Grant and Contract

1
Grant and Contract

• PLANNING, PRODUCTION, EXECUTION, EVALUATION

Dr. William Bertrnad June 1999
2
Definition of Grant Proposal

• The word proposal defines what is the expected
  result of a grant-writing effort Presentation
  of some future project and a request for
  resources to execute it.
• The ultimate goals of a grant writer are to
• Design
• Articulate
• Summarize
• Communicate
• the key details of a future project.

3
Different Types of Proposals

• Planning proposals involve the process of
  developing a sound data-based plan for future
  activities.
• Research proposals seek resources for gathering
  data, preparing data, analyzing data, and
  presenting results.
• Program Implementation proposals represent the
  core of activities directed toward service
  delivery.
• Technical Assistance proposals often present
  detailed analyses of current organization or
  system weaknesses.
• Training proposals often present an opportunity
  to combine aspects of almost all of the above
  types of proposals.

4
Proposal Production
Successful proposal production involves
coordinating multiple activities often at the
same time, including 1. Planning 2.
Developing a personal resume 3. Searching for
data and resources. 4. Execution or writing and
packaging a proposal 5. Proposal submission or
execution 6. Evaluation and follow-up
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Establish Time Line

• To create a reasonable and sustainable funding
  program with income from grants and contracts, a
  specific time line plan must always be
  established from the first. Time is the one
  absolute constraint.

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Establish a Time Line
Acquire Data
Execute and Submit
Plan
Evaluate
TIME-LIMITED
Continuous Function
Continuous Function
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The Grant and Project Information System
An Ongoing Approach to Sustainable
Organizational Development
Plan Program or Project/ gather Resources
Social Factors
Economic Factors
Execute Write Prepare proposal
Adjust strategy
Submission of Proposal
Compare impact and Quality with others
Revise
Political Factors

8
Goals and ObjectivesKnowing Where You Are Going

• The most time consuming but important tasks
  surrounding grant and contract preparation are
  those that relate to preparation. Clear statement
  of goals and objectives is vital to the success
  of any endeavor.

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Define your self and define your project

• Prepare a curriculum vitae defining your role in
  the project (go to CV1)
• Clarify the purpose of your project and write a
  mission statement.
• Define the scope of work to focus your funding
  search.
• Determine the broad project goals, then identify
  the specific objectives that define how you will
  focus the work to accomplish those goals.

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Time Availability Assessment
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The Successful Grant Proposal

• Start with a good idea.
• Present the good idea to a group or source that
  has funded several similar ideas and is aware of
  the topic in the idea.
• Finally express the good idea in concise, clear
  fashion with emphasis on clarity of writing and
  access to all relevant information needed to make
  a decision.

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The Introduction

• The best proposals are similar to marketing
  pieces in that a highly captivating introduction
  sets the stage for further activity and attract
  the readers interest.
• Writing is in general a one-way medium.
• The way you present your ideas is extremely
  important.
• It is often the only option you are allowed to
  get the resources.
• Accordingly, plan to spend significant effort in
  making your writing extremely clear and extremely
  specific.
• The statement of goals and objectives and a clear
  and convincing justification of their importance
  is vital to any introduction.

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Need or Problem

• The problem is the central important component of
  your proposal.
• Assume reader has little knowledge about the
  problem or your ability to resolve it.
• Present data justifying your vision of
  resolution.
• The Needs Assessment and Statement is core to
  this type of presentation.
• Modesty is not rewarded in either
• presenting problems or
• presenting one's own qualifications to resolve
  problems.
• Utilize multiple media to get your point across.

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Goals and Objectives

• HIERARCHY OF TERMS
• Goals specific statements of value and
  direction
• Objectives yet more specific statements of
  expected accomplishments in known time frames
  using resources in a prescribed manner
• Indicator a variable to measure future success
• Vision Statement broad presentation of values,
  direction, and involvement

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Goals and Objectives

• Goals, objectives and indicators measure progress
  
• Project management systems are all based upon
  clear statement of goals and objectives.
• Without them we cannot communicate to others what
  we're trying to accomplish.
• Write clear goals and objectives so that others
  can see and comment upon them.
• Most organizations lack specificity of goals and
  objectives. When a goal or objective is changed
  there is no record of that change. Considerable
  resources may be expended in inappropriate or
  plainly wrong directions.

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Project Goals and Objectives

• If you are presenting projects to an entity that
  outlines formally how to generate and treat
  logical presentations of goals and objectives, be
  sure to use the exact method specified.
• Broadly speaking projects can be divided into
  several predictable categories.
• One should always test a goal as it relates to
  what is being presented to prevent any
  contradiction between institutional goals and
  objectives and specific project activities from
  counting against the project.

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Detailed Work Plan

• Should contain
• What will be done to accomplish objectives
• How long it will take
• What resources will be required to accomplish
  work
• Who will be responsible for execution
• Helpful Management Tools
• Decision Support computer technology software
  provides graphical and systematic approach
• Examples Microsoft Project Manager, Harvard
  Project Manager, Computer Associates Project
  Manager

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Evaluation

• Necessary to measure to what extent stated goals
  and objectives have been achieved
• Will determine if one has well and accurately
  established
• indicators
• time lines
• relationship to objectives
• goals evaluation
• A routine way of verifying and managing results
• Evaluation information system approach forces
  planner and proposal preparer to think out and
  adequately cover all potential problems in the
  area.

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Budget

• Most important single element of any proposal
• Represents at once how much is requested from
  donor organization
• Shows how reasonable and accurate is relationship
  between what is proposed and resources requested
• Should carefully match Work Plan
• All elements should be carefully explained and
  justified
• How calculations were reached
• What were the bases for calculating equipment
  purchases, travel, and any other significant
  cost items
• In almost every case the granting organization
  provides guidelines to prepare budget. Follow
  guidelines as carefully as possible.
• Often accounting and financial staffs of funding
  organization look only at issues of adequate
  justification, form, and proper math.

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Developing a Proposal Preparation Team

• Major task that requires its own Planning,
  Preparation and Budgeting
• Shortened time response frame of most proposals
  creates stress.
• To alleviate stress, plan and prepare as early as
  possible for the activity.
• Identify staff responsible for proposal
  preparation.
• Set aside time for proposal preparation.
• Allocate funds for additional actions needed as
  part of proposal process.
• Regularly update Organizational Info required in
  most proposals
• Organizational description
• Organizational financial data
• Curriculum for all relevant personnel in the
  organization
• Clear description of key equipment used to
  execute organizations mission
• Careful record of past projects with indications
  of their success

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In-Kind Donations

• An organization makes In-kind Donations to
  leverage or increase the amount of funding
  available to accomplish a goal or set of
  objectives.
• Organizations donate time and space to fulfill
  joint funding agreements.
• Important to keep track of actual time spent and
  cost of specific projects.
• Be direct and honest in both calculation and
  documentation.
• Success of the activity heavily dependent upon
  accurate presentation of all resources available
  to execute the project

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Addressing Social Need

• The principal component of the good proposal is
  presentation of a social need or benefit to
  society that will be delivered by the proposed
  activity.
• Almost all funding organizations have their own
  specific goals and objectives to address certain
  specific social needs.
• Clear statement of social need to be fulfilled is
  mandatory.
• Grant preparer should know the objectives of the
  funding organization.
• Success of proposal greatly enhanced if need
  expressed in proposal similar to that of funding
  agency.

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Goal Setting Exercise For Activity
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Goals and Objectives

• Example
• Goal To improve production quality.
• Objective 1 Recruit advanced production
  talent.
• Objective 2 Train mid-level producers.
• Objective 3 Upgrade production equipment.
• These goals and objectives suggest the
  proposal will request support for recruitment
  activity, production training, and equipment
  purchase. In contrast, a different proposal with
  the same goal might focus only on equipment
  upgrades.

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Define Your Target Population

• Decide who will benefit. Benefits may extend
  beyond the direct beneficiary to include the
  audience, other institutions, etc.
• Draft expected project outcomes in measurable
  terms.
• Draft a timeline that includes the planning
  phase, the period of searching for funds,
  proposal writing, and the intended project start
  date. Periodically update the timeline as you
  learn more about submission deadlines, award
  timetables, etc.

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Identify Funding Sources

• Multiple tools are available for assisting in
  finding funding internationally. These tools
  include centers, computerized databases,
  publications, and public libraries. Remember
  however that these sources are accessible to all
  others who are searching for funds as well.
• Most of your funding will come from groups and
  individuals who are already known to you.
• Identify multiple funding sources.
• old sources
• new sources

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Identify Funding Sources

• Match your project and the funding you seek by
  looking for shared purposes and goals.
• Pinpoint specific funding priorities and
  preferences.
• Make direct contact with individuals who support
  projects like yours.
• Request proposal guidelines and a list of
  projects previously funded. Examine annual report
  if available.
• Inquire about the maximum amount available. Also,
  find out the average size and funding range of
  awards. Are funds available appropriate for your
  project?
• Often the funding agent can provide leads as to
  potential other sources.

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Contacting the Funders

• The funder is a long term resource with whom a
  mutually rewarding relationship has to be
  established.
• Identify a project officer who is interested in
  your project.
• Often funding sources will offer coaching ,
  technical assistance or other aids.
• Know about how proposals are reviewed and how
  decisions are made within the funding
  organization.
• Contacts you make will often prove invaluable,
  even if it does not seem to be the case.

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Contact and Know the Funders

• Inquire about budgetary requirements and
  preferences.
• Does the funder require matching funds?
• Can such matching be provided as in-kind
  acceptable as a portion of applicants' share?
  What may be counted as in-kind, and how might it
  be applied?
• Learn about payment processes, including cash
  flow. Projects that provide funds before they are
  spent are always more valuable.

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Acquire and Put in Electronic Form Proposal
Guidelines

• Key elements to examine within guidelines
• Submission deadlines
• Eligibility
• Proposal format award levels forms, margins,
  spacing, evaluation process and restrictions on
  the number criteria of pages, etc.
• Time table
• Budgets and form of presentation
• Funding goals and priorities
• Award levels
• Evaluation process and criteria
• Whom to contact for project officer relationships
• Other submission requirements

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Know Submission Deadline

• Plan to submit your proposal on or preferably
  before the deadline.
• Be realistic about whether you have time to
  prepare a competitive proposal that meets the
  deadline.
• Find out policies on late submissions,
  exceptions, and mail delays. Can proposals be
  submitted electronically.
• Find out how you will be notified about the
  status of your proposal.
• Develop a proposal submission plan with all
  elements factored in.

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Determine Personnel Needs

• Identify required personnel
• By function
• By name
• Contact project consultants, trainers, and other
  auxiliary personnel to seek availability, acquire
  permission to include them in the project, and
  negotiate compensation.
• Personnel compensation is important budget
  information.
• Make sure that bio-data or curriculum vitae
  information is available and easy to access.

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Organize Your Own Data Base and Information System

• Review your time line adjust to current knowledge
  base.
• Review submission deadlines and timetables.
• Factor into your schedule time to write at least
  3 drafts,
• Gather relevant materials,
• Prepare an objective critique of your proposal
  for clarity, substance, and form.

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Human Resources

• Identify different categories of special skills
  needed to generate proposal and give access to
  funding sources.
• Find these people and assess relevance of skills
  and availability.
• Secure their services and provide training and
  common vision for the important elements of the
  proposal.
• Make sure incentive structure is adequate for
  individual contributions in a timely fashion.

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Preparing to WRITE Proposal

• Organize structure with close attention to
  specifications
• Strive for concise, persuasive writing
• Organize a reasonable budget for the critical
  elements of the writing stage.
• In the absence of explicit guidelines standard
  proposal components are
• a narrative section
• a detailed budget
• an explanation of budget items
• letters of certification and justification
• Often helpful to add
• an abstract
• careful use of appendix material as separate
  attachment

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Narratives (Content)

• Statement of Need - purpose, goals, measurable
  objectives, and a compelling, logical reason why
  the proposal should be supported. Background
  provides perspective and is often a welcome
  component.
• Approach - method and process of accomplishing
  goals and objectives, description of intended
  scope of work with expected outcomes, outline of
  activities, description of personnel functions
  with names of key staff and consultants, if
  possible.

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Narratives (Content)

• Introduce your organization and project to the
  funder
• Make clear the social need or problem being
  addressed by proposed project
• Clearly redefine goals and objectives for long
  and short-term accomplishment
• Statement of work plan, including staffing
  patterns and time lines
• Illustrate elements of how project will retain
  sustainability
• Describe evaluation plan or information
  evaluation system
• Identify reporting frequency

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Communicating Your Intent

• Write explicitly so that proposal reviewers do
  not have to interpret your intentions.
• Use sparse but adequate diagrams.
• Know general characteristics of the Review
  Committee.
• Specify clients or population served
• List personnel who work with the organization
• Describe area of need that your organization
  addresses
• State what makes your organization uniquely
  qualified to resolve the problem

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Narratives (Content)

• Method of evaluation - some require very
  technical measurements of results. Inquire about
  expectations.
• Project timeline - paints a picture of project
  flow that includes start and end dates, schedule
  of activities, and projected outcomes. Should be
  detailed enough to include staff selection and
  start dates.
• Credentials - information about the applicant
  that certifies ability to successfully undertake
  the proposed effort. Typically includes
  institutional or individual track record and
  resumes.

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Your Organization

• Background information on the organization is
  always needed
• Year the organization was formed, and any
  compelling reasons for its creation
• Classification of structure (e.g. We are an
  independent, public, private etc.)
• Geographical location of office(s) and/or service
  provision site(s)
• Significant involvement by key individuals,
  either as volunteers, staff or outside supporters

41
Your Organization

• Major areas of endeavor, and key accomplishments
  
• Change of staff, service provision, vision etc.
• Any special recognition or awards received
• Changes in mission or focus of direction from the
  past changes planned for the future

42
Administrative Competency

• Most organizational failures come through the
  poor management of funds. As a result a careful
  explanation of how funds are managed and
  accounted for is appropriate. There are multiple
  ways to present this.
• Audited financial statements
• Outsourcing key financial functions
• Credentials of your financial personnel
• History of prior activity

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Operational Competency

• Prior programmatic success gives confidence to
  supporters that efforts for which the money will
  be used will be successful The funder must be
  comfortable with your organization's know-how in
  providing the funded objective(s). This comes
  from
• Record of prior successes
• A good management information and evaluation
  system
• Highly qualified and legitimate employees.
• Transparency in reporting activities

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Some Tips on Writing the Narrative

• Imperatives for the narratives
• What is our vision ?
• What are our objectives?
• Who are the beneficiaries?
• Are the objectives achievable and why?
• How can the results be quantified?
• How do the results when measured and quantified
  rest in parallel to the funding agency's
  purpose, objectives, and priorities?
• How can the funding entity be certain that we
  will achieve our collective purposes?

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Statement of Need

• A Statement of Need (or Problem or Vision
  Statement) is a global discussion of the needs
  presented by the constituency you serve. It is
  an opportunity for the reader to start drawing
  her own conclusions as to why your organization's
  work is so important.
• This section generally includes a lot of
  statistics that have been gathered by your
  organization, or by an independent assessor to
  support your position.
• The Statement of Need lays the groundwork for
  why a program like yours can be of vital
  importance and assistance to quality of life for
  your constituency. The funder should be able to
  quickly see how the setting is right for the
  objective(s) you hope to accomplish.

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The Hook or Lure

• There are many ways to represent the same idea.
  However, the hook or lure tailors the
  description of the idea to the interest of a
  particular funding source.
• The HOOK with bait aligns the project with the
  purpose, and goals of the funding source. This is
  a critical aspect of any proposal which needs to
  be presented in a culturally appropriate fashion
  as it determines how compelling reviewers will
  perceive your proposal to be.
• It is important to have several potential lures
  ready should the interests of the potential
  contractor.l cover more than one area.

47
Project Goals and Objectives

• Once you are secure with your organizational
  mission, goals and objectives may be determined.
  The test of a goal is to make certain that it
  fits within your mission the test for objectives
  is that they lead to the accomplishment of a
  goal.
• Objectives are generally quantifiable and
  measurable, time limited and action-oriented.
  Goals are usually aspiring - not limited in terms
  of time or other measurement, and will not
  necessarily be attained.
• The workplan breaks down your objectives a step
  further - into a plan of action. And the
  timeline gives an idea of when each part of the
  action plan will be initiated, working and
  complete.

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Unique Attributes

• Unique qualities are sometimes quite obvious
  other times, they are more difficult to identify.
  However, every organization/project has one or
  more unique attribute(s), and it is the grant
  writer's job to communicate this novelty.
• When the uniqueness has been determined, it is
  appropriate to write a short, concise summation
  of these attributes. The funder does not need a
  lengthy treatise addressing this matter.

49
Expected Results

• The contracting agent will be particularly
  interested in, what results may be expected? An
  explanation of the potential impact of these
  resources is always well received.
• No matter how difficult, it is important to give
  a complete and directed response to the question
  of potential impact. Is it short or long term.
• How can it be measured.

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Target Population

• Who or what do you serve, and where do you
  serve it?
• Be highly specific and descriptive in
  portraying your
• "target," or chosen benefactors.
• The following geographic and demographic
• considerations are examples of what should be
  included general population profile.
• specific population profile for the area (e.g.
  children, ethnic , gender)
• socio-economic levels for population.
• significant changes to the area (past, present or
  expected)
• description of specific population served by your
  project
• gender, age, ethnicity, and or sexual preference

51
Monitoring and Evaluation

• Project evaluation is an important part of the
  grant-making process. An emphasis should be
  focused on the evaluation component. Review the
  most important elements of your evaluation plan.
• a systematic, complete process that gathers,
  analyzes and interprets and presents data
• quantified measurement and analysis, when
  possible
• quality-measured outcomes, when possible
• Your grant should outline the complete evaluation
  process - how is data gathered, analyzed and
  interpreted what is done with the results what
  will be provided to this specific funder and
  others.

52
Key Personnel

• "Key personnel" - These are personnel without
  whose presence there may be doubts that the
  project can be completed. Some times these
  individuals will be specified in a request for
  proposals.
• Lengthy profiles of the key individual(s)
  involved in the project are usually not required
  except as attachments. So called golden
  paragraphs, a brief summary statement of an
  individuals most relevant qualifications and
  accomplishments is usually required within the
  text.

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Golden ParagraphUp to 1/2 page Describing Key
Personnel

• General statement of ability, experience and
• training relating to specific grant project
• No. of similar projects and/or years of
  involvement
• Specific experience uniquely qualifying person
• Language fluencies
• Educational credentials
• Fields of expertise
• Summarize experience going back approximately
  10
• years, possibly longer if specifically
  work-related

54
Collaborating Organizations

• With a multitude of organizations working to
  address the needs of many targeted groups of
  people, there is always a concern with
  maximizing resources. Oftentimes, collaborative
  and/or cooperative arrangements are effective in
  creating a more efficient system of service
  delivery.
• In writing your grant proposal, make clear what
  organizations you are working with and in how.
  Attachment of any written agreements is
  appropriate. You also must discuss any
  organizations providing services similar to
  yours, and justify the necessity for both/all.

55
Dissemination

• One should always assume that, there will be
  interest in information on your ideas,
  methods, findings and successes with similar
  organizations in other geographic areas. Your
  answer should address the means by which you
  intend to relay the pertinent information to
  these organizations.
• Methods for disseminating information vary
  widely, depending upon your field of endeavor.
  The funding agency may, itself, have an interest
  in distributing the information.

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Commitment to Project

• The project should leave open numerous options
  for support other than monetary. Often a source
  of funding cannot provide money but may be able
  to offer other forms of support.
• A candid truthful presentation of the need for
  resources and the implications of same for
  project activity should be presented. It is
  useful to present this in the form of individuals
  served with and without the funds.
• Other options should be presented including
• Seeking funding elsewhere
• proceeding without funding,
• delaying the project,
• tackling project jointly with another agency,
  etc.

57
Budget

• Budgets are cost projections which provide a
  window into how projects will be implemented and
  managed. Detailed budgets represent well thought
  out projects.
• Some budget questions
• Can the activity be accomplished with this
  budget?
• Are costs reasonable for the market - or too high
  or low?
• Is the budget consistent with proposed
  activities?
• Is there sufficient budget detail and explanation?

58
Budget

• Funding sources often require that special forms
  be filled in
• for budgetary reasons.
• Matching and counterpart funds are important
  issues
• Overhead costs are real and should always be
• calculated
• Donations of time and effort used as matching
• should be examined carefully.

59
Project Continuation

• The sustainability of the organization and the
  project are important considerations to most
  entities that provide funds. They want to know
  that their investment will not be lost. Proof
  should be offered as to
• how the project will continue after funding has
  disappeared.
• Other signs of organizational consistency and
  continuity are useful such as
• 1. Longevity of staff
• 2. History of organization (long term
  successes)

60
Supporting Materials

• Granting agencies often require supporting
  materials.
• However policies about the inclusion of
  supporting materials differ widely.
• Find out if supporting materials are allowed and
  if allowed really do add to the presentation.
• Be prepared to invest the time to collect
  resources, document capability, update a resume,
  collect letters, include reference reports or
  whatever is needed including provide digital
  copies of all appropriate material.

61
Attachments (examples of)

• Letter of Inquiry
• Cover Letter
• Articles of Incorporation and By-Laws
• Annual Report
• Board of Directors List
• Promotional Items
• Resumes of Key Personnel
• Supportive Data Need Statement
• Evaluation Forms
• Letters of Commitment/Cooperative Agreements
• Organizational Chart
• Other

62
Cover Letter

• This is a short letter that should be attached to
  the top of your application packet. It should be
  from the highest level possible of your
  organization.
• The cover letter should state that your full
  proposal is attached, and that you are available
  to address any further questions the funder may
  have.
• The cover letter is produced specific to a given
  grant proposal.

63
Letters of Commitment

• Letters of support are not as effective as
  letters of commitment, and are not necessary
  unless requested by the funder. They are a nice
  addition only when they show a true commitment to
  the project and are not near-carbon copies of one
  another.
• Letters of commitment should come from
  individuals representing those entities that are
  integral to the success of your project. They
  should be succinct, original and typewritten on
  the letterhead of the organization represented.
  These letters may or may not be written
  specifically for a given grant proposal.

64
Cooperative Agreements

• Cooperative agreements are those documents that
  outline on-going agreements your organization has
  with others. . Only those agreements that
  apply directly to activity proposed in your
  request should be included.
• Cooperative agreements are produced for your
  agency generally, and not specific to a given
  grant proposal.

65
Organizational Chart

• An organizational chart is a graphic display of
  the personnel and their relationship within your
  agency. It is used to illustrate the lines of
  authority and accountability within an
  organization.
• Generally included are Board of Directors, staff
  and volunteers. Other important relationships of
  the organization also may be represented Try to
  be clear about the nature of all relationships.
• The organizational chart is produced for your
  agency generally, and not specific to a given
  grant proposal. It may, however, reflect an
  intended change in staffing patterns, as proposed
  in the grant application.

66
Authorized Signatures

• Authorized signatures are required. In most large
  organizations. Proposals may be rejected for lack
  of an authorized signature.
• It is important that the key and responsible
  leaders in our organization understand the
  project well enough to answer questions about it.
• Be sure to allow the time to acquire a needed
  signature or authorization.

67
Specifications

• Pay close attention to guidelines stipulated in
  the proposal.
• Include only the number of pages allowed.
• Observe the format. Is there a form to complete?
• Must the proposal be typed, double spaced,
  special format paper?
• Are cover pages allowed or desired?
• Be careful about using too much color, images, or
  polished presentations.

68
Final Submission Checklist

• In order to assure that the proposal be NEAT,
  COMPLETE, and ON TIME, with the requested number
  of copies and original authorized signatures a
  final check list should be compiled. After all
  activities are finished.
• Be sure to address the proposal as directed in
  the guidelines.
• Be sure to include required documentation in the
  required number of copies delivered at the
  appropriate time.

69
Follow-Up After Submission

• Contact the funding source to find the individual
  that should be communicated with regarding the
  status, evaluation, and outcome of your proposal.
  It is important to ask for debriefing,
  particularly of failed proposals. We learn much
  from our failures.
• When possible try to review similar proposals
  which may provide further information about what
  can be utilized for future activities.