Dr. Simonson's Grant Writing Powerpoint


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Dr. Simonson's Grant Writing Powerpoint

  1. 1. Grant Writing for Instructional Technology and Distance Education R & E II Written by Dr. Mike Simonson NOVA Southeastern university [email_address]
  2. 2. Agenda <ul><li>Definition of Terms </li></ul><ul><li>Type of grants </li></ul><ul><li>Elements, Basic, Benefits of the Well-Written Proposal </li></ul><ul><li>Developing and Designing the Component Parts of the Grant Proposal from Ideas to Fundable Project </li></ul><ul><li>Building Support and Involvement </li></ul><ul><li>Putting It all Together: Formatting and Packaging </li></ul>
  3. 3. 1. Terms Sponsored Project Grant award made by an external funding source to conduct research, training, or community service project/ program which specifies conditions and carries terms on : use of funds, objectives to be achieved by use of funds, individuals responsible for completion of the project, period of performance, reporting requirements ( both financial and technical), and adherence to federal and/or agency-specific regulations/guidelines. Gift A donation which is philanthropic and charitable in intent and accompanied by few or no restrictions. A period of performance is not specified, formal financial accounting is not required, and unexpended funds need not be returned.
  4. 4. Request for Proposal(RFP) When a funding agency has funds available for a new contract or grant program, it sends out an RFP, which lists project specifications and application procedures. Request for application (RFA) Used mostly by the federal government when requesting outside assistance for projects under taken internally at the agency. These usually result in a Cooperative Agreement although a Grant or Contract may be awarded. Proposal A written application with supporting documentation submitted to a funding source to request financial assistance for a particular research, training, or community service program or project. Grant An award made by the funder to provide funds for a particular purpose, usually for the benefit of the public.
  5. 5. Invitation for Bid (IFB) Used by a funding source usually government agencies-when requesting goods, services, for certain research from specific organizations-typically results in a contract award. Contract A term used to describe a binding compensation agreement where a product, instrument, device, or technical report (i.e., a “deliverable”) is the result, or a service is provided ( i.e., training). Contract requirements are more specific and less flexible than grants (inclusion of indemnification and termination clauses); agency personnel tend to maintain strict oversight. Major components of contract are terms and conditions, statement of work, and budget. Statement of Work (SOW) the technical part of the contract agreement which details the specific plan, methodology, activities, and timeline used to meet work specifications and achieve results.
  6. 6. Cost Reimbursement Contract Payment made based upon performance of work and actual expenditures incurred while implementing and carryout the project/research to completion. Invoicing of sponsor to be completed per schedule specified. Fixed Price Contract Payment(s) made in fixed amount(s), typically lump sum up front, monthly, or quarterly. Unexpended funds are kept by the awardees unless return of unexpended funds is specified in the terms and conditions of the contract. Cooperative Agreement A financial assistance mechanism used when substantial federal programmatic involvement with the recipient during performance of the project is anticipated. Ex: recipient must meet specific procedural requirements prior to the beginning of subsequent stages of the project, program officer participates in selection of key personnel, etc.
  7. 7. Solicited Grant/Contract A funding agency’s request for outside assistance to conduct research, training, or community service through issuance of an RFP, IFB, Notice of Funding Availability (NOFA), or other program solicitation and where reviews are conducted and awards made through a competitive selection process. Unsolicited Grant/Contract Submission of a proposal based on knowledge of funding agency’s priorities,m interests, or granting guidelines, etc. and where a funding agency has not formally requested outside assistance through the issuance of an RFP, RFA, IFB, NOFA, or other program solicitation. Principal Investigator (PI)/Project Director (PD) An individual responsible for directing the project/program being supported by the funding agency through a grant or contract.
  8. 8. Grant/Contract Administrator A staff member at the funding source who is authorized to act as the official in all matters pertaining to award administration. This individual has the authority to bind the funding agency to all performance/programmatic matters concerning the research/project. Program Officer A staff member representing the funding agency who reviews proposals and makes funding recommendations. Assists award recipient with programmatic management of grant (scope of research/project plan, goals, objectives, etc.). Direct Costs Costs that can be attributed directly to a specific project or program. Indirect Costs Costs that are incurred by the organization to achieve common or joint objectives and which therefore cannot be identified specifically with a particular project or program . Commonly referred to as “overhead”.
  9. 9. Cost Sharing The sharing of costs on a grant, by an organization, which is more than a token amount (i.e., more than 1%) and not paid by the awarding agency. Matching The value of cash contributions made to a project by non-federal third parties. Third Party In-Kind Contributions The value of non-cash contributions made by non-federal third parties. May include volunteer services, supplies, equipment, buildings, land, and property
  10. 10. <ul><li>2. Types of Grants </li></ul><ul><li>Solicited </li></ul><ul><li>Unsolicited </li></ul><ul><li>Discretionary </li></ul><ul><li>Formula </li></ul><ul><li>Earmarks </li></ul>
  11. 11. <ul><li>SOLICITED </li></ul><ul><li>One that originates from the funder: a </li></ul><ul><li>funding agency’s formal documented </li></ul><ul><li>request for outside assistance to conduct </li></ul><ul><li>research, training, or community service </li></ul><ul><li>Agency’s do through : </li></ul><ul><li>--Request for proposals (RFP), RFA’s NOFA’s PA’s, </li></ul><ul><li>and IFB’s </li></ul><ul><li>Federal and state agencies typically use these </li></ul><ul><li>competitive mechanisms due to the increased </li></ul><ul><li>demand for sponsored project funds. Funders must </li></ul><ul><li>now be more specific about what they want </li></ul><ul><li>accomplished for the number of dollars </li></ul><ul><li>available/allocated. </li></ul><ul><li> </li></ul>
  12. 12. <ul><li>Unsolicited </li></ul><ul><li>Proposer conceptualizes program idea/research project </li></ul><ul><li>based on an identified need or lack of knowledge. </li></ul><ul><li>A proposal is developed based on plan to conduct </li></ul><ul><li>research, training, or provide community service. </li></ul><ul><li>An Appropriate funding source is then approached </li></ul><ul><li>based on that organization’s identified interests, </li></ul><ul><li>published priorities, and /or granting guidelines. </li></ul>
  13. 13. Discretionary Pot of funding available through government agencies for grant awards based on appropriations made. --Funds awarded by the federal or state government on a competitive basis-typically for demonstration, special research activities, and service projects. Awards made by judgment, not mandate.
  14. 14. <ul><li>Formula </li></ul><ul><li>Grants awarded to states on a non competitive </li></ul><ul><li>basis according to a formula determined by </li></ul><ul><li>authorizing law. </li></ul><ul><li>--Formula usually based on relative population </li></ul><ul><li>and demographic factors relevant to the </li></ul><ul><li>purpose of the grant program. </li></ul><ul><li>Formula grant program often require states </li></ul><ul><li>or state agencies to re-grant, subgrant, or </li></ul><ul><li>pass through funds to other entities, </li></ul><ul><li>organizations, and providers within the state. </li></ul>
  15. 15. <ul><li>Earmarks </li></ul><ul><li>At the state level, funding set-asides for </li></ul><ul><li>specific organizations written into the </li></ul><ul><li>congressional record based on legislative </li></ul><ul><li>priorities and awardee’s ability to utilize </li></ul><ul><li>funding for a specific purpose. </li></ul>
  16. 16. 3. Elements, Basics, and Benefits of a Well-Written Proposal
  17. 17. Elements of the Proposal <ul><li>Transmittal Letter from </li></ul><ul><li>submitting Organization </li></ul><ul><li>Cover Sheet </li></ul><ul><li>Table of Contents </li></ul><ul><li>Abstract </li></ul><ul><li>Introduction, Description and Capabilities of Organization </li></ul><ul><li>Problem Statement/Needs </li></ul><ul><li>Assessment </li></ul><ul><li>Goals </li></ul><ul><li>Objectives </li></ul><ul><li>Plan of Operation-(Methodology) </li></ul><ul><li>Key Personnel (biographical </li></ul><ul><li>sketches) </li></ul><ul><li>Expected Outcomes </li></ul><ul><li>Formative and Summative </li></ul><ul><li>Evaluation Plan </li></ul><ul><li>Dissemination Plan </li></ul><ul><li>Budget and Justification </li></ul><ul><li>Institutional/Organizational </li></ul><ul><li>Commitment </li></ul><ul><li>Resources and Facilities </li></ul><ul><li>Plans for Project </li></ul><ul><li>Continuation/Self Sufficiency </li></ul><ul><li>Appendices </li></ul>
  18. 18. The essence of each and every grant request is the same, whether it is a two-page letter proposal to a small foundation or a 125 page response to an RFP issued by the federal government. <ul><li>All Proposals must include: </li></ul><ul><li>A statement that a need exists; </li></ul><ul><li>a presentation of evidence to back up the contention; </li></ul><ul><li>a recommended course of action, means and manner of addressing that need; and </li></ul><ul><li>a request for funds to implement the recommended actions </li></ul>
  19. 19. <ul><li>Grant development is hard work, but very rewarding. </li></ul><ul><li>Benefits include: </li></ul><ul><li>Personal Accomplishment to the writer </li></ul><ul><li>Fiscal reward to awardee </li></ul><ul><li>Implementation of programs and projects of importance with </li></ul><ul><li>external funding support </li></ul><ul><li>Successful grant writers use the basic rules of good writing and grammar while mastering the art of persuasion. Through clear and concise communication, the intended message is well received by the reviewer and funding is awarded. </li></ul>
  20. 20. 4. Developing and Preparing Winning Grant Proposals <ul><ul><ul><ul><ul><li>Identifying Funding </li></ul></ul></ul></ul></ul><ul><ul><ul><ul><ul><li>Opportunities </li></ul></ul></ul></ul></ul><ul><ul><ul><ul><ul><li>Reading and Interpreting </li></ul></ul></ul></ul></ul><ul><ul><ul><ul><ul><li>RFP’s and Agency </li></ul></ul></ul></ul></ul><ul><ul><ul><ul><ul><li>Guidelines </li></ul></ul></ul></ul></ul><ul><ul><ul><ul><ul><li>Developing Your Idea </li></ul></ul></ul></ul></ul><ul><ul><ul><ul><ul><li>Developing the Problem </li></ul></ul></ul></ul></ul><ul><ul><ul><ul><ul><li>Statement, Objectives, and </li></ul></ul></ul></ul></ul><ul><ul><ul><ul><ul><li>Methods </li></ul></ul></ul></ul></ul><ul><ul><ul><ul><ul><li>Preparing the Budget </li></ul></ul></ul></ul></ul><ul><ul><ul><ul><ul><li>Writing the Evaluation Plan </li></ul></ul></ul></ul></ul>
  21. 21. 4a. Identifying Funding Opportunities
  22. 22. Where to look when identifying funding opportunities: <ul><li>Libraries </li></ul><ul><li>Internet and World Wide Web Sites </li></ul><ul><li>Local College/University Offices of </li></ul><ul><li>Grants and Contracts or Sponsored Research </li></ul><ul><li>Funding Agencies </li></ul><ul><li>Newspapers, Newsletters, and </li></ul><ul><li>Professional Association Publications </li></ul>
  23. 23. Resources to assist you in identifying funding opportunities <ul><li>Federal Grants directories, guides, and catalogues </li></ul><ul><li>Examples: Federal Register (FR); Catalog of Federal </li></ul><ul><li>Domestic Assistance (CFDA); National Institute of </li></ul><ul><li>Health Guide to Grants and Contracts (NIH Guide); </li></ul><ul><li>Guide to Federal Funding for Education </li></ul><ul><li>State Grants Directories, guides and catalogues </li></ul><ul><li>Examples: A Guide to Florida State Programs; </li></ul><ul><li>The Complete Guide to Florida Foundations </li></ul><ul><li>Periodicals </li></ul><ul><li>Examples: The Chronicle of Higher Education: </li></ul><ul><li>Children and Youth Funding Report; Community </li></ul><ul><li>Health Funding Report; Federal Grants and Contracts </li></ul><ul><li>weekly; Health Grants and Contracts Weekly </li></ul>
  24. 24. <ul><li>Specialized Directories </li></ul><ul><li>Books and Other Publications </li></ul><ul><li>Examples: The “How to: Grants Manual: Successful </li></ul><ul><li>Grantseeking Techniques for Obtaining Public and </li></ul><ul><li> Private Grants; From Idea to Funded Project; Grant </li></ul><ul><li>Proposal that Work; The Grantseekers Guide to Project </li></ul><ul><li>Evaluation; A Complete Guide to Proposal Writing; The Complete Book of Model Fund-Raising Letters; Administering Grants, Contracts, and Funds: Evaluating and Improving Your Grants System </li></ul>Examples: Directory of Building and Equipment Grants; Directory of Operating Grants; Directory of Grants for Organizations Serving Individuals with Disabilities; Directory of Biomedical and Health Care Grants; Directory of Research Grants; Directory of Financial Aids for Women; Directory of Financial Aids for Minorities.
  25. 25. 4b. RFP’s and Agency Guidelines
  26. 26. Common to all RFP’s/Guidelines: <ul><li>Program purpose/priorities </li></ul><ul><li>Definitions of terms used throughout RFP </li></ul><ul><li>Eligibility of funds available </li></ul><ul><li>Estimated size of each award </li></ul><ul><li>Estimated number of awards to be made </li></ul><ul><li>Deadline for submission of proposal-postmarked or received </li></ul><ul><li>Number of copies required </li></ul><ul><li>Funding preferences (HBCU) </li></ul><ul><li>Cost share, matching requirements </li></ul><ul><li>Allowable and unallowable costs </li></ul><ul><li>Indirect cost limitations, if any </li></ul><ul><li>Certifications/assurances required </li></ul><ul><li>Review/evaluation criteria and process </li></ul>
  27. 27. Reading and Interpreting RFP’s and Agency Guidelines <ul><li>First things first! Focus on eligibility requirements. </li></ul><ul><li>Be sure that your organization/agency is eligible to </li></ul><ul><li>apply directly and receive an award from the particular </li></ul><ul><li>funding source for the project. </li></ul><ul><li>Check for limitations by geographic area organization type </li></ul><ul><li>(501( c ) (3), state, country) designation (EZ, EC community), </li></ul><ul><li>service area, size, etc. </li></ul><ul><li>Read instructions thoroughly. </li></ul><ul><li>Note all requirements and specifications for submitting a proposal, </li></ul><ul><li>down to page and font size, line spacing. Some agencies have </li></ul><ul><li>“ fatal flaw checklist”; verify that proposal meets basic requirements </li></ul><ul><li>prior to sending on for full review. </li></ul>
  28. 28. <ul><li>Next, be sure to obtain application materials for the competition to which you are applying. Federal agencies have numerous programs in each division/directorate under which grants are available and numerous awarding mechanisms with modified application packets for each. </li></ul><ul><li>Examples: PHS 398, pHS 2590, PHS 4013-1, NSF 95-28, </li></ul><ul><li>etc. </li></ul>
  29. 29. Read instructions thoroughly. <ul><ul><li>note all requirements and specifications for submitting a proposal, down to page and font size, line spacing. Some agencies have “fatal flaw checklist”; verify that proposal meets basic requirements prior to sending on for full review. </li></ul></ul>
  30. 30. <ul><li>Look for announcements of technical </li></ul><ul><li>assistance workshops. </li></ul><ul><li>Someone directly involved with program/project development </li></ul><ul><li>and proposal preparation should attend. </li></ul><ul><li>This may be applicant’s only chance to ask questions regarding </li></ul><ul><li>guidelines or process. Gain insight to funder’s priorities, </li></ul><ul><li>instructions not clear in application packet, range of awards etc. </li></ul><ul><li>Provides opportunity to network, assess competition, and </li></ul><ul><li>develop collaborative relationships. </li></ul>
  31. 31. 4c. Developing your Idea
  32. 32. SERVICE PROGRAM <ul><li>Consider surrounding community, local conditions, unmet </li></ul><ul><li>needs, and issues unresolved. </li></ul><ul><li>Identify individuals to reach /those targeted for services </li></ul><ul><li>and find out if they are currently utilizing services/participating </li></ul><ul><li>in a program similar to the one you want to implement. </li></ul><ul><li>Research your idea! If similar program is already in place, find out </li></ul><ul><li>whether or not being served by that program and propose to fill </li></ul><ul><li>the niche or close a gap in service provision so that all client needs </li></ul><ul><li>may be met. </li></ul>
  33. 33. <ul><li>Prove existence of the need by gathering strong base of knowledge </li></ul><ul><ul><li>Review the literature and relevant publications, collect data to support the program being proposed. Use up-to-date resources with hit home statements and statistics. </li></ul></ul><ul><ul><ul><li>Example: If you are proposing a program to assist individual infected with HIV/AIDS in Broward County, call the HIV/AIDS Surveillance Unit through the local Department of Children and Families (formerly HRS) and obtain current statistics/ breakdowns on number of individuals infected by gender, race, age, etc. </li></ul></ul></ul>
  34. 34. <ul><li>Talk to people you are planning to serve. </li></ul><ul><li>Find out what the needs are exactly, how </li></ul><ul><li>the proposed program plan to meet them, and </li></ul><ul><li>include quotes and/or a letter from a potential </li></ul><ul><li>program participant in your proposal. </li></ul>
  35. 35. RESEARCH STUDY <ul><li>Consider relevant research already published by experts in the field. </li></ul><ul><li>Analyze effects of conducting study on research team, organization, study participants, etc. Do the ends justify the means? </li></ul><ul><li>Develop clear scientific protocol/research </li></ul><ul><li>plan </li></ul>
  36. 36. AS YOU DEVELOP YOUR IDEA, KEEP IN MIND: <ul><li>In order to be competitive, you must prove the organization’s credibility, come up with innovative solutions, and ensure funding source t hat the dollars requested will be used to provide direct service and support related to the goals/priorities of the funder. Goal is to meet the needs of the individuals you have identified as those in need of services; or that research conducted will prove valuable, whether results of study are positive or negative </li></ul>
  37. 37. <ul><li>Typically, the organization must commit some </li></ul><ul><li>of its own resources. Commitment takes many </li></ul><ul><li>forms and can include: </li></ul><ul><ul><li>proposal development costs (brainstorming </li></ul></ul><ul><ul><li>sessions, grant-writing time and effort). </li></ul></ul><ul><ul><li>Cost share, matching, in-kind that may be </li></ul></ul><ul><ul><li>required by funder </li></ul></ul>
  38. 38. <ul><li>The organization’s ability and commitment to continue the program after external funding support ends (i.e.., the funder will continue to be met after external funds run out and whether the program will institutionalized </li></ul><ul><li>follow-up research will be conducted. </li></ul>
  39. 39. <ul><li>If funded, your organization will be obligated </li></ul><ul><li>to provide services to those you identified as </li></ul><ul><li>beneficiaries with the amount of funding awarded </li></ul><ul><li>and meet deliverable requirement (publications, </li></ul><ul><li>reports, research results, products, etc.) </li></ul><ul><ul><li>individuals served and other community </li></ul></ul><ul><ul><li>organizations will evaluate what your are doing </li></ul></ul><ul><ul><li>to see that expectations are being met. </li></ul></ul>
  40. 40. 4d. Problem Statement, Objectives, and Methods
  41. 41. Documenting the Problem Statement/Needs Assessment: A key Element of the Successful Proposal <ul><li>Present in a clear, concise, well-supported statement the specific problem/issue to be addressed by the project or program. </li></ul><ul><li>Describe problem or need in terms of beneficiaries, not your organization. </li></ul><ul><li>Show a match between the sponsor’s interests and priorities with the applicant’s experience and skills base. </li></ul><ul><li>Utilize quantitative and qualitative data whenever possible, cite limitations of existing programs and document evidence of demand. </li></ul>
  42. 42. Areas to Document <ul><li>History, nature, and scope of the problem from macro to micro; from national, state and local perspective </li></ul><ul><li>the organization's purpose for developing the proposal </li></ul><ul><li>How organization realized the problem exists </li></ul><ul><li>The beneficiaries or target population-who they are and how they will benefit </li></ul>
  43. 43. <ul><li>The social and economic costs affected </li></ul><ul><li>What is currently being done about the problem/to address the need and by whom </li></ul><ul><li>Negative effects realized without external funding support to address the problem or meet the need and positive outcomes achieved with support </li></ul>
  44. 44. How to Conduct Formal/Informal Needs Assessment <ul><li>Literature review of current publications, articles, statistical abstracts related to subject matter </li></ul><ul><li>Survey of or interviews with potential clients, beneficiaries, and local providers dealing with similar issues or areas of research </li></ul><ul><li>Documentation of service requests/waiting lists </li></ul>
  45. 45. Articulating Goals and Objectives
  46. 46. Objectives establish benefits of the project in “measurable” terms. They should be: <ul><ul><li>Specific and directly related to goal(s) </li></ul></ul><ul><ul><li>Attainable </li></ul></ul><ul><ul><li>Time-Limited </li></ul></ul><ul><ul><ul><li>Use action words, quantifiable outcomes and verifiable figures. Examples: to increase the number of participants enrolled from 15% to 20% by the end of year one, or: to improve the online internet skills of 10% of classroom teachers. </li></ul></ul></ul>
  47. 47. Selecting and Developing the Methodology
  48. 48. Methods and Procedures describe activities planned to achieve results-the project’s implementation strategy. <ul><li>Flows from objectives; clarify and justify provide rationale for choices. </li></ul><ul><li>Specify activities to occur during each phase or year of the project or program. </li></ul><ul><li>Develop a flow-chart or propose a timeline. </li></ul><ul><li>Design table of organization for project and define it within the larger organization. </li></ul>
  49. 49. <ul><li>Identify personnel assigned to the project </li></ul><ul><li>and describe their respective roles and time </li></ul><ul><li>and effort to be contributed. Describe </li></ul><ul><li>responsibilities and qualifications of each. </li></ul><ul><li>Attach vitae(s)/resume(s) as appendix item. </li></ul><ul><li>Describe project participants and/or clients </li></ul><ul><li>(target population) to benefit from the </li></ul><ul><li>proposed program (numbers of, eligibility </li></ul><ul><li>criteria, characteristics, etc). </li></ul>
  50. 50. 4e. Preparing the Budget
  51. 51. Common Budget Categories <ul><li>Salaries and Wages </li></ul><ul><li>Fringe Benefits </li></ul><ul><li>Consultant costs </li></ul><ul><li>Equipment </li></ul><ul><li>Supplies and materials </li></ul><ul><li>Food </li></ul><ul><li>Other Expenses </li></ul><ul><li>Travel </li></ul><ul><li>Participant Costs </li></ul><ul><li>Patient Care Costs </li></ul><ul><li>Subcontracts </li></ul><ul><li>Indirect Costs </li></ul>
  52. 52. Salaries and Wages <ul><li>Define percent of effort/amount of time to be committed to project. Release time from other duties and responsibilities must be given in order to be assigned to a grant or contract </li></ul><ul><li>Staff time not to exceed 100% full time equivalency (FTE). Overtime is an unallowable expense for key personnel on a federal grant or contract </li></ul>
  53. 53. Fringe Benefits <ul><li>Fringe Benefit rate is applied to all salaries requested for personnel in the proposed budget (in direct proportion to the percentage of effort assigned to the proposed project) </li></ul><ul><ul><li>Example: PI/PD earns $70,000 annual salary and works on the grant 505 FTE. Fringe benefit rate for the organization is 24%. Fringe benefits charged to the grant budget for the PI’s tune equals $8,400. </li></ul></ul>
  54. 54. <ul><li>Fringe benefit rate typically includes: </li></ul><ul><ul><li>Social Security (FICA) </li></ul></ul><ul><ul><li>Retirement </li></ul></ul><ul><ul><li>Unemployment </li></ul></ul><ul><ul><li>Worker’s Compensation </li></ul></ul><ul><ul><li>Health/Life/Disability Insurance </li></ul></ul><ul><li>Social Security rate (7.65%) only applied to part-time </li></ul><ul><li>and student employees </li></ul>
  55. 55. Travel <ul><li>Local: Automobile mileage reimbursement is at cents per mile, covers gas and wear and tear. State of Florida contracts and grants limit mileage reimbursement to $.29, NSU’s rate is $.31 </li></ul><ul><li>Domestic: Hotel per diem is $100 per night, reimbursement at $40/day for meals and incidentals at NSU; each agency should come up with reasonable rates depending on location </li></ul>
  56. 56. Supplies and Materials <ul><li>Office supplies: pens, paper, pencil notepads etc. </li></ul><ul><li>Training/curricula/workbook materials </li></ul><ul><li>Books and research resources </li></ul><ul><li>Software </li></ul>
  57. 57. Equipment <ul><li>Acquisition cost of $5,000 or more per unit </li></ul><ul><li>useful life of more than one year </li></ul><ul><li>Computing hardware, machines, furniture </li></ul><ul><li>Grantee usually retains title after project is over, unless agency disallows </li></ul><ul><li>Rental only allowed under conference grants </li></ul>
  58. 58. Supplies and Materials <ul><li>Office supplies: pens, paper, pencil notepads etc. </li></ul><ul><li>Training/curricula/workbook materials </li></ul><ul><li>Books and research resources </li></ul><ul><li>Software </li></ul>
  59. 59. Food Expense <ul><li>Meals (breakfast,lunch, dinner, snacks, or beverages) for project participants, trainees, conference or meeting attendees </li></ul><ul><li>Unallowable on most federal grants unless award is for a conference or training grant </li></ul><ul><li>Entertainment expenditures always unallowable (alcohol, tickets to shows, etc.) </li></ul>
  60. 60. Other Expenses <ul><li>Telephone charges (local and long-distance) </li></ul><ul><li>Reproduction/photocopying expenses </li></ul><ul><li>Postage costs </li></ul><ul><li>Publication costs </li></ul><ul><li>Rent expense--if off-site facility is to serve as project site </li></ul>
  61. 61. <ul><li>International: Buy America Act--U.S. air carriers </li></ul><ul><li>must be used if at all possible. </li></ul><ul><li>Exception: </li></ul><ul><li>“ Fly America Act-Code Sharing” ruling allows </li></ul><ul><li>use of foreign carriers if a code sharing </li></ul><ul><li>agreement with a U.S. carrier’s flight coding </li></ul>
  62. 62. Participant Costs/Patient Care Costs <ul><li>If inpatient and outpatient costs are requested, separated and provide detail for both </li></ul><ul><li>Include: </li></ul><ul><ul><li>Number of participants/patients </li></ul></ul><ul><ul><li>Estimated cost per day/per participant/patient </li></ul></ul><ul><ul><li>Expected number of visits/tests/trials </li></ul></ul><ul><ul><li>Estimated cost per visit/test/treatment </li></ul></ul>
  63. 63. Subcontracts <ul><li>Identify organization/individual to perform work </li></ul><ul><li>Develop a Statement of Work (SOW): who, what, where, when, how </li></ul><ul><li>Determine $ amount of subcontract for services provided, including direct and indirect costs </li></ul><ul><li>State deliverables in tangible terms </li></ul>
  64. 64. Indirect Costs <ul><li>Costs that cannot readily be identified with a specific project/program (commonly called overhead or administrative costs). Indirect costs cover the use of buildings, offices, libraries, and laboratories along with the maintenance and management of these facilities; and functions performed by the organization such as processing payroll performance of accounting and finance tasks, etc. </li></ul>
  65. 65. <ul><li>Negotiated rates with Dept. of Health and Human Services </li></ul><ul><li>Rates based on short form or long form; overhead rate a percentage of either salary and wages only,total direct costs, or modified total direct costs ( total direct costs less equipment, student support) </li></ul><ul><li>Training grants limited to 8% TDC </li></ul><ul><li>Different rates can be negotiated and used based on where project is conducted </li></ul><ul><li>On-site rate </li></ul><ul><li>Off-site rate </li></ul>
  66. 66. Make Your Financial Plan More Competitive through: <ul><li>Cost Sharing Commitment </li></ul><ul><li>Cash Matching </li></ul><ul><li>Third Party In-Kind Contributions </li></ul><ul><li>Institutional/Organizational In-Kind Contributions </li></ul>
  67. 67. Matching <ul><li>Value of cash contributions made to project </li></ul><ul><li>by non-federal third parties </li></ul><ul><li>Document commitment of financial resources by </li></ul><ul><li>letter of support stipulating amount and any restrictions </li></ul>
  68. 68. Third-party in-kind contributions <ul><li>Value of non-cash contributions made to project by </li></ul><ul><li>non-federal third parties </li></ul><ul><li>Document by letter of support </li></ul><ul><li>Examples: Volunteer services, donated computers, supplies, </li></ul><ul><li>equipment, use of space, land or property </li></ul>
  69. 69. Institutional/Organizational in- kind contributions <ul><li>Value of non-cash contributions made by </li></ul><ul><li>organization </li></ul><ul><li>Document by memorandum </li></ul><ul><li>Examples: Unrecovered indirect costs, </li></ul><ul><li>volunteer services </li></ul>
  70. 70. Budget Justification <ul><li>Break down and write budget narrative for project cost categories </li></ul><ul><li>in same sequence as they appear on budget spreadsheet or agency </li></ul><ul><li>forms. </li></ul><ul><li>Specify line items for each year and time frame during </li></ul><ul><li>which they will be expended. </li></ul><ul><li>Quantify total costs of each line item and document cost </li></ul><ul><li>calculation. </li></ul><ul><li>Elaborate on line items and in narrative form, explain </li></ul><ul><li>and justify how used for successful project implementation. </li></ul>
  71. 71. 4f. Preparing the Evaluation
  72. 72. Evaluation <ul><li>An systematic process which is designed to reduce uncertainty about the effectiveness of a particular project and its results. (Hall, 1988) </li></ul>
  73. 73. Cost Sharing <ul><li>Organization’s commitment to bear costs not paid by awarding agency </li></ul><ul><li>Costs usually absorbed by operating budgets </li></ul><ul><li>Examples: Percentage of time and effort--portion of salary with corresponding fringe benefits and indirect for personnel participating on sponsored project; supplies or equipment purchased specifically for project </li></ul>
  74. 74. Why include evaluation component in proposal? <ul><li>Required by funding agency </li></ul><ul><li>Provides objective data upon which to decide whether project </li></ul><ul><li>should continue, if its results should be disseminated, and if </li></ul><ul><li>methods are valid </li></ul><ul><li>Can produce information to assess needs for another grant </li></ul><ul><li>project/program </li></ul>
  75. 75. Basic evaluation questions that will be answered with thorough program planning: <ul><li>What is it that you are tying to accomplish with this program/ </li></ul><ul><li>project? </li></ul><ul><li>What will happen during the course of the project that will tell </li></ul><ul><li>you whether or not you have succeeded? </li></ul><ul><li>How will you know if it happens or not? </li></ul>
  76. 76. FORMATIVE EVALUATION <ul><li>Monitors the project’s activities and progress as it </li></ul><ul><li>moves along </li></ul><ul><li>Assesses whether processes and procedures are working; </li></ul><ul><li>whether clients and/or participants are satisfied with </li></ul><ul><li>services </li></ul><ul><li>Produces information used to improve the project during </li></ul><ul><li>its operation </li></ul>
  77. 77. SUMMATIVE EVALUATION <ul><li>Looks at data collected and analyzed to assess the project’s ultimate effectiveness and impact </li></ul><ul><li>Major purpose is to document the extend to which the project achieved its immediate and long term outcomes </li></ul>
  78. 78. DISPLAY OF AN EVALUATION PLAN: STEPS TO SUCCESSFUL EVALUATION <ul><li>Content </li></ul><ul><li>Collection </li></ul><ul><li>Compilation </li></ul><ul><li>Analysis </li></ul><ul><li>Reporting </li></ul>
  79. 79. Content <ul><li>Identify what is going to be evaluated </li></ul><ul><li>List questions that will be answered; clarify objectives. </li></ul><ul><li>Indicate what the purpose and focus of the evaluation will be (formative and /or summative). </li></ul><ul><li>Restate time-limited, measurable objectives on which the evaluation will focus. </li></ul><ul><li>Determine process as well as product/performance objectives. </li></ul>
  80. 80. <ul><li>Don’t try to evaluate everything, and allow for change in plans; </li></ul><ul><li>be flexible. (The unexpected results and evaluation data may </li></ul><ul><li>prove to be the most important outcome of the plan!) </li></ul><ul><li>Describe what information will be needed. </li></ul><ul><li>Select the “indicators” for the evaluation--specify the type of </li></ul><ul><li>evidence that will be accepted as proof that an objective has been </li></ul><ul><li>met or a question answered. </li></ul>
  81. 81. Collection <ul><li>Describe from where the information will be obtained and over what period of time. (During project period, longitudinal studies after end of project, follow-ups to be completed?) </li></ul><ul><li>Project participants/clients </li></ul><ul><li>Historical information </li></ul><ul><li>Data banks </li></ul><ul><li>Statistical reports </li></ul>
  82. 82. <ul><li>Consider that methods used should: </li></ul><ul><li>be agreeable to clients and individuals </li></ul><ul><li>conducting evaluation; </li></ul><ul><li>be technically sound; data collected will </li></ul><ul><li>be reliable, valid and targeted to the evaluation </li></ul><ul><li>questions; </li></ul><ul><li>provide the best data your budget can afford </li></ul><ul><li>and </li></ul><ul><li>allow enough time to gather and analyze data </li></ul>
  83. 83. Compilation <ul><li>Discuss instruments/methods that will be used to get the information. </li></ul><ul><li>Quantitative </li></ul><ul><li>Qualitative </li></ul><ul><li>Existing </li></ul><ul><li>Developed </li></ul>
  84. 84. Analysis <ul><li>Describe the intended analysis and techniques to be used. </li></ul><ul><li>Statistical Analysis </li></ul><ul><li>Theoretical Analysis </li></ul><ul><li>Complete the Evaluation Design </li></ul><ul><li>Time line </li></ul><ul><li>Standards to be used in judging results (how much deviation from intended outcomes will be allowed before modification of project is undertaken) </li></ul><ul><li>Identify individuals charged with carrying out evaluation. </li></ul>
  85. 85. Reporting <ul><li>Describe the intended reporting and utilization. </li></ul><ul><li>Report techniques and results so they are meaningful to both the layperson and the professional. (Summarize technical data) </li></ul><ul><li>Answer the evaluation questions and explain how arrived at each answer; include unintended outcomes. </li></ul>
  86. 86. <ul><li>Separate audiences that evaluation serves (project staff vs. funding source). </li></ul><ul><li>Example: Primary audience for formative evaluation will be project staff; weekly briefings can be held, monthly status reports may be written so that recommendations may be about modifications/changes </li></ul><ul><li>Primary audience for summative evaluation will be funding source; funders will be given annual reports and a final report. Annual report assists funders to make decisions regarding refunding; final report reflects overall effectiveness and impact of the program </li></ul>
  87. 87. <ul><li>Discuss reporting design: quarterly, interim, </li></ul><ul><li>annual, final. </li></ul><ul><li>Describe reporting format and methods: </li></ul><ul><li>oral, written, brochures, etc. </li></ul><ul><li>Putting the evaluation together. </li></ul><ul><li>Table format </li></ul><ul><li>Narrative format </li></ul><ul><li>Detail costs and benefits </li></ul>
  88. 88. INSTRUMENTS FOR DATA COLLECTION <ul><li>Evaluation plan should have a balance of subjective indicator and objective indicators/statistical measurements and non-quantitative tools. Examples include: </li></ul><ul><li>Questionnaires </li></ul><ul><li>Surveys </li></ul><ul><li>observations </li></ul>
  89. 89. <ul><li>Face to Face Interviews </li></ul><ul><li>Telephone Interviews </li></ul><ul><li>Rating Scales </li></ul><ul><li>Ranking Scales </li></ul><ul><li>Performance Tests (Pre-and Post-Tests) </li></ul><ul><li>Record Review </li></ul>
  90. 90. Internal Evaluators <ul><li>Program staff </li></ul><ul><li>Colleagues </li></ul><ul><li>Project participants </li></ul><ul><li>May know more about real issues related to program </li></ul><ul><li>Answers from individuals directly affected by program may be most trustworthy and useful. </li></ul><ul><li>May be biased </li></ul><ul><li>Consider: cost, competencies related to evaluation, and availability of time and effort </li></ul>
  91. 91. External Evaluators <ul><li>Consultants or experts in field of service provision or research </li></ul><ul><li>Evaluation experts </li></ul><ul><li>Outside firm </li></ul><ul><li>Can improve the planning and evaluation of program due to their objectivity because no vested interest exists </li></ul><ul><li>Can add credibility </li></ul><ul><li>Consider: cost, willingness to conduct evaluation even if project is not funded, level of participation in program design, reputation, ability to remain objective </li></ul>
  92. 92. Dissemination Plan Project results can be made public via the following : <ul><li>Project releases </li></ul><ul><li>Pamphlets/Videotapes </li></ul><ul><li>On-going project/program newsletters </li></ul><ul><li>Presentations at professional conferences or at community events </li></ul><ul><li>Publications in professional journals or community newspapers </li></ul><ul><li>Project replication manuals </li></ul><ul><li>WWW page(s) </li></ul>
  94. 94. <ul><li>Internal Support </li></ul><ul><li>Key staff members </li></ul><ul><ul><li>Will be implementing the program and provide valuable feedback, ideas, and assist with the definition of measurable goals and objectives </li></ul></ul><ul><li>Peers and co-workers </li></ul><ul><ul><li>Can serve as mock reviewers </li></ul></ul><ul><li>Executive Director or President of organization </li></ul><ul><ul><li>Provides commitment of resources (release time for key personnel, cost share, cash match, space, etc.) </li></ul></ul>
  95. 95. <ul><li>Grant Writers/Contract Administrators </li></ul><ul><ul><li>Can serve as your link to others with similar </li></ul></ul><ul><ul><li>interests, establish contacts and serve as liaison </li></ul></ul><ul><ul><li>with agencies and “pitch” your idea, coordinate </li></ul></ul><ul><ul><li>collaborative efforts, recommend alternate sources </li></ul></ul><ul><ul><li>of funding support, etc. </li></ul></ul><ul><li>Volunteers (Internal or External) </li></ul><ul><ul><li>Enhance credibility by showing that volunteers will </li></ul></ul><ul><ul><li>commit time to work on project of importance </li></ul></ul><ul><ul><li>without personal renumeration. </li></ul></ul><ul><ul><li>Can serve as advocates in the community, market </li></ul></ul><ul><ul><li>your program, and lobby other organizations for </li></ul></ul><ul><ul><li>additional support. </li></ul></ul>
  96. 96. <ul><li>External Support </li></ul><ul><ul><li>Agencies/Organizations that might be affected by </li></ul></ul><ul><ul><li>your program or those providing complimentary </li></ul></ul><ul><ul><li>services </li></ul></ul><ul><ul><li>Population to be served can provide names of trusted </li></ul></ul><ul><ul><li>organizations </li></ul></ul><ul><ul><li>State and local government through Intergovernmental </li></ul></ul><ul><ul><li>mental Review </li></ul></ul><ul><ul><li>Program/Contract officers at the funding agency </li></ul></ul><ul><ul><li>provide insight regarding priorities, provide names </li></ul></ul><ul><ul><li>of current/prior awardees, and give direction as to how </li></ul></ul><ul><ul><li>to submit the strongest proposal. </li></ul></ul>
  97. 97. COLLABORATION <ul><li>Why Collaborate? </li></ul><ul><li>Pressure from funders-more bang for the buck is expected as competition for scarce resources continues rise </li></ul><ul><li>Mandate or government initiatives to give priority to those that do propose collaborative efforts </li></ul><ul><li>Going it alone now being frowned upon when providing human services </li></ul><ul><li>cost6 efficiencies made by addressing common issues/delivering similar services together duplication of effort avoided </li></ul>
  98. 98. <ul><li>Strengths and weaknesses of participants in relations to different components of program can be addressed and resource of all involved can be used to strengthen areas. </li></ul><ul><li>Reduces the expense of planning </li></ul><ul><li>activities/administrative overhead expenses </li></ul><ul><li>Priority is to make services more accessible and effective for clients; collaboration lends itself to providing a comprehensive </li></ul><ul><li>array of services/additional support based on *total* needs of the client </li></ul>
  99. 99. <ul><li>Who to collaborate with? </li></ul><ul><li>Peers/others within your organization </li></ul><ul><li>Departments/divisions within organization for potential </li></ul><ul><li>expansion of project scope </li></ul><ul><li>Local agencies/organizations providing similar services, those </li></ul><ul><li>with common missions, org’s who can provide service and </li></ul><ul><li>support your org. does not, or those performing research in a </li></ul><ul><li>related area </li></ul><ul><li>State-wide experts/analysts </li></ul><ul><li>Nationally renewed experts (i.e. through consultancies) </li></ul>
  100. 100. 6. Packaging and Submitting the Final Document
  101. 101. Formatting <ul><li>Follow instructions on font and pitch size, margin specifications, </li></ul><ul><li>line spacing, page size and limitations. </li></ul><ul><li>Be consistent throughout document in terms of font choice, </li></ul><ul><li>terminology, and layout. </li></ul><ul><li>Use evaluative criteria specified in RFP to order and divide proposal </li></ul><ul><li>into sections; ensures that all information is included. </li></ul>
  102. 102. <ul><li>Use headers and subheads throughout your document; </li></ul><ul><li>makes it aesthetically pleasing to the eye and easier </li></ul><ul><li>for reviewers to read and find what they are looking </li></ul><ul><li>for quickly </li></ul><ul><li>Include charts, graphs, timelines, and other visual </li></ul><ul><li>aids where possible to break up narrative. </li></ul>
  103. 103. Packaging the Proposal <ul><li>Make specified number of copies of entire proposal, </li></ul><ul><li>including appendices. </li></ul><ul><li>Secure each proposal with binder clips. Use staples or </li></ul><ul><li>notebooks only when specified. </li></ul>
  104. 104. Delivery <ul><li>Note deadline date: must it be received by agency on </li></ul><ul><li>specified due data or mailed on that date? </li></ul><ul><li>If hand-delivering proposal package, be sure to obtain </li></ul><ul><li>a signed verification of proposal acceptance. </li></ul><ul><li>If mailing proposal, send certified, return receipt or </li></ul><ul><li>express delivery. </li></ul>
  105. 105. Future of Grant Proposal Development <ul><li>Electronic Research Administration (ERA) </li></ul><ul><li>Federal government in partnership with major </li></ul><ul><li>research institutions </li></ul><ul><li>Some transaction data sets and systems already developed </li></ul><ul><li>and beta tested (NSF FastLane, ESISON) </li></ul><ul><li>Goal: By 2000, all phases and parts of proposal </li></ul><ul><li>submission, awarding documentation, and reporting to </li></ul><ul><li>be handled via on-line, electronic communication </li></ul>
  106. 106. Mike Simonson Program Professor <ul><li>This program is part of the Nova Southeastern University ITDE Program </li></ul><ul><li>Information about the program can be gotten from…1-800-986-3223 </li></ul><ul><li>Nova Southeastern University </li></ul><ul><li>1750 NE 167 th street </li></ul><ul><li>North Miami Beach, Fl </li></ul>