Be
Prepared!
The successful grant proposal is well prepared,
well planned, and well packaged. In order to be fully prepared,
become familiar with all of the pertinent program criteria related
to the program from which assistance is sought. To obtain
information such as whether funding is available, when applicable
deadlines occur and the processes used by the grantor agency,
contact the person listed in the program description, and/or if
there is a web address be sure to visit there first, most questions
can be answered there. Applicants should remember that the basic
requirements, application forms, information and procedures vary
with the granting agency Individuals without prior grant proposal
writing experience may find it useful to attend a grantsmanship
workshop. A workshop can amplify the basic information presented
here, provide useful contacts and can help generate ideas for grant
proposals.
INITIAL PROPOSAL DEVELOPMENT
Be Innovative When
Developing an Idea When developing an idea for a proposal it is
important to determine if the idea has been considered in the
applicant's locality or State, and to determine if there is a need
for the proposed idea. Checking with elected officials, community
leaders, and community organizations to determine if similar work is
being conducted. If a similar program already exists, the applicant
may need to reconsider submitting the proposed project, particularly
if duplication of effort is perceived. If significant differences or
improvements in the proposed project's goals can be clearly
established, it may be worthwhile to pursue the assistance. Also, if
similar projects are discovered, perhaps a consortium or partnership
can be developed to improve upon an existing project.
Seek
Support
Gaining outside
support is essential for a winning proposal. Once proposal summary
is developed, look for individuals or groups representing academic,
political, professional, and lay organizations, which may be willing
to support the proposal in writing. The type and caliber of
community support is critical in the initial and subsequent review
phases. Numerous letters of support can be persuasive to a grantor
agency. Do not overlook support from local government agencies and
public officials. Letters of endorsement detailing exact areas of
project agreement and commitment are often requested as part of a
proposal to granting agencies. Many agencies require, in writing,
affiliation agreements (a mutual agreement to share services between
agencies) and building space commitments prior to either grant
approval or award. A useful method of generating community support
may be to hold meetings with the top decision-makers in the
community. The forum for discussion may include the merits of the
proposal, development of a contract of support for the proposal,
generation of data in support of the proposal, or development of a
strategy to create proposal support from a large number of community
groups.
Identify Eligible
Funding
Resources A review
of the Objectives and Uses and Use Restrictions sections of the
program description can point out which programs might provide
funding for an idea. Do not overlook the related programs as
potential resources. Both the applicant and the grantor agency
should have the same interests, intentions, and needs if a proposal
is to be considered an acceptable candidate for funding. Once a
potential grantor agency is identified, call the contact telephone
number identified in Information Contacts and ask for a grant
application kit. Later, get to know some of the grantor agency
personnel. Ask for suggestions, criticisms, and advice about the
proposed project. In many cases, the more agency personnel know
about the proposal, the better the chance of support and of an
eventual favorable decision. Sometimes it is useful to send the
proposal summary to a specific agency official in a separate cover
letter, and ask for review and comment at the earliest possible
convenience. Always check with the granting agency to determine its
preference if this approach is under consideration. If the review is
unfavorable and differences cannot be resolved, ask the examining
agency (official) to suggest another department or agency which may
be interested in the proposal. The applicant should carefully study
the eligibility requirements for each program under consideration
(see the Applicant Eligibility section of the program description).
The applicant may learn that he or she is required to provide
services otherwise unintended such as a service to particular client
groups, or involvement of specific institutions. It may necessitate
the modification of the original concept in order for the project to
be eligible for funding. Questions about eligibility should be
discussed with the appropriate program officer. Deadlines for
submitting applications are often not negotiable. They are usually
associated with strict timetables for agency review. Some programs
have more than one application deadline during the fiscal year.
Applicants should plan proposal development around the established
deadlines.
Preparing to Write the
Proposal
The gathering of
documents such as articles of incorporation, tax exemption
certificates, and bylaws should be completed, if possible, before
the writing begins. Throughout the proposal writing stage keep a
notebook handy to write down ideas. Periodically, try to connect
ideas by reviewing the notebook. Never throw away written ideas
during the grant writing stage. Maintain a file labeled "Ideas" or
by some other convenient title and review the ideas from time to
time. The file should be easily accessible.
THINGS TO CONSIDER
• At some point,
perhaps after the first or second draft is completed, seek out a
neutral third party to review the proposal working draft for
continuity, clarity and reasoning. Ask for constructive criticism
at this point, rather than wait for the grantor agency to
volunteer this information during the review cycle. For example,
has the writer made unsupported assumptions or used jargon or
excessive language in the proposal?
• Most proposals are
made to institutions rather than individuals. Often signatures of
chief administrative officials are required. Check to make sure
they are included in the proposal where appropriate.
• Proposals should be
typed, collated, copied, and packaged correctly and neatly
(according to agency instructions, if any). Each package should be
inspected to ensure uniformity from cover to cover. Binding may
require either clamps or hard covers. Check with the Federal
agency to determine its preference. A neat, organized, and
attractive proposal package can leave a positive impression with
the reader about the proposal contents.
• A cover letter should
always accompany a proposal. Standard U.S. Postal Service
requirements apply unless otherwise indicated by the Federal
agency. Make sure there is enough time for the proposals to reach
their destinations. Otherwise, special arrangements may be
necessary. Always coordinate such arrangements with the Federal
grantor agency project office (the agency which will ultimately
have the responsibility for the project), the grant office (the
agency which will coordinate the grant review), and the contract
office (the agency responsible for disbursement and grant award
notices), if necessary.
WRITING THE GRANT PROPOSAL
The Basic Components of a
Proposal There are eight basic components to creating a solid
proposal package:
(1) The
Proposal Summary: Outline of Project Goals
The proposal summary outlines the proposed project and should appear
at the beginning of the proposal. It can be in the form of a cover
letter or a separate page, but should definitely be brief -- no
longer than two or three paragraphs. The summary would be most
useful if it were prepared after the proposal has been developed in
order to encompass all the key summary points necessary to
communicate the objectives of the project. It is this document that
becomes the cornerstone of your proposal, and the initial impression
it gives will be critical to the success of your venture. In many
cases, the summary will be the first part of the proposal package
seen by agency officials and very possibly could be the only part of
the package that is carefully reviewed before the decision is made
to consider the project any further. The applicant must select a
fundable project which can be supported in view of the local need.
Alternatives, in the absence of Federal support, should be pointed
out. The influence of the project both during and after the project
period should be explained. The consequences of the project as a
result of funding should be highlighted.
(2)
Introduction: Presenting a Credible Applicant or
Organization The
applicant should gather data about its organization from all
available sources. Most proposals require a description of an
applicant's organization to describe its past and present
operations. Some features to consider are:
• A brief biography of
board members and key staff members.
• The organization's
goals, philosophy, track record with other grantors, and any
success stories.
• The data should be
relevant to the goals of the Federal grantor agency and should
establish the applicant's credibility.
(3) The
Problem Statement: Stating the Purpose at Hand The
problem statement (or needs assessment) is a key element of a
proposal that makes a clear, concise, and well-supported statement
of the problem to be addressed. The best way to collect information
about the problem is to conduct and document both a formal and
informal needs assessment for a program in the target or service
area. The information provided should be both factual and directly
related to the problem addressed by the proposal. Areas to document
are:
• The purpose for
developing the proposal.
• The beneficiaries --
who are they and how will they benefit.
• The social and
economic costs to be affected.
• The nature of the
problem (provide as much hard evidence as possible).
• How the applicant
organization came to realize the problem exists, and what is
currently being done about the problem.
• The remaining
alternatives available when funding has been exhausted. Explain
what will happen to the project and the impending implications.
• Most importantly, the
specific manner through which problems might be solved. Review the
resources needed, considering how they will be used and to what
end. There is a considerable body of literature on the exact
assessment techniques to be used. Any local, regional, or State
government planning office, or local university offering course
work in planning and evaluation techniques should be able to
provide excellent background references. Types of data that may be
collected include: historical, geographic, quantitative, factual,
statistical, and philosophical information, as well as studies
completed by colleges, and literature searches from public or
university libraries. Local colleges or universities which have a
department or section related to the proposal topic may help
determine if there is interest in developing a student or faculty
project to conduct a needs assessment. It may be helpful to
include examples of the findings for highlighting in the proposal.
(4)
Project Objectives: Goals and Desired Outcome Program
objectives refer to specific activities in a proposal. It is
necessary to identify all objectives related to the goals to be
reached, and the methods to be employed to achieve the stated
objectives. Consider quantities or things measurable and refer to a
problem statement and the outcome of proposed activities when
developing a well-stated objective. The figures used should be
verifiable. Remember, if the proposal is funded, the stated
objectives will probably be used to evaluate program progress, so be
realistic. There is literature available to help identify and write
program objectives.
(5) Program Methods and Program
Design: A Plan of Action The program design refers to
how the project is expected to work and solve the stated problem.
Sketch out the following:
• The activities to occur along
with the related resources and staff needed to operate the project
(inputs).
• A flow chart of the organizational features of
the project. Describe how the parts interrelate, where personnel
will be needed, and what they are expected to do. Identify the kinds
of facilities, transportation, and support services required
(throughputs).
• Explain what will be achieved through 1 and
2 above (outputs); i.e., plan for measurable results. Project staff
may be required to produce evidence of program performance through
an examination of stated objectives during either a site visit by
the Federal grantor agency and or grant reviews which may involve
peer review committees.
• It may be useful to devise a
diagram of the program design. For example, draw a three column
block. Each column is headed by one of the parts (inputs,
throughputs and outputs), and on the left (next to the first column)
specific program features should be identified (i.e.,
implementation, staffing, procurement, and systems development). In
the grid, specify something about the program design, for example,
assume the first column is labeled inputs and the first row is
labeled staff. On the grid one might specify under inputs five
nurses to operate a child care unit. The throughput might be to
maintain charts, counsel the children, and set up a daily routine;
outputs might be to discharge 25 healthy children per week. This
type of procedure will help to conceptualize both the scope and
detail of the project.
• Wherever possible, justify in the
narrative the course of action taken. The most economical method
should be used that does not compromise or sacrifice project
quality. The financial expenses associated with performance of the
project will later become points of negotiation with the Federal
program staff. If everything is not carefully justified in writing
in the proposal, after negotiation with the Federal grantor
agencies, the approved project may resemble less of the original
concept. Carefully consider the pressures of the proposed
implementation, that is, the time and money needed to acquire each
part of the plan. A Program Evaluation and Review Technique (PERT)
chart could be useful and supportive in justifying some proposals.
• Highlight the innovative features of the proposal which
could be considered distinct from other proposals under
consideration.
• Whenever possible, use appendices to
provide details, supplementary data, references, and information
requiring in-depth analysis. These types of data, although
supportive of the proposal, if included in the body of the design,
could detract from its readability. Appendices provide the proposal
reader with immediate access to details if and when clarification of
an idea, sequence or conclusion is required. Time tables, work
plans, schedules, activities, methodologies, legal papers, personal
vitae, letters of support, and endorsements are examples of
appendices.
(6) Evaluation: Product and Process
Analysis The evaluation component is two-fold:
• Product evaluation Product evaluation addresses results
that can be attributed to the project, as well as the extent to
which the project has satisfied its desired objectives.
•
Process evaluation. Process evaluation addresses how the project was
conducted, in terms of consistency with the stated plan of action
and the effectiveness of the various activities within the plan.
Most Federal agencies now require some form of program evaluation
among grantees. The requirements of the proposed project should be
explored carefully. Evaluations may be conducted by an internal
staff member, an evaluation firm or both. The applicant should state
the amount of time needed to evaluate, how the feedback will be
distributed among the proposed staff, and a schedule for review and
comment for this type of communication. Evaluation designs may start
at the beginning, middle or end of a project, but the applicant
should specify a start-up time. It is practical to submit an
evaluation design at the start of a project for two reasons:
• Convincing evaluations require the collection of
appropriate data before and during program operations; and,
• If the evaluation design cannot be prepared at the outset
then a critical review of the program design may be advisable. Even
if the evaluation design has to be revised as the project
progresses, it is much easier and cheaper to modify a good design.
If the problem is not well defined and carefully analyzed for cause
and effect relationships then a good evaluation design may be
difficult to achieve. Sometimes a pilot study is needed to begin the
identification of facts and relationships. Often a thorough
literature search may be sufficient. Evaluation requires both
coordination and agreement among program decision makers (if known).
Above all, the Federal grantor agency's requirements should be
highlighted in the evaluation design. Also, Federal grantor agencies
may require specific evaluation techniques such as designated data
formats (an existing information collection system) or they may
offer financial inducements for voluntary participation in a
national evaluation study. The applicant should ask specifically
about these points. Also, consult the Criteria For Selecting
Proposals section of the Catalog program description to determine
the exact evaluation methods to be required for the program if
funded.
(7) Future Funding: Long-Term Project
Planning Describe a plan for continuation beyond the
grant period, and/or the availability of other resources necessary
to implement the grant. Discuss maintenance and future program
funding if program is for construction activity. Account for other
needed expenditures if program includes purchase of equipment.
(8) The Proposal Budget: Planning the
Budget Funding levels in Federal assistance programs
change yearly. It is useful to review the appropriations over the
past several years to try to project future funding levels (see
Financial Information section of the Catalog program description).
However, it is safer to never anticipate that the income from the
grant will be the sole support for the project. This consideration
should be given to the overall budget requirements, and in
particular, to budget line items most subject to inflationary
pressures. Restraint is important in determining inflationary cost
projections (avoid padding budget line items), but attempt to
anticipate possible future increases.
Some vulnerable budget
areas are: utilities, rental of buildings and equipment, salary
increases, food, telephones, insurance, and transportation. Budget
adjustments are sometimes made after the grant award, but this can
be a lengthy process. Be certain that implementation, continuation
and phase-down costs can be met. Consider costs associated with
leases, evaluation systems, hard/soft match requirements, audits,
development, implementation and maintenance of information and
accounting systems, and other long-term financial commitments. A
well-prepared budget justifies all expenses and is consistent with
the proposal narrative. Some areas in need of an evaluation for
consistency are:
• the salaries in the proposal in relation
to those of the applicant organization should be similar;
•
if new staff persons are being hired, additional space and equipment
should be considered, as necessary;
• if the budget calls
for an equipment purchase, it should be the type allowed by the
grantor agency;
• if additional space is rented, the
increase in insurance should be supported;
• if an indirect
cost rate applies to the proposal, the division between direct and
indirect costs should not be in conflict, and the aggregate budget
totals should refer directly to the approved formula; and
•
if matching costs are required, the contributions to the matching
fund should be taken out of the budget unless otherwise specified in
the application instructions.
It is very important to become
familiar with Government-wide circular requirements. The Catalog
identifies in the program description section (as information is
provided from the agencies) the particular circulars applicable to a
Federal program, and summarizes coordination of Executive Order
12372, "Intergovernmental Review of Programs" requirements in
Appendix I. The applicant should thoroughly review the appropriate
circulars since they are essential in determining items such as cost
principles and conforming with Government guidelines for Federal
domestic assistance.
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