Topic:  Resource development, fundraising, and grants

15 July 2003

This FYI addresses a National CASA Association best practice issue as well as an Ohio minimum Standards issue.

The National CASA Association (NCASAA) has recently developed a protocol related to maximizing fundraising and grant acquisition in a time when philanthropic dollars are scarce.  This FYI incorporates the NCASAA protocol as well as clarification of Ohio Standards for addressing fundraising and grant acquisition. 

The NCASAA Resource Development Protocol

Introduction

Not for profit organizations must strive to obtain and sustain an optimal funding mix of public and private support to secure their future. However, in this decade we are experiencing escalating human service needs and costs, while the availability of government funds is sharply curtailed. As a result, more organizations than ever are appealing to the same foundations and corporations for private support.

Several funders across the country have acknowledged that they receive grant request from multiple CASA programs. This is reasonable when the prospective funders’ guidelines are appropriate for CASA program support, and the funder does not restrict giving to a specific geographic area. Even so, the best approach to a prospective funder should be made in coordination and cooperation with other CASA programs. That way, the funder will not feel overwhelmed and disinclined because of numerous requests from CASA programs in a single grantmaking period. Additionally, through a coordinated approach, it is far less likely that one program’s request could jeopardize the outcome of a pending request from another program.

Research 

The National CASA Association (NCASAA) routinely send inquiries to funders throughout the country, requesting information such as annual reports, giving guidelines, funding priorities and eligibility of national organizations to receive funding.  When NCASAA learns of a prospective funder whose priorities are appropriate for CASA program support, yet restricts charitable to a specific geographical area, NCASAA should provide lead to the member CASA program in that area. 

Likewise, when State or local programs discover a funder which is not appropriate for its own program support, but may be appropriate for national projects, the program should provide that lead to NCASAA.  When a prospective funder is identified which provides funding for national projects as well as specific community support, through the same office or funding mechanism,* NCASAA will proceed with respect and consideration for the member CASA program located in the State or community of the funder, whichever, is more appropriate as described below.

Submission of Funding Request                                                                                      

1. Before submitting a request for funding, NCASAA will notify the appropriate CASA program located in the State or community of the funder. If the CASA program has a request pending, or is preparing a request for submission, and it is agreed that a request from NCASAA may affect the outcome of the CASA program’s request, NCASAA may defer any action until the prospective funder acts upon the CASA program request. NCASAA and the CASA program should then come to an agreement on the best timing of NCASAA’s request. Certain circumstances may warrant notification after an initial proposal.

2. A funder who provides ongoing support for a CASA program may also consider national projects. The State or local programs and NCASAA offices should discuss this, and may even inquire of the prospective funder if one tier of CASA program support excludes the other (if this is not evident in the written guidelines). If it is appropriate to the project, NCASAA/State/local program may take the opportunity to team in their meetings with a prospective funder, or collaborate on the grant proposal.

3. State and local CASA programs should notify NCASAA before approaching a national funder, most especially when NCASAA has an established relationship with that funder. NCASAA may have a request pending or ready to submit to the funder. NCASAA may also be able to provide information on the prospective funder or on previous approaches by CASA programs.

4. The fact that a prospective funder is located within a State or local CASA program’s community is not, in itself, reasonable grounds for NCASAA to defer solicitation. Programs should coordinate their solicitations as described in #1 above.

5. NCASAA/State/local programs should make every effort to follow this protocol when there is potential conflict with the development efforts of another program.      

Ohio Requirements

Fundraising/Charitable

Any program that solicits funds (with certain exceptions) must register with the Ohio Attorney General’s Office, Charitable Registration Section as set forth in Ohio’s Charitable Organization Act (Chapter 1716, Ohio Revised Code).  State law requires this filing on an annual basis and the registration fee is based on the amount of contributions the program receives.  To obtain further information and a copy of the forms you must use please call (614) 466-3180 or visit www.ag.state.oh.us.

Grant Acquisition

Although applying for grants does not technically equate to making solicitations or fundraising, the Standards for fundraising would still apply.  The following guidelines governing fundraising activities in the Standards are applicable to grant activities:

• conducting solicitations (applying for grants) in an ethical manner;

• providing funding entities with an accurate description of the program, its purpose and services, and the financial needs for which the solicitation (grant request) is being made; and

• spending funds for the purposes for which they were solicited.

If you have any questions about resource development, fundraising, or grants, please contact Lynn Sylvis, Ohio CASA/GAL Association resource development specialist at lynn@ohiocasa.org.

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NCASAA Footnotes
*Written guidelines provided by a prospective funder generally define the tiers of support which the funder will provide, i.e., support for projects with a restricted geographic area, regional projects or national projects.

When the guidelines clearly restrict support to just one tier (local, regional, national), there is little potential for conflict between National and CASA program requests.

The guidelines may also describe separate mechanisms to support giving at two tiers. That is, a National corporation may, through its regional office, provide support for nonprofit agencies within that geographic region. At the same time, the national corporation, through its headquarters office or a corporate foundation, may provide support for national projects. When grant making is provided for multiple tiers, through separate mechanisms (i.e., regional office and a national office), again there is little likelihood for conflict.