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

2. Grant Management Seminar Session 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 10/12/13

3. Grant Management Seminar Session 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! 10/12/13

4. Grant Management Seminar Session 3 4 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 10/12/13

5. Grant Management Seminar Session 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 10/12/13 5

6. Grant Management Seminar Session 3 6 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) 10/12/13

7. Grant Management Seminar Session 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. 7 Examples of Conflict of Interest 10/12/13

8. Grant Management Seminar Session 3 Conflict of Interest Case Studies Case Study 1 A 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. 10/12/13 8

9. Grant Management Seminar Session 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. 10/12/13 9

10. Grant Management Seminar Session 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. 10 10/12/13

11. Grant Management Seminar Session 3 11 Document Retention Required for all documents related to qualification and grants Retain for a minimum of five years Provide access to The Rotary Foundation 10/12/13

12. Grant Management Seminar Session 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 12 10/12/13

13. Grant Management Seminar Session 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 13 10/12/13

14. Grant Management Seminar Session 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 10/12/13 14

15. Grant Management Seminar Session 3 Grant Document Retention 15 10/12/13 1.D5240 District Grants Subcommittee Approval Grant Retention Folder TRF Interaction TRF Approval Letter 3. Club Performs the Grant 4.Club Closes the Grant Pictures Invoices Inventory Control Interim Reports Emails Other Final Report Bank Statements Pictures Invoices Inventory Control Acceptance Letter 2. Club Obtains TRF Global Grant Approval D5240 Approved Grant Supporting Documents DSC Recommendation

16. Grant Management Seminar Session 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 16 10/12/13 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

17. Grant Management Seminar Session 3 MOU and Club Process 17 10/12/13 Club completes and signs MOU Club completes and signs D5240 Addendum Club identifies Document Retention coordinator 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

18. Grant Management Seminar Session 3 Current Status 10/12/13 18 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

19. Grant Management Seminar Session 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 19 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 10/12/13 Final Report * - placed in folder by D5240 staff when grant is approved Application

20. Grant Management Seminar Session 3 District Grants 10/12/13 20 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

21. Grant Management Seminar Session 3 Current Status 10/12/13 21 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

22. Grant Management Seminar Session 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 22 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 10/12/13 * - placed in folder by D5240 staff when grant is approved

23. Grant Management Seminar Session 3 Global Grants 10/12/13 23 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

24. Grant Management Seminar Session 3 Document Retention Organization 24 10/12/13 Each type of D5240 Grant has a folder at www.box.com

25. Grant Management Seminar Session 3 25 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 10/12/13

26. Grant Management Seminar Session 3 Document Retention Organization 10/12/13 26 Each type of D5240 Grant has a folder at www.box.com

27. Grant Management Seminar Session 3 Accessing the Grants 27 10/12/13 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

28. Grant Management Seminar Session 3 DG Organization 10/12/13 28 There is one folder for each grant. The folder name is the identification number of the grant in the form DG nn 2013-14.

29. Grant Management Seminar Session 3 Populating the System 10/12/13 29 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.

30. Grant Management Seminar Session 3 Read or Download Files 30 Clicking on the file allows you to open it for viewing. You can also download it to your computer by using the Download option 10/12/13

31. Grant Management Seminar Session 3 Club Access 10/12/13 31 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.

32. Grant Management Seminar Session 3 Questions Send your questions or suggestions to: Nick Frankle (nfrankle@earthlink.net)nfrankle@earthlink.net 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 10/12/13 32

33. Grant Management Seminar Session 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 10/12/13 33