2013 applicant informational session standard rfp may 22, 2012
TRANSCRIPT
2013 Applicant Informational Session
Standard RFPMay 22, 2012
Welcome and Introductions
• Reggie Haley, Janet LaBella, Cheryl Nolan, Mytrang Nguyen, Willie Abrams, Nancy Glickman, and Christina SanabriaOffice of Program Performance (OPP)
• Mark FreedmanOffice of Legal Affairs (OLA)
• Charles CrittendenOffice of Compliance and Enforcement (OCE)
• Peter LarsenOffice of Information Technology (OIT)
Who Should Attend this Webinar?
• New and returning applicants• Any staff member involved in preparing the application
• Programs applying for a Competitive LSC Grant for 2013 that did not receive an LSC Program Quality Visit (PQV) in 2010, 2011 or early 2012
• For programs that have received PQV visits in 2012, only programs that do not expect to receive the PQV report by July 2, 2012
• This presentation is NOT for • Any program applying for a Competitive LSC Grant that did undergo a PQV in 2010, 2011 or 2012
and expects to receive a PQV report by July 2, 2012• Renewal Applicants• TIG Applicants
Not sure? Send an email to [email protected]
Agenda• Provide an overview of the LSC competitive grants process• Provide some guidance on writing the proposal narrative• Discuss the hallmarks of well drafted grant application• Discuss each of the four Performance Areas• Describe some changes to the application process in place this year• Discuss LSC Regulations and Grant Assurances• Demonstrate using the online application system
• Questions may be submitted at any time• Send questions to [email protected], or enter them into the chat
window on your screen.
Total estimated duration: 75 minutes
Reminders• Recommended: have 2013
Standard RFP Narrative Instruction available • grants.lsc.gov/resources/application-
documents
• The session will be recorded and will be posted on LSC Grants• Complete the AIS Evaluation Survey after the conference• Send a message through the chat feature or email
[email protected] with questions or for technical issues
Overview:Application Process, Materials, Resources
and Key Deadlines
Purpose of LSC Grants• Encourage the effective and economical delivery of high quality legal
services to eligible clients;
• Provide opportunities for qualified attorneys and entities to compete for grants and contracts to deliver legal services to eligible clients;
• Encourage ongoing improvement of performance by recipients in providing legal services to eligible clients;
• Preserve local control over resource allocation and program priorities; and
• Minimize disruptions in the delivery of legal services to eligible clients within a service area during a transition to a new provider.
See 45 C.F.R. § 1634
Evaluations and Awards
• LSC Evaluates proposed delivery systems • LSC Performance Criteria• ABA Standards for the Provision of Civil Legal Aid
• LSC awards funds to applicants that demonstrate the best capacity to deliver effective and efficient high-quality legal services
Eligibility• Current recipients
• Other non-profit organizations that have as a purpose the furnishing of legal assistance to eligible clients
• Private attorneys, groups of attorneys or law firms
• State or local governments
• Substate regional planning and coordination agencies
See 45 C.F.R. § 1634 and page 7 of RFP Narrative Instruction
Application Materials
grants.lsc.gov/resources/application-documents
•Under Resources menu, select Application Documents
•The 2013 RFP Narrative InstructionIncludes the inquiries applicants respond to in the proposal narrative
•RFP Forms (PDF previews)Capture budget, board, technology, CSR, staffing data
Application Components • Proposal narrative – Responds to inquiries in the RFP Narrative Instructions– Submission: upload
• RFP Forms– Capture budget, board, technology, CSR, and staffing data– Submission: completed online
• 2012 PAI plan– See page 8 and 28 of 2013 RFP Narrative Instruction– See 45 C.F.R. § 1614– Submission: upload
• 2013 Technology plan– See page 44 of 2013 RFP Narrative Instruction– Submission: upload
• Other documents, as applicable– See page 16-18 of 2013 RFP Narrative Instruction– Submission: upload
Deadline for filing the application:
June 4, 2012
Application is submitted at
lscgrants.lsc.gov
Application Timeline• Submit the Application – June 4, 2012
– Entire application must be complete and submitted at one time
• Certification (Form I) – August, 2012
• LSC publishes the list of qualified applicants – October, 2012
• Grant decisions made – December, 2012
• Grant awards made – January, 2013
Formatting and Writing the Proposal Narrative
Formatting the Proposal Narrative• Use the Proposal Narrative Outline. This is found on page 37 of the RFP Narrative Instruction.
• Page limits (described on page 20)– Applying for one service area: 50 pages– Applying for more than one service area: 15 pages for service areas receiving smaller grants
• New applicants that have not previously received a grant from LSC must respond to each RFP inquiry, unless otherwise indicated.
• Notes to applicants may be deleted
Writing the Proposal Narrative
• The RFP Inquiries follow the format and structure of the LSC Performance Criteria.
• Inquiries are derived from each of the four Performance Criteria.
Hallmarks of an Excellent Grant Application
Hallmarks of an Excellent Application
• Be familiar with the Performance Criteria and to refer to them in preparing the grant proposal
• Applicants that have not fully established practices, systems, and procedures must demonstrate that they have the capacity to do so within the grant period.
The Four Performance Areas
* some inquiries have sub-parts
Performance Area
Percentage Weight
Number of Inquiries *
Number of Web Forms
1 18% 8 3
2 20% 10 2
3 35% 14 9
4 27% 19 3
Hallmarks of an Excellent Application• Be clear. • Be specific. • Address the program’s relevant experience. • Acknowledge and address challenges. • Use the Proposal Narrative Outline. • Answer the question that is asked.
Hallmarks of an Excellent Application• Use the weighting system as a guide. • Delegate some topics, such as intake or fiscal practices, to
staff with relevant expertise and responsibility. • Review the whole application for accuracy, consistency and to
avoid redundancy. • Don’t assume reviewers know about your program.
The Four Performance Areas
Performance Area 1• Performance Area One represents 18% of the grant application’s total score • The LSC performance criteria emphasizes the importance of strategic planning,
implementation, and evaluation and adjustment to effectively meet the most pressing needs of the client community
• A program’s work should occur within a well thought-out framework, designed to
enable the program to be as effective as possible, and to stay focused in addressing the most pressing legal needs of the community it serves.
• Applicants are expected to demonstrate that they have come to a reasoned, thorough assessment of the most pressing legal needs in the community it will serve.
Performance Area 1• The RFP inquiries provide the framework for applicants to logically discuss their
understanding of and their capacity to address the most pressing legal needs of the client community. Applicants will discuss:
1. The needs assessment process2. How they determine and address emerging legal needs3. The priorities established to resolve the most pressing legal needs of the
community 4. The applicant’s strategic planning process 5. The extent to which applicant has achieved goals and outcomes previously
planned
Performance Area 1• Applicants are required to complete four forms in addition to the RFP inquiries: • The “Data Collection Methods” form used to address the methods used to conduct
the needs assessment
• The “Data Sources and Tools” form used to identify data sources used in the needs assessment
• The “Priorities, Goals, Strategies and Desired Outcomes” form used to identify the
applicant’s priorities, goals and outcomes
• The significant priorities form is used to identify the four most significant priorities from the last competitive grant application and the extent the outcomes for those priorities were met
Performance Area 2
Performance Area 2
• The nuts and bolts of your intake system• A work in progress• A few thoughts about what are we looking for:• Coordinated compared to centralized• LSC’s Performance Criteria
• Outline of LSC’s values for access• Level of coordination with the intake system• Intake hours-broadest access• Ease of process for applicant-getting the run-around• Training:
• substantive law, program services, and technology• Periodic review of training needs
Criterion 1. Dignity and sensitivity.
Performance Area 2
• Time frames for intake: how prompt is the response at each stage and for decisions on assistance
• Collaborations: seamless transfer to providers and clearly delineated services (case acceptance protocols)
• Evaluation of intake: comprehensive or narrowed to specific aspects such as client satisfaction, wait times, abandoned calls, matters not accepted for service
Criterion 1. Dignity and sensitivity.
Performance Area 2
• Outreach: volume of activities and level of staff participation• In-person• Communications via materials, media, Internet, LEP
• Office Location: include details on parking, public transportation, proximity to other relevant offices and resources
• Staff Diversity: • recruitment methods for all staff levels• salary structure, work environment, benefits• retention efforts• promotion of diversity • leadership and mentoring initiatives• promotion opportunities
Criterion 2. and 3. Engagement with the low-income population. Access and utilization by the low-income population.
Performance Area 3
Performance Area 3
• Capacity to carry out work– Whether you have a great legal staff that matches the mission and vision of
your program.
• Systems, approaches, techniques– Whether you can present evidence of sound legal work and advocacy
management and supervision policies, procedures and systems
• Accomplishments – Whether you achieve the greatest possible benefits for your clients– Whether you achieve systemic solutions for the eligible population– Whether there is clear evidence of a culture of productivity within your
program
Criterion 1. Legal representation.
Performance Area 3• A Private Attorney Involvement Plan
– Whether private attorney involvement is an integral part of your legal services delivery plans described in your grant application.
• Recruitment and Screening– Whether you offer opportunities for private attorneys to do different types of work– Work that is professionally and personally rewarding
• Participation - pro bono, by contract or reduced fee, Judicare– Whether your efforts reflect an appreciation of the history, politics, and experiences that have
culminated in ABA Model Rule 6.1– The extent to which pro bono exceeds PAI via contract or reduced fee and Judicare.
• Technology, Training, Quality Control, and Oversight– Whether your efforts are supported by the best affordable technology—case management, brief
services, case file maintenance, data collection, document preparation, follow-up letters, referrals, remote access, quality control, video links
Criterion 2. Private attorney involvement.
Performance Area 3
• Community legal education– Whether you disseminate timely and appropriate legal information to your
client communities, and conduct appropriate educational sessions at a variety of convenient locations throughout the service area
• Assistance for self-help activities and pro se appearances– Whether you are responsive to members of the client population who are
capable of representing themselves in court with minimum assistance from attorneys.
Criterion 3. Other program services to the eligible client population.
Performance Area 3• Whether you have formed and are maintaining strategic relations with
those who have significant roles in facilitating and assisting the civil legal aid mission or choose to hinder or harm the work of civil legal aid.
• The institutions and entities that can help advance the mission of civil legal aid and the interests of the client eligible populations include the following:
– The Judiciary– Organized bar associations– Government agencies– Academic and research centers– Social service agencies– State and national legal advocacy organizations– Other entities working on behalf or serving low-income people
Criterion 4. Other program activities on behalf of the eligible client population.
Performance Area 3
• Training• Legal Work Management• Casehandling Protocols• Case Development Activities• Accomplishments for Clients (Excluding PAI)• Private Attorney Involvement• Methods Used to Recruit Private Attorneys• Methods Used to Retain Private Attorney Volunteers• Accomplishments for Clients through PAI • Involvement with Justice and Advocacy Community
Web Forms for Performance Area Three
Performance Area 4
Performance Area 4
• Provide an overview of the organization with indicators of sound leadership and strong internal systems and policies
• Weighted at 27% of the application
• In this Performance Area, we learn:– How the organization’s leadership and management looks and functions.– How various function areas (i.e. HR, fundraising, technology) are staffed in a
manner that suits the size and complexity of the organization.
Performance Area 4
“Relevant Forms” • Listed in RFP instructions on page 34
Other relevant information for this Performance Area:•IRS Form 990 (new)•Organizational chart•Continuity of Operations•Technology Plan•Resumes of ED, Chair, Litigation and/or Deputy Director, CFO, COO, CIO•Actual Staffing Information Form E-1 (new applicants only; current grantees submit staffing info through Grant Activity Reports)
Performance Area 4The PA 4 Criteria1. Board Governance2. Leadership 3. Overall management and administration4. Financial Administration5. Human resources administration6. Internal communication7. General resource development and maintenance8. Coherent and comprehensive delivery structure
Criterion 8 has no inquiries – the topics are addressed elsewhere
9. Participation in an integrated legal services delivery system
Fiscal Oversight and Internal Controls
Overview• LSC adopted the recommendations of the blue-ribbon task
force on fiscal oversight.
• Goal: to ensure that policies, procedures, and systems are in place that foster appropriate financial management and compliance with LSC rules, regulation, guidelines, and directives.
• Fiscal Oversight and Internal Controls form will be used to describe financial policies, procedures and systems
Inquiries Address Four Areas• Staffing, systems, and procedures for ensuring appropriate
financial administration and management
• Board involvement and actions taken to ensure effective fiscal oversight and internal controls
• Policies and procedures for budgeting, accounting, asset management and security, banking, and resource allocation
• Detection and prevention of fraud, misappropriation of funds, embezzlement, or theft
• Applicants encouraged to review the LSC Accounting Guide for Recipients (2010 Edition) before responding to these inquiries– http://grants.lsc.gov/rin/grantee-guidance/accounting-guide-lsc-
recipients
• Applicants may upload accounting manual (or pages therefrom) and reference the passages that respond to inquiries
• Send questions to [email protected]
Changes to the Grant Application Process
RFP Charts Converted to Web Forms
The data charts previously cut and pasted into the proposal narrative have been converted to web forms.
RFP Charts Converted to Web Forms
• Legal Needs Assessment – Data Collection Methods• Legal Needs Assessment – Data Sources and Tools• Intake System Technology• Limited English Proficiency (LEP) Plan and Components• Training• Legal Work Management• Casehandling Protocols• Case Development Activities• Private Attorney Involvement• Methods Used to Recruit Private Attorneys• Methods Used to Retain Private Attorneys Volunteers• Board Policies and Practices• Continuity of Operations Planning
Priorities Outline Converted to Web FormThe Applicant Priorities outline was previously included in the Proposal Narrative
Priorities Outline Converted to Web Form• The instructions have not changed, only the format
• Data is simpler for LSC staff to retrieve and to review
• Previously priorities took up to five additional pages in Proposal Narrative
Priorities Outline Converted to Web Form
• Select “Case” strategy or “Other Services” strategy• Desired Outcome required only for Case strategy
Priorities Outline Converted to Web Form
Priorities Outline Converted to Web Form
Priorities Outline Converted to Web Form
Other Inquiries Converted to Web Forms• Three Most Significant Accomplishments for Clients (Excluding PAI)• Three Most Significant Accomplishments for Clients through PAI• Three Most Significant Examples of Involvement with Justice And
Advocacy Community• Three Most Significant Accomplishments for Clients with Other Providers
(for applicants that are not full service providers)
Governing/ Policy Body Forms
• LSC Grants will calculate whether the applicant is in compliance with 45 C.F.R. § 1607.3 (Governing Bodies),
• 45 C.F.R. § 1607.3 requirements: – At least one third of the governing body be eligible clients– At least sixty percent of the governing body be attorneys– The majority of governing body members ( >50% ) be “McCollum”
attorneys
• Calculations are based on filled positions, defined as “current” Board Members entered into the form
• An applicant that is found to be out of compliance will submit a plan for coming into compliance.
RFP Attachments
• The Proposal Narrative and documents previously attached are now all submitted separately
Online Forms Individual Upload
• Applicant Organization Overview
• List of References
• List of Disciplinary Complaints and Malpractice Lawsuits
• Conflicts of Interest Disclosure
• Organizational Chart (PDF)
• List of resumes of applicant’s Key Staff (PDF; combine all resumes into a single file)
Change in Upload List
• No longer requested: Applicant’s Staff Contact Information• New upload requested: 2011 IRS Form 990
New Form
• Fiscal Oversight and Internal Controls
LSC Regulations and Grant Assurances
LSC Regulations• Implement the statutory requirements and restrictions.
– LSC Act– LSC appropriations riders
• LSC Act and other laws available at LSC.gov under “About”
• Some rules are not in regulations.– e.g., abortion restrictions
• One in the LSC Act• One in the LSC appropriations riders• No LSC regulation
• Additional requirements– PAI (Part 1614)– Cost standards (Part 1630)
LSC Regulations• Chapter XVI of Title 45 of
the Code of Federal Regulations
• LSC.gov—under “About”– copies of the regs– links to the CFR online– regulatory history– open rulemakings– OLA Advisory Opinions (after
1996)– Contact LSC with questions
LSC Regulations
• Regulatory and statutory requirements apply by law to all LSC recipients.
• Federal law—supremacy over state and local laws.
• All applicants agree to be governed by them through the grant assurances as a condition of accepting LSC funding.
LSC Regulations
Broad categories:– Regulations governing LSC actions and procedures
– Regulations relating to restrictions on grantee legal assistance activities• Important to note that many of these restrictions apply
also to a grantee’s non-LSC funds (Part 1610)
– Regulations relating to grantee corporate activities
Changes to the Regulations
• No changes to the regulations since April, 2011– At that time, a technical correction was made to Part 1609
• LSC has an open rulemaking regarding enforcement mechanisms
Grant Assurances
• Contractual obligations the recipient enters into as a condition of accepting LSC grant funds
• Will be available August 2012• Draft 2013 Grant Assurances available at
grants.lsc.gov under Resources — Reference Materials
• Applicants will be notified by email when the Grant Assurances are available
Grant AssurancesBroad categories:
– Agreement to comply with applicable laws and regulations (both generally and specifically)
– Agreement to provide notice to LSC and to abide by certain procedures if there are major changes or actions affecting the grantee’s ability to carry out its responsibilities under the grant
– Agreement to cooperate with oversight activities including submitting to audits and other reviews, providing reports, and maintaining and providing access to specified records
– Agreement to certain conditions on the conduct of recipient’s business
Using the Online Application System atlscgrants.lsc.gov
The Copy Feature
• For applicants applying to more than one service area
• Used to copy application data from one service area to another
• Use carefully to avoid overwriting data unintentionally
• Uploads not copied
The Copy Feature
The Copy Feature
The Copy Feature
• Review all copied information to ensure accuracy
Linked Forms
• For applicants applying to more than one service area
• Some RFP Forms are now “linked” across service areas
Linked Forms• Any information entered in a “linked” form in one
application is automatically transferred to all other service areas for which the applicant is applying
Linked Forms
• Legal Needs Assessment – Data Collection Methods• Legal Needs Assessment – Data Sources and Tools• Involvement with Justice and Advocacy Community• Board Policies and Practices• Continuity of Operations Planning• Accomplishments for Clients with Other Providers• Current Year Governing/ Policy Body Structure
(Forms F-1 and F-2)
Linked Forms (continued)
• Technology (Form K)• Technology Budget (Form D-15)• Organizational Overview• List of References• Conflicts, Complaints and Performance Evaluations• Fiscal Oversight and Internal Controls
Un-submission requests• You will need to use an un-submission request if any
information on your application needs to be corrected
Un-submission requests
Un-submission requests
Pre-population
• Allows users to save time by importing previous information
• Review all information to ensure accuracy
Pre-populationCurrent Recipients New Applicants
Intake System Technology most recent grant application -
Projected Expenses (D-12) most recent grant application -
Projected Revenue (D-14) most recent grant application -
Board Members (F-2) most recent grant application NIC
Technology (K) most recent grant application -
Review all information to ensure accuracy
Validation Summary• Use the Validation Summary chart to see what forms
are complete
Validation Summary• Use the Review and Submit
page to see detailed notes
Validation Summary• Use the Review and Submit page to see detailed
notes
