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					GRANT DEVELOPMENT
    PROTOCOL


     2011-2012
Stockton Unified School District
                                   Grant Development Protocol

                                              Table of Contents




SUSD Grant Development Philosophy ............................................................................... 3

Grant Development Guidelines ......................................................................................... 4

District Goals .................................................................................................................. 6

Pre-Award and Post-Award Activities ................................................................................ 7

Project Leader Responsibilities ....................................................................................... 10

Form 1: Intent to Apply ................................................................................................ 12

Form 2: Grant Application Review Checklist ................................................................... 13

Flow Chart for Development of Grants ............................................................................ 14




                                     Stockton Unified School District’s Grant Development Protocol is a product of the
                                                                                            Grant Development Office
                                                                            Department of State and Federal Programs
                                                                           701 N. Madison Street, Stockton, CA 95202
                                                                         Phone: 209 933-7105      FAX: 209 463-5184

                                                                               Bonnie Mansfield, Grants Administrator
                                                                                                      Extension 2207
                                                          Amber Scabia, Grants Development and Compliance Specialist
                                                                                                      Extension 2203

                                                                                                               September 2011




2011-2012                                                                                                                        2
                             Stockton Unified School District
                           Grant Development Philosophy


    1. Stockton Unified School District will aggressively and systematically seek, secure,
       maintain and manage grant funds for purposes consistent with district goals and the
       goals of its individual schools.

    2. Stockton Unified School District will establish and maintain a specific grant
       management plan, with processes and procedures that explicitly outline activities,
       quality control measures, accountability measures, responsibilities, and deadlines for
       competitively seeking, securing, and managing grant funds.

    3. Stockton Unified School District will commit and allocate adequate resources to ensure
       that its grant management plan is effectively implemented and operated.

    4. Stockton Unified School District will use grant funds exclusively to supplement,
       expand, improve, or enhance current efforts of the school system or to implement
       new efforts in order to reach district or school goals.

    5. Stockton Unified School District will operate grant-funded programs in accordance with
       the terms and conditions of the funding agency.

    6. Stockton Unified School District will systematically evaluate and assess the
       effectiveness of its grants management plan and make modifications to the plan when
       deemed desirable and appropriate.




                                    Policy Statement

            It is the policy of Stockton Unified School District to assist and support
            schools and departments in the pursuit and acquisition of grant funding
            from federal, state and other governmental units, as well as from private
            and foundation sources, in order to improve student achievement, enhance
            professional development efforts, and advance the district's goals and the
            goals of individual schools.




2011-2012                                                                                       3
                                Stockton Unified School District
                              Grant Development Guidelines



1.          Pursuit of any grant must be authorized in advance, using Form 1: Intent to Apply.
            • District-level grants must be authorized by the Superintendent.
            • School-level grants must be authorized by the appropriate Assistant Superintendent.

2.          All grant projects must have a clear relationship to the implementation of district goals or
            annual school plans.

3.          All grant development activities must be consistent with SUSD Grant Development Policy.

4.          All other SUSD policies, procedures, rules, and regulations (personnel and business-related)
            also apply to grant-funded projects.

5.          Grant funds may not be used to pay for programs or positions that already exist.

6.          Grant-supported projects should not encroach on the district’s general fund. In other words,
            grant funds, combined with matching funds (if any), should cover all expenses of the grant-
            supported project.

7.          Each proposed grant project must specify by name or position a Project Leader. The Project
            Leader must affirm in writing his/her acceptance of the responsibilities of the Project Leader
            by signing Section 3 of Form 1.

8.          Schools may not receive grant funds directly. All grant funds will be maintained by the
            district’s business office in a separate account with a separate code number and may not be
            placed in School Activity Accounts.

9.          Unless specifically prohibited by the funder, all grant budgets over $1,000 must include
            indirect expenses (for district administration of grant funds) at the district’s approved rate.
            Contact the Accounting Office or the Grant Development Office for the current rate.

10.         All employees applying for grants must follow the district’s Sign-Off Process (Form 2, Grant
            Application Review) before submitting a proposal to a funder. This applies to all grant
            proposals for public and private funds. There are no exceptions.

12.         The district is the grantee. The Superintendent (or designee) is the only individual in SUSD
            who may sign the cover sheets, assurances, contracts, and other forms that may be required
            by the funding agency. Descriptors such as “authorized representative” or “authorized
            certifying official” refer to district-level, not site-level, authorization.




2011-2012                                                                                                  4
13.         ALL finalized grant proposals must be reviewed and approved by the appropriate SUSD
            departments prior to submission to the Superintendent and the funding agency. Projects
            that include substantive changes to the status quo may require more than a brief
            review by the relevant SUSD departments. Project Leader should plan accordingly.
            Project Leader should complete and attach Form 2 to the proposal and acquire signatures
            according to the following Sign-Off Process:
            a. All grants must be approved by the Administrator of Budget and Accounting.
            b. All grants involving school sites must have approval of the appropriate Assistant
                Superintendent.
            c. All grants proposing to hire or pay personnel must be approved by the Assistant
                Superintendent for Human Resources.
            d. All grants proposing to provide student services (e.g., tutoring, mentoring, counseling)
                must be approved by the Assistant Superintendent for Student Services.
            e. All grants proposing to make physical changes to a district site, whether to playgrounds,
                buildings, or grounds, must be approved by the Director of Facilities Services.

14.         IMPORTANT: ALL GRANTS MUST BE APPROVED AND SIGNED BY THE
            SUPERINTENDENT. THERE ARE NO EXCEPTIONS.

            After obtaining all other appropriate signatures on Form 2, Project Leader should submit the
            full proposal, with completed Form 2 attached, to the Superintendent for his signature on
            both Form 2 and on any forms required by the funding agency. NOTE: Form 2 is for
            internal use only and should not be submitted to funder.

15.         A copy of the entire proposal should be provided to the Grant Development Office for their
            files, after signatures have been obtained.

16.         If the proposal is successful, the funding agency may forward a grant contract, with a request
            that a signed copy be returned. Only the Superintendent is authorized to sign grant contracts.
            Bring the contract to the Superintendent’s office to secure the Superintendent’s signature.

17.         The funded project must be implemented as described in the approved proposal. Acceptance
            of a grant constitutes a binding legal contract.




2011-2012                                                                                                  5
                          Stockton Unified School District
                                  2011-2012 Goals

        Grant-funded programs must have a clear relationship to implementing
                  one or more of the following district goals or goals
                described in one or more of a school’s approved plans.


                                  Governing Board’s Goals

    1. Create and maintain a safe and caring environment in which every person can realize
       his or her best self.
    2. Ensure that all students graduate from high school capable of a productive, happy life
       of continuous learning.
    3. Every student is literate, possesses life management skills, communicates effectively in
       English, knows and respects his/her own culture, and knows how to be healthy.

                                   Superintendent’s Goals

    1. Every child by the end of the 3rd grade will read and comprehend at the proficient
       level.
    2. Every child by the end of 8th grade will demonstrate mastery of Algebra concepts and
       application.
    3. Every child by the end of 12th grade will graduate and be college and career ready.




2011-2012                                                                                     6
                             Stockton Unified School District
                Grant Development and Management Activities


                                            Superintendent
                         PRE-AWARD                                              POST-AWARD
Approve/deny request to apply for a particular grant.                Sign all grant contracts.

Identify departments and/or individuals that should be involved
in the development of the proposal and budget.

Appoint a Project Leader for each grant project if none is
named.

Determine whether or not District Grant Writers will be lead
writers.

Sign all cover sheets, assurances, contracts, and other forms
that may be required by the funder.




                                      Grant Development Office
                      PRE-AWARD                                              POST-AWARD
Disseminate information about grant opportunities on an         Acquire peer reviewer comments and other
ongoing basis.                                                  feedback on any grants not funded, and
                                                                provide written analysis to Superintendent,
Review grant RFPs/RFAs and regulations.                         if requested

Maintain relations with funding agencies issuing grant          Maintain a separate file folder for each
RFPs.                                                           grant submitted by SUSD

Develop “boilerplate” information.                              Provide Superintendent annual reports re
                                                                grant development activities
Provide staff training in development of grant proposals.
                                                                For selected grant projects, monitor
Provide consultation and assistance to project developers.      compliance with district and funder
                                                                requirements and regulations as well as
When assigned as lead writers, write grant narratives and       fidelity to project and budget, in
finalize grant proposals. Otherwise, provide consultation       cooperation with Accounting Office
and assistance to project developers.
                                                                Provide consultation and assistance to
Work with Project Leaders to develop grant budgets, if          project implementers.
requested.
Conduct internal review and guidance on grant proposals,        Debrief Superintendent regarding any
if requested.                                                   unsuccessful grant proposals, as requested.

Ensure that signatures are acquired on Form 2 and on            Debrief Project Leaders regarding any
2011-2012                                                                                                  7
                                       Grant Development Office
                      PRE-AWARD                                             POST-AWARD
required forms and assurances.                                 unsuccessful grant proposals, as requested.

When assigned as lead writers, submit grant proposals to
funders.



                                              Project Leader
                PRE-AWARD                                             POST-AWARD
Accept the responsibilities of Project Leader by   Ensure project is implemented as described in
signing the Grant Project Leader Acceptance of     proposal.
Responsibilities on Form 1.
                                                   Prepare requests for transfer of funds, and ensure that
If Grant Writers are lead writers, provide a       all expenditures are allowable and are as described in
detailed outline of desired project or program     approved budget.
to be implemented. After writing begins on the
grant, regularly review draft proposals and        Obtain prior approval from funder if project or budget
provide feedback so that proposal provides an      must be altered or modified in any substantive way.
accurate description of project.
                                                   Maintain accurate, thorough records, including:
If Grant Writers are not lead writers, write or       • documentation of grant award
oversee the writing of grant narrative.               • copies of fund transfers, personnel and payroll
                                                          records, requisitions, invoices, and purchase
Submit project budget, including identification           orders
of match funding, if required, to District            • equipment inventory
accounting office for approval.                       • data required for evaluation.

Acquire Memoranda of Understanding and/or          Facilitate and/or monitor project evaluation, and
Letters of Support from collaborative partners,    cooperate with grant evaluator.
if applicable.                                     Ensure that all required reports are submitted on time.

Acquire required signatures on Form 2,             Document matching funds, if applicable. (If matching
proposal, and assurances.                          funds are shown in budget, then they are a legal
                                                   requirement of the grant project. Reporting and
Submit grant proposal to funder.                   documentation must include both grant funds and
                                                   match funds.)

                                                   Ensure that all grant money is spent by end of grant
                                                   period, and ensure that grant account is closed.




2011-2012                                                                                              8
                                       District Accounting Office
               PRE-AWARD                                            POST-AWARD
Review and tentatively approve draft grant       Establish and maintain grant accounts as per district
project budgets.                                 procedures.

Assist Project Leaders, Project Design Teams,    Monitor the expenditure of grant funds according to
and/or Grant Writers in development of           approved project budgets.
accurate project budgets.
                                                 Approve purchase requisitions for grant-funded
Approve final grant project budgets.             programs.

                                                 Manage budget modifications as needed.

                                                 Complete financial reports required by funding
                                                 agencies and send copies to Project Leaders on
                                                 request.

                                                 Serve as fiscal contact with CDE and other funders.

                                                 Working with Project Leader, facilitate audits.




2011-2012                                                                                            9
                                 Stockton Unified School District
                                       Grant Project Leader
                                  Description of Responsibilities


Pre-Award

After the Superintendent authorizes the District-level Director/Administrator to develop a grant
project/proposal, the Grant Project Leader facilitates the grant development process. Duties include:

   1.       Sign and submit completed Section 3 of Form 1 to Grant Development Office, indicating
            acceptance of the responsibilities listed herein.

   2.       Assemble likely project implementers into a “Project Team” and oversee development of
            project design and proposal.

   3.       Invite broad-based participation by collaborative partners that may be required by funder or
            identified by Project Team as necessary to project development.

   4.       Request assistance, if desired, from Grant Development Office.

   5.       Write or oversee the writing of and finalize the grant proposal. (If the Superintendent has
            assigned District Grant Writers as lead writers, regularly review draft proposals and provide
            feedback to Grant Writers so that proposal provides an accurate description of project.)

   6.       To enhance development of the narrative and expedite later budget approval, develop a
            preliminary (draft) project budget, including matching funds, if required, and secure tentative
            approval of draft budget by accounting office. Specify the source for any matching funds.

   7.       Work closely with an outside evaluator, the Grant Development Office, or the district’s
            Research and Evaluation Department to determine the evaluation methods that will be used to
            measure project success and design or identify evaluation tools.

   8.       Acquire any required or recommended Memoranda of Understanding or Letters of Support
            from collaborative partners.

   9.       Working with accounting office, finalize the grant project budget.

   10. Finalize the proposal.

   11. Acquire the appropriate signatures on Form 2, and submit both Form 2 and the final
       proposal to Superintendent for signature prior to submitting proposal to funder.

   12. If District Grant Writers are not lead writers, submit complete final proposal to funder.

   13. Provide copy of completed final proposal to Grant Development Office.
                                                                                                  Page 1 of 2




2011-2012                                                                                                   10
Post-Award

If grant project is funded, the Project Leader will be the main contact between the funder and the
project. Most correspondence from the funder will be directed to the Project Leader, as will most
questions and/or concerns regarding the project. Although most financial reporting responsibilities
fall to the business office, questions from the funder regarding the expenditures on the reports will be
directed to the Project Leader. Additionally, program reporting responsibilities fall to the Project
Leader.

REMEMBER: A acceptance of a grant is a binding legal contract! Acceptance of any grant
creates a legal duty on the part of the grantee to use the funds or property awarded in
accordance with the conditions of the grant and the intent of the original proposal.

After a proposal is funded, it is the responsibility of the Project Leader to:

    1. Read the conditions of the grant award and follow them.

    2. Do what your proposal said you would do! Carry out all project activities according to the
       award agreement and the original proposal.

    3. Present any required grant contracts to the Superintendent for signature and ensure they are
       returned to the funder. Maintain copies of any grant contracts on file.

    4. Obtain prior approval from funder before altering or modifying project or budget in any
       substantive way.

    5. Work toward achieving the goals and objectives that were included in your proposal.

    6. Maintain any and all data necessary for evaluation of the success of your project, and facilitate
       and monitor the evaluation process.

    7. Use the grant budget as your guide in spending grant funds. You may not spend the
       funds unless you spend them according to your proposed budget. You are responsible for
       ensuring that all expenditures are allowable and are as described in funded project budget.

    8. Ensure that all relevant regulations and policies of the funder and the district are followed.

    9. Maintain accurate, thorough records, including:
          a. copies of grant fund transactions, personnel and payroll records, requisitions, invoices,
              and purchase orders;
          b. equipment inventory; and
          c. data required for evaluation.

    10. Throughout the funding period, ensure that all financial and program reports are completed
        accurately and submitted on time as required by funder, and provide copies of all reports to
        Grant Development Office for placement in grant files.

    11. Make sure that all grant funds are spent by the end of the grant period.

                                                                                              Page 2 of 2

2011-2012                                                                                               11
                        FORM 1: INTENT TO APPLY
                        Submit Form 1 before starting to work on a grant!
    The purpose of Form 1 is to request authorization to apply for a grant. Submission of Form 1
                    is required for all grants in Stockton Unified School District.


SECTION 1: : Complete this section and submit it to the Grant Development Office before beginning to develop a grant
project or grant proposal. You will be notified if authorization is given.
  Your Department
                                                                              Today’s Date:
          or School:

     Your Signature:                                                                                          Phone:

     Name of Grant:                                                                                       Due Date:
Funding Agency Type:                 Federal                        State government                           Local government
(check one)
                                     Corporate                      Private Foundation                         Other
Name of Funding Agency:

If CDE or USDOE, which Department?

Maximum amount
of grant:
                      $                                                   One time only                    Per year for _____ years
Does grant allow
                                                              Designated
indirect costs on      Yes  No                              Project Leader:
budget?
What does the
funding agency
state as the
purpose of this
grant?
What specific
district/school goals
will you target with
these funds? (See
pages 7-8 of
Protocol.)
SECTION 2: AUTHORIZATION
You are authorized to apply for this grant. Someone must assume the responsibilities of Grant Project Leader for this
grant and sign Section 3 below. Please present a copy of completed Form 1 to Grant Development Office.

Signature: __________________________________________________________ Date: _____________________
For district-level grants, Superintendent must sign. For school-level grants, Elementary or Secondary Assistant Superintendents sign.

SECTION 3: FOR GRANT PROJECT LEADER’S USE ONLY

I have read the Description of Responsibilities of the Grant Project Leader in the SUSD Grant Development
Protocol and I understand and accept those responsibilities for this grant project.


Project Leader’s Signature: ______________________________________________ Date: ____________________



    2011-2012                                                                                                                           12
     FORM 2: GRANT APPLICATION REVIEW
      The purpose of Form 2 is to verify that each grant proposal and grant budget has been reviewed and
            approved by the appropriate SUSD departments PRIOR to their submission to funder.
              Submission of Form 2 is required for all grants in Stockton Unified School District.

PROJECT LEADERS: Complete the following section, attach Form 2 to your completed grant
proposal, and present both to the appropriate departments (see guidelines below) for required
signatures prior to deadline for submission to the funding agency. Give a copy of completed Form 2 to
Grant Development Office. The LAST signature obtained should be that of the Superintendent.
Today’s Date:                                                        Grant Due Date:

Project Leader’s                                                                  Phone:
Signature:
Name of Grant:                                                                    Amount
                                                                                  Requested:   $
Funding                                                                 School(s) to
Agency:                                                                 be served:
Description of
project:

What will grant
budget pay for?

DIRECTORS/ADMINISTRATORS: Indicate your approval of the attached grant proposal by signing in
the appropriate space opposite your job title.
DIRECTOR OF FACILITIES AND PLANNING
Required if the project will make any physical changes to a        __________________________ Date: ____________
district site (e.g., playgrounds, buildings, etc.)

ASSISTANT SUPERINTENDENT FOR STUDENT
SERVICES
Required if the project involves or affects student services
                                                                   __________________________ Date: ____________
department staff or will provide student services (e.g.,
tutoring, mentoring, counseling, special education)
ASSISTANT SUPERINTENDENT FOR HUMAN
RESOURCES                                                          __________________________ Date: ____________
Required if the project will hire (or add additional hours to)
personnel
ASSISTANT SUPERINTENDENT FOR
ELEMENTARY/SECONDARY                                               __________________________ Date: ____________
ALWAYS required if project involves a school site.

ASSISTANT SUPERINTENDENT FOR
CURRICULUM/PROFESSIONAL DEVELOPMENT
Required if the project adds curricular materials, involves or
                                                                   __________________________ Date: ____________
affects curriculum department staff, or pays for professional
development activities.
CHIEF TECHNOLOGY OFFICER
Required if the project will involve the purchase, installation,
or use of technology.
DIRECTOR OF BUDGET AND ACCOUNTING
ALWAYS Required                                                    __________________________ Date: ____________
SUPERINTENDENT (OR DESIGNEE)
ALWAYS Required                                                    __________________________ Date: ____________



     2011-2012                                                                                            13
                                   Stockton Unified School District
                                  FLOW CHART FOR DEVELOPMENT
                                       of District-Level Grants

                   Identify a Grant Opportunity and possible project, and name a Project Leader.



                                 Complete and submit Section 1 of Form 1 (Intent
                                     to Apply) to Grant Development Office.


               If authorization to apply is received, submit Form 1 to Grant Development Office,
                                      signed in Section 3 by Project Leader.



                 Project Leader assembles a Project Team and schedules ongoing meetings of
                               Team to develop the project and project budget.


   If District Grant Writers will not be lead writers              If District Grant Writers will be lead writers
  (Superintendent will decide), request any desired             (Superintendent will decide), include one or both
             assistance from Grant Writers.                                      on Project Team.


                             Project Leader is responsible for facilitating development of
                            project and schedules ongoing meetings of Team and writers.


                             Project Leader submits draft project budgets to Accounting
                                      Office for review and tentative approval.



Project Leader and/or Project Team (with possible Grant Writer           District Grant Writers write grant
    assistance) write grant narrative and finalize proposal.              narrative and finalize proposal.



                          When grant and budget are in final form, Project Leader obtains
                                       appropriate signatures on Form 2.



                                   Project Leader submits proposal (with Form 2
                                    attached) to Superintendent for signature.



                          Submit signed proposal          Submit copy of signed Form 2 and proposal
                                to funder.                       to Grant Development Office.



  2011-2012                                                                                                 14

				
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