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  • Designing and Managing a Subaward Program
    Qualifying information will tell you whether an organization is eligible for your subaward program To decide what to ask return to your eligibility criteria and formulate questions about them Use the following table as a guide If it is important that organizations have nonprofit status you might request a copy of the letter from the IRS with a determination of that status Request information about the proposed project You will need a description of the proposed project the project that your funds will support This project information should include The project s purpose The problem to be addressed or the goal to be achieved The outcomes they expect to result from the project or what will change and how Activities that will help the organization reach those outcomes A timeline of when major activities will take place How the applicant will measure success or achievement of outcomes You might ask applicants to include their reports to you in the timeline Ask the organization to provide a budget for the proposed project To maintain consistency across proposals you might create a budget form for them to complete The budget should list key costs their importance to the project and the amount of money allocated to each cost The proposed budget should not exceed the amount of your largest grant Include information about restrictions and requirements Based upon your funding source and the purpose of your program you may have to impose restrictions on the use of your grants For example the Federal government has guidelines prohibiting the use of Federal funds for religious purposes There are also restrictions against using Federal funds for direct fundraising You might have other requirements of your subawardees For example you may require them to attend monthly training sessions Perhaps they must participate in your organization s evaluation of your project by participating in focus groups or completing a survey Be sure to list these restrictions and requirements in the RFP Give as much detail as possible and where you can estimate the time required to complete the required activity For example New Roots Providence an HHS funded intermediary program in Providence Rhode Island lets applicants know that they can expect to undergo an organizational assessment requiring 10 to 20 hours of agency time Further New Roots warns applicants that these mandatory assessments are likely to take place in summer a busy time for many nonprofits so that they will plan accordingly You will certainly require regular reports from subawardees so that you can monitor progress toward outcomes as well as the management of their subaward funds Therefore you might let applicants know how frequently they will be required to report if selected for a subaward and give them some idea of the information you will collect A written list of restrictions and requirements could be a part of your RFP with the instruction that the organizational leader sign the document as a condition of applying for the grant This serves two purposes 1 it informs the organization of the restrictions and requirements and 2 a signature helps ensure future compliance from organizations receiving awards Consider requesting letters of intent If you would like to gauge how many proposals you are likely to receive so that you can better prepare you may want to request letters of intent or calls of interest from potential applicants as a part of the RFP process Letters of intent or calls of interest help you determine the level of applicant interest so that you may plan the number of staff volunteers needed for the selection process or determine if you need to engage in further solicitation to boost the number of proposals coming in They also may help screen out applicants that do not meet your eligibility requirements These letters or calls of intent should be submitted before you receive any proposals To require a letter or call be sure to put information in your RFP packet or in your announcements asking that potential applicants contact you by email mail or phone by a date prior to your proposal deadline In fact you might consider several steps in your application process a letter of intent to which only selected organizations may apply then only selected screened organizations may move on to the second round Just be sure to check with your Federal Program Office or other funding source to ensure that your multi step application process is in compliance with program requirements Other considerations In designing your RFP packet be sure to put it in a format that is user friendly and accessible for your specified audience You might target the writing to an eighth grade reading level many word processing programs will give you a sense of the reading level of your document If you are targeting organizations created by and for people who speak a language other than English you may want to translate the packet contents into the appropriate language Just be sure to decide whether or not you can manage proposals written in those languages and state that in the RFP Finally provide guidance for completing the proposal Include clear directions and specify any requirements such as length of proposal number of pages to be submitted deadline for submitting the proposal need for supporting materials or information to be included with proposal and the address to which you want the proposal sent CHAPTER 3 Outreach Strategies After designing your packet materials the next step is to develop and implement an outreach plan This plan will describe how you will contact and inform eligible organizations about the availability of your awards and how they will obtain the RFP packet Developing and implementing an outreach plan requires that you create a master list of your contacts develop a distribution strategy and provide support to applicants Create a master list By now you have identified your targeted groups and organizations Next compile a master outreach list using both email and postal mailing address lists in order to contact those groups You can develop your master list by combining a series of lists Your own organization s mailing list Mailing lists of partners associated with your project Association lists organizations in particular service areas homeless shelters after school programs Nonprofit lists lists of nonprofit organizations usually compiled by city or area by the local United Way Chamber of Commerce or by the Junior League or other civic group Faith organization lists churches synagogues mosques etc by type of faith denomination or in a particular geographic location Choose your tactics To develop an effective outreach and distribution strategy consider including the following elements in your strategy Post information on your partners websites Make arrangements to post information on other websites supportive of your project Send out email notices to your master email mailing list Send out notices by direct mail and or fax to your master mailing list Make personal phone calls to targeted and influential groups to invite them to apply and to ask for their help in outreach Make presentations to targeted audiences at organizational meetings conferences trainings Place notices in publications and newsletters serving the nonprofit and faith community sectors Develop a PSA public service announcement and release to radio print and local cable TV media outlets Hold a press conference to inform the community about your plan Be sure to inform statewide media as well as local sources that represent the communities you wish to serve If you have received a Federal grant members of your Congressional delegation may wish to participate Their presence can help attract the media Ask other organizations which work with the same target group of organizations to provide the information via their mailing lists on their websites and in their newsletters Hold grant workshops to which you invite target agencies and where they will learn about your program and about how to apply for your grants Depending on your budget and staff skills consider contracting with a public relations expert for assistance Provide support for applicants Many intermediaries view the subaward process as a training and technical assistance opportunity to help applicants further build their capacity in fundraising They offer grant application workshops for this purpose A typical workshop agenda would include Introductions this can help build solidarity among local organizations A program overview The purpose of the grants Eligibility criteria Review of the RFP instructions Review of the RFP sections Your decision making process and timelines Overview of requirements and regulations regarding the use of Federal funds Time for questions and answers A writing exercise geared toward completing the proposal To help foster cooperation and collaboration consider asking each person who attends for permission to release their contact information to the others in attendance Then send the contact list to all that agree If your organization cannot or chooses not to provide formal training workshops or individualized technical assistance to support applicants consider providing assistance online or by phone Whether provided in person or remotely any assistance could help to eliminate non eligible applicants make individual proposals stronger and ensure accountability from your subawardees CHAPTER 4 Preventative Measures to Ensure Accountability Providing training and technical assistance for potential applicants can go a long way to help ensure accountability from your subawardees As an intermediary your organization is responsible for making sure that all Federal funds provided through subawards are managed and monitored to ensure compliance with Federal requirements and regulations and the funds are used in the manner for which they were approved If subawardees violate Federal requirements the requirements specified in their subaward or otherwise improperly use the funds they receive you as the grantor as well as the subawardee may both be subject to legal action If a subawardee uses its funds fraudulently it could be subject to criminal prosecution It is therefore important to stay well informed about your legal obligations and those of your subawardees Here is a brief overview of some major legal obligations and issues regarding the use of Federal funds by grantees Since as an intermediary you may be making subawards to faith based and community organizations some of these issues specifically involve matters that rise up when faith based groups receive Federal funds Request guidance on these matters from your Federal program officer Financial reporting requirements To make sure that grant funds are used properly organizations that receive Federal funds must file regular financial status reports based on the requirements of the individual grant At the time of writing the basic financial report for Federal funds is a one page document called Standard Form 269 Programs are slowly phasing out the use of this form and replacing it with the Federal Financial Report As a Federal grantee providing subawards you will need to complete and compile financial reports on your subawardees and submit them on a regular basis Accordingly your subawardees will need to submit financial reports to you in the same format used for your own report For more information about the Federal Financial Report FFR visit the Division of Payment Management website http www dpm psc gov Support of only non religious social services A subawardee cannot use any part of a direct Federal grant to fund inherently religious activities which can include religious worship instruction or proselytization Instead organizations should use government funds to support only the non religious social services that they provide This doesn t mean the organization cannot have religious activities It does mean that they cannot use taxpayer dollars to fund those religious activities Social services open to all eligible persons If an organization takes Federal money it cannot discriminate against a person seeking help who is eligible for the service Religious organizations receiving public funds for a service that they are providing cannot serve only persons of their faith and turn others away In addition the faith based organization may not require those they serve to profess a certain faith or participate in religious activities in order to receive the services they provide for the Federal government Ensure that organizations comply with Federal requirements and regulations The following provides some ideas on how your organization can take preventative measures starting with soliciting proposals to help ensure that the organizations that receive awards comply with Federal requirements and regulations Include all requirements and regulations in the RFP application packet and in supporting documentation Be sure to explain all requirements and regulations clearly and directly and provide examples if helpful Consider requiring applicants to sign a statement indicating that they understand and agree to abide by these requirements Provide pre award training on what receiving a Federal award entails Be sure to cover the Federal requirements and regulations as well as reporting requirements monitoring requirements and restrictions on use of funds Make a site visit to the selected applicants prior to finalizing an award to ensure that all submitted documentation is correct and that the applicant understands the requirements associated with receiving the award If it is not possible to make an on site visit consider setting up a conference call with organizational leadership executive director board president etc to discuss their organization the grant application proposed project and understanding of grant requirements Design a monitoring plan to oversee the subaward project and spending of subaward funds Develop a memorandum of agreement for each subawardee that outlines subaward requirements for grantees Be sure to include your obligations in the document and have each party sign Develop intervention procedures to be implemented by your organization with the grantee if problems arise Communicate those procedures clearly to all subaward candidates or include in the memorandum of agreement also known as a memorandum of understanding Investing the time to create a thoughtful well planned solicitation process will yield strong candidates for subaward consideration as well as strong subawardees to help achieve your overall program goals CHAPTER 5 Selecting Subawardees Congratulations You have designed your program created an RFP and solicited proposals Now it s time for the real fun choosing your subawardees The following chapter will teach you to design your review process recruit and train grant reviewers conduct a thorough review process and notify applicants of your decisions The prospect of choosing from many deserving applicants may seem daunting but don t worry With good planning and preparation you can transform this challenge into an exciting and rewarding experience for you and your reviewers Design your review process To make your review process work as smoothly as possible you should develop standard and impartial review procedures for all proposals 1 Develop review criteria and a review form Refer to your RFP and the points that you assigned to each section Then create a rating form to guide reviewers The form should be broken down by proposal section Each section should list the highest possible points that can be assigned and some criteria for evaluating and assigning points Include some space for reviewers to make written comments 2 Develop a procedure for pre screening proposals Remember reviewers are usually volunteers and you may want your reviewers to participate in future years of your program Keep them on your side by screening proposals before they reach reviewers and eliminating any that are incomplete or are from ineligible organizations Log each proposal into a spreadsheet or database You should include contact information and the size of the request Having an accurate database will help you greatly in the post decision period 3 Design your decision day Consider using a neutral facilitator on this day and carefully craft an agenda to guide you in making sound decisions Recruit and train reviewers 1 Decide who will review proposals Organizations often start to look for reviewers among staff members within their organization However you may want and need to consider inviting your organization s or your project partners board members volunteers even funders and clients to sit on the review committee You could also expand your recruitment to include community leaders social service personnel and or faith and religious leaders Some funders have rules about who makes decisions be sure to check with your funding source before finalizing your reviewer team Estimate the number of reviewers you will need by the amount of letters of intent or calls of interest made by potential applicants Ideally reviewers should be familiar with faith and community based organizations as well as the overall purpose of your project However the project purpose could be explained to those that are unfamiliar in the orientation session which is the next step in your process 2 Train the reviewers To maintain consistency and standards throughout the review process be sure to provide an orientation or training to all reviewers It is best to offer that training to all reviewers at one time so that they may meet each other learn from each others questions and discuss the process among themselves At a minimum the training should consist of four areas 1 background on your organization and the project 2 information on the subaward program 3 information on the review and selection process and 4 information concerning the announcements You may want to allow two hours or more for training It is essential to ensure that there are no conflicts of interest between any of your reviewers and the organizations applying for the subawards It would be improper for an employee an officer an acting officer and or an immediate past president chairperson of an applicant organization to be a reviewer on that proposal Therefore include information on avoiding conflicts of interest in the training Topics you might cover in an effective reviewer orientation are found in the following chart Conduct a thorough review process Once the reviewers have rated proposals the process of making decisions begins First be sure that two or more reviewers have read and rated each proposal so that more than one person s opinion is brought to bear on decisions There are many ways to handle this well Each proposal may receive a score that is an average

    Original URL path: http://www.strengtheningnonprofits.org/resources/e-learning/online/designingandmanaging/Print.aspx (2016-02-12)
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  • Interactivites
    the corresponding titles of the Code of Federal Regulations Text version of audio here Develop a Request for Proposals Applicants can itemize their proposed project budget Applicants can itemize their proposed project budget Download the sample proposed budget form to include in your RFP process Text version of audio here Outreach Strategies If your outreach plan doesn t seem to be working don t be afraid to make changes If your outreach plan doesn t seem to be working don t be afraid to make changes Text version of audio here Preventative Measures to Ensure Accountability Review your knowledge of the major legal obligations and issues regarding the use of Federal funds Review your knowledge of the major legal obligations and issues regarding the use of Federal funds Text version of audio here Selecting Subawardees Implement a formal review process to help you select your subawardees Implement a formal review process to help you select your subawardees Download this sample rating form to help you select your subawardees Text version of audio here Prevent a conflict of interest by utilizing a Confidentiality and Conflict of Interest Form Prevent a conflict of interest by utilizing a Confidentiality and Conflict of Interest

    Original URL path: http://www.strengtheningnonprofits.org/resources/e-learning/online/designingandmanaging/Interactivities.aspx?chp=99 (2016-02-12)
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  • Interactivites
    to hear the overview and pause at any time by pressing the Pause button on the bottom left of the player The buttons at the bottom right of the player allow you to control the volume and shift the video to full screen On Screen Text Below the player you will find on screen text This includes the detailed information you will need to know in order to meet learning

    Original URL path: http://www.strengtheningnonprofits.org/resources/e-learning/online/designingandmanaging/Help.aspx?chp=99 (2016-02-12)
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  • Overview - Designing and Managing a Subaward Program
    Federally funded subaward program but most of the content applies to any type of subaward program publicly funded or not By the end of this lesson you will be able to identify the key components of a subaward plan recall outreach strategies and effectively manage your subaward program This lesson will prepare you to design and manage a successful subaward program This lesson goes through the steps for creating a subaward plan which is a written document describing the steps you will take to implement your program A written plan may or may not be required by your program office before you begin implementing your program However by following the steps required to write a subaward plan you will design an effective and thoughtful subaward program that is likely to reach its stated goals Let s begin with some key definitions Intermediary Organization An intermediary organization is responsible for distributing a sum of money or an award to other organizations in the form of grants or subawards An intermediary is usually larger and more experienced than the organizations receiving the subawards Subaward The U S Department of Health and Human Services Code of Federal Regulations 45 CFR Part 74 defines a subaward as an award of financial assistance in the form of money or property in lieu of money made under an award by a recipient or intermediary organization to an eligible sub recipient Sub Recipient or subawardee The same section of the Code of Federal Regulations 45 CFR Part 74 defines a sub recipient as the legal entity to which a subaward is made and which is accountable to the recipient or intermediary organization for the use of the funds provided In this guide we will use the term Subawardee to refer to the organizations that have received subawards

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  • 1 - Creating a Subaward Plan - Designing and Managing a Subaward Program
    awards was to advance community and faith based organizations efforts by building their capacity increasing their efficiencies and expanding their scope of services When creating purpose statements it is helpful to Keep your end in mind Act as a visionary and dream a little Ask yourself what would improve your community or those you serve Consult potential subawardees to learn what their desired outcomes would be Make your purpose statement consistent with your organization s mission 2 Decide which types of grants to offer Once you ve determined your purpose it s time to look at the type or types of grants you want to offer to be consistent with that purpose The type of grant will reflect the intended end result s of the subawards a grant to develop an organization s infrastructure might be an Organizational Development Grant while a grant to help an organization expand their services to another community might be called a Service Expansion Grant To decide on the types of grants you ll offer you might ask yourself the following questions Which organizations is my program targeting for grants What are some typical needs of these organizations What activities are likely to help these organizations attain the results stated in the purpose statement What size grants do these organizations have the skills and resources to use wisely What size grant can help the most How many grants can my organization manage and track effectively 3 Choose your target organizations In developing your plan it is important to determine what types of organizations you will target to receive subawards As you focus on specific types of organizations you are better able to plan outreach efforts manage the flow and review of proposals provide the right training and technical assistance specifically designed for those organizations and achieve the purpose of your subaward plan Before you start to identify the specific type or types of organizations be sure to check to see if there is any guidance on the issue in the program announcement or in guidelines directives from the Federal program office or other funder For example the program announcement for the U S Department of Labor s Office of Disability Employment Policy s Intermediary Grants for Mentoring Youth with Disabilities stated that intermediary organizations may issue subawards to community or faith based organizations that have social services as a major part of their mission are headquartered in the local community to which they provide services have a total annual operating budget of 300 000 or less or have 6 or fewer full time equivalent employees Likewise HHS s Administration for Children and Families 2009 Strengthening Communities Fund announcement asks that applicants give priority for subawards to organizations who document they are working with agencies responsible for administering the ACF TANF program Temporary Assistance for Needy Families whose annual budgets do not exceed 500 000 and who are implementing program s that address the broad economic recovery issues present in their communities including helping low income

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  • 2 - Develop a Request for Proposals - Designing and Managing a Subaward Program
    organizations have nonprofit status you might request a copy of the letter from the IRS with a determination of that status Request information about the proposed project You will need a description of the proposed project the project that your funds will support This project information should include The project s purpose The problem to be addressed or the goal to be achieved The outcomes they expect to result from the project or what will change and how Activities that will help the organization reach those outcomes A timeline of when major activities will take place How the applicant will measure success or achievement of outcomes You might ask applicants to include their reports to you in the timeline Ask the organization to provide a budget for the proposed project To maintain consistency across proposals you might create a budget form for them to complete The budget should list key costs their importance to the project and the amount of money allocated to each cost The proposed budget should not exceed the amount of your largest grant Applicants can itemize their proposed project budget Download the sample proposed budget form to include in your RFP process You need Adobe Flash Player to view some content on this site Include information about restrictions and requirements Based upon your funding source and the purpose of your program you may have to impose restrictions on the use of your grants For example the Federal government has guidelines prohibiting the use of Federal funds for religious purposes There are also restrictions against using Federal funds for direct fundraising You might have other requirements of your subawardees For example you may require them to attend monthly training sessions Perhaps they must participate in your organization s evaluation of your project by participating in focus groups or completing a survey Be sure to list these restrictions and requirements in the RFP Give as much detail as possible and where you can estimate the time required to complete the required activity For example New Roots Providence an HHS funded intermediary program in Providence Rhode Island lets applicants know that they can expect to undergo an organizational assessment requiring 10 to 20 hours of agency time Further New Roots warns applicants that these mandatory assessments are likely to take place in summer a busy time for many nonprofits so that they will plan accordingly You will certainly require regular reports from subawardees so that you can monitor progress toward outcomes as well as the management of their subaward funds Therefore you might let applicants know how frequently they will be required to report if selected for a subaward and give them some idea of the information you will collect A written list of restrictions and requirements could be a part of your RFP with the instruction that the organizational leader sign the document as a condition of applying for the grant This serves two purposes 1 it informs the organization of the restrictions and requirements and 2 a

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  • 3 - Outreach Strategies - Designing and Managing a Subaward Program
    nonprofit organizations usually compiled by city or area by the local United Way Chamber of Commerce or by the Junior League or other civic group Faith organization lists churches synagogues mosques etc by type of faith denomination or in a particular geographic location Choose your tactics To develop an effective outreach and distribution strategy consider including the following elements in your strategy Post information on your partners websites Make arrangements to post information on other websites supportive of your project Send out email notices to your master email mailing list Send out notices by direct mail and or fax to your master mailing list Make personal phone calls to targeted and influential groups to invite them to apply and to ask for their help in outreach Make presentations to targeted audiences at organizational meetings conferences trainings Place notices in publications and newsletters serving the nonprofit and faith community sectors Develop a PSA public service announcement and release to radio print and local cable TV media outlets Hold a press conference to inform the community about your plan Be sure to inform statewide media as well as local sources that represent the communities you wish to serve If you have received a Federal grant members of your Congressional delegation may wish to participate Their presence can help attract the media Ask other organizations which work with the same target group of organizations to provide the information via their mailing lists on their websites and in their newsletters Hold grant workshops to which you invite target agencies and where they will learn about your program and about how to apply for your grants Depending on your budget and staff skills consider contracting with a public relations expert for assistance Provide support for applicants Many intermediaries view the subaward process as a training

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  • 4 - Preventative Measures to Ensure Accountability - Designing and Managing a Subaward Program
    basic financial report for Federal funds is a one page document called Standard Form 269 Programs are slowly phasing out the use of this form and replacing it with the Federal Financial Report As a Federal grantee providing subawards you will need to complete and compile financial reports on your subawardees and submit them on a regular basis Accordingly your subawardees will need to submit financial reports to you in the same format used for your own report For more information about the Federal Financial Report FFR visit the Division of Payment Management website http www dpm psc gov Support of only non religious social services A subawardee cannot use any part of a direct Federal grant to fund inherently religious activities which can include religious worship instruction or proselytization Instead organizations should use government funds to support only the non religious social services that they provide This doesn t mean the organization cannot have religious activities It does mean that they cannot use taxpayer dollars to fund those religious activities Social services open to all eligible persons If an organization takes Federal money it cannot discriminate against a person seeking help who is eligible for the service Religious organizations receiving public funds for a service that they are providing cannot serve only persons of their faith and turn others away In addition the faith based organization may not require those they serve to profess a certain faith or participate in religious activities in order to receive the services they provide for the Federal government Review your knowledge of the major legal obligations and issues regarding the use of Federal funds You need Adobe Flash Player to view some content on this site Ensure that organizations comply with Federal requirements and regulations The following provides some ideas on how your

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