UNITED WAY OF CENTRAL NEW MEXICO

Transcription

1 UNITED WAY OF CENTRAL NEW MEXICO Community Fund & Affinity Group Annual Program Grants Applicant Manual This document contains information about United Way of Central New Mexico s Community Fund and Affinity Group Annual Program Grant priorities and application process. For multi-year grant opportunities, see the Community Impact Project Multi-Year Grants Applicant Manual. All applications must be completed online. This manual can be used to guide your application process. Contact Ari Herring with questions at ari.herring@uwcnm.org or (505)

2 Table of Contents 2016 UWCNM Grants Overview Page 2 Timeline Page 3 UWCNM Annual Competitive Grantmaking Page 4 Online Application Username & Password Page 5 Eligibility & Required Supporting Documents Pages 6-7 Community Fund & Affinity Group Annual Program Grants: Request For Proposals (RFP) Page 8 Application Questions APPENDIX A, pages 9-18 Financial Standards Review Criteria APPENDIX B, pages Scoring Guidelines & Evaluation Criteria APPENDIX C, pages UWCNM Policies APPENDIX D, pages Capital Request Guidelines APPENDIX E, page 27 Results-Based Accountability Framework APPENDIX F, page 28 Community Impact Strategy Maps APPENDIX G, pages

3 2016 UWCNM Grants Overview United Way of Central New Mexico helps those most vulnerable through grants to qualifying health and human service agencies in Bernalillo, Sandoval, Torrance and Valencia counties. In , annual program grants are supporting 103 programs, totaling $3.5 million (requests for funding exceeded $10.5 million). The UWCNM grant application process is extremely competitive and lengthy. Prior to completing this application, please be certain that the agency/program for which you are applying for funds meets all eligibility criteria. Current or prior funding does not guarantee future funding or the award amount. This year, in addition to our Community Fund & Affinity Group Annual Program Grants, UWCNM is launching four new multi-year funding opportunities called Community Impact Project Multi-Year Grants* in the following four areas: Behavioral Health: Prevention, Early intervention, and Education School Attendance (pre-school through 12 th grade) Summer Learning (pre-school through 12 th grade) Adult Transitions to College (ages 18 and up) Annual program grants will no longer be awarded in the above areas. Agencies may apply for one of each of the following two types of grants if they meet eligibility requirements: 1. Community Fund & Affinity Group Annual Program Grants For single or collaborative applicants 2. Community Impact Project Multi-Year Grants Successful proposals will likely be collaborative projects, though collaboration among multiple agencies is not required Panels of community volunteers will review proposals, select grantees and determine award amounts. Please review the scoring guidelines and evaluation forms in each Applicant Manual to understand the criteria used by UWCNM community volunteer allocations panels when scoring proposals and recommending funding. IMPORTANT: If you are applying as a collaborative with two or more agencies, please contact UWCNM before beginning your application. *This document contains information about United Way of Central New Mexico s Community Fund and Affinity Group Annual Program Grant priorities and application process. If you re interested in applying for multiyear funding, visit to access and print the Community Impact Project Multi-Year Grants Applicant Manual for comprehensive applicant criteria and instructions for that grant opportunity. 2

4 New Timeline Beginning this year, applying for a UWCNM grant is a two-step process. The first step is submission of Agency and Financial Information. The Agency / Financial sections of the online application will be available November 3 rd through November 20 th, 2015, 4:00 PM. Upon passing the Financial Review and meeting all eligibility requirements, agencies will be invited to complete their application with the submission of program information. The application will be available January 5 th through February 12 th, 2016, 4:00 PM. Applications are due by February 12 th, 2016, 4:00 PM. Late applications will NOT be accepted. Applicants that submit complete applications by the deadline are invited to present their proposal(s) before a community volunteer allocations panel that will ultimately make funding recommendations. Presentations will occur between March 28 th and April 8 th, Each agency will be allotted 20 minutes to present and 10 minutes for Q&A. Collaborations will receive additional time. Agency preliminary award notifications will be sent in May, 2016 First Monthly Grant Installment Paid: July 1, 2016 All grant recipients will report their mid-year and year-end progress. 6-Month Report Due: January 15, Month Report Due: July 15,

5 UWCNM Annual Competitive Grantmaking This document contains information about United Way of Central New Mexico s Community Fund and Affinity Group Annual Program Grant priorities and application process. For multi-year grant opportunities, visit for the Community Impact Project Multi-Year Grants Manual. UWCNM staff and dedicated volunteers have long worked with community partners to strengthen health, education, financial Stability and basic needs outcomes in our four-county area. Today, UWNCM Community Fund and Affinity Group Program Grants are helping individuals and families in central New Mexico achieve potential through education, access affordable and equitable health services, be safe and financially stable, and live life with dignity. With the help of committed community volunteers, local practitioners, researchers, and issue area experts, we aim to align funding relationships and investments with the most pressing needs in the community. UWCNM uses a Results-Based framework to guide our investment process. See APPENDIX F for more information. Agencies applying for program support will be asked to demonstrate how their work, in conjunction with a broader network of support services, aligns with UWCNM priorities. Our funding priorities are outlined in the UWCNM Community Impact Strategy Maps (APPENDIX G); including an Education, Health, and Financial Stability & Basic Needs map. The Strategy Maps outline desired community conditions or Results, related indicators, and priority strategies that have a reasoned chance of contributing to progress toward desired community conditions. Community Fund & Affinity Group Grantmaking Merged - Beginning in 2014, UWCNM merged its Community Fund and Affinity Group grantmaking processes. There is one application and one evaluation process for all Annual Program Grant applicants. Applicants do not need to select into one or the other funding pool. Applicants that apply for program funding aligning with specific strategies related to middle school success, high school success, or women s self-sufficiency will be reviewed by Affinity Group allocations panels and dollars raised specifically for these initiatives will be combined with Community Fund grantmaking dollars to award grants. All other applicants will be reviewed by Community Fund allocations panels. All allocations panel volunteers undergo the same training and use the same evaluation tool. 4

6 Online Application Username and Password ALL NEW Agencies must Agency Name Executive Director, phone number & address Mary will then username, password, and application link (URL) to you. Currently funded agencies will use their username and password from last year. VERY IMPORTANT!!! Before beginning the application, let Mary Regnier know if you are applying: For Community Impact Project Multi-Year Grant funding, Community Fund & Affinity Group Annual Program Grant funding, or BOTH. As a single agency; OR with multiple partner agencies as a collaboration. AND let Mary know whether the program for which you are applying for funds is a hunger relief or supplemental food assistance program. We need to talk to you before you begin your application to ensure that you are assigned to the appropriate applications in our online software system. Application can be accessed on November 3, 2015 as soon as you receive your username and password. 5

7 Eligibility and Required Supporting Documents Community Fund & Affinity Group Annual Program Grants are available for agencies that meet the following criteria: Certified by the IRS as a 501(c)(3) nonprofit organization Be in good standing with the Attorney General s office and the New Mexico Secretary of State Demonstrate financial sustainability through UWCNM financial standards review Provide health and human service(s) in one or more of the four central New Mexico counties: Bernalillo, Sandoval, Torrance and Valencia Serve the most vulnerable through a program/project that aligns with the UWNCM Community Impact Strategy Maps Adhere to UWCNM s social action and non-discrimination policies Have a Board of Directors in compliance with agency by-laws Additionally, applicants must: Secure as much financial support as possible from other sources, including fees for service, before seeking UWCNM assistance Only apply for support for a program that has a scope of service that aligns with the UWCNM Strategy Maps Adhere to UWCNM policy that $ request can be no greater than 50% of agency prior-year revenue (if collaborating, requests should be equal to or less than the sum of all partners prior year revenue) Request is preferably less than 100% of program/project budget Submit proposal and supporting documents in electronic format through UWCNM-prescribed software by specified deadlines Be able to accept electronic ACH deposits if awarded funding Funding Limitations: Fundraising activities are NOT eligible for support through UWCNM grants There are strict limits on capital funding (see APPENDIX E) Required Supporting Documents: Proposals must be submitted in electronic format through UWCNM-prescribed software. Support documents, which are listed below are required as part of the proposal package and may be submitted electronically or as hard copies: Prior year financial statements: Agencies with annual revenues > $500,000; a prior year audit (management letter optional) Agencies with annual revenues < $500,000; internally prepared financial statements (balance sheet, statement of income, and an agency prepared statement of functional 6

8 expenses) signed by the president or treasurer of the Board signifying the statements are correct Prior year 990 income tax return, 990EZ or 990N (e postcard) depending on the IRS requirements (if an audit is completed, 990 should include Schedule D) Actual prior year budget, actual current year budget, grant period projected budget (form in online application) IRS tax exempt letter for 501(c)(3) nonprofit status Current Board of Directors list, including the Chair s address Fiscal Sponsorship Agencies can apply for only one UWCNM Annual Program Grant each year. However, if an agency is not administering the program, but instead is serving as the fiscal sponsor of one or more eligible programs (that do not have their own nonprofit 501(c)3 status), multiple grants can be applied for under a single fiscal sponsor s information. For example, UNM Foundation may serve as the fiscal sponsor of numerous applicant programs. Reporting If awarded funds, you will be asked to complete a 6- and 12- month online report. You will report on progress toward goals stated in your United Way funding award agreement. Compliance with reporting guidelines, as well as the reports themselves, may affect future funding. Submit electronic 6-month report: January 15 th, 2017 Submit electronic year-end report: July 15 th,

9 Community Fund & Affinity Group Annual Program Grants: Request For Proposals (RFP) UWCNM is seeking proposals for the delivery of education, health, financial stability & basic needs programs aimed at helping the most vulnerable in Bernalillo, Sandoval, Torrance and Valencia counties. The UWCNM Community Fund & Affinity Group Annual Program Grants will support strategies that contribute to the accomplishment of the following Financial Stability, Basic Needs, Health, and Education Results in our community: Education Result 1: All children are born healthy and develop on track. Result 2: All children are fully prepared to enter the educational system. Result 3: All students progress successfully through elementary school. Result 4: All students progress successfully through middle school. Result 5: All students graduate high school within 5 years, ready for school, life or work. Health Result 1: All individuals and families receive affordable and equitable health services. Result 2: All individuals and families live in a safe environment. Result 3: All individuals and families exhibit healthy behaviors. Result 4: All individuals and families live in a health promoting environment. Financial Stability & Basic Needs Result 1: All individuals and families have adequate and sustainable resources to support their needs. Result 2: All individuals and families have the skills, knowledge, and relationships they need to effectively increase and manage their income. Result 3: All vulnerable populations are safe, socially engaged, and live with dignity. The UWCNM Community Impact Strategy Maps outline Results, Indicators, and Strategies. Funding is available to support programs that align with one or two Strategies on the Strategy Maps (APPENDIX G). Agencies applying for program support will be asked to demonstrate how their work, in conjunction with the broader network of support services, aligns with UWCNM s Community Impact priority Strategies. Applying agencies are asked to demonstrate how their program contributes to the accomplishment of one or more Results. Applicants will benefit by having a practical understanding of Results-Based Accountability (see APPENDIX F for more information), as well as the capacity to create and use performance measures to track progress and report client-level data on a regular basis to UWCNM. 8

10 APPENDIX A Application Questions These questions are provided to help you prepare for and complete the application process. These questions are subject to slight changes prior to opening the online program application in January However, the following will give you a sense of the required questions/fields. All applications must be submitted online. STAGE 1: GENERAL AGENCY & FINANCIAL INFORMATION (for all applicants single agencies and all agencies partnering on a collaborative proposal) DUE FRIDAY, NOVEMBER 20, 2015, 4 PM. Internal Control Checklist Note: All No or N/A answers require comment in the space provided below each item. Agency Name Confirmation that: Monthly financial statements are completed on a timely basis and reviewed and approved by the Board. Comments Monthly bank reconciliations are completed on a timely basis and reviewed along with the bank statement and approved by a Board member. Comments Monthly United Way funding is deposited intact in the agency s bank account. Comments Expenditures of United Way funding are appropriately documented and supported to comply with the United Way grant requirements. Comments The agency is in compliance with all Federal and State filing requirements (income tax, payroll tax, NM Attorney General, etc.) Comments The agency has adequate insurance coverage. Comments The actual prior year data included in the budget section of the grant application is consistent with the financial statements submitted to United Way. Comments The agency s accounting records allocate expenses among Program, Support (administrative) and Fundraising. If the accounting records do not allocate expenses in this manner, please prepare a Statement of Functional Expenses. This Statement should accompany the financial statements submitted to United Way. If program expenses are not equal to or greater than 75% of total expenses please explain below. Comments Disclosure of any threatened or pending litigation 9

11 Qualification Form: All agencies must answer the Qualification Form questions before accessing the Agency Forms. Please thoughtfully and carefully choose your answers. No changes can be made to this online form once it has been submitted. All fields are required and will be used to determine whether or not your agency qualifies to apply for a Community Fund & Affinity Group Annual Program Grant. 1. Does your agency provide health or human services? 2. Does your agency provide services in Bernalillo, Sandoval, Torrance and/or Valencia counties? 3. Is your agency certified by the IRS as a 501(c)(3) organization and do you certify that this agency is in good standing with the Attorney General s office and the New Mexico Secretary of State? 4. Does your agency comply with the UWCNM Non-Discrimination and Social Action policies? (See grant applicant manual) 5. Does your agency have a volunteer Board of Directors? 6. Does your agency have documented by-laws, policies, or procedures that can be made available to UWCNM upon request? Agency Forms: Please note that many fields have character limits (limits include spaces). Contact Information Name of person completing program proposal: Title of person completing program proposal: Phone number: address: Board of Directors Chair Name: Chair Address: Chair Term Ending Date: Executive Director Name: Phone Number: Address: Sanctions and/or Contingencies Has your organization been sanctioned by or received contingencies from any funding source, including United Way of Central New Mexico, in the last 12 months? (Yes/No) 10

12 If yes, what steps has your organization taken to eliminate the sanction or answer the contingency? (500 characters) Alignment to UWCNM Funding Priorities Upon successful completion of the General Agency & Financial Information portion of this grant application, your agency will be invited to complete the PROGRAM/PROJECT portion of the grant application(s) in early We need to know which grant(s) you plan to apply for. 1. Do you plan to apply for a Community Fund & Affinity Group Annual Program Grant? a. If yes, programs must align with one or more strategies the UWCNM Community Impact Strategy Maps. The Strategy Maps can be found in the Community Fund & Affinity Group Annual Program Grants Applicant Manual at Please provide the following information regarding the program for which you plan to apply for funds. All other PROGRAM information will be submitted later, once the agency passes the agency/financial review. 2. Select one of the three Strategy Maps (Education, Health, or Financial Stability & Basic Needs) with which your specific program fits. Identify one Result and a corresponding strategy that aligns with this specific program (example format: E1.1):._ 3. If applicable, identify a second Strategy that aligns with the specific program (example format: E1.2):._ 4. Are you planning to apply for PROGRAM funding as a collaboration (one or more agency partners)? NOTE: If applying as a collaboration, make sure each collaborative agency partner completes this General Agency & Financial Information separately. 5. If YES, are you serving as the designated Lead Agency for the collaborative program? NOTE: Agency representatives that agree to apply as a collaboration will designate one Lead Agency. This agency is responsible for submitting all PROGRAM information in early The Non-Lead Agencies will submit this agency information only by November 20 th, but need not submit anything further in early If you are NOT the designated Lead Agency, name the Lead Agency for this collaborative program (this agency will be responsible for completing the PROGRAM portion of the application in early 2016): NARRATIVE SPACE 100 characters 7. List all expected agency partners if applying as a collaboration: NARRATIVE SPACE 350 characters 11

13 STAGE 2: PROGRAM INFORMATION All agencies that passed the General Agency & Financial Information portion of this grant application in December 2015 are invited to apply for a Community Fund & Affinity Group Program Grant. Applicants have access to the complete online application to submit program information January 5 th through February 12 th. Complete applications are due by FRIDAY, FEBRUARY 12 TH AT 4 PM. This application is for agencies applying for single agency funding as opposed to applying as a collaboration with one or more agencies. Do not complete this application if you are applying as a collaboration. Contact UWCNM if you are applying as a collaboration, the designated Lead Agency needs access to the collaborative proposal application. Please Note: Most narrative sections will not accept more than 1,000 characters, including spaces, and some sections will allow even less. Program Related Information 1. Program Name (for which UWCNM funds are requested): 2. Primary Program Contact (name, agency affiliation, phone, ): 3. # of full-time staff contributing a significant amount of time to program for which you are applying for funds: _#_ 4. # of volunteers contributing a significant amount of time to program for which you are applying for funds: _#_ 5. Executive summary of program/mission (single program requesting UWCNM funds) for marketing purposes: (Up to 350 characters) 6. Program description (single program requesting UWCNM funds): (Up to 1,000 characters) 7. Describe the vulnerable population that will benefit from this specific program (vulnerability can be defined within the context of your work and may include but is not limited to low-income populations, marginalized populations, at risk populations, etc.) (Up to 1,000 characters) 8. Why is this work important? Describe the community need for this specific program. (Up to 1,000 characters) 9. How will you provide services related to this specific program? (Up to 1,000 characters) 10. Describe the impact this specific program has/will have. (Up to 1,000 characters) Program Performance and Accountability 1. How much will you do? Hunger relief and supplemental food assistance applicants are asked to report projected # of meals served through this program from July 1, 2016 June 30, _#_ All other applicants are asked to report projected # of unduplicated clients to be served by this specific program from July 1, 2016 June 30, _#_ 2. How will you ensure quality service? Explain how you will ensure that activities associated with this specific program are performed well. We want to understand how you assess and manage the quality of program 12

14 implementation (i.e. % of tutors with appropriate certification/credentials, tutor/student ratio, etc.) (Up to 1,000 characters) 3. How will your clients be better off as a result of this specific program? Describe skills/knowledge, attitude/opinion, behavior, and/or circumstance changes you aim to see among your clients. (Up to 1,000 characters) What are you measuring to quantify client outcomes? (i.e., GED attainment, grade level reading proficiency, employment, etc.) (Up to 1,000 characters) For each measure listed above, how do you collect data? (Up to 1,000 characters) 4. Based on the above, how and when will progress be evident? (Six months? 12 months? Future?) Performance Measures Based on the Program Performance and Accountability section, enter at least one, AND NO MORE THAN THREE, Client Outcome Performance Measures. These measures should quantify client outcomes (should complement your responses to question 14). Hunger relief and supplemental food assistance applicants are asked to follow specific instructions listed in the Community Fund & Affinity Group Annual Program Grants Applicant Manual regarding performance measures. Measure one: Measure two (optional): Measure three (optional): Provide program targets for each Client Outcome Performance Measure. % of clients achieving success on Measure one: % of clients achieving success on Measure two: % of clients achieving success on Measure three: Alignment to UWCNM Community Impact Strategy Maps Note: a change in strategy map alignment between submission of initial agency information and this final program grant application is permissible but is unusual. Please respond to the question immediately below only if the program has changed substantially since submitting the initial agency information. 1. Does the program described in this application have the same strategy map alignment that was submitted during the agency screening? If no, enter N/A below; if yes, specify the new strategy map alignment and describe why a change was necessary (up to 200 words: specify issue area, strategy map e.g. E1.1, second strategy map e.g. E1.2): 13

15 Please respond to the following question regardless of how the question immediately above was answered. 2. Select one of the three Strategy Maps (Education, Health, or Financial Stability & Basic Needs) with which your specific program fits. Identify one Result and corresponding strategy that aligns with this specific program (example format: E1.1):._ 3. If applicable, identify a second Strategy that aligns with the specific program (example format: E1.2):._ 4. Describe how this specific program fits with the strategies you selected. (Up to 1,000 characters) Demographics 1. Coverage area Serve clients in Bernalillo County? Serve clients in Sandoval County? Serve clients in Valencia County? Serve clients in Torrance County? 2. Projected percentage of total clients to be served by the specific program that are lowmoderate income (visit for income limits by county - If unknown, enter UNKNOWN. 3. Projected percentage of total clients to be served by the specific program that reside in a rural setting. In unknown, enter UNKNOWN. Program Budget 1. Amount requested from UWCNM: $ For the following budget section, please report budget information that relates solely to the program for which you are applying for funding. Do not report general agency budget information. Each line item can be further itemized. Agencies that provide specific, clear, comprehensive budget information will be more competitive in this application process. Please be as precise and detailed as possible. Description The agency's total operating budget revenue for the most recently completed fiscal year was: Agency Revenue Fiscal Year 14

16 Program Revenue Description Your Actual Prior Fiscal Year Your Current Fiscal Year Budget Grant Period (7/1/16-6/30/17) Budget UW Grant Allocation (grant request) Gov. Funding Foundation/Corporate Support, Contributions/Donations Membership Dues Received Investment Income In-Kind Support Other Income - (Add label amount) Total Program Expense Description Your Actual Prior Fiscal Year Your Current Fiscal Year Budget Grant Period (7/1/16-6/30/17) Budget Grant Period: Requested UWCNM Funding ($) Salaries Employee Benefits Payroll Taxes Professional Fees and Contracts Occupancy (rent, utilities, building & grounds) Supplies/Equipment Membership Dues / Support to Affiliate Org. in-kind Expense Other Expenses Total (this column total should equal grant request) 15

17 Description Your Actual Prior Fiscal Year Your Current Fiscal Year Budget Grant period (7/1/16-6/30/17) Budget Surplus or (Deficit) Revenue - Expense Revenue - Expense Revenue - Expense Cost Per Client Your Actual Prior Fiscal Year Your Current Fiscal Year Grant Period (7/1/16-6/30/17) Total Unduplicated Program Clients Served Cost Per Client #DIV/0! #DIV/0! #DIV/0! 2. Based on your completed program budget, please use the following space to further describe specifically how your agency plans to use United Way funds. (Up to 1,000 characters) 3. If this specific program is currently supported by UWCNM grant funding and you are asking for more funding than you are currently receiving through a UWCNM grant, please describe how additional funding would improve impact. (Up to 1,000 characters) 4. Please provide a breakdown of how the UWCNM funds will be used for the specific program (training, mileage, new employees, equipment for the specific service, etc.) (Total should add up to the total request for UWCNM funds for ). (Up to 1,000 characters) Marketing What a Contribution buys $1.00 a week ($52.00 per year) provides the funds for: $1.00 a day ($ per year) provides the funds for: $5.00 a week ($ per year) provides the funds for: $5.00 a day ($1, per year) provides the funds for: $10.00 a week ($ per year) provides the funds for: $10.00 per day ($3,650.00) provides the funds for: Success Story Provide a brief client success story. The success story must be available for public use by United Way. Because the story may be used in UWCNM marketing materials, do not use acronyms. This story should be able to stand alone, outside the context of this application. 16

18 1. Stories should provide answers to the following questions. (Up to 2000 characters) How did the client come to need the services of your agency? How did client find out about your services? What specific services did client benefit from? How has this specific program changed the client s life? 2. Phone Number for Success Story Contact: Supplemental Collaborative Proposal Information (FOR COLLABORATIVE PROPOSAL APPLICANTS ONLY) Each Lead Agency is asked to submit this Supplemental Collaborative Proposal Information form. The responses on this form submitted by the Lead Agency should be agreed upon by all participating agencies. For Existing or Returning Collaborations: 1. Complete the following two fields if you are currently receiving UWCNM grant support for this collaborative program. o Is the program more impactful as a collaborative than multiple programs would be if each operate independently? (Up to 4000 characters) o Describe the impact your collaborative has had. (Up to 4000 characters) 2. How are you reducing or eliminating duplicate services? (Up to 4000 characters) 3. How have you been able to increase awareness and/or outreach in the community? (Up to 4000 characters) 4. How has sharing best practices impacted your ability to serve your clients? (Up to 4000 characters) 5. Among participating agencies, are there redundant administrative costs? Have duplicate costs been reduced during this funding cycle? (Up to 4000 characters) 6. What qualitative changes in agency operations have occurred as a result of the collaborative? (Up to 4000 characters) 7. Describe a few challenges the collaborative has encountered. What has the collaborative done to address these challenges? (Up to 4000 characters) 8. Optional: Use the following space to develop a collaborative goal that may be qualitative OR quantitative that you hope to achieve through continued collaboration. A collaborative goal need not be client driven, based on a percentage, nor be required to use numbers for measurement. This is considered separate and in addition to the Performance Measurements and Targets you have identified in the general application. (Up to 4000 characters) For New Collaborations: 17

19 1. Complete the following two fields if you are applying for Community Fund support for the first time as a collaborative. o Explain why you are choosing to apply for program support as a collaborative. Do you plan to mitigate duplication of services? Will you reduce costs? Will you increase awareness or outreach? Will you combine best practices? Be specific. (Up to 4000 characters) o What, if any, additional costs associated with creating the collaboration do you anticipate? What challenges do you anticipate? (Up to 4000 characters) For All Collaborations: 1. Tell your compelling reason/story as to how collaboration increases impact on client and community wellbeing. (Up to 4000 characters) 2. What does each agency bring to the collaboration (staff, infrastructure, experience, etc.)? (Up to 4000 characters) 3. How will you minimize the risk for: o Increased overhead (administrative in particular) o Lack of interagency communication that may lead to failure to achieve intended outcomes o Unforeseen issues with member agencies (Up to 4000 characters) 4. If this grant is funded, how will this group of agencies continue to maintain a common agenda, culture and vision? What will be the means and frequency of interagency dialogue and how will that dialogue support the common goals that address a need in the community? (Up to 4000 characters) 5. If awarded funds, how will dollars be distributed among agencies and why? (Up to 4000 characters) Collaboration Agency Role Program Budget Enter the following information as it relates to each partnering agency s ROLE IN THE COLLABORATIVE PROGRAM. The sum of all Agency Role Program Expenses must equal the expense of the entire collaborative program. Agency name: Agency s Expenses Related to Collaborative Program Click on the link for Expense, and then click Add New Item on the next page one time for each expense. Enter a description of each expense and the cost. Select Save and Return to Previous Page to return to the budget. The report totals will auto calculate. Click Save My Work to review and click Save My Work and Mark as Completed when you have completed this form. 18

20 APPENDIX B Financial Standards Review Criteria United Way of Central New Mexico Financial Requirements for Agencies Requesting Funding Agency Name: CPA: Agencies are required to submit the following financial information: 1. Prior year financial statements: a. Agencies with annual revenues>$500,000; a prior year audit. b. Agencies with annual revenues<$500,000; internally prepared financial statements (balance sheet, statement of income and an agency prepared statement of functional expenses) signed by the president or treasurer of the Board signifying the statements are correct. 2. Prior year 990 income tax return, 990EZ or 990N (e postcard) depending on the IRS requirements. If an audit is completed, 990 should include Schedule D. 3. Audit management letter (optional) or Agencies with <$500,000 Internal Controls document. 4. IRS tax exempt letter for 501(c)(3) nonprofit status. Compliance Yes No N/A The CPA Review Subcommittee will interpret financial information and make a determination as to compliance. All agencies reviewed by a the CPA Review Subcommittee will use the same criteria used for larger agencies and rank financial compliance as (a) Pass (b) Pass with funding contingency or (c) Fail. The subcommittee will notify the panel of its decision. Using this information, perform the following: 1. The financial statements and tax return should be consistent. Significant variances should be investigated. 2. The financial statements should be reviewed for financial health issues that could affect the agency s ability to operate and execute the program funded by United Way. Factors to consider are liquidity, profitability, cash flow and capitalization of assets (relations of debt to equity.) Yes No N/A Yes No N/A 19

21 3. The audit management letter, if applicable, or the internal control checklist completed by the agency should be reviewed for issues that could affect the agency s accountability for United Way Funding. 4. If program expenses total less than 75% of total agency expenses, an acceptable explanation should be included. For agencies with no audit, an agency prepared statement of functional expenses should be reviewed. 5. The budget submitted with the grant application should be reasonable compared to prior year actual performance. Prior year actual program data should be compared to the financial statements for reasonableness. Significant variances should be investigated. 6. The United Way Issue Area Grants are for programs, not general agency support; therefore, this grant request cannot exceed 50% of the agency s prior year total revenue. 7. United Way does not fund capital expenditures unless they cost less than $4,000 per item and have a depreciable life of less than 5 years (using IRS depreciable guidelines.) 8. Attach a list of incomplete items requiring agency action. All incomplete items should be resolved. Conclusion: PASS FAIL Recommended Contingencies: Follow-Up Items for Panel: 20

22 Review Panelist Scoring Guidelines and Evaluation Criteria Funding Cycle Scoring Guidelines APPENDIX C Read before completing Grant Application & Program Presentation Evaluation Form The Grant Application & Program Presentation Evaluation Form is a critical component of the overall process for effectively evaluating grant requests to UWCNM. Panel reviews of the grant applications are designed to identify programs that are making the deepest impact in addressing pressing community needs. It is important that these forms are completed in a thoughtful and consistent manner. The Evaluation Form is designed to capture in one document both the panel member s overall impression of the grant application itself, as well as the agency presentation. Questions on the Evaluation Form should be answered as accurately as possible, given the information provided by the applicant. Although the document is straightforward to use, the following instructions will help in assuring a consistent and objective approach to evaluating applications. The document is divided into four sections, as follows: Section 1: Panel Information Section 2: Minimum Funding Criteria Section 3: Program Evaluation Criteria Section 4: Final Program Evaluation Score Section 1: Panel Information Enter Date, Panel Number, Panel Member Name, and Agency/Program Evaluated. Section 2: Minimum Funding Criteria The UWCNM grant applicant must meet certain criteria to be considered for a grant award. These criteria are itemized in this section. If the agency DOES meet all five of these criteria, move forward with completing and scoring the request. If, in the panel member s opinion, the agency/program does NOT meet one or more of these criteria, there is no need to score the grant request. If all panel members agree that the agency/program does NOT meet these criteria, the proposal should be eliminated from consideration. Section 3: Program Evaluation Criteria There are three general areas being evaluated, as follows: Program Design Community Need & Impact 21

23 Program Sustainability Program Budget Within each of these general areas, there are questions to be scored. The scoring is set up on a confidence scale, with 0 being the low score and 10 being the high score. Based on the grant application and the agency presentation, panel members score each question. This score should be a measure of how confident the panel member is in the applicant s response. The rubric for scoring questions is as follows: 9-10 Extremely Confident The applicant s program is a model or best practice in addressing the relevant aspects of this criterion. 7-8 Highly Confident The applicant s program addresses this criterion. The panel member is confident that the agency s program meets relevant requirements of the criterion. There is evidence that the agency s program, while perhaps not a best practice in this area, is efficiently and comprehensively responding to the significant components of this criterion. 5-6 Confident (default This is where the panel member should start in their evaluation. response) 3-4 Less Confident Although there may be some evidence that the applicant s program addresses this criterion, it is inconsistent or unclear. The panel member is uncertain that the application has fully addressed the relevant aspects of this criterion. 1-2 Little Confidence Panel member believes it is unlikely that the applicant s program addresses this criterion. There is little evidence in the grant application and/or in the agency presentation that would allow the panel member to be confident in the agency s ability to meet this element of the criteria. 0 No Confidence Panel member does not believe the applicant meets this criterion. The panel member should always begin their evaluation by scoring the item as Confident (default response) (5-6). The panelist should then increase or decrease the score, based on the actual evidence and/or the panel member s impression of the program. The goal is to be as consistent as possible in answering the questions.. Section 4: Final Program Evaluation Score Sum the scores of the four areas previously evaluated. Add comments as appropriate. 22

24 Grant Application & Program Presentation Evaluation Form Date: Panel: Panel Member: Agency/Program: Please read Funding Cycle Scoring Guidelines before completing this evaluation form. Reminder - Agencies must meet all of the following funding criteria to be considered: Agency provides health and human services in Bernalillo, Sandoval, Torrance and/or Valencia counties Program helps vulnerable populations (including underserved, disadvantaged, marginalized, or at risk populations) Agency/program complies with UWCNM s Non-Discrimination Policy If proposal includes a capital request for equipment such as kitchen, exercise, recreational or primary needs equipment, it meets the Community Fund criteria for a capital request Agency is NOT applying for funds to support fundraising activities PROGRAM DESIGN (worth 25% of final score) 0 = No confidence 1 = Low 10 = High How confident are you that the proposal is specific to a single program, rather than general agency support, and that UWCNM funding will be directed solely to the specific program? How confident are you that the program directly benefits the most vulnerable? Vulnerable should be well defined within the context of the agency s work and may include but is not limited to lowincome, marginalized, and/or at risk populations How confident are you that the stated program goals are specific and attainable? How confident are you that the stated program goals are measureable and that there is a sounds plan for performance measurement? Points Earned for Program Design (40 points maximum) Notes: 23

25 COMMUNITY NEED & IMPACT (worth 25% of final score) 0 = No confidence 1 = Low 10 = High How confident are you that the need the program is addressing is critical, as evidenced by data? How confident are you that the program strategies employed are informed by best practices and/or evidence and will be carried out in an effective, efficient manner? How confident are you that the program does not provide unnecessarily duplicative services in its outreach area? How confident are you that the program collaborates or partners with other support services to improve service delivery, sustainability, efficiency, and/or effectiveness? Points Earned for Community Need & Impact (40 points maximum) Notes: PROGRAM SUSTAINABILITY (worth 25% of final score) 0 = No confidence 1 = Low 10 = High How confident are you that the program/agency has a good track record and will be able to provide services throughout the duration of the grant period and into the future? How confident are you that the agency has done its due diligence in ensuring a diverse pool of funding support for the specific program (i.e. UW is not the sole funder for the program)? Points Earned for Program Sustainability (20 points maximum) Notes: PROGRAM BUDGET (worth 25% of final score) How confident are you that the program budget is clear, justified, efficient and reasonable? Points Earned for Program Budget (10 points maximum) Notes: 24

26 APPENDIX D UWCNM Policies UWCNM Social Action Policy Our purpose as an organization is: "To make it easier for neighbors to give, in order to help those most vulnerable." To fulfill that purpose, United Way of Central New Mexico: Helps people by meeting needs Responds to social needs, but does not advocate social change Brings people together to address needs and issues that are supported by the majority of the community At UWCNM, we are in the passion building business. We believe that people should be able to direct their donations to those issues and organizations which matter most to them. Yet, within our community and throughout the country there are, and will continue to be, social change issues about which people have a serious division of opinions. To address this dilemma, UWCNM has developed this Social Action Policy. Donors may individually designate their gifts to any nonprofit organization, anywhere in the world. This enables donors to fund their passions, whatever those passions may be. However, within the Community Fund, where donations are a mix of funds from multiple donors, United Way cannot and should not fund programs which side with one set of donors over another. United Way of Central New Mexico, through its Community Fund, is in the role of meeting existing/emerging needs, not in advocating for or aligning with social change issues. Because some issues are divisive, when agencies/groups in our community deal with emotional social change issues and vie for the public's interest to win support for their views, United Way has a responsibility to clearly step away from that arena. There is a distinct difference between advocating a social change philosophy and evaluating and funding needed critical services. One concerns itself with a judgment as to moral right and wrong, while the other concerns itself only with helping people. United Way's only purpose is to help people. United Way performs its role by enlisting community support, raising needed funds and then distributing those funds through a local citizen review process to participating charities. For United Way to enter such arenas of controversy would not do justice to United Way's multiple participating charities that depend on United Way to raise funds to support critical services for people in need. Our role is to bring people together to improve our community. To invite controversy into the Community Fund is to risk the very existence of this important fund. Since donors can direct their donations to any nonprofit in the world, it is better to leave the Community Fund to do the work of helping the most vulnerable people in central New Mexico. 25

27 The Community Fund is the only service at United Way that is affected by the Social Action Policy. All other services [agency designations, 2-1-1/ Information & Referral, Gifts in Kind, services offered by The Center for Nonprofit Excellence, etc.] are available to all central New Mexico nonprofit organizations. It is United Way's intent to continue to take an aggressive and active leadership role in solving our community's most pressing social service problems. That role is one of facilitator, mediator, fund provider, and initiator of new services and solutions. Regardless of individual positions on social change issues which will always be present, United Way invites all to join together in a cooperative effort "To Help Our Community Help Itself" and never allow this United Way to be pulled into any social change controversy that should and must be resolved elsewhere. UWCNM Non-Discrimination Policy United Way of Central New Mexico and agencies receiving UWCNM Community Fund dollars must adhere to laws which provide equal opportunities to all persons regardless of race, color, creed, religion, national origin, gender, age, disability, veteran status, citizenship status or any other protected classification. These laws require equal treatment of employees in recruiting, hiring, training, advancement, compensation, benefits or any other conditions of employment. In addition, the spirit of these laws extends to program services funded by United Way of Central New Mexico s Community Fund. 26

28 APPENDIX E Capital Request Guidelines The following are guidelines for agencies applying for capital expenses through UWCNM Community Fund or Affinity Group grants. Review panelists will use these guidelines in assessing agencies proposals. All questions related to these guidelines should be directed to UWCNM staff and may require Community Impact Council review. 1. UWCNM grants CANNOT be used for: a) Buildings b) Plans c) Construction d) Renovation with a useful life (not depreciable life) of more than three years 2. Additionally, UWCNM grants CANNOT be used for: a) Capital equipment, in part or completely, with a useful life (not depreciable life) of more than three years b) Any single item worth more than $4,000 UWCNM requires a straight-line depreciation based on the industry standard for the item. Any funds granted through a UWCNM grant process must be expended within the fiscal grant year. 27

29 APPENDIX F About Results-Based Accountability UWCNM staff and volunteers are using Results-Based Accountability (RBA) concepts to improve Community Fund and Affinity Group Grant Initiatives investment outcomes. For more detailed information about Results-Based Accountability, go to or Results-Based Accountability concepts and materials were developed by Mark Friedman, author of Trying Hard is Not Good Enough (Trafford 2005) and founder and director of the Santa Fe-based Fiscal Policy Studies Institute. What is RBA? RBA is a disciplined way of thinking and taking action used by communities to improve the lives of children, families, and the community as a whole. RBA is also used by agencies to improve the performance of their programs. How does RBA work? RBA starts with ends and works backward, step by step, towards means. For communities, the ends are conditions of well-being for children, families and the community as a whole. For programs, the ends are how customers are better off when the program works the way it should. The following definitions apply: Results Accountability has two components: 1) Population Accountability - a group of partners takes on responsibility for the well-being of a population in a geographic area 2) Performance Accountability - a manager or group of managers takes responsibility for the performance of a program, agency or service system Result a population condition of well-being for children, adults, families and communities, stated in plain language Indicator a measure that helps quantify the achievement of a result Baseline what the measures show about where we have been and where we are headed Turning the Curve what success looks like if we do better than the baseline Strategy a coherent collection of actions that has a reasoned chance of improving results Performance Measure a universal measure of how well a program, agency or service system is working. The most important performance measures tell us whether program customers are better off. There are several types of performance measures: Measures that answer the question How much did we do? Measures that answer the question How well did we do it? Measures that answer the question Is anyone better off (#)? Measures that answer the question Is anyone better off (%)? There are different categories of being better off: Skills/Knowledge, Attitude/Opinion, Behavior, and Circumstance Targets the articulation of target levels of performance expressed in measurable terms and specified time frames, against which actual achievement is compared. 28