Transcript Grants Management

ART OF
GRANTSMANSHIP
Training Series on the
Basics, Requirements, Tracking,
Reporting and Evaluation
Basics of Grantsmanship
O Definition of Grantsmanship
O Terms To Know
O CFDA Program Description
O How to Begin
O Process
O Features of Grant Proposal
O Preparation for Implementation
www.asharpeconsulting.com
2
Definition
www.asharpeconsulting.com
3
Grantsmanship
O 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
www.asharpeconsulting.com
4
Terminology
Definition
Award
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
www.asharpeconsulting.com
5
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
www.asharpeconsulting.com
6
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
www.asharpeconsulting.com
7
www.asharpeconsulting.com
8
O Types of Grants
O 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)
www.asharpeconsulting.com
9
O Notice of Funding Available (NOFA)
O Agency’s specific program objectives
O Scope
O Relevant deadlines
O Eligibility Requirements
O Terms of evaluation or selection criteria
O Available funds
O Estimated size and number of awards
O Program priorities
www.asharpeconsulting.com
10
O Notice of Funding Available (NOFA kit)
O Program history or context
O Application guidelines
O Submission requirements
O Admin requirements
O Reporting requirements
O Suspension or termination
O Standard application forms, assurances and
certifications
O Budget worksheet and forms
O Single points of contact
O Relevant agency contacts and technical assistance
www.asharpeconsulting.com
11
O Pre-application Process
1.
2.
Coversheet providing information about
applicant
General Budget for project requests
O Total federal, state, local, foundation, loans and in-
kind support for total project costs
3.
4.
Program Statement briefly describes the need,
objectives, methodology, location and benefits
expected from proposed project
Review and Notification of invitation to apply
www.asharpeconsulting.com
12
Before you Begin?
www.asharpeconsulting.com
13
Before the Proposal
O Consider Pros and Cons of grant funding
o Will priorities (goals and objectives) of
organization be changed due to funding
o Will matching funds (from local $$) be an issue
o Grantees become dependent on federal $$
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
www.asharpeconsulting.com
14
Before the Proposal
O 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 presentation
o 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
www.asharpeconsulting.com
15
The Beginning
www.asharpeconsulting.com
16
BUDGETS
Detailed Worksheet and
Categories
Budget Categories











Personnel
Fringe Benefits
Travel
Equipment
Supplies
Construction
Consultants/Contractors
Consultant Expenses (if allowable)
Contracts
Other Costs
Indirect Costs
www.asharpeconsulting.com
18
BUDGETS
Detailed Worksheet
See attachment
www.asharpeconsulting.com
20
Catalog of
Federal Domestic Assistance
www.asharpeconsulting.com
21
CFDA
O 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
www.asharpeconsulting.com
22
Break Time
www.asharpeconsulting.com
28
Grant Process
O Planning phase
O Application phase
O Implementation phase
O Evaluation phase
www.asharpeconsulting.com
29
www.asharpeconsulting.com
30
www.asharpeconsulting.com
31
www.asharpeconsulting.com
32
O Needs Assessment – This step discusses and documents the
O
O
O
O
problem or shortfalls that exists within a given area or function
of the community or organization
Policy Plans – It implies that the organization intends to apply
broad guidance to address the problems and needs, including
partnering
Program Planning - Formulating ideas and methods for
addressing needs, including a training program for staff
Support - Identify all potential funding sources and develop
support group with persons of influence over funding decisions.
Make them aware of your proposal
Source Identification – All available sources should be pursued
www.asharpeconsulting.com
33
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
O
O
O
O
Start with line item budget
Accurate estimate for cost of goods and services
Contact bureau of labor statistics for good salary estimates
Contact merchants for price information on supplies and
equipment
Avoid over/under estimations (Agencies are aware of costs for
services they fund
www.asharpeconsulting.com
34
www.asharpeconsulting.com
35
Components of Proposals
www.asharpeconsulting.com
36
Pull up SWOT Analysis
Include points of
Pestle
www.asharpeconsulting.com
37
Key Components of Grant Proposal
O Proposal summary–
O Introduction and Table of Contents
O Needs Assessment – problem statement
O Objective – long- and short- term
O Methodology – program design
O Monitoring and evaluation criteria
O Planned Budget
O Future funding
www.asharpeconsulting.com
38
Winning Summary
www.asharpeconsulting.com
39
Program Narrative Requirement
O Objectives
O Need for assistance
O Expected results or benefits
O Approach
O Geographic location
O Key personnel
O Program accomplishments
O Reason for program changes, if extension
requests
www.asharpeconsulting.com
40
Appendices
O
O
O
O
O
O
O
O
O
O
O
Audited Financial Statements
IRS Determination Letter
Indication of nonprofit, tribal, etc. status
Roster of Board of Directors, Trustees, etc.
Proposed Organization Chart
Organization Budget as opposed to project budget
Timeline, milestones or project activities
Negotiated Indirect Cost Rate
Letters of support or endorsement
Staff resumes
Planned job descriptions
www.asharpeconsulting.com
41
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.
www.asharpeconsulting.com
42
O 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
www.asharpeconsulting.com
43
O 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
www.asharpeconsulting.com
44
O 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
www.asharpeconsulting.com
45
Deny Grant Award
Award the Grant with special
monitoring conditions
Award the Grant contingent on
technical assistance to the grantee
www.asharpeconsulting.com
46
 Unsuccessful applications should
request full explanations
 Information on the score or ranking of
application
 Review evaluation forms and summary
statements
 Request access to application files
 If permitted, submit amendments and
rebuttals to evaluation
www.asharpeconsulting.com
47
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
www.asharpeconsulting.com
48
 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
www.asharpeconsulting.com
49
www.asharpeconsulting.com
50
O Organization – Determine if administrative mechanisms for
accountability and program delivery is in place and functioning
adequately
O
O
O
O
O
Nature of grantor relationship
Sources and uses of funds requirements
Budgeting, bonding and insurance
Payment procedures
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
www.asharpeconsulting.com
51
www.asharpeconsulting.com
52
Questions and Answers
www.asharpeconsulting.com
53