Outcome Based Grant WritingJune 30, 2007House of DavidPittsburgh, PA

Presented by:Dr. Khalifah Ramadan716-812-1404

kramadan@aol.com

Introductions

•Your name, organization, role

•Experience with–Grants–Other

•Priority for the week

Learning ObjectivesAt the completion of the training, participants will:

1. Understand the relationship between program planning and grant proposal writing.

2. Be able to identify and construct the core elements of a grant proposal.

3. Know how to distinguish between problem, objectives and methods.

4. Be able to utilize hard and soft data to substantiate the proposal.

5. Be able to interpret instructions and application guidelines from funding sources.

6. Be able to critique proposals and give constructive feedback

7. Know how to utilize the internet to conduct research on funding sources, statistics and program ideas.

Grantsmanship

• What is Grantsmanship?– Grantsmanship versus “grant writing”– More than proposal writing– Organizational readiness– Multiple roles of fundraisers– Organizational placement is key– Proposal writing is part of a process– Involving others

Grantsmanship & Faith-based Funding

• Background

• Changing landscape

• Implications

• Issues & challenges

Grantsmanship

• Avoid chasing money

Chasing $ can lead to…

MISSION

Flow of Federal Resources

Federal GovernmentDept. of Justice

Federal Emergency Management Agency

Dept. of Education

Dept. of Labor

Dept.of HUD

Department of Agriculture

Dept. of HHS

Types of FundingGovernment

•Organizational credibility•Personal relationships•Areas of interest•Application guidelines•Pattern of giving

•More specific•Knowing the players•Know what they want•Address specific questions•Format is important•Scoring •Bidders conference

Proposal Writing Pointers

• Support assumptions– Present supporting facts for stated

assumptions

• Use clear, understandable language• Avoid Jargon• Be brief, concise, simple• Be positive• Use specifics, examples

– Specifics increase impact

Proposal Writing Pointers• Balance is important

– Data/facts and human interest– Words and graphics– Logic and Emotion

• Use hard & soft data– Statistics

• Percents +absolute numbers• Don’t overuse statistics• Clear, relevant

– Quotes, examples• Put faces, voices on the work

Flow of Federal Resources Case Study

SAMHSAState/Local Gov.

Formula Allocations

Community Development Block Grant

Continuum of Care

Competitive Grants

Stakeholders

•Faith-Based Org.

•Business Community

•Community Based Org.

•Elected Officials

•Community Partners

Decision-Making Table

Program planning & Proposal Writing Format

Conceptualize Present

Proposal Format Components• Summary• I. Introduction (to the applicant

organization)• II. Problem Statement/Needs/Assessment• III. Objectives• IV. Methods• V. Evaluation/Outcomes• VI. Future Funding• VII. BudgetAppendix

Proposal Format Components• Summary

– Written last– Provides reader with necessary

preparation for reading the proposal– Provides an overview of the proposal

• Introduction (to the applicant)– Organizational credibility statement

• Problem Statement– What is the current problem(s)?– What are the causes?

Proposal Format Components• Program Objectives

– How will the problem change– Stated in terms of the beneficiaries

• Methods– How will you accomplish the change you

desire– Why do you think your approach will work?

• Evaluation– How will you be able to tell whether or not

your approach worked

Proposal Format Components

• Future Funding and Other Necessary Funding– How will this effort be continued at the end

of the grant funding?

• Budget– Specifically, what will this effort cost?

3 Core Elements• Program

– Problem– Objectives– Methods– Evaluation

• Marketing - Introduction– Summary/ Appendix

• Financial– Budget– Future Finding

“A Work in Progress”Problem Objectives-

OutcomesMethods

Pay attention to any areas of confusion

Confusions

Bathtubs vs. Buckets

Bathtubs vs. Buckets

Problems Objectives - Outcomes

Problem Statement/ Needs Assessment

Narrative description of current situation or conditions affecting people in a specific geographic area

Problem Statement/ Needs Assessment

• What IS going on• “Layers” / funnel• Supported with hard and soft data

– Facts– Stat’s– Quotes– Examples

• People – centered• Answers SO WHAT?

Problem Statement

• What is the current problem(s)• What are the causes of the problem(s)

– Clearly related to the purpose of your organization

– Describes current conditions that require action

– Includes a discussion of the causes of the problem

– Reasonable dimensions– Supported by evidence– Specific to a geographic area or population

Problem Pitfalls

• Need for …– Staff– Equipment– Building, etc.

• Agency – centered

• Vague, general

• Elephant of a problem with mouse of a solution

Problem Pitfalls

Problem: Example“Cardiovascular disease claimed more than 925,000 lives

in the United States last year. In 2000, 6,155 Nebraskans died of heart disease –17 people each day. This makes heart disease the number one killer in Nebraska, accounting for 41% of all deaths.

James Moller, M.D., Pediatric Cardiologist at University of Nebraska stated:

“Unfortunately for our children, heart disease is thought of as an elderly person’s disease. In fact, the beginning states of heart disease occur at a very young age. Lifestyle behaviors and habits are established early and continue through adulthood.

Problem: ExampleOur children are increasingly at risk- nationwide:• 17% to 33% are obese• 50% engage in little or no physical activity• 4,000,000 children smoke• 3,000 children begin smoking each day.

If health trends remain the same, more than half of Nebraska’s children will die of heart disease, and at earlier ages than ever before.”

Proposal Problem Statement Checklist

Relates to purpose and goals of organization

Reasonable dimensionsSupported by statistical evidenceSupported by statements from

authoritiesStated in terms of clients or

beneficiaries

Proposal Problem Statement Checklist

Developed with input from clients and beneficiaries

Not the “lack of a method” (unless the method is infallible)

Doesn’t make assumptionsDoesn’t use jargonIs interesting to read

Outcomes

• How will the problem change. Stated in terms of the beneficiaries.– Who will change?– What behavior will change?– In what direction will that change be?– By what time will this change take place?

Objectives

• WHO

• Is going to do WHAT

• WHEN

• How MUCH

• (As MEASURED By)

Objectives

• “SMART” objectives

• Specific

• Measurable

• Achievable

• Realistic

• Time-referenced

Objectives or Outcomes?If so, good or not?

1. To provide a total of 20 hours of in-service training on conflict management to 35 middle school teachers during the 2001-2002 academic year.

2. Students will achieve at least a 10% improvement in standardized test scores by the end of 2 semesters.

3. To distribute educational materials to 1200 community residents concerning the Neighborhood Watch safety program.

4. By the end of 2002, 250 out of 300 people from Washington County that attend six HIV prevention workshops will have increased knowledge of HIV, its co-infection with Hepatitis C and the risks of transmission in substance abuse.

Objectives or Outcomes?If so, good or not?

5. Teens participating in the “Teen Parenting Education Program” will:

– Follow proper health and nutrition guidelines– Deliver healthy babies

6. To increase by 550 the number of youth, ages 12 to 15, receiving sexuality education.

7. At the conclusion of the six-week ‘Smoking Cessation Program, “ 72% of participants will stop smoking.

8. 30 Injection drug users will increase their harm reduction skills in needle cleaning and correct barrier usage to reduce their risk of exposure to HIV and Hepatitis C.

Objectives or Outcomes?If so, good or not?

9. Students’ academic performance improves

10. To develop educational materials on “Making Healthy Choices” to distribute to community residents.

11. To increase by 50% the number of hours parents spend reading with their children.

12. To increase the number of women entering the fields of science and engineering.

Proposal ChecklistDescribes problem-related outcomes of

your programDoes not describe your methodsDefines the population servedStates the time when the objectives will

be metDescribes the objectives in numerical

terms. If at all possible

Problems and Outcomes• Layers• Hard data (Make it up if

you don’t have data!)• Soft data (Quotes, case

examples)• Causes and/or

contributing factors• Oh! …no So What?

• Short term• Longer Term• Changes in behavior,

knowledge, skills, conditions

• Include specific targets and timeframes

• Clients (not what providers will do)

Proposal Format Components• Summary• I. Introduction (to the applicant organization)• II. Problem Statement/Needs/Assessment• III. Program Objectives• IV. Methods• V. Evaluation• VI. Future Funding• VII. Budget

Appendix

Methods• How will you accomplish the change you

desire?• Why do you think your approach will work?• Components of section:

– Summary of major Components– Collaboration– Staffing– Facilities and Equipment– Work plan/Timeline– Rationale

Proposal Methods ChecklistFlows naturally from problems and objectivesClearly describes program activitiesStates reasons for selection of activitiesDescribes sequences of activities Describes staffing of programDescribe clients and client selectionPresents a reasonable scope of activities that

can be accomplished within the time allotted for program and within the resources of the applicant.

Evaluation

• How will you be able to tell whether or not your approach worked?– Involve outside evaluator early in the

planning process– Evaluation as a tool for marketing

Summary of Program

Evaluation Plan– What data you will collect– How you will collect it– When you will collect it– How you will use it

Problem/Need Conditions

ObjectivesEnds

Outcomes

MethodsHow & Why

Evaluation

Problem Objectives Methods

Impact Outcome Process

Evaluation Design

Data

CollectionMethods

When

Data Collection Tools• Pre-post Test• Questionnaires• Instruments• Interviews• Trained Observers• Focus Groups• Physical Measurements• Logs in Client Files• Reports• Control/Comparison Groups

Information Gathering

Problem Objectives Methods

Info. To collect

How collect

When

Proposal Evaluation ChecklistCovers outcomes and processTells who will be performing evaluation

and how evaluators will be selectedDefines evaluation criteriaDescribes data gathering methods

Proposal Evaluation ChecklistExplain any test instruments or

questionnaires to be usedDescribes the process of data analysisShows how evaluation will be used for

program improvementsDescribes evaluation reports to be

produced

3 Core Elements Program

Problem Objectives Methods Evaluation

Marketing = Introduction Summary/ Appendix

Financial Budget Future funding

Introduction• Sets the stage

– Who are you?– What do you do as an agency?– So What?– Impact!!

• Marketing Tool• Credibility Statement

– (numbers,quotes,examples)

• Layers

Know your image• Name• Do you have an Image?

– What is it (to Funder)?

• Reinforce Positive• Defuse Negative

Introduction Components2 Types of Information

Descriptive Information

“Credibility” Information

Introduction ComponentsDescriptive Wow

•History•Program•Clients/ Constituency•Services/ Activities•Locale•Population/demographics•Total budget•Mission•Staff•Philosophy/vision

•Growth #•Demand/ Waiting List•Success Stories/ Quotes•Accomplishments/Evaluation•Affiliations•Awards/Recognition•Expertise•Board•100% Support•Outcomes•Grants, donations•Media•Evidence of Community support – e.g. volunteers

Introduction Pitfalls• Organizational Structure Maze• Philosophy Driven• Past Funding Information Overload

• No data • Only fact and figures

vs

Proposal Introduction ChecklistClearly establishes who is applying for fundsDescribes applicant agency purpose and

goalsDescribes agency programsDescribes clients or constituentsProvides evidence of accomplishmentOffers statistics to support credibility

Proposal Introduction ChecklistOffers statements and/or endorsements to

support credibilitySupports credibility in program area in which

funds are soughtLeads logically to problem statement Is interesting Is free of jargon Is brief

Application Activity

Agency Description

Descriptive and WOW information

1. Interview your partner and take notes2. During the interview, probe for “wow”

information3. Switch roles4. When you both have been interviewed,

trade notes

Proposal Format Components• Summary• I. Introduction (to the applicant organization)• II. Problem Statement/Needs/Assessment• III. Objectives• IV. Methods• V. Evaluation• Future Funding• Budget

Appendix

Budget• Estimate• No surprises• Support assumptions• Requested• Donated• Other sources

Proposal Budget ChecklistDefine how you calculated expensesExpenses should be reasonableSources of matching funds and in-kind

resources should be identifiedMultiple years must be presented if requestedFigures should be correctHave a reviewer

Future Funding• Plan for continued support after grant (If needed)• Earned Income – fees for services /products• Third Party Payment• Absorb into Budget• Development Plan

– Special events– Annual Fund– Membership– Phone/mail solicitation– Major gifts– Planned giving– Endowment– Capital campaign

• Business ventures

Proposal Future Funding ChecklistPresents a plan to provide future funding if

program is to be continuedDiscusses both maintenance and future

program funding if program is for constructionAccounts for other needed expenditures If program includes purchase of equipment

Future & Other Necessary Funding

• Future and other necessary funding– Other funding is needed when you are requesting

a specific item but you need to be able to provide the other resources

Proposal Summary• Belongs at the beginning of the proposal• Written last• Provides reader with necessary preparation

for reading the proposal• Provides an overview of the proposal

Summary• Critical questions to answer

– Who are we?– What are we concerned about?– What we propose to do about it?– What is the cost?

• Total cost• Funds already obtained • Amount requested

Proposal SummarySt. Clair County Community College, located in Port Huron, Michigan, serves 9,200

students per year through 106 academic programs. In fall 2001, St. Clair County Community College experienced and enrollment increase of 7% over the 200 fall term. This is the seventh consecutive term the college experienced an enrollment increase. The Department of Mathematics, Science, and Physical Education is the fastest growing academic department at the College.

Local Businesses, such as Dow chemical, hire engineers from outside the area, resulting in increased expenditures in the form of relocation expenses, recruitment expenses, national advertising and job fairs. Additionally, this creates a loss of economic support to the local labor force in the community.

St. Clair County Community College proposes development an engineering science degree program to correct this situation. There are two phases to St. Clair County Community College’s plan. Phase one includes an introduction to Engineering Course and a engineering science laboratory. The College requests a grant in the amount of $78,000 to support the creation of a state-of-the-art engineering science laboratory. Phase two is the development of the curriculum and implementation of the Engineering Science associates degree program. The total cost of Phase one is $112, 216. Of the total, $34,728 has been donated.

Proposal Summary Checklist• Includes total cost, funds already obtained,

amount requested in this proposal• Brief• Clear• Interesting

Proposal Format & Delivery• Font• Margins• Spacing• Headings/subheading• Use of pictures & graphic elements• Reader friendliness• Length• Packaging• Delivery methods

Foundations• 501 (c) (3) & 509 (a)

• 2001 $29.0 (Billion)• 2000 $27.6• 1999 $23.3• 1998 $19.5

• 56,000• 25%

– Hold 90.5 % of Assets– Make 91.6% of all grants

Foundations• 1969 Tax Reform• Non-Profit Exempt• Invest Assets – Income via grants• Board of Directors• Market Value of Assets x 5%• IRS Reporting – 990’s

Foundation Characteristics• Large /National Foundations

– Fund programs of national significance– Cutting edge of change– Want to fund programs that can serve as models

nationally / internationally– Well-staffed and active in their fields of interest– Most have broad interests– Some have special interests

Foundation Characteristics• Mid-size Regional Foundations

– Usually have broad interests– Interested in making grants that have an important

impact within their geographic region

• Small Local/Family foundations– Interests of family members

• Corporate Foundations– Company controlled– Self-interest of the company –what’s in it for the

corporation– Distinct from corporate giving

Foundation Characteristics• Public Charities

– Funds from many sources– Geographic or special interest– Community foundations are public charities– staffed

Largest Foundations (by Assets)

Bill & Melinda Gate Foundation (WA) •$21.15B

Lilly Endowment Inc. (IN) •$15.59B

The Ford Foundation (NY) •$14.66B

J. Paul Getty Trust (CA) •$10.93B

The David and Lucile Packard Foundation (CA) •$9.79B

The Robert Wood Johnson Foundation (NJ) •$8.79B

W.K. Kellogg Foundation (MI) •$5.72B

The Andrew W Mellon Foundation (NY) •$4.88B

The Pew Charitable Trusts (PA) •$4.80B

The Starr Foundation (NY) •$4.48B

Information Sources• The Foundation Center

– Non-profit organization– National collections: New York City & DC– Field offices in San Francisco, Cleveland, Atlanta– Regional “cooperating collections” throughout the

country– www.fdncenter.org

Foundation Information Sources

• FC-Search CD ROM

• Guide to US Foundations 56,000

• Foundation Directory– 10,000 –56,000 Foundations Listed

Foundation Information Sources

• Foundation 1000

• National Directory of Corporate Giving

• Grants Index

• Grant Guides (By Subject)

Foundation Information SourcesAll Foundations:

80% of all giving:

65% of all giving:

Grants listings:

Corporate:

FC Search

Guide to US Foundations

Foundation Directory Online- Platinum 990 PFs

Foundation Directory

Foundation 1000

Grants Index, Grant Guides (by subjects)

National Directory of Corporate Giving

Searching for Foundations

Generic Topic Searches

Find Grantmakers for your Geographic Area

Find Grant Range & Size

Find Similar Organizations in Your Area

Positive Contact with Grantmaker

Apply- Letter of Inquiry

Find Your Classification of Organization

Other Information Sources• Foundation Web Sites• Annual Reports• Chronicle on Philanthropy• 990 Private Foundation

– Guidestar– Grantsmart.com

• Regional Collections

Letter of Inquiry• Think Proposal• Signed by the chair of the Board• Follow foundation guidelines• Use Proposal Planning & Proposal Writing

Format if no guidelines are given• Don’t be overly formal• Generally 2-4 pages

Government Funding• The System/Process

• Problem -> Objectives -> Methods

• Authorization + Appropriation = Funding Opportunities

History MattersState <<<<< >>>>>Federal

Events – National Concerns – Politics

• Great Depression > New Deal• Sputnik > Science, Education, Technology• Domestic Poverty > Great Society• New Federalism• Block Grants• Faith-Based Funding

Characteristics of Federal Funding

• Most federal grants are relatively large• The review process usually uses a point system for

scoring applications.• There are a variety of factors other than an

application’s score that may determine whether or not the proposal is funded

• Funding is volatile• Evaluations are a major element. The federal agency

may dictate the approach• Red Tape is a Reality: Circulars from the Office of

Management and Budget (OMB) are important

Types of Federal Funding• Grants

– Categorical– Block– Formula– Research (knowledge development) – Demonstration (knowledge application) – Service– Other– Pork –”Ear Mark”

• Cooperative Agreements• Contracts

Flow of Money

Grants

State

$ FUNDS $

Responsible Agency & OMB

RFP

Grants

Congress Passes a Law

Grant Application& ReviewProcess

(1) Statute; (2) Appropriation

Interpret Statute & Establish Operating Rules

Block Grant or Other Grant to State

In-state Award or Application ProcessHeld

$

Open Competition

How to Get Ahead of the RFP1. Catalog of Federal Domestic Assistance

2. The Federal Register

3. Web Sites of Federal Agencies

4. Alert Services

5. National Affiliations in Your field

6. The News –An Eye on Congress

Once you Identify a potential funding program in the CFDA

• When is the next funding competition expected?• How many applications were received in the last

competition? How many grants were made?• Locate a copy of the RFP for the last competition. Ask

the federal contact person if many changes are expected?

• Can you get copies of the top proposals from the last competition? Has an organization in your area been funded through this program?

Once you identify a potential funding program in the CFDA

• What is the composition of the review group?• What is the review process?• Who are the grantees?

When responding to a request for proposal

1. Read the application instructions from beginning to end. Highlight questions, then call the contact person listed in the application instructions.

2. Consider very seriously: is this a good opportunity for my organization? Is it a good match with our mission and priorities?

3. Almost all government applications include detailed information on “Funding Criteria”-elements that will be considered in rankings proposals and making grant awards. Many government funders ask that applications be organized in the same order in which the funding criteria are presented.

4. Answer every question in the order listed unless instructed otherwise.

5. If a question is too long, or more than one issue is included in the question, break the question into pieces. Make sure your response clearly covers every part of the question and includes every issue that was raised.

Government Funding Summary• Problem• Bill – Legislation• Public Law• Federal Agency• Regulations• Notice of Funds Availability (NOFA)• Federal Register• Catalogue of Federal Domestic Assistance

Moving UpstreamEvent

1. Legislation Appropriations

2. Regulations

3. Programs

4. NOFA

5. Applications

6. Evaluation Results

Sources

1. Congressional office, Advocacy Organizations, Testimony

2. Federal Register

3. Catalogue of Federal Domestic Assistance “CFDA”

4. Federal Register

5. Federal Agency

6. Federal Agency

Work Reentry Process• How do you take what you have learned and

apply it?• What is the role of grant writer• You will be raising critical organizational

issues• Who do you want to talk to about the training?

– Make a list and besides it list your outcome for the conversation (Buy resource materials)

– People/Outcome/Method

Work Reentry Process• What have you learned this week about

funding sources and grants?• What have you learned this week about the

organization• What have you learned about your self- group

work etc.• 3 biggest issues facing your organization in

the next 6 months to a year– Strategies for advancing them

Work Reentry Process• What are 3 specific actions you will commit to

taking to implement something you have learned this week.

• Revise draft• Research at Foundation Center Collection