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Proposal Development

Trainer: Pamela Baston, MPA, CAP, CPP

Solutions Of Substance, Inc.

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In the shadows of Atlanta’s skyscrapers, its monuments to wealth and success, lies Crestview, a modest but proud African American community struggling for its very survival and for a bright future for its children.

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Hope for a bright future is hard to come by, and even harder to hang on to, when you are greeted each day by neighborhood graffiti that says …

"Welcome to Hell”.

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Violence is constant factor in the lives of Crestview residents. Community memorials dot the landscape and provide evidence and daily reminders of the dangers associated with life in our target community.

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This memorial, lovingly maintained for more than two years, is for a young pregnant woman who was shot in a drug related altercation. Regrettably, there are many others within Crestview.

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Our proposed target population is comprised of 50 youth who have been referred to the local Juvenile Delinquency Office over the past year.

A review of the profile data associated with these youth (DJJ 2015) reflect the following:

22% of the youth have had a baby out of wedlock.

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65% of the youth have had one or more drug charges and 59% have one or more parents that use drugs (most often marijuana, crack and heroin).

79% of the parents of our target population have been arrested, of which 96% ended up in jail or prison.

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59% of our target youth have already come to the conclsuion that they will not graduate from high school and will either get a job, GED or both.

A few have verbally expressed fear that jail will be a more likely outcome for them than school completion.

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Without appropriate interventions and a big dose of hope, children from the Crestview neighborhood will drop out of school, continue escalating delinquent activity, and end up in prison.

With the futures of our target youth at stake, we have designed Building Dreams, our proposed project.

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Your thoughts?

How do you feel about the text you have just read?

Did you find it interesting? Were you a bit intrigued? Were the pictures effective in providing

support for the proposal?

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Compelling, yet factual

The text presented thus far is just a small sample of a much larger proposal. It is provided to demonstrate that it is possible, and in many cases preferable, to infuse compelling, compassionate testimony when making your case for funding while at the same time providing statistical support.

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Benefits

The major benefits of this approach are twofold:

(1) Your chances of making a “heart” connection with the proposal reviewer are increased.

(2) You may find this writing style to be more creative and less tedious than a more traditional approach.

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Now that you have a sense of where we will end up, let’s begin with some important vocabulary and concepts.

Let’s get started!

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Vocabulary

While the vocabulary associated with grant writing and proposal development varies by funder, there are a number of terms common to most.

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Types of funding mechanisms

Cooperative Agreement: Substantial Federal programmatic involvement with the recipient during performance period. Involvement can include pre-approval process for staff hires and many other pre-approvals.

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Funding mechanisms cont.

Grant: A funding award made to an entity to help with specific costs involved in the implementation or continuation of a project. May have limited funder involvement as long as grant is implemented as approved.

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Other fiscal terms

Indirect Cost (IDC): An accounting term that usually includes the cost of building occupancy, equipment usage, procurement, personnel administration, accounting and other overhead activities that are charged to grants and contracts proportionately. In contrast, Direct Costs are costs that can be specifically identified with a particular project or program.

Source: Federal Grants Management Handbook

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In-kind: Refers to a contribution of services or items that an organization donates instead of a monetary sum, in order to help fund the project (ex. contributing a staff member's time).

Other fiscal terms, cont.

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Matching Funds: The value of third-party, in-kind contributions (non-Federal funds) and/or the portion of the costs of a Federally-assisted project or program not borne by the Federal government. Costs used to satisfy matching requirements are subject to the same policies governing allowability as other costs under the approved budget.

Other fiscal terms, cont.

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Terms

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Archival data--information that is stored or archived and which can often be assembled in ways useful for a needs assessment, such as numbers of school dropouts, arrest records, emergency room admissions, or the number of babies born to teenagers.

CFDA: Catalogue of Federal Domestic Assistance, a unique identifier for a particular Federal grant. The CFDA is the encyclopedia of all funding programs and the way that all grants are cataloged.

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IRB: The Institutional Review Board is an administrative body established to protect the rights and welfare of human research subjects recruited to participate in research activities conducted under the auspices of the institution with which it is affiliated. The IRB has the authority to approve, require modifications in, or disapprove all research activities that fall within its jurisdiction.

More information on IRBs can be obtained from the Office for Human Research Protections at http://ohrp.osophs.dhhs.gov

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Key informants--persons who are uniquely positioned to provide information within their areas of responsibility.

Letter of Inquiry/Intent--a brief, succinct letter, developed before a proposal is submitted, to determine if there is a match between your project and the funder’s intent.

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Logic model: A program Logic Model is a systemic, visual way to present a planned program with its underlying assumptions and theoretical framework. It is a picture of why and how the program will work and causes the author to describe, share, discuss, and improve program theory as the program is developed.

Source: W.W. Kellogg Foundation Online, 2005.

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Needs Assessment: Tools (surveys, questionnaires, etc.) used to involve individuals in discussions about their lives and the communities in which they live. Community participants become involved in programming as they provide information about their social, economic, and environmental concerns. Needs Assessments usually draw upon two fundamental approaches: the Social Indicators Approach and the Self-report Approach is a process that describes the numbers and characteristics of the population needing services.

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Proposal: A written plan and request for funds (may or may not be solicited).

Supplant: A grantee may not reduce State, local, or other non-Federal funds that have been allocated for a funder’s permissible activity because Federal funds are available (or expected to be available) to fund that same activity.

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Important Acronyms

ITA: Intent to Apply ITN: Intent to Notify NOFA: Notice of Funding Availability KDA: Knowledge Development

Application

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Important Acronyms

RFA: Request for Application a grant announcement that contains all the instructions and information needed to prepare a grant application. It describes the intent and goals of the program; provides special requirements, applicable policies, and procedures; and includes complete guidance for preparing and submitting an application.

RFP: Request for funding proposal (same as above).

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Proposal Development

1. Pre Proposal Phase

1. Proposal Phase

1. Post Proposal Phase

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Pre Proposal Phase  

This initial phase begins the minute your organization/community identifies an unmet need (or wish list). Become knowledgeable about funding resources available:Federal MonitorSubscriptions (trade newsletters, i.e. Substance Abuse Funding News)

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Pre Proposal Phase  

State and federal agencies (SAMHSA; ACF; DOE; HUD etc.)Local library and on-line services.Web sites like www.grants.gov

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Document all agency and community needs in an on-going file:

Needs assessment (may be available on-line)

News clips.Letters from clients/community

members.

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Consumer/client satisfaction surveys should be administered, collected, and kept on file for future use (should include a question about additional services/items needed).

Document innovations and creative ideas as they develop and keep on file. As time permits, begin developing these ideas in the form of a brief, abstract, or concept paper.

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Develop sample budget, job descriptions, and identify outcomes and potential collaborators.

Establish good working relationships with a university or other potential evaluators.

Create a constituency. Establish formalized collaborative agreements (MOAs/MOUs) with community partners.

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  Monitor trends and priorities in your

field:

Legislative trends and priorities.C-Span and other news programs and

news media. State planning documents and legislative

budget requests.

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Research foundations which fund projects in your field of interest:

Request applications.Request successful applications, if

appropriate.Determine % funded vs. submitted. 

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Assess the competence of your organization:

What are your competitive advantages (i.e., location, history, structure, target population, outcomes)?

What kind of professional and/or political support does your organization have?

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 Assess the fiscal/staff impacts of expansion:

Can you provide matching funds if required?

Can you maintain the initiative you are seeking

once grant funds have expired?

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Know the funding cycles.  Sign up to be a grant reviewer, or at least

talk to others who have been reviewers to better understand the review process.

Do you have the essential support systems (i.e. management information systems, fiscal systems etc.)?

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 If it is permitted and you send by mail, it is a good idea to get clearance to enable your organization to use a same day delivery carrier. Since 911, most organizations are not able to send same day delivery over 1 lb. (most state and federal proposals exceed this limit let alone the any copies required).

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Even though you can separate several copies into several 1 lb. envelopes, the funder is not going to want to piece them all together on your behalf (also not a good first impression). Cost about $175 for 3 copies.

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Also most of the feds do not allow hand deliveries other than by approved couriers now.

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Proposal Phase  Read the entire request for proposal or

other grant announcement document before you begin. Use a highlighter to document critical information regarding deadlines, page limits, themes, goals/priorities of the funder, etc.

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Proposal Phase  Develop a proposal outline to ensure that

all requirements are covered. Work from this outline. Develop an action list detailing all requirements and determine which individuals are responsible for each section and timelines.

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Begin the process of obtaining support letters, sign-offs etc. early by contacting and alerting these folks that you will be needing these items by a deadline. As soon as an abstract or other summary of your project is done, consider sending this to the people whom you will need support letters or signatures from so that they will be informed about what you are doing.

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If a critical person is identified as someone whose signature you need, find out their schedule to ensure they are not out of town or otherwise unavailable when you need it.

 

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  Determine if your proposal has to go through a state-level review process. If so, find out the details early and whether you can submit your proposal simultaneous to your funder or if it has to be in advance.

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Use a tightly structured team to develop your proposal. Expertise to include:

A strong writer A budget person A “program” person The evaluator

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A member of the population of focus/ a current or former consumer of your services

Community collaborators you intend to involve in the project if funded

A “task master”

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   Include the evaluator in the process from

the very beginning.  

Include your collaborators in the process from the very beginning, especially if you need them for access to your target population.

 

Include members from the population of focus in the process, especially in the program design, and when designing the methods to be used for recruiting (outreach) and retaining the population of focus.

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   If your application is to a federal agency,

consider notifying your congressional members of your intent to submit a funding proposal that will serve their constituency. Do the same thing at the state level for proposals submitted to the Governor’s office or other state agencies. This may be helpful to you later if your proposal makes it to the very competitive range. Be respectful of the political process, especially across party lines.

 

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If you do not have one already, request a copy of a recent successfully funded proposal if the funder has such a policy. If this is not their policy, you may be able to talk a successful applicant you know out of a copy of their funded proposal.

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   Review the proposal rating/scoring sheet

and determine of that is the required application format.

  You will typically write the application to

the scoring criteria.  Contact the funder (if permitted) with any

questions/uncertainties. They may request your questions to be put in writing. Review any FAQ that the funder may make available (usually posted on-line). Review lessons learned.

  

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Unless you are given an actual application to complete, develop a template using the RFP, NOFA, Federal Register or whatever you are required to follow.

Develop a logic model.

Utilize a realistic but passionate approach in describing problems and solutions & consider including powerful client/consumer quotes.

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Use a clear-cut statement of the problem(s) that the project will try to address and the target population to be served.

Ensure that your target population would be considered a priority by the potential funders.

If appropriate, ensure that the program description includes:

A sufficient level of detail. Culture/age/gender of service population. Management plan. Recruitment/retention of target population. 

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   Demonstrate an understanding of the

previous literature (literature review) that has addressed the same problem. Include references to research conducted by researchers known and respected by the funders (you can find these in the back of publications developed by the funders).

Refrain from using jargon. Your reviewers may not understand these terms.

 

Clearly and concisely communicate goals, objectives, strategies and outcomes.

 

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Identify any gaps in knowledge you propose to complete. What prior research has been done? What were the results?

  What is the theoretical base for your

approach? What evidence exists that this base is sound or is at least worth further exploration?

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Ensure that your proposed evaluation includes:  An appropriate design

Measurement instruments (especially ones that are recognized by the funders and that have been validated)Sufficient detailAppropriate staffing

  Describe how your proposal is part of a larger

strategy if it is

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   Make sure the need you have proposed to

address is identified as a priority in your organization’s major planning document.

  Use graphs and charts to illustrate concepts

(especially relational concepts, i.e. how your organization relates to other significant organizations in your area.). Be advised that in some cases, fonts sizes in charts and graphs are not held to the same font size restrictions as the rest of the text (inquire) and may be a way to get additional info across that may not fit otherwise.  

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Balance your need to “get it all in” with respect the white space rule.

Newspaper articles and other “filler” documents are usually not appropriate to send along.

  Make sure your approach is consistent with the

racial, ethnic and cultural needs of the population you are seeking funding to serve, and that the staff you propose to hire are likewise representative of this population.

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  If appropriate, ensure that the staffing section

includes:  Actual number of staff and their duties Job descriptions (include cultural competence) CVs/resumes of qualified staff Recruitment process Sufficient training of staff 

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  Develop a realistic budget. Make sure that the

narrative portion of the grant is consistent with the budget. Other considerations include:

  A strong budget justification Develop budget based on your actual current or prior expenditure history Do not over/under budget Include sufficient budgetary detail Ensure budget clarity Do not supplant

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    Develop realistic job descriptions (many funders

hold you to the letter). Leave yourself some flexibility by using sentences such as “appropriate experience may be substituted for some of the academic requirements.”)

  Make sure the letters of collaboration are: Sincere letters of commitment, not form letters. From groups considered “significant” by the

funders (or your community).  Consider proposing a community advisory board as

a mechanism to ensure community involvement in, and support of, your project.

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    Have an objective person review and score your application before you send it.

Ensure replicability (a project too unique may be hard to replicate).

Ask someone not familiar with your proposal to provide an objective review. See if it would pass the McDonald’s test.

Avoid the mad dash to the Fed-X or the hurried upload by setting an internal deadline that affords you enough time to make corrections, copying, etc., and mail your proposal in a timely manner. Use a mailing system that provides you with a receipt and tracking capability. Follow up to ensure that your proposal was received by the deadline.

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Use a checklist (sometimes they are provided by the funder) to ensure that all requested items are included and copies have been made properly (no missing pages, etc.)

Do not be surprised if some of your more creative ideas occur to you after you’ve mailed the proposal, but be sure to document them for future proposals.

Do not expect to be funded the first time. Learn from the process!

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  Post Proposal Phase

 

Celebrate your team work once the proposal has been submitted!

After a couple of weeks, drag out the proposal again and do another review. This is critical because you want the proposal to be fresh in your mind but you need some distance from it to objectively notice any potential problem areas.

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  Post Proposal Phase

 Highlight these areas and be prepared to

better address them if the funder comes back to you in the “best and final” negotiations. That would be the worst time to have to frantically resolve these problem areas without sufficient time.

Conduct a “postmortem” on your proposal to identify weak areas that can be improved for future submissions.

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Request feedback from the grant reviewers on your proposal (this is usually automatic for federal grants.) Review this carefully. Follow-up with the reviewers for additional information. Ask for list of grant reviewers and if possible, follow up with them for additional information.

Get copies of proposals that were funded and compare them against your own.

Consider making the changes suggested by the reviewers and re-submit the proposal in another funding cycle or with another funder.

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Show me the money!

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Pamela Baston, MPA, CAP, CPP

828.817.0385

Pam@Solutionsofsubstance.com