art of grantsmanship training series on the basics, requirements, tracking, reporting and evaluation
TRANSCRIPT
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ART OFGRANTSMANSHIP
Training Series on the Basics, Requirements, Tracking,
Reporting and Evaluation
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Basics of Grantsmanship
O Definition of GrantsmanshipO Terms To KnowO CFDA Program DescriptionO How to BeginO ProcessO Features of Grant ProposalO Preparation for Implementation
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Definition
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GrantsmanshipO Definition
O The process of development to secure funding sources for a Nonprofit or Tribal organization to operate and meet goals and objectives
O After securing funds, tracking funds to meet requirements, accountability and reporting
O Monitoring for impact in the community served
O Deliverable and compliance
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Terminology DefinitionAward A contract, grant or loan
Grant Award of financial assistance from federal agency or foundation to a recipient for the distinct purpose to carry out public project or service (not to individuals)
Program Narrative Statement in proposal that defines aspects of proposed project
Needs Assessment Section of grant proposal that provides clear, well-supported and concise statement of problem addressed with grant funds
Program Design Section of grant proposal that addresses the how of long-term and short-term objectives
Indirect Costs Costs in the budget that are not directly associated with project deliverable, but needed to support grantee’s activities
Pre-Application Application package required for certain grants (construction, land acquisition) to determine viability for invitation to apply
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Questions O When is best time to look for grants
• Organizations should research grants throughout the year and keep in contact with program personnel
O How do I prepare budget for grant project• Identify all potential expenses and estimate the cost
of each expense• Set up Chart of Accounts and estimate cost for items
and services• Research budget information of similar programs
O What is required to submit application• To submit electronic application, applicants must
obtain a Duns & Bradstreet DUNS number• Set up account to site by registering with Central
Contract Registry http://www.ccr.gov• Register credentials provider through Grants.gov
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Questions O When is pre-application required
• Required for all construction, land acquisition, land development or program requests that exceed $100k
O Why is the summary so important• Two or three paragraph proposal summary can
establish a good, favorable first impression• Often the summary is the only part of the grant
proposal that is examined prior to decision• Summary highlights the major objectives and
methodology O Are terms and agreements of grant award
negotiable• Matching costs, Program income and Prior approval • Onus is on grantee to understand and seek options
to garner advantageous award terms and conditions
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GRANT REQUIREMENTS
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OTypes of GrantsO Entitlement Funds - i.e. Medicaid (not
subject to annual appropriations process)O Formula Grants – based on factors
specified in legislation i.e. population, poverty rate, individuals served (subject to annual appropriations)
O Discretionary – awarded through competitive process (subject to annual discretionary appropriations bills)
GRANT REQUIREMENTS
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ONotice of Funding Available (NOFA)O Agency’s specific program objectivesO ScopeO Relevant deadlinesO Eligibility RequirementsO Terms of evaluation or selection criteriaO Available fundsO Estimated size and number of awardsO Program priorities
GRANT REQUIREMENTS
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O Notice of Funding Available (NOFA kit)O Program history or contextO Application guidelinesO Submission requirementsO Admin requirementsO Reporting requirementsO Suspension or terminationO Standard application forms, assurances and
certificationsO Budget worksheet and formsO Single points of contactO Relevant agency contacts and technical
assistance
GRANT REQUIREMENTS
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OPre-application Process1. Coversheet providing information about
applicant2. General Budget for project requests
O Total federal, state, local, foundation, loans and in-kind support for total project costs
3. Program Statement briefly describes the need, objectives, methodology, location and benefits expected from proposed project
4. Review and Notification of invitation to apply
GRANT REQUIREMENTS
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Before you Begin?
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Before the ProposalO Consider Pros and Cons of grant
fundingo Will priorities (goals and objectives) of
organization be changed due to fundingo Will matching funds (from local $$) be an
issueo Grantees become dependent on federal $
$o Grantee assumes subordinate role to
grantor instead of partnership (co-equal roles)
o Grantor requires commitment to new services• New objectives, personnel, focus and
vested interest• Conflicts with original mission possible
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Before the ProposalO Direct Approach
o Use Common Sense – contact personnel are employed by agency and are professionals, respect their time and effort
o Do not be flamboyant in your presentationo Do not emphasize potentially problematic
aspects of organization – if you are fearful of success in program, it will be noticed
o Follow directions – it will improve chances
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The Beginning
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BUDGETSDetailed Worksheet and
Categories
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Budget Categories Personnel Fringe Benefits Travel Equipment Supplies Construction Consultants/Contractors Consultant Expenses (if allowable) Contracts Other Costs Indirect Costs
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BUDGETSDetailed Worksheet
See attachment
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RESOURCES
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Catalog of Federal Domestic Assistance
CFDA
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CFDAO Definition
O Government wide website listing federal programs and activities that provide financial assistance, loans, loan guarantees, subsidies and technical assistance programs
O Program descriptions contain uniform detailed information about grant program; i.e. program objectives, type of assistance and eligibility requirements
O See CDFA matrix and example fig 210-1
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CFDA
O www.cfda.gov
O www.grants.gov
O www.gpoaccess.govO Federal RegisterO Code of Federal
RegulationsO Congressional
RegisterO Monthly catalog
of US gov’t publication
CFDA provides federal agency regional office addresses, phone numbers and info to help find grant.
Grants.gov is primary source for obtaining grants. Here you can find info and apply for grant online.
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TheGrantor Agency
O Office of Grants and Procurement
O Office of Grants Policy
O Office of Grants & Contracts
O Office of Grants Management
O Office of Financial Management
O Office of Facilities and Construction
The primary source of grants management information is the
federal or foundation agency.
Important to establish and maintain a good working relationship with program office.
Staff that will assist are: grants
management specialist, program
official, GM officer and Funds Director. Larger agencies have
separate offices that establish
organization wide grant policy.
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OMB
O Office of Federal Financial Mgmt. Office of Management & Budget Washington, D.C. 20503 phone 202-395-3993 fax 202-395-3888 http://www.whitehouse.gov/omb
O Office of Fed. Procurement Policy Office of Management & Budget Washington, D.C. 20503 phone: 202-395-5802 fax: 202-395-3242 http://whitehouse.gov/omb/procurement
The Office of Management and Budget is responsible for issuing government circulars on uniform
grants administration, cost principles and audit.
Best source for program related questions.
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State Agency
O www.USA.gov/Agencies/State_and_ Territories.shtml
O Intergovernmental review performed under EO 12372 (see ¶521). Directory of “single points of contact” is available at
O www.whitehouse.gov/omb/grants/spoc.html
O Federal Register is tool to find listing of grants available and the multiple sources
Many federal grants are “pass
through” awards that federal
grantor agencies provide to state agencies. The State distributes funds to eligible applicants within state.
Most states have a dept. of community affairs or other liaison office. To offer technical
assistance and information to
improve management capacity.
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Other
O www.hhs.gov/grantsnet/
O See attached Lists
Federal agencies often publish lists of grant recipients in the Federal Register or list award recipients on their websites.
Helpful tool for finding awards, searching for funding,
how to apply and other information is GrantsNet.
National Public Interest Groups
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Break Time
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Grant ProcessO Planning phase
O Application phase
O Implementation phase
O Evaluation phase
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PLANNING, Planning… planning
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PLANNING PROCESS
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PLANNING PROCESS
WHO
?
WHAT? Where?
When?
HOW?
WHY?How Long?
HOW WELL?
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PLANNING PROCESSO Needs Assessment – This step discusses and
documents the problem or shortfalls that exists within a given area or function of the community or organization
O Policy Plans – It implies that the organization intends to apply broad guidance to address the problems and needs, including partnering
O Program Planning - Formulating ideas and methods for addressing needs, including a training program for staff
O Support - Identify all potential funding sources and develop support group with persons of influence over funding decisions. Make them aware of your proposal
O Source Identification – All available sources should be pursued
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PLANNING PROCESS (2)
O Proposal Development – Written proposal includes identifying needs, objectives, methodology, personnel, monitoring capability and evaluation criteria
O Budgets – Each grantor has specific budget form, begin with generic budget that covers all potential expenses.O Start with line item budgetO Accurate estimate for cost of goods and servicesO Contact bureau of labor statistics for good salary
estimatesO Contact merchants for price information on supplies and
equipmentO Avoid over/under estimations (Agencies are aware of
costs for services they fund
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APPLICATION PROCESS
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Components of Proposals
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Pull up SWOT Analysis Include points of
Pestle
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APPLICATION PROCESS
Key Components of Grant ProposalO Proposal summary–O Introduction and Table of ContentsO Needs Assessment – problem statementO Objective – long- and short- termO Methodology – program designO Monitoring and evaluation criteriaO Planned BudgetO Future funding
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Winning Summary
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APPLICATION PROCESS
Program Narrative RequirementO Objectives O Need for assistanceO Expected results or benefitsO ApproachO Geographic locationO Key personnelO Program accomplishmentsO Reason for program changes, if
extension requests
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APPLICATION PROCESS
AppendicesO Audited Financial StatementsO IRS Determination LetterO Indication of nonprofit, tribal, etc. statusO Roster of Board of Directors, Trustees, etc.O Proposed Organization ChartO Organization Budget as opposed to project budgetO Timeline, milestones or project activitiesO Negotiated Indirect Cost RateO Letters of support or endorsementO Staff resumesO Planned job descriptions
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APPLICATION PROCESS
O Presentation– This step involves sending proposal to grantor or an oral presentation to a reviewing panel. This is the only material that agency receives to judge the perspective grantee. Best impression crucial “Follow instructions carefully”
O Agency Evaluation – After end of response date, evaluation process begins
O Approval /rejection - Prospective grantees are informed of the results. Grantee may receive funding for a portion of proposal based on funding agency priorities. Grantee must decide if willing to accept scaled-down version of project, grantor conditions, or partial funding. Grantee should have included other sources during planning process to make it possible to continue with project with partial funding from one source.
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AGENCY REVIEWO Technical or Program Evaluation
• Is there a need for the program• Do Proposed objectives meet those of
announced programs• Can the proposed procedures or
methods meet the project’s objectives• Are the facilities and resources
adequate to carry out the program• Are the staff and personnel adequate• Does the value or cost-benefits
warrant a grant award
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AGENCY REVIEWO Business Evaluation
Cost analysis performed Organization structure Past Performance Required facilities Accounting policies and procedures Procurement procedures adequate Personnel policies, fairness and
compliance Procedures selecting sub-grantees
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AGENCY REVIEWO Business Evaluation
Poor financial stability Inexperience Financial dependency on federal
support Serious deficiencies in program Accounting policies and procedures Inadequacy in business management
system History of unsatisfactory performance Large cost disallowances
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AGENCY REVIEWDeny Grant Award
Award the Grant with special monitoring conditions
Award the Grant contingent on technical assistance to the grantee
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AGENCY REVIEWUnsuccessful applications should
request full explanationsInformation on the score or
ranking of applicationReview evaluation forms and
summary statementsRequest access to application
filesIf permitted, submit amendments
and rebuttals to evaluation
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NOTIFICATION OF AWARD
Awarding agency ensures availability of funds and appropriation allowance is made
Notifies the grantee and others that a grant is awarded
Specifies the grant terms and conditions
Provides legal basis for the obligation of federal funds
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NOTIFICATION OF AWARD
Notice includes: Grant period CFDA program number Project assigned Awarding agency’s name Costs of the award Amount and date of grant Accounting classification numbers Certifying officials signature Terms and conditions of the grant
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IMPLEMENTATION PROCESS
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IMPLEMENTATION PROCESS
O Organization – Determine if administrative mechanisms for accountability and program delivery is in place and functioning adequatelyO Nature of grantor relationshipO Sources and uses of funds requirementsO Budgeting, bonding and insuranceO Payment proceduresO Administrative actions requiring prior approval
O Management – Effective management is necessary to properly direct and monitor all program and admin functions of grant. One central point of contact is advised for direct responsibility and cohesiveness
O Monitoring - Collect data and supporting documentation on various program and administrative costs
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EVALUATION
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BASICS OF GRANTSMANSHIP
Questions and Answers