of Interest• Identify which documents need to be

retained• Understand how to use the D-5240

Document Retention System

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