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“ Show Me The Money ” The secrets of successful grant writing Prepared for: The 36 th Summer Institute on Substance Abuse and Mental Health Delaware Health.

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Presentation on theme: "“ Show Me The Money ” The secrets of successful grant writing Prepared for: The 36 th Summer Institute on Substance Abuse and Mental Health Delaware Health."— Presentation transcript:


2 “ Show Me The Money ” The secrets of successful grant writing Prepared for: The 36 th Summer Institute on Substance Abuse and Mental Health Delaware Health and Social Services July 23, 24, Presenter: Theo Nix, Jr., Esq. Non-Profit Development Institute, Inc. (NDI) and Professional Counseling Resources, Inc. (PCR)

3 NDI “ Proven Systems That Get You Results ” Nonprofit Development Institute, Inc. & Professional Counseling Resources, Inc W. 4 th Street, Suite 5, Second Floor Wilmington, Delaware Developed and Presented by

4 Attachments “Show Me The Money” Presentation Federal Funds for Organizations that Help those in Need by: White House Faith-based and Community Initiatives Federal Register Notice Sample Budget with Narrative Grant Proposal to Kennett Education Foundation to Claneil Foundation A Simulated Proposal Narrative for: A Community- based Mothers and Infants Center Nonprofit Development Institute Brochure

5 A Proven System STEP 5: The Right Strategy STEP 6: The Right Proposal STEP 4: The Right Goals STEP 3: The Right Funding Sources STEP 8: The Right Implementation STEP 1: The Right Strategic Positioning STEP 2: The Right Organization STEP 7: The Right Follow-up

6 NDI Mission Statement To provide educational products and services which will empower nonprofit organizations and faith based organizations to quickly develop, fund and effectively implement community programs based on best practices.

7 Who We Are Founded in 1982 by Lulu Nix, Ed.D. Local Team of experts with experience in fundraising & various service areas – Rev. Dr. Sheldon Nix, CEO – Theophilus R. Nix, Jr. Esq. – Jacqueline Greenidge Nix, MBA – Denise Nix Thompson, MBA – Garnetta Brown, Admin. National Team of Consultants

8 Health Services HIV/AIDS Faith-based Domestic Violence Violence Prevention Homeless Workforce Development Teenage Pregnancy Mentoring The Team’s Expertise Primary Focus Areas For Federal, State & Foundation Proposals: Abstinence Healthy Marriage Fatherhood Youth and Family Services After-School Education Entrepreneurship Financial Literacy

9 Human Capital Development Training--Seminars & Workshops Coaching-- One-on-one and Group Strategic Partnerships and Collaborations Organizational Development Assessment Strategic Planning Process Re-engineering, Cost Reduction and Revenue Enhancement Marketing & Communications NDI Services

10 Financial Capital Development Grants Indirect Cost Rate Program Development Research Business Planning Product/Program Design Management and Implementation Procurement Evaluation NDI Services

11 1. NDI’s Program Design and Development Experience  Founded & managed many local projects  Coordinated state-wide and national programs  Developed national models  Set & administered national policy  Developed many public-private partnerships  Raised tens of millions of dollars  Know what works & what gets funded

12 2. NDI’s Broad Experience NDI has secured grants for:  Educational Institutions  Hospitals  Churches / Faith Based Organizations  Community Based Agencies  Businesses  Volunteer Organizations

13 3. NDI’s Success Rate 85% success rate in grants we’ve submitted have been approved and funded. 12 million  Over 12 million in Camden, NJ 10 million  Over 10 million in Philadelphia, PA.0 million  Over 5.0 million in Wilmington, DE

14 NDI’s Track Record in Fundraising

15 Exodus House for Youth and Young Adults $1,000,000  Education  Job training and placement  Case management  Financial planning and other supportive services Planning, development and fundraising for the purchase, renovation, and establishment of housing for youth leaving the Foster Care System. Funded by the U.S. Department of Housing & Urban Development (HUD).

16 Hospital-Based Community Partnership Program for Substance Abuse Prevention $5,170,563 Track Record… A citywide partnership of over 30 agencies, funded by the U.S. Department of Health & Human Services.

17 Hospital-Based Community Partnership Program for Pregnant Substance Abusing Women & Their Infants $3,013,500 Track Record… A joint effort of health, education, and human service agencies, funded by federal and state governments, and private foundations.

18 Mentoring Children of Prisoners Program $2,100,000 A collaborative program designed to assist children of prisoners in Delaware and New Jersey with greatest need to receive guidance and support from a mentor. Track Record…

19 oLeadership development oEntrepreneurial and job training sessions oAcademic instruction oMentoring oCounseling and prevention services oSocial and economic development Healthy Marriage/Responsible Fatherhood Program $1,250,000 A five year federal grant to a nonprofit consortium to effect transformational change by introducing a myriad of solutions to the needs confronting low-income families: Track Record…

20 A citywide program to provide immediate intervention services for youth and their families during a crisis and divert them from involvement in the juvenile justice system. Funded by a state government and private foundation. Project Thru Outreach Program $800,000 Track Record…

21 DAILY Tracking Abilities The Experience of our CEO Our Staff and Consultants A very precise and sophisticated 8-step proposal development process (see handout) Budget Preparation Experience Evaluation Design Use of Best Practices Partnership Development Experience Track Record… The 85% success rate of NDI is due to several factors:

22 NDI’s Business Model, Process & Results Model Fee-for-service business  Contracted service Program design Grant writing Training Evaluation Co-Branded Strategic Partner  NDI or Professional Counseling Resources Inc. a nonprofit, serves as grant participant or grantee to: Design programs Write proposals Provide management of grant to federal government standards Manage the partner collaborative Build capacity of partners who may not have capability to implement all aspects of the project Provide training Conduct evaluations

23 How America Gives

24 2005 Contributions $ billion by type of recipient organization Religion $ (5.8%) Deductions carried over and other unallocated giving $ (6.2%) Gifts to foundations $ (8.3%) International affairs $6.39 – (2.5%) Environment and animals $8.86 – (3.4%) Arts, culture, and humanities $13.51 – (5.2%) Public-society benefit $14.03 – (5.4%) Human Services $25.36 – (9.7%) Health $22.54 – (8.7%) Education $38.56 – (14.8%) Copyright: Giving USA 2006

25 2005 Contributions $ billion by source of contributions Individuals $ % Corporations $ % Foundations $ % Bequests $ % Copyright: Giving USA 2006

26 ~ Association of Fundraising Professionals 2005 Final Report (7/10/06) 62.9% of U.S. Charities raised more money in 2005 than in 2004 Almost 25% of respondents raised less money in 2005 than in % raised about the same amount of money in 2005 than in 2004 More than 66% of surveyed charities reached their fundraising goal. 61.2% set 2005 goals higher than in % of respondents said Hurricane Katrina had no immediate impact on their fundraising goals. 85.1% believed no long term effects.

27 ~ Association of Fundraising Professionals 2005 Final Report (7/10/06) Single biggest challenge U.S. fundraisers cited for 2005: Too many nonprofits and increased competition for the charitable dollar. (42.2%) In 2006, 7 in 10 (69.8%) believe their organizations will raise more funds in 2006 than in 2005: % - about the same - 8.1% - less funds $17.44 billion of the total 2005 charitable giving – charitable bequests $13.77 billion – corporate donations 59% of organizations reported an increase in receipts for The highest percentage of growth since 2000 and lowest percentage reporting a drop in giving.

28 ~ Giving USA Foundation Americans gave $260 billion in 2005 (6.1% growth) In $245 billion About half of the $15 billion increase in total giving ($7.37 billion) was for 3 major national disasters. ~ Kiplinger Magazine $179.4 billion: amount that individuals gave to churches and charities $831 million: amount dispersed by the Liberty Fund, created by the Red Cross after 9/11, to victims and their families 9 in 10 households give to charity $1,620: Average annual amount that contributing households give to charities (about 3% of their income)

29 The Potential

30 Federal Funds for Organizations that Help Those in Need White House Faith-based and Community Initiatives (Handout)

31 Federal Funds Awarded Nationwide in 2005 Human Services oRunaway Youth Basic Center Program: $49 million oMentoring Children of Prisoners: $50 million oChild Care: $2.1 billion Health oHealthy Start: $98 million oRyan White HIV/AIDS Programs: $2.1 billion

32 Substance Abuse oSubstance Abuse Treatment: $447 million oSubstance Abuse Prevention: $184 million Mental Health oMental Health Demonstration Program: $210 million oChildren’s Mental Health Demonstration Program: $105 million Federal Funds Awarded Nationwide in 2005

33 Housing and Urban Development oPublic Housing Capital Fund: $2.3 billion oSenior Housing: $741 million oYouthbuild: $58.5 million oPrisoner Re-entry: $75 million oHome Investments Partnerships: $1.9 billion Federal Funds Awarded Nationwide in 2005

34 Labor oJob Training Block Grant: $ 4 billion oServices for Older Americans: $437 million oWorkforce Investment Act – Jobs & Services for Youth: $986 million Education oReading First: $1 billion o21 st Century Learning Centers: $991 million oSafe and Drug Free Schools: $268 million oMentoring: $49.3 million Federal Funds Awarded Nationwide in 2005

35 Funding Sources – Private More than 150 BILLION dollars was given last year in grants! Over 4 million nonprofits applied for this funding.

36 Funding Sources – Private Over 43,000 private foundations award more than $8 billion a year have 90% of the assets and make 80% of the awards. Foundations by law, must give away interest or 5% or lose tax exempt status.

37 The key to finding the right grantor for your program is research. The following resources are beneficial when attempting to locate funds. For Federal Grants: Commerce Business Daily has been replaced by Federal Business Opportunities as of 1/1/02 Researching Funding Sources

38 1. Funding Directories: a. Counsel of Foundations b. Community Foundations of PA c. Foundation Center Foundation Funding Sources

39 d. Giving By Industry – Aspen Publishers e. Directory of Pennsylvania Corporations send to: Foundation Funding Sources

40 2. Annual Reports: Foundation Annual Reports can be obtained from individual funders; they are generally published yearly. 3. Contact Funding Representative: Funding representatives can give advice on funding to become available, share program funding in advance of RFP. Every RFP has a contact person.

41 4. Professional Membership: Association of Fund Raising Professionals 5. Delaware Association of Nonprofit Agencies: Foundation Funding Sources

42 Additional Funding Resources General Foundations:  Oxford Foundation:  The Pew Charitable Trusts:  The Phoenixville community Health Foundation:

43 Additional Funding Resources General Foundations (cont.):  The Dorothy Rider Pool Health Care Trust:  The Robert Wood Johnson Foundation:  Brandywine Health & Wellness Foundation:  Grantmakers in Health:

44 Additional Funding Resources Corporate Foundation:  The J.P. Morgan Chase Foundation:

45 Federal Funding Overview

46 The Federal government spends billions of dollars yearly for health & human services programs distributed through over 1,500 different programs.

47 Grant Research Resources ~ The Catalog of Federal Domestic Assistance (CFDA): the Fed’s primary grants resource directory. Search topics by program, agency deadline or assistance type. Contacts for each federal agency. ~501(c) (3) Designation: IRS guidance ~ U.S. Census Bureau: used to obtain demographic data. Federal Funding Overview

48 See Federal Register Handout The Federal Register: Official Federal government publication showing all published federal program announcements, notices and regulations.

49 Types of Proposals 1.Programs: Provide funding for organizations to create or continue programs for individuals or communities.

50 2.Technical Assistance: Affords organizations the opportunity to address deficiencies in certain areas. Funds can be obtained for the hiring of consultants or other professionals to help improve the organization’s capabilities. Types of Proposals

51 3.Research: Allows for the study of a particular issue. Types of Proposals

52 4.Capital Improvement: Covers the cost of physical improvements to land and buildings Types of Proposals

53 5. Planning / Coordinating: Funds are made available to coordinate programs among several agencies. Types of Proposals

54 Types of Grants “Discretionary Grants: Given by a Federal agency directly to organizations to provide services. Awarded competitively in response to published program announcements: RFP ~ Request for Proposal FFA ~ Request for Applications

55 Types of Grants “ Formula ” or “ Block ” Grants: Given by the Federal government to state, county and city governments. Awarded in a block or lump sum. They then dispense the money to organizations to carry out the Federal initiative or use the money themselves.

56 Types of Grants Competitive Grants: This grant program allows eligible applicants to request funding directly from the govern-ment to carry out certain activities within certain parameters. Applicants compete for funding by the individual program. Only a limited number of applicants receive funding.

57 The Ten Most Common Reasons Grants are Declined 1. “The organization does not meet our priorities.” Research thoroughly before applying. 2. “The organization is not located in our geographic area of funding.” Get the guidelines before applying, or at least check or your grants guide. 3. “The proposal does not follow our prescribed format.” Read the application information very carefully and follow it exactly.

58 The Ten Most Common Reasons Grants are Declined (cont’d) 4. “The proposal is poorly written and difficult to understand.” Have friends and experienced people critique the grant before you submit it. 5. “The proposed budget/grant request is not within our funding range.” Look at average size of grants of the funder. 6. “We don’t know these people. Are they credible?” Set up an interview before submitting the proposal and have board members and other funded organizations help you establish a relationship and give you credibility.

59 7. “The proposal doesn’t seem urgent. I’m not sure it’ll have an impact.” Study the priorities and have a skilled writer do this section to make it “grab” the funder. Your aim is to sound urgent, but not in crisis. 8. “The objectives and plan of action of the project greatly exceed the budget and timelines for implementation.” Be realistic about the programs and budgets. Only promise what can realistically be delivered for the amount requested. The Ten Most Common Reasons Grants are Declined (cont’d)

60 9. “We’ve allocated all the money for this grant cycle.” Don’t take this personally. It is a fact of life. Try the next grant cycle. Next time, submit at least a month before the deadline to give ample opportunity for questions and a site visit. 10. “There is not enough evidence that the program will become self-sufficient and sustain itself after the grant is completed.” Add a section to the proposal on your plans for self- sufficiency and develop a long-term strategy.

61 of Grant Writing DOs DON ’ Ts and

62 Know your funder, establish a relationship Review any documentation published by the funder including annual reports, program information, funding guidelines Follow guidelines and proposal formats Give the funder all the information they request – additional information can be placed in an appendix Ask, if you have any questions DO:

63 DO: Ensure the proposal is easy to read Use headings and point form where appropriate Use short sentences Avoid jargon and highly technical language wherever possible Be clear, concise, positive, creative, honest Present concrete ideas Invite the funder to be a partner in your success

64 And DO: Ensure the budget is detailed and balanced Identify clear outcomes, phrased as outcome statements Appear well grounded in the issues; your proposal should be written to educate the reader on the issues Be realistic Ensure your references are able to speak knowingly and positively about your organization and your proposal Highlight any past mistakes while being prepared to discuss and defend them and the solutions in a meeting

65 But DON ’ T Annoy the funder Go even one line over the maximum number of pages allowed in a letter of intent or proposal nor use a microscopic font to make it all fit Be abstract Pad your budget Use personal pronouns – “I” is much worse than “we” Regurgitate the funding guidelines Be too flashy Appear desperate Become discouraged

66 Foundation DOs and DON ’ T ’ s DON ’ T Send a generic, “one size fits all” request with no reference to the specific foundation’s funding guidelines or interests Send a list of possible project ideas and invite the foundation to select the one that most interests them Tell the foundation their funds are required to match a government grant Ask for 100% of the funds you need from a single source

67 DON ’ T Send a 20-page proposal with numerous attachments nor a one page letter with minimal information Use jargon or acronyms that are not spelled out Request a meeting (of feedback on an idea by telephone) in advance of sending anything in writing Approach a family member or board members directly to ask for their support Send a request to the wrong name at the right address

68 DO: When submitting a full proposal, include an executive summary Come to the point. Near the beginning of your proposal, state in one or two sentences precisely what you want to do and what part of the project the foundation’s grant would be used for Advise the foundation of other potential or actual funders, any prior evaluations that have been conducted, or how you plan to evaluate the project over the course of the grant

69 DO: Take the time to find out as much as you can about a foundation before approaching them Tailor your request to the interests of the particular foundation Send your request in the form specified by the foundation Make sure you send your letter of enquiry to the person who is identified as the contact person. Send brief letters of enquiry containing all of the pertinent information

70 DO: Demonstrate that you are submitting the proposal as part of a longer-term strategy and that if the project is not slated to end, steps will be taken to ensure it is sustainable beyond the period of foundation funding Demonstrate community support (volunteer hours, financial contributions, etc.) Show, whenever possible, that you will be collaborating with other organizations in implementing your project Continue to approach a foundation from time to time even if you have been declined; foundations evolve and priorities change

71 Square Peg in a Round Hole How your organization addresses these factors will determine whether or not you will apply for the grant…

72 Should You Apply for A Grant? Grant Application Information Factors It’s a Process… a. Review grant application b. Eligible Organizations c. Determine when money is available d. Submission deadline (postmark vs. received) e. Grant award date f. Project Period

73 Should You Apply for a Grant? Grant Application Information Factors g. Estimated number of awards h. Typical award amount i. Where are projects to be funded j. Where do you submit the application k. Are there application workshops? l. Make sure you obtain all forms

74 Should You Apply for a Grant? Grant Application Information Factors m. Points for novice organizations (an organization that has not administered a Federal Grant for five years) or for faith-based organizations (i.e. churches, synagogues) n. Is there a matching requirement (in-kind vs. cash)

75 Grant Development Process  Read the Application CAREFULLY  Strip the Application  Create Check List reate Timelines  Story Board  Create Mockups

76 Mockups May Include  Headings  Introductions  Topic Areas  Graphics  Action Steps

77 Steps to Develop Mockups DDetermine number of pages per section PPlace boxes where paragraphs, headings, theme statements and graphics will go AAdd theme statements AAdd graphics AAdd bullets for key points and topic text

78 Write to Reviewers  Write to Reviewers – not your peers  Produce a Sales Document  Make scoring easy – cover all the points in the RFP in the correct order  Use simple language  Support all claims

79 Preparation A successful grant proposal is one that is: Well-prepared Thoughtfully planned Concisely packaged

80 Proposal Appearance Writing Tips: Bold Type Lists Ragged Right Margins Type Size Type Style

81 Editing Tips: Headings Page Numbering Proofreading › Content and Organization › Clarity › Mechanics › Design Transitions White Space Proposal Appearance

82 Writing Style Tips: Remember the reader. Begin with the main point and be concise. Use clear specific language. Write in a friendly, professional style. Prefer active voice. Move from known information to new information. Avoid complicated sentences. Use correct spelling, grammar, and punctuation. Use signal words. Proposal Appearance

83 Writing the Proposal ◊ Questions Grant Reviewers Ask

84 Does the application provide complete responses to the criteria specifically listed in the RFP? Are the applicant ’ s intentions clear and specific rather than obscured by meaningless jargon? Are the activities outlined in different sections of the application consistent with each other? For example, does the budget match the program ’ s approach? Grant Reviewers Ask …

85 Do the presented ideas flow logically? Are the described activities consistent with current, accepted knowledge and ideas in the field? To what extent does the application explain the selected population ’ s need for assistance? Are the numbers of participants to be served identified? Are the project ’ s objective measurable? If they are, how will success (or failure) be evaluated? Grant Reviewers Ask …

86 How will the skills, experience and education levels of the key staff help to achieve the program ’ s objectives? To what extent does the applicant demonstrate a solid understanding of the costs of the project? Are the activities and corresponding budget reasonable, and are sufficient details provided to make that judgment? Is a persuasive, realistic case made to approve the proposal? Grant Reviewers Ask …

87 Writing the Proposal ◊ The Funder’s Perspective by Christine Henry, Director William S. and Dorothy K. O’Neill Foundation

88 Does the organization ’ s mission and the project match the interests of the Committee or Agency? Is the proposal written well? Is it clear, descriptive, logical, free of jargon, well organized? Is the project stated in terms of serving the clients? Was it developed with client input? The Funder ’ s Perspective …

89 Does it build on strengths and opportunities as opposed to focusing on problems and needs? Is the project reasonable and doable? Do the goals, methods, and evaluation flow from one to the next? Does the organization have the wherewithal to carry it out? The Funder ’ s Perspective …

90 What are your impressions regarding the management and reputation of the organization? Is there evidence of solid board and community support and involvement? Are there partnerships or collaborations involved? Does the budget tell the same story as the proposal narrative? The Funder ’ s Perspective …

91 Are there any unexplained amounts? Is it sufficient to perform the task? Is it clear what the Foundation is being asked to fund? Is future funding addressed? If site visit or phone call was conducted, describe it. Do you or any Committee member have personal experience or connections that can add insight? What do you recommend? The Funder ’ s Perspective …

92 Writing the Grant Proposal Basic Components: When no specific format or guidance is given by the funding source, it is safe to generally assume that the proposal should be no more than 15 pages in length (single-spaced) and should include the following sections:

93 Writing the Grant Proposal Basic Components:  The Cover Letter  The Abstract / Summary  Introduction of Organization / Capacity & Qualifications  The Problem Statement / Needs Assessment  Program Goals and Objectives  Methodology / Plan of Operation Continued …

94 Writing the Grant Proposal Basic Components (cont.):  Key Personnel  Project Evaluation  The Project Budget / Budget Justification  Future Funding / Sustainability  Appendices

95 Initial Proposal Development Developing ideas for the proposal Identification of a funding source Getting organized to write the proposal Review Criticism Signature Neatness Mailing

96 Elements of a Grant Proposal *Credits to The Center for Nonprofit Management A proposal must convince the prospective donor of two things: 1.That a problem need of significant magnitude exists, and 2.That the applicant agency has the means and the imagination to solve the problem or meet the need.

97 When no specific format or guidance is given by the funding source, it is safe to generally assume that the proposal should be no more than 15 pages in length (single- spaced) and should include the following sections: Elements of a Grant Proposal

98 Definition Cover Letter: Proof to the funding source that the proposal is appropriately endorsed. DOs Do… Describe the content of the proposal. Commit to following up on the proposal with visit or phone call, if appropriate. Address it to a specific person – the right person (spell correctly). Ask them to fund you. DON’Ts Don’t… Let just anybody sign it. Get person in highest authority. Use it to substitute for an abstract or summary. Show off your knowledge of the funder’s interest areas/reputation. Beg.

99 Cover Letter A letter of inquiry should meet the following criteria: Includes funder’s name, title, and address Is directed at the individual responsible for the funding program Provides a brief overview of the organization and it’s purpose Includes the reason for the funding request Includes the amount requested (if required by funder) Describes the need the project intends to meet Provides a brief description of the project Lists other prospective funders for the project Includes thank you and next step to be taken Does not exceed two pages Includes name and phone number of contact at the organization Is signed by the person who can speak with authority on behalf of the organization

100 Definition Abstract / Summary: A clear, interesting, succinct and polished one-page summary of grant request; reviewer’s first impression of your proposal. DOs Do… Identify target group. Describe need/problem/issue. Describe proposed solution. Discuss importance of project. Describe projects and anticipated results. State total cost, funds committed and amount requested. DON’Ts Don’t… Put it at the end. Forget to describe the applicant. One sentence on credibility. One sentence on objectives. One sentence on the methods. Write this until the end!

101 Abstract / Summary Appears at the beginning of the proposal Identifies the grant applicant Includes at least two sentences on credibility Includes at least two sentences on problem Includes at least two sentences on objectives Includes at least two sentences on methods Includes total cost, funds already obtained and amount requested in this proposal Is brief (one page at most) Is clear Is interesting A summary should meet the following criteria: One page document which describes the project and mission of your organization.

102 Abstract / Summary Key Questions to Answer: 1.Does my abstract effectively summarize the project? 2.Does it place appropriate emphasis on the various proposal components? 3.Does is enumerate project outcomes? 4.Does it comply with length or word requirements of the sponsor? 5.Does it use key headings and subheadings to highlight proposal sections?

103 Definition Introduction: A description of the agency’s qualifications or “credibility.” DOs Do… Establish who is applying for funds. Describe applicant agency purpose and goals. Describe agency programs. Describe clients or constituents. Provide evidence of accomplishment. Offer statistics to support credibility. Include references to support and endorse others. Lead into problem statement. DON’Ts Don’t… Include jargon. Bore the reader. Go on endlessly. Lose the logic of your argument.

104 Definition Applicant’s Commitment and Capacity: A description of success with similar projects, available facilities and equipment DOs Do… Indicate intention to continue at least some aspect of the project after grant funding ends. Discuss institutionalization plans. Describe special expertise or equipment available. DON’Ts Don’t… Assume reviewers know about your agency. Be vague about previous experiences with similar projects. Minimize in-kind contributions.

105 Qualifications of the Organization Clearly establishes who is applying for funds Briefly addresses the rationale for the founding of the organization Describes applicant agency’s purposes and long- range goals Describes applicant’s current programs and activities Describes applicant’s clients or constituents Provides evidence of the applicant’s accomplishments Offers statistical support of accomplishments The qualifications of the organization section should meet the following criteria:

106 Definition Problem Statement / Needs Assessment: A description and documentation of needs to be met or problem to be resolved by proposed project. DOs Do… Show involvement of beneficiaries. State needs in terms of project participants / beneficiaries. Describe how needs were identified. Support needs statements with statistical data and statements from authoritative sources. Link needs and proposed solutions to the goals of your agency. DON’Ts Don’t… Plagiarize or use others’ words. Try to resolve needs of unreasonable dimensions. Make unsupported claims. Argue for an unsubstantiated need. Make assumptions or use jargon. Be vague or boring.

107 The Problem Statement - Stating the Purpose at Hand 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.

108 Problem Statement / Needs Assessment  Describes the target population to be served  Defines the community program to be addressed and the need in the geographical area where the organization operates  Is related to the purposes and goals of the applicant agency  Is of reasonable dimensions – not trying to solve all of the problems of the world  Is supported by relevant statistical evidence A problem statement or needs assessment should meet the following criteria:

109 Problem Statement / Needs Assessment (cont ’ d)  Is supported by relevant anecdotal evidence  Is supported by statements from authorities  Is stated in terms of clients’ needs and problems – not the applicant’s  Is developed with input from client and beneficiaries  Is not the “lack of a program” unless the program always works

110 Problem Statement / Needs Assessment (cont ’ d)  Makes no unsupported assumptions  Is as brief as possible  Is interesting to read  Is free of jargon  Makes a compelling case

111 The Needs – Extent of Problem Determining the need refers to the extent to which there is an urgent need for funding the proposed activities to address a documented problem in the community or target area where the activities will take place.

112 Determine Need for Project  Typically sets the tone for the proposal  Must be demonstrated through facts  Avoid emotion and rhetoric  Use most recent statistics and data  Compare target area with region and nation  Access Census website

113 Assessing the Need / Problem Gather all of your facts concerning the problem you have observed. Utilize Census Data from Census 2000, Census 1990, the 1997 Economic Census, etc.

114 Census Data Web Site  Site is free and user-friendly  American factfinder (Census Data) is primary tool for accessing statistics on:  Population  Income  Education  Housing  Tracking patterns by decade

115 Definition Plan of Operation: A description of proposed project, implementation and management plans. DOs Do… Define challenging but achievable outcomes. Collaborate with other agencies when possible. Show how objectives and methods meet needs. Demonstrate community involvement in planning. Include: Project Design Goals Objectives Activities/Methods Management Plan DON’Ts Don’t… Forget a PERT of GANTT chart/timelines. Ignore the private sector. Propose unreasonable scope of activities. Propose unrealistic timelines.

116 Approach to Solving the Problem The best approach is determined by quality and amount of research and the Use of Best Practices.  What do you intend to do with the funds?  Describe in detail your program components.  Is it ambitious but attainable?  Assess your target population and explain how you will reach them.

117 Approach… (con’t.)  Consider resources you will need (materials, space and people)  Significance Demonstrate that the project will: Result in a change or improvement in the target population Offer new strategies or build on existing proven strategies Produce outcomes of great importance

118 Best Practices  Do you know of other models?  Do you have evidence that similar programs have been effective?  Be familiar with different models for solving your problem  Give reasons for selecting the model you have chosen

119 Resources  You must determine your ability to secure community resources which can be combined with other resources to achieve the program’s purposes.  Leveraging includes financial and in-kind resources.  Other committed resources must be reflected in your budget and must be well documented.

120 Program Goals and Objectives  At least one objective for each problem or need committed to in the problem statement  Objectives are outcomes  Objectives are not methods  Describes the population that will benefit from the program  States the time by which objectives will be accomplished  Objectives are measurable and quantifiable (if at all possible) Program goals and objectives should meet the following criteria:

121 Remember… Goals: overall statement of what you are doing Objectives: benchmarks that are specific and measurable

122 Program Goals and Objectives The program should have three to five measurable objectives. They must be specific, concrete, measurable, reasonable (realistic) and achievable in a specified time period. pecific easurable S M A R T chievable easonable ime Specific

123 Type of Objectives There are at least four types of objectives: 1.Behavioral – A human action is anticipated. Example: Fifty of the 70 children participating will learn to swim. 2.Performance – A specific time frame within which a behavior will occur, at an expected proficiency level, is expected. Example: Fifty of the 70 children will learn to swim within six months and will pass a bisic swimming proficiency test administered by a Red Cross-certified lifeguard.

124 Type of Objectives There are at least four types of objectives: 3.Process – The manner in which something occurs is an end in itself. Example: We will document the teaching methods utilized, identifying those with the greatest success. 4.Product – A tangible item results. Example: A manual will created to be used in teaching swimming to this age and proficiency group in the future.

125 A Few Good Objectives Should Include:  A decrease by X% in a one year period. (Elimination of the problem or a high percentage is too ambitious.)  Need an increase/decrease/reduction by X% over a period of time. (State what the percentage is now, and the increase/decrease you will accomplish over the period of time you will be measuring.

126 Methodology Flows naturally from problems and objectives Clearly describes program activities States reasons for the selection of activities Describes sequence of activities Describes staffing of program Describes clients and client selection Presents a reasonable scope of activities that can be accomplished within the time and resources of the program Provides a timeline of activities (if possible) The methodology section should meet the following criteria:

127 Program Methods and Program Design: A Plan of Action Sketch out the following:  The activities to occur along with the related resources and staff needed to operate the project.  A flow chart of the organizational features of the project.  Explain what will be achieved through 1 and 2 above.  Perhaps devise a diagram of the program design.  Justify in the narrative the course of action taken.  Highlight the innovative features of the proposal which could be considered distinct from other proposals under consideration.  Use appendices to provide details, supplementary data, references, and information requiring in-depth analysis.

128 Definition Key Personnel: A justification for, and a description of qualifications and responsibilities of project director and other staff. DOs Do… Describe the experience, education and training of project staff as they relate to proposed responsibilities. Match personnel to project design content – justify staff. Specify start time allocated to jobs. Summarize resumes in narrative; full resumes in appendix; if biosketch forms provided, include only relevant information. DON’Ts Don’t… Propose full-time staff for responsibilities that appear less than full-time. Propose to use grant funds for salaries without considering the recurring expenses that occur after the grant ends. Appear to be relying on only new staff for program.

129 Personnel – HOW MANY? WHAT WILL THEY DO? FOR HOW MANY HOURS? …  Salaries – Break down hourly versus salaried employees  Wages – Hour, Day, Week, Etc.  Fringe Benefits – Detail SIIS, FICA, Etc.  Consultants – Resumes, costs per hour  Contract Services – Copies of contract included  Volunteers – How many hours, hourly wage donated

130 Non-Personnel  Program Space (Rent) – Square foot costs  Utilities – Per Program  Rent/Lease/Purchase of Equipment  Supplies Categories – Office, Play, Medical, Etc.  Travel – Staff, Volunteers, Participants  Transportation – What mode  Telephone/Cell Phone/Pager  Fax  Internet  Postage  Printing

131 Definition Evaluation: A plan for determining the degree to which project implementation and desired results are achieved. DOs Do… Identify evaluator/selection process. Include an evaluation procedure to address each objective. Describe data gathering methods and timelines. Describe instruments/tools. Describe data analysis. Explain how findings will be used to modify the project during the grant period and afterwards. Describe planned evaluation reports. DON’Ts Don’t… Omit criteria for success. Say the evaluation plan will be developed after grant is awarded. Propose an evaluation plan that doesn’t relate to your objectives. Merely state that evaluator will be hired to take care of the evaluation. Assume you must do the evaluation yourself – independent evaluators are often preferred.

132 Evaluation Why do we evaluate programs? To judge the program’s value and usefulness To assess changes or improvements to programs To increase the effectiveness of program management and administration To contribute to overall knowledge of social science methodology To satisfy the accountability requirement of the program sponsor

133 Talk with other agencies who are providing similar services (instruments, evaluator referrals) Evaluator must sign a letter of commitment and should provide guidance (preferably should help or write the evaluation plan) If evaluator writes plan – make sure he or she is familiar with proposed program and its outcome objectives – need to match Evaluation Evaluation Plan

134 Should be consistent with program intervention (your theory on what will work, why and how it will work with your clientele) Should make sure that the expected results stated are the same as the program narrative University or Consultant evaluators Evaluation Evaluation Plan - continued

135 Validity: refers to the accuracy of the measure. Measurement is valid when it measures what is supposed to measure. Reliability: the instrument measures “ something ” consistently & dependably – time after time. Evaluation Evaluation Plan – Instruments to be used

136 Grantwriter / evaluator should do extensive research on different instruments already in use and how they were previously tested for validity and reliability. Explain how the evaluator will test its own developed instruments for validity and reliability. Evaluation Evaluation Plan – Instruments to be used

137 Sampling Plan: Comparison or control group is crucial Type of sample and size. Is it large enough? How will you get a control group? How will you keep a control group? Should you pay the control group to participate? What about other incentives? Evaluation Evaluation Plan – Sampling Plan & Data Collection Schedule

138 Who will be responsible for developing or selecting data and how will it be collected (Cultural issues) How, when and who will collect data from the intervention & control groups? What measures is the program making to make sure instruments are culturally appropriate? Evaluation Evaluation Plan – Data Collection Schedule

139 How will the program make sure the measurements are voluntary? Is the evaluation included in the parental consent form? How will client confidentiality be addressed? Evaluation Evaluation Plan – Data Collection Schedule

140 Where will your evaluation data come from? Questionnaire surveys Focus Groups Individual Interviews Client narratives or journals Staff notes, documentation on role play Evaluation Evaluation Plan – Data Sources

141 How will you analyze the data? Describe statistical tests to be used Be sure statistical techniques address what you want to communicate Evaluation Evaluation Plan – Data Analysis

142 Describe how you will communicate the evaluation results 1)to the funder 2)to the community Explain how you will disseminate midcourse findings to the program staff Evaluation Evaluation Plan – Dissemination of Evaluation Results

143 Evaluation  Presents a plan for evaluating accomplishment of objectives  Presents a plan for evaluating and modifying methods over the course of the program  Tells who will be doing the evaluation and how they were chosen  Clearly states evaluation criteria  Describes how data will be gathered

144 Evaluation continued  Explains any test instruments or questionnaires to be used  Describes the process of data analysis  Shows how evaluation will be used for program improvements  Describes any evaluation reports to be produced

145 Product and Process Analysis The evaluation component is two-fold: 1. Product evaluation 2. Process evaluation It is practical to submit an evaluation design at the start of a project for two reasons: 1. Convincing evaluations require the collection of appropriate data before and during program operations, and 2. If the evaluation design cannot be prepared at the outset then a critical review of the program design may be advisable. Evaluation:

146 Definition Budget and Cost Effectiveness: A description of projected costs, in-kind and cash contributions, and benefits in terms of costs DOsDo… Let the budget reflect exactly what you propose in the narrative Provide all information: salary rate, % of time for salary, fringe benefits, mileage rates for travel, per diem rates, honorarium rates, etc. Include all items for which funding is requested. Include items paid by other sources. Describe benefits to target groups in terms of estimated costs. DON’TsDon’t… Introduce any unexplained or unexpected items. Request unexplained amounts, such as “contingency funds.” Inflate the budget by requesting more than you need. Request major equipment purchases that are not justified by the project.

147 Budget  Tells the same story as the proposal narrative  Is detailed in all aspects  Includes project costs that will be incurred at the time of the program ’ s implementation  Contains no unexplained amounts for miscellaneous or contingency  Includes all items asked of the funding source  Includes all items paid for by other sources  Includes all volunteers  Includes all consultants A budget should meet the following criteria:

148 Budget (continued) A budget should meet the following criteria:  Details fringe benefits, separate from salaries  Separately details all non-personnel costs  Includes separate columns for listing all donated services  Includes indirect costs where appropriate  Is sufficient to perform the tasks described in the narrative

149 Funders (Federal or Private) generally require an applicant to follow a particular format and submit completed standard forms. Budget Grant application packages come with budget guidelines that must be followed.

150 Budgeting and Timelines  State timelines to allow reasonable time for implementation  Identify key personnel responsible for program / tasks  List each program area and activity that will be performed  Show by program area each significant activity and milestone throughout the grant period.

151 The Budget Personnel and Non-personnel. The Budget should accurately reflect the direct costs of the project. Typical Budgets are divided into two parts… Personnel and Non-personnel.

152 Personnel – HOW MANY? WHAT WILL THEY DO? FOR HOW MANY HOURS? …  Salaries – Break down hourly versus salaried employees  Wages – Hour, Day, Week, Etc.  Fringe Benefits – Detail SIIS, FICA, Etc.  Consultants – Resumes, costs per hour  Contract Services – Copies of contract included  Volunteers – How many hours, hourly wage donated

153 Non-Personnel  Program Space (Rent) – Square foot costs  Utilities – Per Program  Rent/Lease/Purchase of Equipment  Supplies Categories – Office, Play, Medical, Etc.  Travel – Staff, Volunteers, Participants  Transportation – What mode  Telephone/Cell Phone/Pager  Fax  Internet  Postage  Printing

154 Indirect Costs A Well – Kept Secret!  What are they?  Who gets them?

155 Indirect Costs Indirect costs represent expenses of doing business that are not readily identified with a particular activity. They are necessary for the general operation of an organization.

156 They are not classified as Direct Costs. Direct Costs include:  Salaries  Fringe Benefits  Consultant Services  Travel  Materials, supplies, equipment, communication costs.

157 Indirect Costs Indirect Costs can include:  Heat, lights, accounting, fundraising  Other items which cover the entire operation, but are not identified with a particular grant, contract, project, function or activity

158 Indirect Cost What is an indirect cost rate? Simply, it is a mechanism for determining fairly and consistently the costs each program should bear.

159 How do organizations get an Indirect Cost Rate? Organizations must fully prepare a proposal to be submitted to the relevant federal agency. Examples:  U.S. Department of Health and Human Services  U.S. Department of Labor

160 Where do I get information? U.S. Department of Labor Guide for Indirect Cost Rate Determination, Cost Principles and Procedures for Nonprofit Organizations Required by OMB Circular A- 122

161 Budget Justification Budget justification details every item requested in the budget. Budget justifications are divided into many pieces. Handout: Sample Budget with Narrative)

162 Budget Justification  Be sure you justify in detail the cost of each line item and why it is vital to the success of the program. For example: Rent (700 sq. ft. x $15/sq. ft.) $10,500 This rent will pay for space for the new homicide unit. No space is currently available in city- owned buildings.

163 Budget Justification (cont..) Additional Example: 3 – Computers w/CD-ROM ($2,000 x 3) = $6, Video Camera $1,000 The computers will be used by the investiga-tors to analyze case and intelligence information. The camera will be used for investigative and crime scene work.

164 Future Funding / Sustainability Presents a specific plan to obtain funding if program is to be continued Describes how other funds will be obtained, if necessary to implement the grant Includes list of other funders approached on behalf of project Has minimal reliance on future grant support Is accompanied by letters of commitment (if necessary) Does not indicate that the agency will approach the funder for additional money This section should meet the following criteria:


166 Planning for Sustainability  Why should you plan?  When should you plan?  How do you plan?

167 Ask Yourself: What is the nature of our initiative (or organization)? What are the goals of our initiative? What has our initiative done? What publicity has our initiative received? How is our initiative structured and governed?

168 Ask Yourself: (cont.) Does our initiative have sufficient staffing? Is our budget sufficient to cover expected costs now and in the future? What are some obstacles we may encounter?And how do we get around them?

169 Sustainability A promise to continue looking for alternate sources of support is not sufficient. You must describe in detail where you will obtain additional funding.

170 Sustainability Example:  Document requests to foundations, individuals and other federal agencies.  Fees for Services  Sale of Materials that have been developed (curricula, videos, audio, etc.)

171 Objectives Define the concepts of institutionalization and sustainability Examine influences on program sustainability and sustainability planning Review implications on how to sustain community programs.

172 Topics of Discussion  Review definitions  List reasons when failure to sustain can cause problems  Discuss indicators of sustainability  List steps for how to plan for sustainability  Summarize the implications for sustaining the organization ’ s initiatives

173 Definitions  Institutionalization refers to the long-term viability and integration within an organization (Goodman & Steckler, 1989).  Sustainability is a more global term that refers to the continuation of activities and benefits at least three years after the life of the project (Bossert, 1990).

174 Three Reasons When Failure to Sustain Can Contribute to Problems … 1.The problem of interest remains or recurs. 2.Activities are ceased too soon. 3.Community trust and support is jeopardized.

175 Indicator of Sustainability  Maintenance of improvements in a program ’ s status  Continuation of the problem activities with an organization structure  (i.e., institutionalization)  Measure of capacity-building in the recipient community

176 Level of Institutionalization of a Program in an Organization Institutionalization is a function of the extensiveness of a program ’ s integration and the intensiveness or the depth of program integration.

177 THE APPENDIX A.Attachments: Any necessary additional pieces of documentation to back up the proposal. B.Anticipate information you will be asked over and over. Don ’ t waste time writing the same thing over and over. Create base documents that literally form the foundation of every grant proposal. C.Do not attach anything that hasn ’ t been requested.

178 D. Attachments may include: A one page resume on your organization Board list, with affiliations, title and phone numbers One-page bio of each key staff person and volunteer 501(c)(3) tax exempt letter from IRS Current organization-wide budget (operational budget) Current financial statement Last two audited financial statements APPENDIX (cont.)

179 Anti-discrimination policy Letters of support Organizational chart Newspaper clippings PA Charities Registration Statement IRS Form 990 Strategic Plan Annual Report Copy of Charter Job Descriptions Organizations By-laws APPENDIX (cont.)

180 Letters of Support Mayor President of City Counsel All Senators/Congressperson Other Agencies President of County Letters of Commitment Each Collaborating Pastor Faith-based Organization APPENDIX (cont.)

181 Reviewing the Proposal Initial  Narrow the document  Look at every component  Look for unsupported assumptions Grandma Review  Ask someone outside the organization to read the proposal  Do they understand it as you?

182 Reviewing the Proposal (cont.) Teacher Review  Check for spelling, grammar, punctuation, dates, addresses, addition, order of the proposal and attachments. Final Review  A comprehensive reading by board member or program volunteer.  Does the idea come across? Does it flow? Does it make sense?

183 Final Checklist for a Good Application Clear and concise executive summary Organizational charts appear in several places – executive summary, the plan and the budget narrative The plan relates findings of fact to the program goals and the implementation of the program

184 Final Checklist for a Good Application (cont.) The need is clearly defined and the plan responds to the need. Inclusion of management and task charts that are appropriate and reasonable. The application uses the specified organizational format of the RFP

185 Final Checklist for a Good Application (cont.) Use specified form, add supporting items were allowable / in the appendix Use pictures, graphs, charts, etc. to tell your story Use tabs that are labels correctly Use a glossary of terms if many acronyms are used. News clippings should be summarized.

186 Final Checklist for a Good Application (cont.) The proposal abstract should demonstrate the organization’s ability. Your application is as strong as its weakest link – do not include paper just to increase size, the reviewers may think the entire application is weak and disorganized.

187 Final Checklist for a Good Application (cont.) Use visual aids such as bullets, headings, subheadings, bolded text and plenty of blank space to make your plan easy to review, rate and rank. Summaries of each section precedes the narration.

188 Weaknesses / Deficiencies in Applications Plan focuses on a single issue, lack comprehensiveness No connection of the plan to the needs assessment Poorly document need assessments No cost analysis No leveraging of resources Attempt to pay for services already provided

189 Weaknesses / Deficiencies in Applications Expenditure on program evaluation or management costs are too high. Insufficient evaluation plan for program. Lack of detail for program description. No consideration given to the continuation of funding when grant funding ends.

190 Weaknesses / Deficiencies in Applications Application is incomplete or late Requests for ineligible items Poorly developed and / or single plan issues Weak management plans Little involvement of residents, community leaders or other organizations in plan / program implementation

191 Weaknesses / Deficiencies in Applications The application is disorganized and/or sloppy Math errors, spelling and punctuation errors.

192 Evaluating Your Proposal Use the SPAMO Test Does the proposal pass the SPAMO test? (S)pecific (P)ertinent (A)ttainable (M)easurable (O)bservable

193 Evaluating Your Proposal  Does everything seem consistent and logical?  Does anything written raise questions which are not answered?  Does the application fulfill every requirement?  Do all mathematical calculations add up?  Are there any spelling or grammatical errors?

194 Evaluating Your Proposal  Have several pairs of eyes review every page before submission?  Are all charts, tables and graphs clearly labeled and easy to interpret?  Are any proposed activities in conflict with policies or principles of the Funder?  Are all required sections included and are all certifications signed?

195 Dealing with Denial  Contact the Funder and request information on why the proposal was not funded.  Use the information given to improve the next submission.

196 Conclusion Five most important factors: 1.Project purpose 2.Feasibility 3.Community need for the project 4.Applicant accountability 5.Competence Other important factors: Project logic Probable impact Language Money needed Community support Least important factors: Working relationships Advocates Minority status Social acceptability Prior funding Influence of acquaintances

197 Collaboration Process and Pitfalls © Florence Green & Associates

198 Collaboration: Process and Pitfalls 1. Defining collaboration. 2. What do you want to do that can only be done by collaboration? 3. Collaboration working principles. 4. Determining readiness. 5. Deciding to collaborate. 6. Formalizing the collaboration. 7. What role will you play? 8. Barriers to collaboration. 9. Making collaboration work.

199 Definition (1) “Collaboration is a process through which parties who see different aspects of a problem can constructively explore their differences and search for solutions that go beyond their own limited visions of what is possible.” ~ Collaboration by Barbara Gray The object is to create a richer, more comprehensive appreciation of the problem and to develop more effective solutions than any individual or organization could develop alone.

200 Definition (2) “A voluntary, strategic association of public, private and nonprofit organizations joined together to enhance each other’s capacity to achieve a common purpose by sharing risks, responsibilities and rewards.” ~ Art Himmelman Hubert Humphrey Institute for Public Policy The objective is that multi-sector collaboration must be more than an organizational strategy or technique; it must include philosophical and political transformation of the public, private and nonprofit sectors.

201 Definition (3) “Collaboration is a mutually beneficial and well-defined relationship entered into by two or more organizations to achieve common goals. The relationship includes: a commitment to: mutual relationships and goals; a jointly developed structure and shared responsibility; mutual authority and accountability for success; and sharing of resources and rewards.” ~ Michael Winer-Cyr

202 Critical Dynamics of Collaboration 1. Stakeholders are interdependent. 2. Solutions emerge out of constructive resolutions of differences. 3. Decisions are jointly owned. 4. Stakeholders assume collective responsibility for future direction. 5. All players are equal. 6. Collaboration is an emerging process. (Stakeholders grow in their capacity to collaborate.)

203 Essentials to Success Collaboration relies on maximum use of cooperation and assertiveness, and requires that all members feel satisfaction and value from their participation, and that all members participate voluntarily.

204 Developing Partnerships Do NOT operate your program in isolation. Do link your organization to other organizations with related activities to improve your overall effectiveness.

205 Developing Partnerships Obtain letters of commitment from your partners which are different from letters of support.  Letters of commitment must include the following:  Name of organization  Individual or organization providing services(s).  Specific services(s) to be rendered  Length of time service(s) will be provided  Specific days and times service(s) will be offered  Cost of services(s) (if any)  Follow-up procedures

206 What Do You Want From Collaboration? “Cheshire Puss,” Alice began. “Would you tell me, please, which way I ought to go from here?” “That depends a good deal on where you want to get to,” said the cat. “I don’t much care where….,” said Alice. “Then it doesn’t matter which way you go,” said the cat. ~ Alice in Wonderland

207 Determining Your Agency’s Readiness Decide: 1. Why does the agency want to collaborate? 2. What does the agency hope to achieve? 3. What resources – technical, personnel, time, money, etc. can you offer? 4. What do you need from other? 5. What is your collaboration “ability?” 6. Who will represent you? 7. Who are potential partners?

208 What Can the Agency Offer? Resources Available Describe Specific Resources How Adequate / Available?  Collaborative experience.  Relationships with potential partners.  Facilities to share.  Equipment, materials, etc.  Board willingness to explore ideas.  Other.

209 What You Need From Others 1. Similar concerns. (When in conflict, we lose sight of that need.) 2. Common values and working principles. 3. Leader who has time and commitment. 4. Willingness to risk. 5. Willingness to keep at it – it’s a dynamic, not static process.

210 Collaboration Prospects Who might be a good partner? Potential Partners (Who?) Potential Benefits to them (Why?) Collaborative Posture (Experience)

211 Define Working Principles 1. Why collaboration is best option. 2. Mission and vision of collaboration. 3. Mandates or requirements. 4. Constituencies you will be answerable to. 5. What will be the benefits and/or negative impacts of the collaboration? 6. Values, working principles, etc. that participants cannot compromise. 7. Values, working principles, etc. that participants can compromise. In retreat, or over several meetings, decide:

212 The Collaborative Process Phase I: Organizing 1. Bring players together. 2. Secure commitment. 3. Develop common definition of the problem(s) and outcome(s). 4. Reduce protectiveness. 5. Discuss administrative and organizational structure. 6. Determine who will contribute what. 7. Establish ground rules.

213 Phase II: Basic Organizational Decisions 1. What are we here to do? 2. Who is leader/convener? 3. Who else should be here? 4. How will we merge differing concepts? 5. What commitments are we willing to make? 6. What benefits do individuals and/or agencies need from this collaboration? 7. How will we solve problems? The Collaborative Process (cont’d)

214 Successful Collaborations Include: Readily available staff support Pooled funding – not categorized Adequate resources Services brokered by one agency, or cross-agency case-managed Access to wide array of services delivered in a flexible manner Historical precedents that are incorporated into the collaboration

215 Interplay within the Collaboration The interplay of the stakeholders is the challenging dilemma of successful collaboration.

216 Using Your Power to Make the Collaboration Succeed Identify the vision/purpose of the collaboration Decide what is wanted and define it clearly Build in early, small successes Know yourself: What do you bring to the process? How will it help in reaching the goal? Explore all the possibilities for reaching the goal. Don’t just lead – you must also be a player.

217 Realize that people will evaluate issues in their own self-interest; therefore you must understand their issues Identify realms in which you will need to operate in order to make change happen Use win-win communication skills Use your power to enhance the collaboration and each individual Using Your Power to Make the Collaboration Succeed (cont’d)

218 Defining Conflict Unavoidable Occurs naturally Inevitable in organizational life Causes: Incompatibility Frustrated needs Differences Rivalry

219 Dealing with Conflict 1. Resolve you own conflict first. 2. Focus on interests, not positions. 3. Basic needs are most powerful. 4. Be hard on problems, soft on people. 5. Seek mutual gain.

220 Responding to Conflict Analyze elements. Do you want to: Eliminate  Confront; Issues Resolve. Minimize  Control. Consequences

221 Ineffective Collaborations

222 Barriers to Collaboration  Different perceptions of risk  Technical complexity of problem  Government tradition of funding categorical grants  Organizational culture may work against collaboration  Collaborating for financial reasons only

223 Collaboration Doesn’t Work When.. Folks don’t want to It is done to appease others Individuals can’t see beyond their own interests Differences are turned into harmful conflicts Issues are ill defined Effective leadership is absent

224 Making the Collaboration Work

225 Collaboration Grid Collaboration relies on maximum use of cooperation and assertiveness, and requires that all members feel satisfaction and value from their participation. High Low Competitive Avoidance Compromise Collaborative Accommodative Low ASSERTIVENESSASSERTIVENESS COOPERATION

226 Collaboration Requires Communication: Ongoing, open communications, both internal and external Established communication channels Clear lines of responsibility Articulated outcome Sharing of all information Conflict – a necessary ingredient

227 Collaboration Requires Attitudes: Commitment to own role and support for roles of others Reinforcing trust Communicating with respect Creating understanding Spiritual commitment Willingness to build strength of others Commitment to positive relationships Solving of interpersonal problems Honest enjoyment of each other

228 Making the Collaborative Work for Everyone by Art Himmelman Determine resources the community would like to see shared. Build support before you start. Representation must be broad-based and from all sectors. Reach consensus on priorities at the beginning. Publish a statement of purpose for everyone (internal, external).

229 Making the Collaborative Work for Everyone (cont’d) Leadership must be shared. Build-in benefits to the community and on-going capacity building for stakeholders. Balance efficiency and participation. Have a highly-skilled facilitator. Meet regularly. Regularly implement action. Encourage participation.

230 ESSENTIAL ELEMENTS Vision and Relationships COOPERATION basis for cooperation is usually between individuals but may be mandated by a third party organizational missions and goals are not taken into account Interaction is on an as needed basis, may last indefinitely COORDINATION individual relationships are supported by the organizations they represent missions and goals of the individual organizations are reviewed for compatibility interaction is usually around one specific project or task of definable length COLLABORATION commitment of the organizations and their leaders is fully behind their representatives common, new mission and goals are created one or more projects are undertaken for longer term results

231 ESSENTIAL ELEMENTS Structure, Responsibilities & Communication COOPERATION relationships are informal; each organization functions separately no joint planning is required information is conveyed as needed COORDINATION organizations involved take on needed roles, but function relatively independently of each other some project-specific planning is required communication roles are established and definite channels are created for interaction COLLABORATION new organizational structure and/or clearly defined and interrelated roles that constitute a formal division of labor are created more comprehensive planning is required that includes developing joint strategies and measuring success in terms of impact on the needs of those served beyond communication roles and channels for interaction, many ‘levels’ of communication are created as clear information is a keystone of success

232 ESSENTIAL ELEMENTS Authority & Accountability COOPERATION authority rests solely with individual organizations leadership is unilateral and control is central all authority and accountability rests with the individual organization which acts independently COORDINATION authority rests with the individual organizations but there is coordination among participants some share of leadership and control there is some shared risk, but most of the authority and accountability falls to the individual organization COLLABORATION authority is determined by the collaboration to balance ownership by the individual organizations with expediency to accomplish purpose leadership is dispersed, and control is shared and mutual equal risk is shared by all organizations in the collaboration

233 ESSENTIAL ELEMENTS Resources and Rewards COOPERATION resources (staff time, dollars, and capabilities) are separate, serving the individual organizations’ needs COORDINATION resources are acknowledged and can be made available to others for a specific project rewards are mutually acknowledged COLLABORATION resources are pooled or jointly secured for a longer-term effort that is managed by the collaborative structure organizations share in the products; more is accomplished jointly than could have been individually

234 SHARED POWER TOKENISM NONPARTICIATORY Therapy Manipulation Placation Consultation Informing Citizen Control Delegated Power Partnership

235 Acknowledgments Collaboration Process and Pitfalls ~ Florence Green & Associates 2005 Contributions Graphs by Giving USA 2006 Association of Fundraising Professional 2005 Final Report 7/10/06 The Funder’s Perspective by Christine Henry, Director of William S. and Dorothy K. O’Neil Foundation Guide for Writing a Funding Proposal by Learner Associates

236 Question and Answer Period

237 If You Need Additional Assistance … Contact Us NDI Nonprofit Development Institute 2500 West 4 th Street Wilmington, Delaware (302)

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