grant management seminar session 3 1 session 3 oversight and reporting 10/12/13
TRANSCRIPT
Grant Management SeminarSession 3 2
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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Grant Management SeminarSession 3 3
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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Grant Management SeminarSession 3
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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Grant Management SeminarSession 3
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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Grant Management SeminarSession 3
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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Grant Management SeminarSession 3
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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Grant Management SeminarSession 3
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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Grant Management SeminarSession 3
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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Grant Management SeminarSession 3
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 Management SeminarSession 3
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
Grant Management SeminarSession 3
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
Grant Management SeminarSession 3
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
Grant Management SeminarSession 3
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
Grant Management SeminarSession 3
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
Grant Management SeminarSession 3
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 assigns permissions
DR Team notifies club and DGS team of new folder
DR Team places grant application in folder
Club responsible for maintaining folder content
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
Grant Management SeminarSession 3
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
Grant Management SeminarSession 3
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
Grant Management SeminarSession 3
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 assigns permissions
DR Team notifies club and DGS team of new folder
DR Team places grant application in folder
Club responsible for maintaining folder content
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
Grant Management SeminarSession 3
Document Retention Organization
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Each type of D5240 Grant has a folder at www.box.com
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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
Grant Management SeminarSession 3
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
Grant Management SeminarSession 3
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.
Grant Management SeminarSession 3
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.
Grant Management SeminarSession 3
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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Grant Management SeminarSession 3
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.
Grant Management SeminarSession 3
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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Grant Management SeminarSession 3
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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