outcome based grant writing june 30, 2007 house of david pittsburgh, pa presented by:dr. khalifah...
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Outcome Based Grant WritingJune 30, 2007House of DavidPittsburgh, PA
Presented by:Dr. Khalifah Ramadan716-812-1404
Introductions
•Your name, organization, role
•Experience with–Grants–Other
•Priority for the week
Learning ObjectivesAt the completion of the training, participants will:
1. Understand the relationship between program planning and grant proposal writing.
2. Be able to identify and construct the core elements of a grant proposal.
3. Know how to distinguish between problem, objectives and methods.
4. Be able to utilize hard and soft data to substantiate the proposal.
5. Be able to interpret instructions and application guidelines from funding sources.
6. Be able to critique proposals and give constructive feedback
7. Know how to utilize the internet to conduct research on funding sources, statistics and program ideas.
Grantsmanship
• What is Grantsmanship?– Grantsmanship versus “grant writing”– More than proposal writing– Organizational readiness– Multiple roles of fundraisers– Organizational placement is key– Proposal writing is part of a process– Involving others
Grantsmanship & Faith-based Funding
• Background
• Changing landscape
• Implications
• Issues & challenges
Grantsmanship
• Avoid chasing money
Chasing $ can lead to…
MISSION
Flow of Federal Resources
Federal GovernmentDept. of Justice
Federal Emergency Management Agency
Dept. of Education
Dept. of Labor
Dept.of HUD
Department of Agriculture
Dept. of HHS
Types of FundingGovernment
•Organizational credibility•Personal relationships•Areas of interest•Application guidelines•Pattern of giving
•More specific•Knowing the players•Know what they want•Address specific questions•Format is important•Scoring •Bidders conference
Proposal Writing Pointers
• Support assumptions– Present supporting facts for stated
assumptions
• Use clear, understandable language• Avoid Jargon• Be brief, concise, simple• Be positive• Use specifics, examples
– Specifics increase impact
Proposal Writing Pointers• Balance is important
– Data/facts and human interest– Words and graphics– Logic and Emotion
• Use hard & soft data– Statistics
• Percents +absolute numbers• Don’t overuse statistics• Clear, relevant
– Quotes, examples• Put faces, voices on the work
Flow of Federal Resources Case Study
SAMHSAState/Local Gov.
Formula Allocations
Community Development Block Grant
Continuum of Care
Competitive Grants
Stakeholders
•Faith-Based Org.
•Business Community
•Community Based Org.
•Elected Officials
•Community Partners
Decision-Making Table
Program planning & Proposal Writing Format
Conceptualize Present
Proposal Format Components• Summary• I. Introduction (to the applicant
organization)• II. Problem Statement/Needs/Assessment• III. Objectives• IV. Methods• V. Evaluation/Outcomes• VI. Future Funding• VII. BudgetAppendix
Proposal Format Components• Summary
– Written last– Provides reader with necessary
preparation for reading the proposal– Provides an overview of the proposal
• Introduction (to the applicant)– Organizational credibility statement
• Problem Statement– What is the current problem(s)?– What are the causes?
Proposal Format Components• Program Objectives
– How will the problem change– Stated in terms of the beneficiaries
• Methods– How will you accomplish the change you
desire– Why do you think your approach will work?
• Evaluation– How will you be able to tell whether or not
your approach worked
Proposal Format Components
• Future Funding and Other Necessary Funding– How will this effort be continued at the end
of the grant funding?
• Budget– Specifically, what will this effort cost?
3 Core Elements• Program
– Problem– Objectives– Methods– Evaluation
• Marketing - Introduction– Summary/ Appendix
• Financial– Budget– Future Finding
“A Work in Progress”Problem Objectives-
OutcomesMethods
Pay attention to any areas of confusion
Confusions
Bathtubs vs. Buckets
Bathtubs vs. Buckets
Problems Objectives - Outcomes
Problem Statement/ Needs Assessment
Narrative description of current situation or conditions affecting people in a specific geographic area
Problem Statement/ Needs Assessment
• What IS going on• “Layers” / funnel• Supported with hard and soft data
– Facts– Stat’s– Quotes– Examples
• People – centered• Answers SO WHAT?
Problem Statement
• What is the current problem(s)• What are the causes of the problem(s)
– Clearly related to the purpose of your organization
– Describes current conditions that require action
– Includes a discussion of the causes of the problem
– Reasonable dimensions– Supported by evidence– Specific to a geographic area or population
Problem Pitfalls
• Need for …– Staff– Equipment– Building, etc.
• Agency – centered
• Vague, general
• Elephant of a problem with mouse of a solution
Problem Pitfalls
Problem: Example“Cardiovascular disease claimed more than 925,000 lives
in the United States last year. In 2000, 6,155 Nebraskans died of heart disease –17 people each day. This makes heart disease the number one killer in Nebraska, accounting for 41% of all deaths.
James Moller, M.D., Pediatric Cardiologist at University of Nebraska stated:
“Unfortunately for our children, heart disease is thought of as an elderly person’s disease. In fact, the beginning states of heart disease occur at a very young age. Lifestyle behaviors and habits are established early and continue through adulthood.
Problem: ExampleOur children are increasingly at risk- nationwide:• 17% to 33% are obese• 50% engage in little or no physical activity• 4,000,000 children smoke• 3,000 children begin smoking each day.
If health trends remain the same, more than half of Nebraska’s children will die of heart disease, and at earlier ages than ever before.”
Proposal Problem Statement Checklist
Relates to purpose and goals of organization
Reasonable dimensionsSupported by statistical evidenceSupported by statements from
authoritiesStated in terms of clients or
beneficiaries
Proposal Problem Statement Checklist
Developed with input from clients and beneficiaries
Not the “lack of a method” (unless the method is infallible)
Doesn’t make assumptionsDoesn’t use jargonIs interesting to read
Outcomes
• How will the problem change. Stated in terms of the beneficiaries.– Who will change?– What behavior will change?– In what direction will that change be?– By what time will this change take place?
Objectives
• WHO
• Is going to do WHAT
• WHEN
• How MUCH
• (As MEASURED By)
Objectives
• “SMART” objectives
• Specific
• Measurable
• Achievable
• Realistic
• Time-referenced
Objectives or Outcomes?If so, good or not?
1. To provide a total of 20 hours of in-service training on conflict management to 35 middle school teachers during the 2001-2002 academic year.
2. Students will achieve at least a 10% improvement in standardized test scores by the end of 2 semesters.
3. To distribute educational materials to 1200 community residents concerning the Neighborhood Watch safety program.
4. By the end of 2002, 250 out of 300 people from Washington County that attend six HIV prevention workshops will have increased knowledge of HIV, its co-infection with Hepatitis C and the risks of transmission in substance abuse.
Objectives or Outcomes?If so, good or not?
5. Teens participating in the “Teen Parenting Education Program” will:
– Follow proper health and nutrition guidelines– Deliver healthy babies
6. To increase by 550 the number of youth, ages 12 to 15, receiving sexuality education.
7. At the conclusion of the six-week ‘Smoking Cessation Program, “ 72% of participants will stop smoking.
8. 30 Injection drug users will increase their harm reduction skills in needle cleaning and correct barrier usage to reduce their risk of exposure to HIV and Hepatitis C.
Objectives or Outcomes?If so, good or not?
9. Students’ academic performance improves
10. To develop educational materials on “Making Healthy Choices” to distribute to community residents.
11. To increase by 50% the number of hours parents spend reading with their children.
12. To increase the number of women entering the fields of science and engineering.
Proposal ChecklistDescribes problem-related outcomes of
your programDoes not describe your methodsDefines the population servedStates the time when the objectives will
be metDescribes the objectives in numerical
terms. If at all possible
Problems and Outcomes• Layers• Hard data (Make it up if
you don’t have data!)• Soft data (Quotes, case
examples)• Causes and/or
contributing factors• Oh! …no So What?
• Short term• Longer Term• Changes in behavior,
knowledge, skills, conditions
• Include specific targets and timeframes
• Clients (not what providers will do)
Proposal Format Components• Summary• I. Introduction (to the applicant organization)• II. Problem Statement/Needs/Assessment• III. Program Objectives• IV. Methods• V. Evaluation• VI. Future Funding• VII. Budget
Appendix
Methods• How will you accomplish the change you
desire?• Why do you think your approach will work?• Components of section:
– Summary of major Components– Collaboration– Staffing– Facilities and Equipment– Work plan/Timeline– Rationale
Proposal Methods ChecklistFlows naturally from problems and objectivesClearly describes program activitiesStates reasons for selection of activitiesDescribes sequences of activities Describes staffing of programDescribe clients and client selectionPresents a reasonable scope of activities that
can be accomplished within the time allotted for program and within the resources of the applicant.
Evaluation
• How will you be able to tell whether or not your approach worked?– Involve outside evaluator early in the
planning process– Evaluation as a tool for marketing
Summary of Program
Evaluation Plan– What data you will collect– How you will collect it– When you will collect it– How you will use it
Problem/Need Conditions
ObjectivesEnds
Outcomes
MethodsHow & Why
Evaluation
Problem Objectives Methods
Impact Outcome Process
Evaluation Design
Data
CollectionMethods
When
Data Collection Tools• Pre-post Test• Questionnaires• Instruments• Interviews• Trained Observers• Focus Groups• Physical Measurements• Logs in Client Files• Reports• Control/Comparison Groups
Information Gathering
Problem Objectives Methods
Info. To collect
How collect
When
Proposal Evaluation ChecklistCovers outcomes and processTells who will be performing evaluation
and how evaluators will be selectedDefines evaluation criteriaDescribes data gathering methods
Proposal Evaluation ChecklistExplain any test instruments or
questionnaires to be usedDescribes the process of data analysisShows how evaluation will be used for
program improvementsDescribes evaluation reports to be
produced
3 Core Elements Program
Problem Objectives Methods Evaluation
Marketing = Introduction Summary/ Appendix
Financial Budget Future funding
Introduction• Sets the stage
– Who are you?– What do you do as an agency?– So What?– Impact!!
• Marketing Tool• Credibility Statement
– (numbers,quotes,examples)
• Layers
Know your image• Name• Do you have an Image?
– What is it (to Funder)?
• Reinforce Positive• Defuse Negative
Introduction Components2 Types of Information
Descriptive Information
“Credibility” Information
Introduction ComponentsDescriptive Wow
•History•Program•Clients/ Constituency•Services/ Activities•Locale•Population/demographics•Total budget•Mission•Staff•Philosophy/vision
•Growth #•Demand/ Waiting List•Success Stories/ Quotes•Accomplishments/Evaluation•Affiliations•Awards/Recognition•Expertise•Board•100% Support•Outcomes•Grants, donations•Media•Evidence of Community support – e.g. volunteers
Introduction Pitfalls• Organizational Structure Maze• Philosophy Driven• Past Funding Information Overload
• No data • Only fact and figures
vs
Proposal Introduction ChecklistClearly establishes who is applying for fundsDescribes applicant agency purpose and
goalsDescribes agency programsDescribes clients or constituentsProvides evidence of accomplishmentOffers statistics to support credibility
Proposal Introduction ChecklistOffers statements and/or endorsements to
support credibilitySupports credibility in program area in which
funds are soughtLeads logically to problem statement Is interesting Is free of jargon Is brief
Application Activity
Agency Description
Descriptive and WOW information
1. Interview your partner and take notes2. During the interview, probe for “wow”
information3. Switch roles4. When you both have been interviewed,
trade notes
Proposal Format Components• Summary• I. Introduction (to the applicant organization)• II. Problem Statement/Needs/Assessment• III. Objectives• IV. Methods• V. Evaluation• Future Funding• Budget
Appendix
Budget• Estimate• No surprises• Support assumptions• Requested• Donated• Other sources
Proposal Budget ChecklistDefine how you calculated expensesExpenses should be reasonableSources of matching funds and in-kind
resources should be identifiedMultiple years must be presented if requestedFigures should be correctHave a reviewer
Future Funding• Plan for continued support after grant (If needed)• Earned Income – fees for services /products• Third Party Payment• Absorb into Budget• Development Plan
– Special events– Annual Fund– Membership– Phone/mail solicitation– Major gifts– Planned giving– Endowment– Capital campaign
• Business ventures
Proposal Future Funding ChecklistPresents a plan to provide future funding if
program is to be continuedDiscusses both maintenance and future
program funding if program is for constructionAccounts for other needed expenditures If program includes purchase of equipment
Future & Other Necessary Funding
• Future and other necessary funding– Other funding is needed when you are requesting
a specific item but you need to be able to provide the other resources
Proposal Summary• Belongs at the beginning of the proposal• Written last• Provides reader with necessary preparation
for reading the proposal• Provides an overview of the proposal
Summary• Critical questions to answer
– Who are we?– What are we concerned about?– What we propose to do about it?– What is the cost?
• Total cost• Funds already obtained • Amount requested
Proposal SummarySt. Clair County Community College, located in Port Huron, Michigan, serves 9,200
students per year through 106 academic programs. In fall 2001, St. Clair County Community College experienced and enrollment increase of 7% over the 200 fall term. This is the seventh consecutive term the college experienced an enrollment increase. The Department of Mathematics, Science, and Physical Education is the fastest growing academic department at the College.
Local Businesses, such as Dow chemical, hire engineers from outside the area, resulting in increased expenditures in the form of relocation expenses, recruitment expenses, national advertising and job fairs. Additionally, this creates a loss of economic support to the local labor force in the community.
St. Clair County Community College proposes development an engineering science degree program to correct this situation. There are two phases to St. Clair County Community College’s plan. Phase one includes an introduction to Engineering Course and a engineering science laboratory. The College requests a grant in the amount of $78,000 to support the creation of a state-of-the-art engineering science laboratory. Phase two is the development of the curriculum and implementation of the Engineering Science associates degree program. The total cost of Phase one is $112, 216. Of the total, $34,728 has been donated.
Proposal Summary Checklist• Includes total cost, funds already obtained,
amount requested in this proposal• Brief• Clear• Interesting
Proposal Format & Delivery• Font• Margins• Spacing• Headings/subheading• Use of pictures & graphic elements• Reader friendliness• Length• Packaging• Delivery methods
Foundations• 501 (c) (3) & 509 (a)
• 2001 $29.0 (Billion)• 2000 $27.6• 1999 $23.3• 1998 $19.5
• 56,000• 25%
– Hold 90.5 % of Assets– Make 91.6% of all grants
Foundations• 1969 Tax Reform• Non-Profit Exempt• Invest Assets – Income via grants• Board of Directors• Market Value of Assets x 5%• IRS Reporting – 990’s
Foundation Characteristics• Large /National Foundations
– Fund programs of national significance– Cutting edge of change– Want to fund programs that can serve as models
nationally / internationally– Well-staffed and active in their fields of interest– Most have broad interests– Some have special interests
Foundation Characteristics• Mid-size Regional Foundations
– Usually have broad interests– Interested in making grants that have an important
impact within their geographic region
• Small Local/Family foundations– Interests of family members
• Corporate Foundations– Company controlled– Self-interest of the company –what’s in it for the
corporation– Distinct from corporate giving
Foundation Characteristics• Public Charities
– Funds from many sources– Geographic or special interest– Community foundations are public charities– staffed
Largest Foundations (by Assets)
Bill & Melinda Gate Foundation (WA) •$21.15B
Lilly Endowment Inc. (IN) •$15.59B
The Ford Foundation (NY) •$14.66B
J. Paul Getty Trust (CA) •$10.93B
The David and Lucile Packard Foundation (CA) •$9.79B
The Robert Wood Johnson Foundation (NJ) •$8.79B
W.K. Kellogg Foundation (MI) •$5.72B
The Andrew W Mellon Foundation (NY) •$4.88B
The Pew Charitable Trusts (PA) •$4.80B
The Starr Foundation (NY) •$4.48B
Information Sources• The Foundation Center
– Non-profit organization– National collections: New York City & DC– Field offices in San Francisco, Cleveland, Atlanta– Regional “cooperating collections” throughout the
country– www.fdncenter.org
Foundation Information Sources
• FC-Search CD ROM
• Guide to US Foundations 56,000
• Foundation Directory– 10,000 –56,000 Foundations Listed
Foundation Information Sources
• Foundation 1000
• National Directory of Corporate Giving
• Grants Index
• Grant Guides (By Subject)
Foundation Information SourcesAll Foundations:
80% of all giving:
65% of all giving:
Grants listings:
Corporate:
FC Search
Guide to US Foundations
Foundation Directory Online- Platinum 990 PFs
Foundation Directory
Foundation 1000
Grants Index, Grant Guides (by subjects)
National Directory of Corporate Giving
Searching for Foundations
Generic Topic Searches
Find Grantmakers for your Geographic Area
Find Grant Range & Size
Find Similar Organizations in Your Area
Positive Contact with Grantmaker
Apply- Letter of Inquiry
Find Your Classification of Organization
Other Information Sources• Foundation Web Sites• Annual Reports• Chronicle on Philanthropy• 990 Private Foundation
– Guidestar– Grantsmart.com
• Regional Collections
Letter of Inquiry• Think Proposal• Signed by the chair of the Board• Follow foundation guidelines• Use Proposal Planning & Proposal Writing
Format if no guidelines are given• Don’t be overly formal• Generally 2-4 pages
Government Funding• The System/Process
• Problem -> Objectives -> Methods
• Authorization + Appropriation = Funding Opportunities
History MattersState <<<<< >>>>>Federal
Events – National Concerns – Politics
• Great Depression > New Deal• Sputnik > Science, Education, Technology• Domestic Poverty > Great Society• New Federalism• Block Grants• Faith-Based Funding
Characteristics of Federal Funding
• Most federal grants are relatively large• The review process usually uses a point system for
scoring applications.• There are a variety of factors other than an
application’s score that may determine whether or not the proposal is funded
• Funding is volatile• Evaluations are a major element. The federal agency
may dictate the approach• Red Tape is a Reality: Circulars from the Office of
Management and Budget (OMB) are important
Types of Federal Funding• Grants
– Categorical– Block– Formula– Research (knowledge development) – Demonstration (knowledge application) – Service– Other– Pork –”Ear Mark”
• Cooperative Agreements• Contracts
Flow of Money
Grants
State
$ FUNDS $
Responsible Agency & OMB
RFP
Grants
Congress Passes a Law
Grant Application& ReviewProcess
(1) Statute; (2) Appropriation
Interpret Statute & Establish Operating Rules
Block Grant or Other Grant to State
In-state Award or Application ProcessHeld
$
Open Competition
How to Get Ahead of the RFP1. Catalog of Federal Domestic Assistance
2. The Federal Register
3. Web Sites of Federal Agencies
4. Alert Services
5. National Affiliations in Your field
6. The News –An Eye on Congress
Once you Identify a potential funding program in the CFDA
• When is the next funding competition expected?• How many applications were received in the last
competition? How many grants were made?• Locate a copy of the RFP for the last competition. Ask
the federal contact person if many changes are expected?
• Can you get copies of the top proposals from the last competition? Has an organization in your area been funded through this program?
Once you identify a potential funding program in the CFDA
• What is the composition of the review group?• What is the review process?• Who are the grantees?
When responding to a request for proposal
1. Read the application instructions from beginning to end. Highlight questions, then call the contact person listed in the application instructions.
2. Consider very seriously: is this a good opportunity for my organization? Is it a good match with our mission and priorities?
3. Almost all government applications include detailed information on “Funding Criteria”-elements that will be considered in rankings proposals and making grant awards. Many government funders ask that applications be organized in the same order in which the funding criteria are presented.
4. Answer every question in the order listed unless instructed otherwise.
5. If a question is too long, or more than one issue is included in the question, break the question into pieces. Make sure your response clearly covers every part of the question and includes every issue that was raised.
Government Funding Summary• Problem• Bill – Legislation• Public Law• Federal Agency• Regulations• Notice of Funds Availability (NOFA)• Federal Register• Catalogue of Federal Domestic Assistance
Moving UpstreamEvent
1. Legislation Appropriations
2. Regulations
3. Programs
4. NOFA
5. Applications
6. Evaluation Results
Sources
1. Congressional office, Advocacy Organizations, Testimony
2. Federal Register
3. Catalogue of Federal Domestic Assistance “CFDA”
4. Federal Register
5. Federal Agency
6. Federal Agency
Work Reentry Process• How do you take what you have learned and
apply it?• What is the role of grant writer• You will be raising critical organizational
issues• Who do you want to talk to about the training?
– Make a list and besides it list your outcome for the conversation (Buy resource materials)
– People/Outcome/Method
Work Reentry Process• What have you learned this week about
funding sources and grants?• What have you learned this week about the
organization• What have you learned about your self- group
work etc.• 3 biggest issues facing your organization in
the next 6 months to a year– Strategies for advancing them
Work Reentry Process• What are 3 specific actions you will commit to
taking to implement something you have learned this week.
• Revise draft• Research at Foundation Center Collection