ART OF GRANTSMANSHIP Training Series on the Basics, Requirements, Tracking, Reporting and Evaluation

ART OFGRANTSMANSHIP

Training Series on the Basics, Requirements, Tracking,

Reporting and Evaluation

www.asharpeconsulting.com 2

Basics of Grantsmanship

O Definition of GrantsmanshipO Terms To KnowO CFDA Program DescriptionO How to BeginO ProcessO Features of Grant ProposalO Preparation for Implementation


Definition


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


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


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

http://www.ccr.gov/


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


GRANT REQUIREMENTS


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


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


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


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


Before you Begin?


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


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


The Beginning

BUDGETSDetailed Worksheet and

Categories


Budget Categories Personnel Fringe Benefits Travel Equipment Supplies Construction Consultants/Contractors Consultant Expenses (if allowable) Contracts Other Costs Indirect Costs

BUDGETSDetailed Worksheet

See attachment


RESOURCES


Catalog of Federal Domestic Assistance

CFDA


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


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.

http://www.cfda.gov/

http://www.grants.gov/

http://www.gpoaccess.gov/

http://www.gpoaccess.gov/


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.


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.

http://www.whitehouse.gov/omb

http://www.whitehouse.gov/omb

http://whitehouse.gov/omb/procurement

http://whitehouse.gov/omb/procurement


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.

http://www.usa.gov/Agencies/State_and_Territories.shtml

http://www.usa.gov/Agencies/State_and_Territories.shtml

http://www.whitehouse.gov/omb/grants/spoc.html

http://www.whitehouse.gov/omb/grants/spoc.html


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

http://www.hhs.gov/grantsnet/


Break Time


Grant ProcessO Planning phase

O Application phase

O Implementation phase

O Evaluation phase


PLANNING, Planning… planning


PLANNING PROCESS


PLANNING PROCESS

WHO

?

WHAT? Where?

When?

HOW?

WHY?How Long?

HOW WELL?


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


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


APPLICATION PROCESS


Components of Proposals


Pull up SWOT Analysis Include points of

Pestle


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


Winning Summary


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


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


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.


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


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


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


AGENCY REVIEWDeny Grant Award

Award the Grant with special monitoring conditions

Award the Grant contingent on technical assistance to the grantee


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


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


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


IMPLEMENTATION PROCESS


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


EVALUATION


BASICS OF GRANTSMANSHIP

Questions and Answers

Documents

ART OF GRANTSMANSHIP Training Series on the Basics, Requirements, Tracking, Reporting and Evaluation