Welcome to the Job Training and Workforce Development Get Grant Ready! Resources!
Here, you’ll find a comprehensive collection of tools and information designed to support your internal grant readiness assessment and capacity building efforts.
What You’ll Find:
Downloadable Tools: Access templates that will streamline your assessment process and help you build a strong foundation for your grants program.
Expert Resources: Find links to additional grants development and management resources offered by AFSCME and industry leaders in grants proposal development, finance, organizational management, and capacity building.
Meeting and Project Management Tools
Kick-Off Meeting Tools
Below we have provided the grant readiness tool and a sample meeting agenda to support your initial kick-off meeting.
● Grant Readiness Organizing Tool
● Sample Kick-Off Meeting Agenda and Objectives
Project Management and Delegation
Below are two “MOCHA” tools from The Management Center designed to support you and your team in defining clear roles and responsibilities for this grant readiness project.
External Resource Links and Information:
● MOCHA Framework
● MOCHA Delegation Worksheet
Organizational Administrative Resources
The Organizational Background Documents section of the Grant Readiness Organizing Tool includes various types of information, such as key administrative contact details and financial and tax identification information. This information is essential to verify an applicant’s eligibility to receive and manage grant funds.
To assist you in gathering this information, we have developed an Executive Summary Organizational Information Template. This template helps you collect and organize the required information and save standard language about your union’s mission, vision, and history. You can regularly update this document with new or revised information about your services and programs.
The template also provides helpful tips on what information is needed and where to find it, along with comments to guide you in completing each section.
Template for Download
● Executive Summary Organizational Information [TEMPLATE]
Having signed policies and procedures in place is crucial for several reasons:
● Ensures Compliance: Signed policies and procedures help demonstrate that your union complies with legal and regulatory requirements, which is often a prerequisite for grant eligibility.
● Demonstrates Accountability: The policies and procedures show funders that your union is committed to transparency and accountability, which can enhance your credibility and trustworthiness.
● Supports Effective Management: Having these documents in place supports effective management and oversight of grant-funded projects, ensuring that funds will be used appropriately and meet proposed objectives.
What Policies Should We Have in Place?
You will find a basic list of recommended policies under the Policies section of the Grant Readiness Organizing Tool. Below is a more exhaustive list of policies required by recent state level opportunities utilizing WIOA funds as well as links to federal Office of Management and Budget (OMB) circulars that provide additional information and guidance for performance and financial monitoring and reporting, subrecipient monitoring and management, and record retention and access according to existing federal laws and statutes. The OMB circulars are for reference.
● External Resources Links and Examples:
List of Recommended Policies and Procedures
● OMB Circulars
1) CFR 200.328 – 200.329 – Performance and Financial Monitoring and Reporting
● CFR 200.328 – Financial Reporting
● CFR 200.329 – Monitoring and Reporting Program Performance
2) CFR 200.331 – 200.332 – Subrecipient Monitoring and Management
● CFR 200.331 – Subrecipient and contractor determinations
● CFR 200.332 – Requirements for pass-through entities
3) CFR 200.334 – 200.337 – Record Retention and Access
● CFR 200.334 – Record retention requirements
● CFR 200.335 – Request for transfer of records
● CFR 200.336 – Methods for collection transmission, and storage of information
● CFR 200.337 – Access to records
*Getting Organized Tips:
● All policies should be executive board and/or leadership approved and signed.
● Thoroughly review the Request for Proposals (RFP) when applying for any grant. Public funding requests may include contributions from federal, state, and local entities, each with its own regulations and requirements. Review administrative requirements within the RFP to understand specific requirements and guidelines for each funding source.
● Typically, during the application process you will only need to vouch that the organization has policies and procedures. If awarded; however, funders may ask you to provide copies of your policies during the start-up phase or during a compliance and programmatic site visit or comprehensive audit.
SAM.gov, or the System for Award Management, is the official U.S. government website that allows businesses to register to do business with the federal government. To apply for public funds, the applying entity (your union, education fund, and/or affiliated 501(c)(3)) will need to have a SAM.gov account. Only ONE SAM.gov account can be assigned to the entity’s profiles to update and renew registration each year. However, individuals can set up a login account to access and review information in SAM.gov like open contracts. To access SAM.gov you will need to create a Login.gov account.
You will rarely be asked for a printed confirmation or the expiration date of the applying entity’s current SAM.gov registration; however, you will be required to be current in your SAM.gov registration to apply for a grant with any public or private grant maker.
It is more than likely a member of your administrative or finance team is responsible for keeping the applying entity’s SAM.gov registration up to date. We recommend identifying who “owns” the account and in charge of renewal. We also recommend tracking your renewal date so you can confirm with the staff member in charge of renewal that this process has been completed each year.
External Resource Links and Information:
● Sam.gov: HELP Page
● Federal Service Desk: What is the difference between “signing-up” and “registering” with SAM.gov?
*Getting Organized Tips:
● The UEI and SAM.gov registration renewal information can be saved in the Executive Summary Documents template (see Organizational Documents above).
● If you create a Login.gov account this can be your account for accessing Grants.gov. More to come on Grants.gov in the Proposal Development section of the Tool Kit – coming soon!
Financial Documentation Resources
Federal entities lay out their standards for financial management in the Office of Management and Budget (OMB) circulars. Your union is more than likely meeting these standards; however, it is helpful to connect with your financial team to discuss what systems and processes you have in place that meet the standards. This will prepare you to easily share financial documentation that is commonly requested during the grant application and reporting stages.
● Reference 2 CFR 200.302 to assess your affiliate’s current financial management readiness.
● Be prepared to attest to following Generally Accepted Principals of Accounting (GAAP).
● Reminder: Unions, Education Funds, and 501(c)(3) entities have different financial reporting requirements. Check out AFSCME’s Secretary-General’s Online Training Site for more information union financial reporting requirements and required documentation.
● Tax-Exempt Status Letter: This will have the union or education fund’s Employer Identification Number (EIN) or TIN number.
○ Union 501(c)(5) example
○ Education Fund
○ Affiliated 501(c)(3) example
● W-9 Form Example: Foundations ask for a W-9 form from nonprofits to ensure they have accurate information for tax reporting purposes.
● 990 Forms (Most Recent Fiscal Year)
○ More information on what type of 990 form your education fund or affiliated 501 (c)(3) will complete can be found here IRS Form 990s
○ 990-N: For more on completing this form please see the 990-N Form Training produced by AFSCME’s Secretary-Treasurer.
● Unique Entity ID (UEI): The UEI is a 12-character alphanumeric ID assigned to an entity by SAM.gov.
● State Solicitation License:
○ IRS.gov: Charitable solicitation – state requirements
○ Affinity Fundraising Registration: Charitable Registration States Map
● IRS Form LM-2, LM-3, LM-4: These forms are completed by affiliates representing private sector employees. The form filled out are based on the annual receipts’ levels. See the FAQs page on AFSCME’s Secretary-General’s Online Training Site for more information union financial reporting requirements and required documentation.
Almost every private or community-based funder will require you to provide a copy of your current fiscal year, leadership/board-approved organizational budget. A one-page, high-level budget that includes both revenue and expenses is sufficient as shared below. You may also want to check with your finance department to see if they also produce a detailed organizational budget. A detailed budget lists any departmental or program budgets and includes a column where they “roll up” to make the overall budget.
External Resources Links and Example:
● Example: High-Level Organizational Budget
● Budgeting 101
○ Instrumentl: Why You Need a Non-Profit Budget (+Templates)
○ Wallace Foundation: Strong Nonprofits Toolkit (Financial Management)
○ Donorbox: The Ultimate Guide to Nonprofit Budgeting (+ Free Template)
○ National Council of Non-Profits: Budgeting for Non-Profits
○ Propel Non-Profits: 10-Step Budgeting Check-List
*Getting Organized Tip: You may also be asked to provide your union’s fiscal year time frame. The three most common fiscal year time frames used are: January to December; July to June; or October to September. If you don’t already know, be sure to ask your finance team when your fiscal year begins and ends and make a note in the executive summary document.
Other commonly requested financial documents by funders include the following:
● An Income Statement is a statement of financial activities showing both revenue and expenses for a particular period of time (e.g., most recent fiscal year, most recently completed quarter in current fiscal year). Other common names for an Income Statement are a “Year-To-Date Profit and Loss (P&L) Statement” or “Statement of Activities.” These terms are used interchangeably.
● A Balance Sheet is a snapshot of an organization’s financial position (assets, liabilities, and net assets) at a specific point in time. It provides a snapshot of what an organization owns and owes, as well as the organization’s net worth.
● Cash Flow: A nonprofit cash flow statement is a financial report that tracks cash coming into (cash inflow) and going out of (cash outflow) an organization over a specific period. It categorizes cash flows into three main activities: operating, investing, and financing. Cash flow statements can indicate the source and use of funds from each donor or grant.
These documents promote transparency externally between potential and existing grantees and funding partners. Again, your finance team will be able to provide the most recent versions of all documents.
External Resources Links and Examples:
● Examples:
○ Income Statement
○ Balance Sheet
○ Cash Flow Statement
● External Resources:
○ The Charity CFO: Statement of Activities: Reading a Nonprofit Income Statement
○ Springly: Our Explanation of a Nonprofit Statement of Activities (+ Template)
○ National Council of Nonprofits: Financial Managment Literacy Resources Nonprofit Finance Fund: Glossary of Nonprofit Finance Terms
Funders will often ask applicants to submit a copy of their independent financial audit with their grant application. An independent financial audit is different from a program compliance audit that can be performed by an outside regulatory body such as the U.S. Department of Labor.
For 501(c)(3) nonprofits, an independent audit, as defined by the National Council on Nonprofits, is “an examination of the financial records, accounts, business transactions, accounting practices, and internal controls of a charitable nonprofit and/or labor organization union. The audit is performed by an “independent” auditor – or someone outside your organization, usually a CPA.” An independent financial audit falls under the purview of your finance department. When reviewing requests for proposals (RFPs) always work with your finance department to determine which financial documents meet the requirement of the application.
*Getting Organizing Tips:
● Reminder: Unions, Education Funds, and 501(c)(3) entities have different financial reporting requirements. Check out AFSCME’s financial training site created by AFSCME’s Secretary-General for more on union financial reporting requirements and required documentation.
● Reminder: Always review the Request for Proposal (RFP) or Grant Application Guidelines to understand exactly what the funder will require you to submit. If the requirements are unclear, you can ALWAYS reach out to the funder to ask for clarification.
A donor list (also known as a funder list) typically includes the names of foundations, corporations, government entities, and major individual donors, along with the amount of support they provide. This list can be updated each fiscal year and/or throughout the year as grants are awarded. If you are just starting your fundraising journey, you may not have an extensive or diverse list, but it is beneficial to have this information in one place. An example of a donor list template is provided here for you to download and customize.
Template to Download:
● Fiscal Year Funder List
Governance & Leadership
Union leadership is organized differently from Education Fund and traditional 501(c)(3) organizations.
● Union leadership, often known as Executive Boards, are elected by its members and staffed by a leadership team.
● Education funds and affiliated 501(c)(3) organizations are overseen by a board of directors. Board members are members of the community who are recruited and elected by the current and out-going board. The board of directors are responsible for hiring the entity’s executive officer and play a crucial role in determining the strategic direction, ensuring accountability, and supporting the fund or 501(c)(3)’s mission through fundraising.
When it comes to providing information about your union, education fund, or affiliated 501 (c)(3) leadership, different funders will ask for different levels of detail. Some funders will provide templates for how to present this information, but the majority will not. We recommend preparing this information ahead of time and keeping it up to date over the course of the year. We have created templates for you to use or adapt to your needs.
Templates for Download
● Executive Board List (Simple): This version lists name, union/industry work affiliation, and board term.
● Executive Board List (Detailed): This more detailed version includes name, union or industry/work affiliations, titles, and contact information. There is space for headshots, a LinkedIn profile link, and/or short bios.
● Executive Board and Leadership Demographics: Some funders like to understand not only who is on your board but if the board is reflective of the community it represents. The board of directors’ demographics template includes the main demographic information that funders may ask. Not all funders will ask for this level of detail, but it is good to have an understanding of the type of demographic information that can be requested.
*Getting Organizing Tips:
● Executive Board Lists: All three documents listed above are important as different funders will ask for different versions at different times. The “simple” version can be created based on the “detailed” version and updated annually.
● Executive Staff Bios: We also recommend having Executive and Key Staff Bios on hand.
External Resources Links and Information
Below we have provided links to external resources that can be useful in clearly defining the board of directors’ roles and responsibilities; the board selection process, terms, and term limits; descriptions for board positions (think president, treasurer, etc.); and any financial responsibilities/policies (sometimes known as “Give or Get” Policy) stating the expectations or responsibilities board member have in securing or donating funds to the affiliated 501(c)(3).
● Instrumentl: Free Nonprofit Board Roles and Responsibilities
● Board Source: Board Fundraising Policy: Key Elements and Practical Tips
Other Documentation
There are times funders will ask for key organizational planning and governance documents. For all of these documents, check with the administrative staff or staff members who support the executive board and leadership team or board of directors of your union, education fund, and/or affiliated 501(c)(3).
● Union Charter
● Annual Report (if produced)
● Articles of Incorporation
● By-laws
● Staffing Structure/Org Chart(s)
● Job Descriptions
● Resumes/Bios of Key Staff
● Strategic plan
Partners play a vital role in the success of programs by bringing in diverse expertise, resources, and perspectives that enhance an overall impact. Documenting these partnerships is crucial for transparency, accountability, and effective collaboration. We recommend having on hand:
● a comprehensive list of collaborating partners with points of contact.
● For any formal partnerships: legal contracts, sub-contract agreements, and/or
memoranda of understanding (MOU)
This documentation ensures that all parties are clear about their roles and responsibilities, strengthens the credibility of the program, and helps in securing funding and support from stakeholders by demonstrating a well-structured and collaborative approach has been established.
Member stories are the best way to demonstrate how your union, education fund, and affiliated 501(c)(3) support the community. These stories can highlight how the union’s (or applicant entity’s) involvement in a workforce training program has helped a member “upskill” and advance in their career, gain a necessary certification, or provide a pathway to job entry. Having these stories or quotes from members readily available to share with funders, when appropriate, can have a powerful impact.
In the Project–Program Tab of the Grant Readiness Organizing Tool we reference SMART goals. A SMART goal is a framework used to set clear, achievable goals for a project or program. The acronym SMART, according to Greater Good Consultants, stands for:
● Specific: Define your goal clearly and precisely. Avoid vague or broad statements. Focus on what you want to achieve, why it is important, who is involved, and where it will take place.
● Measurable: Establish criteria to track the progress and success of your goal. This helps in assessing whether the goal is being achieved as planned.
● Actionable: Ensure that your goal includes clear actions that can be taken to achieve it. Consider the steps and resources necessary to make the goal a reality.
● Relevant: Align your goal with the priorities of the grant program and the needs of your target population. It should make sense in the context of your organization’s mission and the grant’s objectives and be realistic.
● Time-bound: Set a clear deadline or timeframe for achieving your goal. This creates a sense of urgency and helps in planning and evaluating progress.
When Will I Use SMART Goals?
Funders will often request applicants provide SMART goals as a part of a grant request. We recommend developing overall SMART goals for the program[s] you are currently implementing, or looking to implement, BEFORE applying for a grant. However, SMART goals, corresponding objectives and activities, and overall outputs and outcomes can be developed as a part of your grant request.
More on how to develop SMART goals when writing a grant application will be covered in the Proposal Development section of the Get Grant Ready! Tool Kit. At this time, please check out the SMART Goals information in the link below.
External Link and Information:
● Greater Good Consultants: SMART Goals for Grant Applications with Examples
Contact Us
We are here for you! Please contact us if you have a question, concern, or request regarding workforce development.
research@afscme.org