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CAPACITY BUILDING INITIATIVE
FY2015 Guidelines
Sustainability
Accelerator
Residency Incubator
Pre-Incubator
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Accessibility and Special Needs
Houston Arts Alliance works to make its grant application process, assistance and workshops open to all interested parties. Applicants with special needs should contact Houston Arts Alliance grants staff. If you would like to attend an application workshop and need special accommodations, please contact Houston Arts Alliance grants staff one week in advance [if possible] at 713.527.9330.
Board of Directors
Marc Melcher, Chairman of the Board Karen Harnett J. Michael Treviño
John Guess Jr., Vice Chair Patricia Herrera David Ashley White*
Suresh Raghavan, Treasurer Janet McDonald Hobby Ron Witte
Denise DuBard, Secretary David LaDuca* David Wuthrich
Nancy Allen
Philamena Baird
Fatima Mawji
Partner Liaisons:
John Binick Richard McGee Laurette Cañizares - Houston Museum District
Minnette Boesel Gigi Myung* Cissy Segall Davis - Miller Outdoor Theatre
Brad Bucher Greg Ortale Andrew Huang – Houston Theater District
Shannon Buggs* Adrian Patterson Dawn Ullrich – Houston First
Michael Cordúa Mark Praigg
M. Kaye DeWalt Randhir Sahni
Diedra Fontaine Leigh Smith*
Roland Garcia Lynda Transier *Mayoral Appointees
Jonathon Glus, Chief Executive Officer
Carrie Bañuelos, Accounts Payable Coordinator
Jimmy Castillo, Civic Art + Design Collections Manager
Sophie Chen, Accounting Assistant
Dominique Esteves, Grants Assistant
Kristen Flack, Programs + Services Coordinator
Kenneth Franco, Advancement + Digital Marketing Coordinator
Richard Graber, Director of Programs & Services / Interim Director of Grants
Tommy Gregory, Civic Art + Design Coordinator
Carolyn Hays, Manager, Arts + Business Council of Greater Houston
Tamekia Lloyd, Accounting Assistant
Kathryn Lanning Herman, Executive Assistant to Jonathon Glus, CEO
Marie Jacinto, Director of Communications
Pat Jasper, Director of Folklife + Traditional Arts
Matthew Lennon, Director of Civic Art + Design
Dean McGee, Chief Operating Officer
Angel Quesada, Folklife + Traditional Arts Associate Program Coordinator
Karen Ross, Communications Manager
Vicki Rosborough, Finance Manager
Shannon Teasley, Grants Manager
Giuseppe Taurino, Manager, Capacity Building Initiatives
Kate Ostrow-Yadan, Director of Development
Houston Arts Alliance
3201 Allen Parkway, Suite 250•Houston, TX 77019 Phone 713.527.9330 • Fax 713.630.5210 • Website: www.haatx.com
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The Initiative at-a-glance:
PROGRAM: Pre-Incubator Residency Incubator Accelerator Sustainability
Goal Develop orgs from
idea to start-up Incubate orgs from start-up to growth
Accelerate orgs from growth to
maturity
Sustain mature orgs through decline &
turnaround
Partnership Term 12 months 36 months 12 months 12 months
Investment Limited awards of $5000 - $10,000
$15,000/year for three years
Up to $20,000
Up to $20,000
Services Management services &
capacity funding
Management services, co-workspace & capacity
funding
Technical funding for multiyear
strategic planning or implementation
Technical funding for multiyear strategic
planning or implementation
Avg. Budget Size $10K - $50K $75K - $200K $100K - $750K $750K+
Avg. Staff size (Full Time Equivalent)
0 – 1 FTE 0.5 – 2 FTE 2 – 4 FTE Staff > 3 FTE
20 Current
Participants
Class of 2014 14 Pews
Apollo Chamber Players Frame Dance Productions Landing Theater Company
Our Image Film & Arts Q-Fest
Shunya Theatre Urban Souls Dance Company VOX – The Rob Seible Singers
Class of 2016 Houston Boychoir
Karen Stokes Dance
Mildred’s Umbrella Theater Company
Noble Motion Dance
Class of 2014 Ars Lyrica Houston
Dance Source Houston
Houston Chamber Choir
Houston Friends of Chamber Music
Class of 2014 Art League Houston
Houston Center for Photography
Project Row Houses
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CAPACITY BUILDING INITIATIVE
Our mission is to impact, inform, and invest in the administrative capacity of arts organizations toward artistic excellence.
CAPACITY BUILDING INITIATIVE (CBI) GOALS:
To facilitate delivery of effective assistance through coordination, collaboration and networking.
To create a culture of learning by demystifying management tools, techniques and approaches so that they are understood, accepted, and appropriately and effectively integrated into operations of service recipients.
To ensure long-term viability of arts organizations as channels for diverse cultural expression. Since 1993, HAA’s Capacity Building Initiative (formerly the Management Assistance & Development Enterprise Program) has received local and national acclaim for its documented ability to increase the organizational capacity of arts organizations. The Initiative was cited as one of eight capacity building programs across the country in the discussion draft, “Rethinking Sustainability: Strengthening Arts Organizations During Times of Change,” prepared by Strategic Grantsmaker Services for The Ford Foundation.1 Through the CBI, HAA provides investments in organizational infrastructure through five (5) service areas:
GENERAL SERVICES: The Initiative collaborates with other area service providers to leverage community resources. The Initiative also develops its own projects to meet the needs of arts organizations and artists. General services include: capacity building workshops, networking meetings, onsite Resource Library, and online organizational learning database.
PRE-INCUBATOR PROGRAM develops organizations from idea to start-up (total revenues of $10,000 - $50,000) by facilitating the establishment of critical infrastructure (i.e. management, governance, financial resources, and administrative systems).
RESIDENCY INCUBATOR PROGRAM strengthens the capacity of start-up organizations towards growth (total revenues of $50,000 to $200,000) through management services, co-workspace, and capacity funding (up to $15,000 per year). For thirty-six (36) months, participating organizations will receive in depth training, diagnostics, and resources to address critical competencies. ACCELERATOR PROGRAM strategically advances organizations from growth to maturity by investing in critical infrastructure. Specifically, the Initiative invests between $10,000 - $20,000 in growth organizations (total revenues of $100,000 to $750,000) through the creation of board adopted strategic plans and funding for strategic plan implementation. SUSTAINABILITY PROGRAM strategically reinforces mature organizations through decline and turnaround by investing in critical infrastructure. Specifically, the Initiative invests up to $20,000 in mature organizations (total revenues over $750,000) through the creation of board adopted strategic plans and funding for strategic plan implementation.
1Thomas Wolf, ed., Rethinking Sustainability Strengthening Arts Organizations During Times of Change, Strategic Grantmaker Services, May, 1995.
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PRE-INCUBATOR PROGRAM
PURPOSE
A healthy, vibrant nonprofit arts sector is vital to positioning Houston as a cultural tourism destination. Towards that end, the Houston Arts Alliance, through its Capacity Building Initiative (CBI), provides specialized investments at pivotal stages of organizations’ lifecycles. These investments are focused on critical infrastructural support, with an aim towards facilitating stability, growth, and viability.
The Pre-Incubator Program develops organizations from idea to start-up by facilitating the establishment of critical infrastructure (i.e. management, governance, financial resources, and administrative systems).
BENEFITS Select Participants will receive an unrestricted grant award up to $7,500. All Pre-Incubator Participants will have access to the Resident Incubator Program’s online project management system, monthly Incubator Speaker Series presentations, and HAA sponsored professional development workshops for a one-year engagement.
Additional program benefits include:
1. Management Services by HAA Staff Diagnostic Assessments including:
o Organizational Self-Assessment focused on refining the four areas of infrastructure: financial resources, board governance, staff management, and administrative systems.
o Financial Profile Assessment. Monthly Outputs designed to strengthen organization’s core infrastructure as it pertains to financial
resources, board governance, staff management, and administrative systems. Invitation to participate in monthly Incubator Speaker Series presentations focusing on topics related
to governance, financial resources, management and marketing. Invitation to attend all HAA sponsored professional development workshops for free.
2. Up to $7,500 in Capacity Funding Eligible areas for capacity funding include, but are not limited to, Administrative expenses (i.e. rental fees, administrative salaries, financial management systems, website development, strategic consultancy, etc.) and/or Program expenses (artistic fees, production expenses, marketing & public relations expenses, etc.). Participants are urged to discuss potential use of funds with HAA staff to maximize impact of the funds in moving the organization forward. Funding will be determined after a Six Month Review.
ELIGIBILITY
The following are the eligibility requirements to apply for the Pre-Incubator Program:
1. The organization’s primary mission, as described in its mission statement and approved by its board of directors, is the production or presentation of arts and cultural programming.
2. The applicant organization’s annual cash revenues (not including any HAA grants) are between $10,000 and $50,000.
3. The organization has current tax-exempt status under Section 501(c)(3) (or the equivalent) of the Internal Revenue Service as a public charity. The tax-exempt status must have been granted by the IRS at least one year prior to the grant application deadline. (Organizations who wish to enter the program under fiscal sponsorship of an umbrella nonprofit should reach out to Manager of Capacity Building Initiatives prior to submitting LOI/Application.)
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4. The organization has produced or presented arts or cultural programming open to the general public for at least one year prior to the grant application deadline.
5. The organization is physically based within the Greater Houston area, defined as Harris County and the contiguous counties (Brazoria, Chambers, Fort Bend, Galveston, Liberty, Montgomery and Waller Counties).
6. The organization has not received any CBI funding (Pre-Incubator, Resident Incubator, Accelerator, or Sustainability) from HAA and is not currently receiving General Operating Support (GOS or GOSE) funding from the HAA Grants department. Organizations receiving or having received Project funding from the HAA Grants department are eligible to apply.
7. The applicant organization’s board of directors has at least three independent board members who meet regularly to conduct the business of the organization.
8. The majority of the organization’s programs and events are advertised and open to the general public.
9. The organization does not have any outstanding Final Reports due to Houston Arts Alliance.
HOW TO APPLY All potential applicants must initially submit a Letter of Inquiry on organizational letterhead. The LOI should be no longer that 1 – 2 pages in length, and should briefly address the following: 1) Describe the organization, its mission, and accomplishments to date. 2) What are the organization’s artistic and programmatic goals over the next 12 months? What specific
challenges does the organization face in achieving those artistic and programmatic goals? 3) What specific challenges does the organization face in terms of establishing and/or solidifying critical
infrastructure over the next 12 months? 4) How will participation in the Pre-Incubator Program help the organization confront the identified challenges
and achieve its identified goals?
In addition to submitting an LOI, all potential applicants must also submit a completed Business Model Planning Template. The template, which was adapted from the Nonprofit Finance Fund, is available for download on the Pre-Incubator Program page. Completed Letters of Inquiry and Business Model Planning Template may be submitted via email to [email protected], by 5:30 pm on Friday, July 18, 2014. Submissions received after the deadline will NOT be considered for the full application. Submissions will be evaluated based upon artistic merit, organizational strength, and the organization’s likely ability to benefit significantly from participation in the program. A limited number of candidates will be invited to submit a full application the week of August 11, 2014. Full applications will be reviewed, and a limited number of Participants will be extended an invitation into the Pre-Incubator Program in September 2014. Program begins October 1, 2014 and runs through September 30, 2015.
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REVIEW PROCESS + CRITERIA
HAA will facilitate an intensive program designed to address specific areas of capacity building. Participants, with the guidance of HAA staff & BVA2 volunteer, will work to leverage the program’s resources toward strengthening administrative systems, governance, management, and financial resources/fundraising. Each Participant is expected to complete over 30 action items within 180 days, and demonstrate positive growth in organizational infrastructure. Participants will appear before panel review in April 2015. Panelists will evaluate participants based on artistic merit, timely completion of action items (outputs) and mid-year report, measurable changes in organizational growth (outcomes), and HAA Staff and BVA Volunteer observations. Based on panel review results, select Participants will be awarded funding ranging from $5,000 - $7,500. Non-awarded Participants are encouraged to continue through the program and benefit from the free financial management, governance, and marketing consulting through September 2015.
AFTER RECEIVING AN AWARD
The Participant will enter into a grant agreement that clearly states the scope of services and outlines the requirements of the grant. All grant funds are to be used for the stated activities as a requirement of the grant agreement.
SIGNING THE GRANT AGREEMENT Houston Arts Alliance requires two authorized officials from the awarded organization sign the agreement. One of these officials must be the CEO, executive director, president or board chair of the organization. If the CEO and board president or chair is the same person, then another non-related officer must sign as second signature. The grant agreement will outline the terms of the grant, scope of services, reporting requirements and legal issues applicable to the funding. Houston Arts Alliance reserves the right to make changes to the grant program policies, schedule or guidelines. If any changes are made, grantees will be notified in writing within 30 days of the change. Grantees are required to acknowledge the support of the City of Houston and Houston Arts Alliance through the use of logos and credit lines on all marketing and promotional materials. Houston Arts Alliance and City of Houston logos can be found on the Houston Arts Alliance website (www.houstonartsalliance.com/news/haa-logo-usage-guidelines/), the credit line is: “[Organization Name] is funded by grants through the Houston Arts Alliance and is a Participant of the Capacity Building Initiative.” GRANT PAYMENT
The initial payment will be made after execution of the grant agreement. The final payment is dispersed after submission and approval of the final report. (Please see the reporting requirements section below.)
2 Business Volunteers for the Arts (BVA) is a pro bono consulting program for nonprofit arts that connects skilled business professionals with arts organizations in need of high-level business assistance. For more information, visit our website www.houstonartsalliance.com .
Competency Pre-Incubator
Artistic Merit/Organizational Strength 40 points
Outputs Completed 30 points
Outcomes Achieved 30 points
TOTAL 100 points
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Grantees with outstanding reports from previous years are not eligible to receive any payments until the previous grants are closed out. Grantees are ineligible for any future grants if they are in default of a previous grant.
REPORTING REQUIREMENTS CBI Participants receiving funding from Houston Arts Alliance are asked to immediately notify
Houston Arts Alliance of changes to the activities outlined in the grant agreement. If changes have been made after receipt of an award and occur prior to submission of the final report, please request to update the changes immediately with the P + S staff.
FINAL REPORT is required after the completion of the scope of services and activities specified within the grant agreement. The final report includes information and documentation on completed activities, outcomes achieved, as well as income and expenses for the grant. Documentation for how grant funds were used must include copies of every invoice/receipt and check written for grant expenses paid for with Houston Arts Alliance funds. Every check copy and receipt/ invoice copy provided Houston Arts Alliance should be dated during the grant term (between October 1, 2014, and September 30, 2015).
OUTCOMES PRESENTATION (Spring 2016): To encourage a culture of learning, all Participants will present in a Pecha-Kucha style presentation their best practices and lessons learned from participation in the Pre-Incubator Program.
IMPORTANT DATES
Letter of Inquiry Guidelines Available Online Monday, June 23, 2014
Pre-Incubator Workshop (Optional) Wednesday, July 2, 2014 @ 9:00 AM @ HAA
Letter of Inquiry & Attachment Due Friday, July 18, 2014, 5:30 p.m.
Invitations to Submit Full Application Week of August 11, 2014
Full Application Due (by invitation) Monday, August 25, 2014, 5:30 p.m.
Participants Announced: Sept 2014
Program Begins Wednesday, October 1, 2014
Program Orientation October 2014
Six Month Review for Capacity Funds October 2014 – March 2015
Panel Review for Capacity Funds April 2015
Capacity Fund Award Notifications May/June 2015
Program Ends September 30, 2015
NEED ASSISTANCE?
Applicants are encouraged to become familiar with the program requirements and criteria before beginning the pre-application process. To speak with Giuseppe Taurino, Manager of Capacity Building Initiatives at Houston Arts Alliance or to make an appointment, please call (713) 581.6122 or email [email protected].