new grants model document retention 1 district 5240 grants document retention district assembly 2013...

New Grants ModelDocument Retention 1

District 5240District 5240Grants Document RetentionGrants Document Retention

District Assembly 2013District Assembly 2013

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New Grants ModelDocument Retention 2

Document RetentionDocument Retention

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

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New Grants ModelDocument Retention

District 5240 ObjectivesDistrict 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 RetentionDocument Retention• District 5240 is establishing a document retention policy based on the third

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

• Documents required to be placed in the storage system are being established by the District Grants Subcommittee

• The district may determine that it wants to retain for its records more information than that required by The Rotary Foundation

• 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.comBox.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 to the clubs by D5240

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Document Retention StatusDocument Retention Status

• Box.com service agreement is in place

• DR Coordinators in each region being confirmed

• Establishing audit/compliance process

• Scheduling web based training

• Clubs can request access to the system for their own club information

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Grant Document RetentionGrant 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 Report

Bank Statements

Pictures

Invoices

Inventory Control

Acceptance Letter

Ledgers

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2. Club Obtains TRF Global Grant Approval

D5240 Approved Grant Supporting DocumentsDSC Recommendation


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

including emails

• Bank Information for Grant Bank Accounts• Account details

• Bank statements

• List of signatories

• Bank procedure for changing signatories

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• Club Document Retention Procedures

• Succession Plans• Reports of Misuse of Grant

Funds• Other Documentation as

Defined by the Club or by the District

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


MOU and Club ProcessMOU 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 StatusCurrent Status• 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 ability to add or review files in their folder• Information on the use of the system is beingsent 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 for identification purposes

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DISTRICT GRANT RETENTION DISTRICT GRANT RETENTION

Application

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*

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Vendor DocumentationQuotes for materialsReceipts and invoicesAgreements

Scholar DocumentationReceipts and invoicesAgreements

Vocational TrainingDocumentationReceipts and invoicesAgreements

Financial Bank statementsReceipts and invoicesInventory listGrant ReportsPhotosProject summaryFinal ReportApproval LetterOther Documentation

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Final Report

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


District GrantsDistrict 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 StatusCurrent 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• The approved grant application 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 is being 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 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 DocumentationQuotes for materialsReceipts and invoicesAgreementsScholar DocumentationReceipts and invoicesAgreementsCorrespondenceVocational Training Receipts and invoicesAgreements

Financial DocumentationBank statementsReceipts and invoicesInventory list

Grant ReportsPhotosProject summariesInterim ReportsFinal ReportAcceptances by TRF

Other Documents

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


Global GrantsGlobal 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


To Do NowTo Do Now• Appoint a Document Retention

Coordinator

• Plan to attend the web-based training

• Let us know if you have questions

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