Presentation on theme: "The secrets of successful grant writing"— Presentation transcript:
1 The secrets of successful grant writing “Show Me The Money”The secrets of successful grant writingPrepared for:The 36th Summer Institute on Substance Abuse and Mental HealthDelaware Health and Social ServicesJuly 23, 24,Presenter: Theo Nix, Jr., Esq.Non-Profit Development Institute, Inc. (NDI) andProfessional Counseling Resources, Inc. (PCR)
2 NDI “Proven Systems That Get You Results” Developed andPresented byNonprofit Development Institute, Inc. &Professional Counseling Resources, Inc.2500 W. 4th Street, Suite 5, Second FloorWilmington, Delaware 19805
3 Attachments “Show Me The Money” Presentation Federal Funds for Organizations that Help those in Need by: White House Faith-based and Community InitiativesFederal Register NoticeSample Budget with NarrativeGrant Proposal to Kennett Education Foundation to Claneil FoundationA Simulated Proposal Narrative for: A Community-based Mothers and Infants CenterNonprofit Development Institute Brochure
4 A Proven System STEP 5: The Right Strategy STEP 6: The Right Proposal STEP 4: The Right GoalsSTEP 3: The Right Funding SourcesSTEP 8: The Right ImplementationSTEP 1: The Right Strategic PositioningSTEP 2: The Right OrganizationSTEP 7: The Right Follow-up
5 NDI Mission StatementTo 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.
6 Who We Are Founded in 1982 by Lulu Nix, Ed.D. Local Team of experts with experience in fundraising & various service areasRev. Dr. Sheldon Nix, CEOTheophilus R. Nix, Jr. Esq.Jacqueline Greenidge Nix, MBADenise Nix Thompson, MBAGarnetta Brown, Admin.National Team of Consultants
7 The Team’s Expertise Health Services HIV/AIDS Faith-based Primary Focus Areas For Federal, State & Foundation Proposals:Health ServicesHIV/AIDSFaith-basedDomestic ViolenceViolence PreventionHomelessWorkforce DevelopmentTeenage PregnancyMentoringAbstinenceHealthy MarriageFatherhoodYouth and Family ServicesAfter-SchoolEducationEntrepreneurshipFinancial Literacy
8 NDI Services Organizational Development Human Capital Development AssessmentStrategic PlanningProcess Re-engineering, Cost Reduction and Revenue EnhancementMarketing & CommunicationsHuman Capital DevelopmentTraining--Seminars & WorkshopsCoaching-- One-on-one and GroupStrategic Partnerships and Collaborations
9 NDI Services Program Development Research Business Planning Product/Program DesignManagement and ImplementationProcurementEvaluationFinancial Capital DevelopmentGrantsIndirect Cost Rate
10 NDI’s Program Design and Development Experience Founded & managed many local projectsCoordinated state-wide and national programsDeveloped national modelsSet & administered national policyDeveloped many public-private partnershipsRaised tens of millions of dollarsKnow what works & what gets funded
11 NDI’s Broad Experience NDI has secured grants for:Educational InstitutionsHospitalsChurches / Faith Based OrganizationsCommunity Based AgenciesBusinessesVolunteer Organizations
12 NDI’s Success Rate85% success rate in grants we’ve submitted have been approved and funded.Over 12 million in Camden, NJOver 10 million in Philadelphia, PAOver 5.0 million in Wilmington, DE
14 Exodus House for Youth and Young Adults$1,000,000Planning, 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).EducationJob training and placementCase managementFinancial planning and other supportive services
15 Track Record…Hospital-Based Community Partnership Program for Substance Abuse Prevention$5,170,563A citywide partnership of over 30 agencies, funded by the U.S. Department of Health & Human Services.
16 Track Record…Hospital-Based Community Partnership Program for Pregnant Substance Abusing Women & Their Infants$3,013,500A joint effort of health, education, and human service agencies, funded by federal and state governments, and private foundations.
17 Mentoring Children of Prisoners Program Track Record…Mentoring Children of Prisoners Program$2,100,000A collaborative program designed to assist children of prisoners in Delaware and New Jersey with greatest need to receive guidance and support from a mentor.
18 Healthy Marriage/Responsible Fatherhood Program Track Record…Healthy Marriage/Responsible Fatherhood Program$1,250,000A 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:Leadership developmentEntrepreneurial and job training sessionsAcademic instructionMentoringCounseling and prevention servicesSocial and economic development
19 Project Thru Outreach Program Track Record…Project Thru Outreach Program$800,000A 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.
20 Track Record… The 85% success rate of NDI is due to several factors: DAILY Tracking AbilitiesThe Experience of our CEOOur Staff and ConsultantsA very precise and sophisticated 8-step proposal development process (see handout)Budget Preparation ExperienceEvaluation DesignUse of Best PracticesPartnership Development Experience
21 NDI’s Business Model, Process & Results Fee-for-service businessContracted serviceProgram designGrant writingTrainingEvaluationCo-Branded Strategic PartnerNDI or Professional Counseling Resources Inc. a nonprofit, serves as grant participant or grantee to:Design programsWrite proposalsProvide management of grant to federal government standardsManage the partner collaborativeBuild capacity of partners who may not have capability to implement all aspects of the projectProvide trainingConduct evaluations
23 2005 Contributions $260.28 billion by type of recipient organization Religion$ (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
24 2005 Contributions $260.28 billion by source of contributions Individuals$199.0776.5%Corporations$13.775.3%Foundations$30.011.5%Bequests$17.446.7%Copyright: Giving USA 2006
25 62.9% of U.S. Charities raised more money in 2005 than in 2004 ~ Association of Fundraising Professionals 2005 Final Report (7/10/06)62.9% of U.S. Charities raised more money in 2005 than in 2004Almost 25% of respondents raised less money in 2005 than in 200412.6% raised about the same amount of money in 2005 than in 2004More than 66% of surveyed charities reached their fundraising goal.61.2% set 2005 goals higher than in 200467.4% of respondents said Hurricane Katrina had no immediate impact on their fundraising goals. 85.1% believed no long term effects.
26 $13.77 billion – corporate donations ~ 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 donations59% of organizations reported an increase in receipts for The highest percentage of growth since 2000 and lowest percentage reporting a drop in giving.
27 Americans gave $260 billion in 2005 (6.1% growth) ~ Giving USA FoundationAmericans gave $260 billion in 2005 (6.1% growth)In $245 billionAbout 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 families9 in 10 households give to charity$1,620: Average annual amount that contributing households give to charities (about 3% of their income)
29 Federal Funds for Organizations that Help Those in Need White House Faith-based and Community Initiatives (Handout)
30 Federal Funds Awarded Nationwide in 2005 Human ServicesRunaway Youth Basic Center Program:$49 millionMentoring Children of Prisoners: $50 millionChild Care: $2.1 billionHealthHealthy Start: $98 millionRyan White HIV/AIDS Programs: $2.1 billion
31 Federal Funds Awarded Nationwide in 2005 Substance AbuseSubstance Abuse Treatment: $447 millionSubstance Abuse Prevention: $184 millionMental HealthMental Health Demonstration Program:$210 millionChildren’s Mental Health Demonstration Program: $105 million
32 Federal Funds Awarded Nationwide in 2005 Housing and Urban DevelopmentPublic Housing Capital Fund: $2.3 billionSenior Housing: $741 millionYouthbuild: $58.5 millionPrisoner Re-entry: $75 millionHome Investments Partnerships: $1.9 billion
33 Federal Funds Awarded Nationwide in 2005 LaborJob Training Block Grant: $ 4 billionServices for Older Americans: $437 millionWorkforce Investment Act – Jobs & Services for Youth: $986 millionEducationReading First: $1 billion21st Century Learning Centers: $991 millionSafe and Drug Free Schools: $268 millionMentoring: $49.3 million
34 Funding Sources – Private More than 150 BILLION dollars was given last year in grants!Over 4 million nonprofits applied for this funding.
35 Funding Sources – Private Over 43,000 private foundations award more than $8 billion a year.4000 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.
36 Researching Funding Sources 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
37 Foundation Funding Sources 1. Funding Directories:a. Counsel of Foundationsb. Community Foundations of PAc. Foundation Center
38 Foundation Funding Sources d. Giving By Industry – Aspen Publisherse. Directory of Pennsylvania Corporations send to:
39 Foundation Funding Sources 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.
40 Foundation Funding Sources 4. Professional Membership:Association of Fund Raising ProfessionalsDelaware Association of Nonprofit Agencies:
41 Additional Funding Resources General Foundations:Oxford Foundation:The Pew Charitable Trusts:The Phoenixville community Health Foundation:
42 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:
43 Additional Funding Resources Corporate Foundation:The J.P. Morgan Chase Foundation:
45 The Federal government spends billions of dollars yearly for health & human services programs distributed through over 1,500 different programs.
46 Grant Research Resources Federal Funding OverviewGrant 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.
47 See Federal Register Handout The Federal Register:Official Federal government publication showing all published federal program announcements, notices and regulations.See Federal Register Handout
48 Types of Proposals Programs: Provide funding for organizations to create or continue programs for individuals or communities.
49 Types of Proposals 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.
50 Types of Proposals 3. Research: Allows for the study of a particular issue.
51 Types of Proposals 4. Capital Improvement: Covers the cost of physical improvements to land and buildings
52 Types of Proposals 5. Planning / Coordinating: Funds are made available to coordinate programs among several agencies.
53 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 ProposalFFA ~ Request for Applications
54 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.
55 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.
56 The Ten Most Common Reasons Grants are Declined “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 GrantSeeker.com or your grants guide.3. “The proposal does not follow our prescribed format.”Read the application information very carefully and follow it exactly.
57 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.
58 The Ten Most Common Reasons Grants are Declined (cont’d) 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.
59 The Ten Most Common Reasons Grants are Declined (cont’d) 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 DO: Know your funder, establish a relationship Review any documentation published by the funder including annual reports, program information, funding guidelinesFollow guidelines and proposal formatsGive the funder all the information they request – additional information can be placed in an appendixAsk, if you have any questions
62 DO: Ensure the proposal is easy to read Use headings and point form where appropriateUse short sentencesAvoid jargon and highly technical language wherever possibleBe clear, concise, positive, creative, honestPresent concrete ideasInvite the funder to be a partner in your success
63 And DO: Ensure the budget is detailed and balanced Identify clear outcomes, phrased as outcome statementsAppear well grounded in the issues; your proposal should be written to educate the reader on the issuesBe realisticEnsure your references are able to speak knowingly and positively about your organization and your proposalHighlight any past mistakes while being prepared to discuss and defend them and the solutions in a meeting
64 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 fitBe abstractPad your budgetUse personal pronouns – “I” is much worse than “we”Regurgitate the funding guidelinesBe too flashyAppear desperateBecome discouraged
65 Foundation DOs and DON’T’s Send a generic, “one size fits all” request with no reference to the specific foundation’s funding guidelines or interestsSend a list of possible project ideas and invite the foundation to select the one that most interests themTell the foundation their funds are required to match a government grantAsk for 100% of the funds you need from a single source
66 DON’TSend a 20-page proposal with numerous attachments nor a one page letter with minimal informationUse jargon or acronyms that are not spelled outRequest a meeting (of feedback on an idea by telephone) in advance of sending anything in writingApproach a family member or board members directly to ask for their supportSend a request to the wrong name at the right address
67 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 forAdvise 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
68 DO:Take the time to find out as much as you can about a foundation before approaching themTailor your request to the interests of the particular foundationSend your request in the form specified by the foundationMake 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
69 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 fundingDemonstrate community support (volunteer hours, financial contributions, etc.)Show, whenever possible, that you will be collaborating with other organizations in implementing your projectContinue to approach a foundation from time to time even if you have been declined; foundations evolve and priorities change
70 Square Peg in a Round Hole How your organization addresses these factors will determine whether or not you will apply for the grant…
71 Should You Apply for A Grant? Grant Application Information FactorsIt’s a Process…Review grant applicationEligible OrganizationsDetermine when money is availableSubmission deadline (postmark vs. received)Grant award dateProject Period
72 Should You Apply for a Grant? Grant Application Information FactorsEstimated number of awardsTypical award amountWhere are projects to be fundedWhere do you submit the applicationAre there application workshops?Make sure you obtain all forms
73 Should You Apply for a Grant? Grant Application Information FactorsPoints for novice organizations (an organization that has not administered a Federal Grant for five years) or for faith-based organizations (i.e. churches, synagogues)Is there a matching requirement (in-kind vs. cash)
74 Grant Development Process Read the Application CAREFULLYStrip the ApplicationCreate Check ListCreate TimelinesStory BoardCreate Mockups
75 Mockups May Include Headings Introductions Topic Areas Graphics Action Steps
76 Steps to Develop Mockups Determine number of pages per sectionPlace boxes where paragraphs, headings, theme statements and graphics will goAdd theme statementsAdd graphicsAdd bullets for key points and topic text
77 Write to Reviewers Write to Reviewers – not your peers Produce a Sales DocumentMake scoring easy – cover all thepoints in the RFP in the correct orderUse simple languageSupport all claims
78 Preparation A successful grant proposal is one that is: Well-prepared Thoughtfully plannedConcisely packaged
79 Proposal Appearance Writing Tips: Bold Type Lists Ragged Right Margins Type SizeType Style
80 Editing Tips: Headings Page Numbering Proofreading Transitions Proposal AppearanceEditing Tips:HeadingsPage NumberingProofreadingContent and OrganizationClarityMechanicsDesignTransitionsWhite Space
81 Writing Style Tips: Remember the reader. Proposal AppearanceWriting 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.
82 Writing the Proposal ◊ Questions Grant Reviewers Ask
83 Grant Reviewers Ask…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?
84 Do the presented ideas flow logically? Grant Reviewers Ask…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?
85 Is a persuasive, realistic case made to approve the proposal? Grant Reviewers Ask…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?
86 Writing the Proposal ◊ The Funder’s Perspective by Christine Henry, Director William S. and Dorothy K. O’Neill Foundation
87 The Funder’s Perspective… 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?
88 The Funder’s Perspective… 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?
89 The Funder’s Perspective… 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?
90 The Funder’s Perspective… 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?
91 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:
92 Writing the Grant Proposal Basic Components: The Cover LetterThe Abstract / SummaryIntroduction of Organization / Capacity & QualificationsThe Problem Statement / Needs AssessmentProgram Goals and ObjectivesMethodology / Plan of OperationContinued…
93 Writing the Grant Proposal Basic Components (cont.): Key PersonnelProject EvaluationThe Project Budget / Budget JustificationFuture Funding / SustainabilityAppendices
94 Initial Proposal Development Developing ideas for the proposalIdentification of a funding sourceGetting organized to write the proposalReviewCriticismSignatureNeatnessMailing
95 Elements of a Grant Proposal Elements of a Grant Proposal *Credits to The Center for Nonprofit ManagementA proposal must convince the prospective donor of two things:1. That a problem need of significant magnitude exists, and2. That the applicant agency has the means and the imagination to solve the problem or meet the need.
96 Elements of a Grant Proposal 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:
97 Definition DOs DON’Ts Cover Letter: Do… Don’t… Proof to the funding source that the proposal is appropriately endorsed.DOsDo…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’TsDon’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.
98 A letter of inquiry should meet the following criteria: Cover LetterA letter of inquiry should meet the following criteria:Includes funder’s name, title, and addressIs directed at the individual responsible for the funding programProvides a brief overview of the organization and it’s purposeIncludes the reason for the funding requestIncludes the amount requested (if required by funder)Describes the need the project intends to meetProvides a brief description of the projectLists other prospective funders for the projectIncludes thank you and next step to be takenDoes not exceed two pagesIncludes name and phone number of contact at the organizationIs signed by the person who can speak with authority on behalf of the organization
99 Definition DOs DON’Ts Abstract / Summary: Do… Don’t… A clear, interesting, succinct and polished one-page summary of grant request; reviewer’s first impression of your proposal.DOsDo…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’TsDon’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!
100 A summary should meet the following criteria: Abstract / SummaryA summary should meet the following criteria:Appears at the beginning of the proposalIdentifies the grant applicantIncludes at least two sentences on credibilityIncludes at least two sentences on problemIncludes at least two sentences on objectivesIncludes at least two sentences on methodsIncludes total cost, funds already obtained and amount requested in this proposalIs brief (one page at most)Is clearIs interestingOne page document which describes the project and mission of your organization.
101 Abstract / Summary Key Questions to Answer: Does my abstract effectively summarize the project?Does it place appropriate emphasis on the various proposal components?Does is enumerate project outcomes?Does it comply with length or word requirements of the sponsor?Does it use key headings and subheadings to highlight proposal sections?
102 Definition DOs DON’Ts Do… Introduction: Don’t… A description of the agency’s qualifications or “credibility.”DOsDo…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’TsDon’t…Include jargon.Bore the reader.Go on endlessly.Lose the logic of your argument.
103 Definition DOs DON’Ts Applicant’s Commitment and Capacity: Do… Don’t… A description of success with similar projects, available facilities and equipmentDOsDo…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’TsDon’t…Assume reviewers know about your agency.Be vague about previous experiences with similar projects.Minimize in-kind contributions.
104 Qualifications of the Organization The qualifications of the organization section should meet the following criteria:Clearly establishes who is applying for fundsBriefly addresses the rationale for the founding of the organizationDescribes applicant agency’s purposes and long-range goalsDescribes applicant’s current programs and activitiesDescribes applicant’s clients or constituentsProvides evidence of the applicant’s accomplishmentsOffers statistical support of accomplishments
105 Definition DOs DON’Ts Problem Statement / Needs Assessment: Do… Don’t… A description and documentation of needs to be met or problem to be resolved by proposed project.DOsDo…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’TsDon’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.
106 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 problemThe 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.
107 Problem Statement / Needs Assessment A problem statement or needs assessmentshould meet the following criteria:Describes the target population to be servedDefines the community program to be addressed and the need in the geographical area where the organization operatesIs related to the purposes and goals of the applicant agencyIs of reasonable dimensions – not trying to solve all of the problems of the worldIs supported by relevant statistical evidence
108 Problem Statement / Needs Assessment (cont’d) Is supported by relevant anecdotal evidenceIs supported by statements from authoritiesIs stated in terms of clients’ needs and problems – not the applicant’sIs developed with input from client and beneficiariesIs not the “lack of a program” unless the program always works
109 Problem Statement / Needs Assessment (cont’d) Makes no unsupported assumptionsIs as brief as possibleIs interesting to readIs free of jargonMakes a compelling case
110 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.
111 Determine Need for Project Typically sets the tone for the proposalMust be demonstrated through factsAvoid emotion and rhetoricUse most recent statistics and dataCompare target area with region and nationAccess Census website
112 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.
113 Census Data Web Site Site is free and user-friendly American factfinder (Census Data) is primary tool for accessing statistics on:PopulationIncomeEducationHousingTracking patterns by decade
114 Definition DOs DON’Ts Plan of Operation: Do… Don’t… A description of proposed project, implementation and management plans.DOsDo…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 DesignGoalsObjectivesActivities/MethodsManagement PlanDON’TsDon’t…Forget a PERT of GANTT chart/timelines.Ignore the private sector.Propose unreasonable scope of activities.Propose unrealistic timelines.
115 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.
116 Approach… (con’t.)Consider resources you will need (materials, space and people)SignificanceDemonstrate that the project will:Result in a change or improvement in the target populationOffer new strategies or build on existing proven strategiesProduce outcomes of great importance
117 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 problemGive reasons for selecting the model you have chosen
118 ResourcesYou 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.
119 Program Goals and Objectives Program goals and objectives should meetthe following criteria:At least one objective for each problem or need committed to in the problem statementObjectives are outcomesObjectives are not methodsDescribes the population that will benefit from the programStates the time by which objectives will be accomplishedObjectives are measurable and quantifiable (if at all possible)
120 Remember… Goals: overall statement of what you are doing Objectives: benchmarks that are specific and measurable
121 Program Goals and Objectives pecificThe program should have three to five measurable objectives. They must be specific, concrete, measurable, reasonable (realistic) and achievable in a specified time period.MeasurableAchievableReasonableTime Specific
122 Type of Objectives There are at least four types of objectives: Behavioral – A human action is anticipated.Example: Fifty of the 70 children participating will learn to swim.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.
123 Type of Objectives There are at least four types of objectives: 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.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.
124 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.
125 The methodology section should meet the following criteria: Flows naturally from problems and objectivesClearly describes program activitiesStates reasons for the selection of activitiesDescribes sequence of activitiesDescribes staffing of programDescribes clients and client selectionPresents a reasonable scope of activities that can be accomplished within the time and resources of the programProvides a timeline of activities (if possible)
126 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.
127 Definition DOs DON’Ts Key Personnel: Do… Don’t… A justification for, and a description of qualifications and responsibilities of project director and other staff.DOsDo…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’TsDon’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.
128 Personnel – HOW MANY? WHAT WILL THEY DO? FOR HOW MANY HOURS?… Salaries – Break down hourly versus salaried employeesWages – Hour, Day, Week, Etc.Fringe Benefits – Detail SIIS, FICA, Etc.Consultants – Resumes, costs per hourContract Services – Copies of contract includedVolunteers – How many hours, hourly wage donated
129 Non-Personnel Program Space (Rent) – Square foot costs Utilities – Per ProgramRent/Lease/Purchase of EquipmentSupplies Categories – Office, Play, Medical, Etc.Travel – Staff, Volunteers, ParticipantsTransportation – What modeTelephone/Cell Phone/PagerFaxInternetPostagePrinting
130 Definition DOs DON’Ts Evaluation: Do… Don’t… A plan for determining the degree to which project implementation and desired results are achieved.DOsDo…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’TsDon’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.
131 Evaluation To judge the program’s value and usefulness Why do we evaluate programs?To judge the program’s value and usefulnessTo assess changes or improvements to programsTo increase the effectiveness of program management and administrationTo contribute to overall knowledge of social science methodologyTo satisfy the accountability requirement of the program sponsor
132 EvaluationEvaluation PlanTalk 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
133 EvaluationEvaluation Plan - continuedShould 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 narrativeUniversity or Consultant evaluators
134 EvaluationEvaluation Plan – Instruments to be usedValidity: 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.
135 EvaluationEvaluation Plan – Instruments to be usedGrantwriter / 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.
136 Evaluation Sampling Plan: Comparison or control group is crucial Evaluation Plan – Sampling Plan & Data Collection ScheduleSampling Plan:Comparison or control group is crucialType 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?
137 EvaluationEvaluation Plan – Data Collection ScheduleWho 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?
138 EvaluationEvaluation Plan – Data Collection ScheduleHow will the program make sure the measurements are voluntary? Is the evaluation included in the parental consent form?How will client confidentiality be addressed?
139 Evaluation Where will your evaluation data come from? Evaluation Plan – Data SourcesWhere will your evaluation data come from?Questionnaire surveysFocus GroupsIndividual InterviewsClient narratives or journalsStaff notes, documentation on role play
140 Evaluation How will you analyze the data? Evaluation Plan – Data AnalysisHow will you analyze the data?Describe statistical tests to be usedBe sure statistical techniques address what you want to communicate
141 Evaluation Describe how you will communicate the evaluation results Evaluation Plan – Dissemination of Evaluation ResultsDescribe how you will communicate the evaluation resultsto the funderto the communityExplain how you will disseminate midcourse findings to the program staff
142 Evaluation Presents a plan for evaluating accomplishment of objectives Presents a plan for evaluating and modifying methods over the course of the programTells who will be doing the evaluation and how they were chosenClearly states evaluation criteriaDescribes how data will be gathered
143 Evaluation continuedExplains any test instruments or questionnaires to be usedDescribes the process of data analysisShows how evaluation will be used for program improvementsDescribes any evaluation reports to be produced
144 Product and Process Analysis Evaluation:Product and Process AnalysisThe evaluation component is two-fold:1. Product evaluation2. Process evaluationIt 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, and2. If the evaluation design cannot be prepared at the outset then a critical review of the program design may be advisable.
145 Definition DOs DON’Ts Budget and Cost Effectiveness: Do… Don’t… A description of projected costs, in-kind and cash contributions, and benefits in terms of costsDOsDo…Let the budget reflect exactly what you propose in the narrativeProvide 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.
146 Budget Tells the same story as the proposal narrative A budget should meet the following criteria:Tells the same story as the proposal narrativeIs detailed in all aspectsIncludes project costs that will be incurred at the time of the program’s implementationContains no unexplained amounts for miscellaneous or contingencyIncludes all items asked of the funding sourceIncludes all items paid for by other sourcesIncludes all volunteersIncludes all consultants
147 Budget (continued) Details fringe benefits, separate from salaries A budget should meet the following criteria:Details fringe benefits, separate from salariesSeparately details all non-personnel costsIncludes separate columns for listing all donated servicesIncludes indirect costs where appropriateIs sufficient to perform the tasks described in the narrative
148 Budget Reasonableness Funders (Federal or Private) generally require an applicant to follow a particular format and submit completed standard forms.Grant application packages come with budget guidelines that must be followed.
149 Budgeting and Timelines State timelines to allow reasonable time for implementationIdentify key personnel responsible for program / tasksList each program area and activity that will be performedShow by program area each significant activity and milestone throughout the grant period.
150 The Budget should accurately reflect the direct costs of the project The Budget should accurately reflect the direct costs of the project. Typical Budgets are divided into two parts… Personnel and Non-personnel.
151 Personnel – HOW MANY? WHAT WILL THEY DO? FOR HOW MANY HOURS?… Salaries – Break down hourly versus salaried employeesWages – Hour, Day, Week, Etc.Fringe Benefits – Detail SIIS, FICA, Etc.Consultants – Resumes, costs per hourContract Services – Copies of contract includedVolunteers – How many hours, hourly wage donated
152 Non-Personnel Program Space (Rent) – Square foot costs Utilities – Per ProgramRent/Lease/Purchase of EquipmentSupplies Categories – Office, Play, Medical, Etc.Travel – Staff, Volunteers, ParticipantsTransportation – What modeTelephone/Cell Phone/PagerFaxInternetPostagePrinting
153 Indirect CostsA Well – Kept Secret!What are they?Who gets them?
154 Indirect CostsIndirect 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.
155 Indirect Costs They are not classified as Direct Costs. Direct Costs include:SalariesFringe BenefitsConsultant ServicesTravelMaterials, supplies, equipment, communication costs.
156 Indirect Costs Indirect Costs can include: Heat, lights, accounting, fundraisingOther items which cover the entire operation, but are not identified with a particular grant, contract, project, function or activity
157 Indirect Cost What is an indirect cost rate? Simply, it is a mechanism for determining fairly and consistently the costs each program should bear.
158 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 ServicesU.S. Department of Labor
159 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
160 Handout: Sample Budget with Narrative) Budget JustificationBudget justification details every item requested in the budget.Budget justifications are divided into many pieces.Handout: Sample Budget with Narrative)
161 Budget JustificationBe 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.) $10,500This rent will pay for space for the new homicide unit. No space is currently available in city-owned buildings.
162 Budget Justification (cont..) Additional Example:3 – Computers w/CD-ROM($2,000 x 3) = $6,0001 - Video Camera$1,000The 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.
163 Future Funding / Sustainability This section should meet the following criteria:Presents a specific plan to obtain funding if program is to be continuedDescribes how other funds will be obtained, if necessary to implement the grantIncludes list of other funders approached on behalf of projectHas minimal reliance on future grant supportIs accompanied by letters of commitment (if necessary)Does not indicate that the agency will approach the funder for additional money
165 Planning for Sustainability Why should you plan?When should you plan?How do you plan?
166 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?
167 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?
168 SustainabilityA promise to continue looking for alternate sources of support is not sufficient. You must describe in detail where you will obtain additional funding.
169 Sustainability Example: Document requests to foundations, individuals and other federal agencies.Fees for ServicesSale of Materials that have been developed (curricula, videos, audio, etc.)
170 ObjectivesDefine the concepts of institutionalization and sustainabilityExamine influences on program sustainability and sustainability planningReview implications on how to sustain community programs.
171 Topics of Discussion Review definitions List reasons when failure to sustain can cause problemsDiscuss indicators of sustainabilityList steps for how to plan for sustainabilitySummarize the implications for sustaining the organization’s initiatives
172 DefinitionsInstitutionalization 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).
173 Three Reasons When Failure to Sustain Can Contribute to Problems… The problem of interest remains or recurs.Activities are ceased too soon.Community trust and support is jeopardized.
174 Indicator of Sustainability Maintenance of improvements in a program’s statusContinuation of the problem activities with an organization structure(i.e., institutionalization)Measure of capacity-building in the recipient community
175 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.
176 THE APPENDIXAttachments: Any necessary additional pieces of documentation to back up the proposal.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.
177 APPENDIX (cont.) D. Attachments may include: A one page resume on your organizationBoard list, with affiliations, title and phone numbersOne-page bio of each key staff person and volunteer501(c)(3) tax exempt letter from IRSCurrent organization-wide budget (operational budget)Current financial statementLast two audited financial statements
178 APPENDIX (cont.) Anti-discrimination policy Letters of support Organizational chartNewspaper clippingsPA Charities Registration StatementIRS Form 990Strategic PlanAnnual ReportCopy of CharterJob DescriptionsOrganizations By-laws
179 APPENDIX (cont.) Letters of Support Letters of Commitment Mayor President of City CounselAll Senators/CongresspersonOther AgenciesPresident of CountyLetters of CommitmentEach Collaborating PastorFaith-based Organization
180 Reviewing the Proposal InitialNarrow the documentLook at every componentLook for unsupported assumptionsGrandma ReviewAsk someone outside the organization to read the proposalDo they understand it as you?
181 Reviewing the Proposal (cont.) Teacher ReviewCheck for spelling, grammar, punctuation, dates, addresses, addition, order of the proposal and attachments.Final ReviewA comprehensive reading by board member or program volunteer.Does the idea come across? Does it flow? Does it make sense?
182 Final Checklist for a Good Application Clear and concise executive summaryOrganizational charts appear in several places – executive summary, the plan and the budget narrativeThe plan relates findings of fact to the program goals and the implementation of the program
183 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
184 Final Checklist for a Good Application (cont.) Use specified form, add supporting items were allowable / in the appendixUse pictures, graphs, charts, etc. to tell your storyUse tabs that are labels correctlyUse a glossary of terms if many acronyms are used.News clippings should be summarized.
185 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.
186 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.
187 Weaknesses / Deficiencies in Applications Plan focuses on a single issue, lack comprehensivenessNo connection of the plan to the needs assessmentPoorly document need assessmentsNo cost analysisNo leveraging of resourcesAttempt to pay for services already provided
188 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.
189 Weaknesses / Deficiencies in Applications Application is incomplete or lateRequests for ineligible itemsPoorly developed and / or single plan issuesWeak management plansLittle involvement of residents, community leaders or other organizations in plan / program implementation
190 Weaknesses / Deficiencies in Applications The application is disorganized and/or sloppyMath errors, spelling and punctuation errors.
191 Evaluating Your Proposal Use the SPAMO TestDoes the proposal pass the SPAMO test?(S)pecific(P)ertinent(A)ttainable(M)easurable(O)bservable
192 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?
193 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?
194 Dealing with DenialContact the Funder and request information on why the proposal was not funded.Use the information given to improve the next submission.
195 Conclusion Five most important factors: Project purpose Feasibility Community need for the projectApplicant accountabilityCompetenceOther important factors:Project logicProbable impactLanguageMoney neededCommunity supportLeast important factors:Working relationshipsAdvocatesMinority statusSocial acceptabilityPrior fundingInfluence of acquaintances
197 Collaboration: Process and Pitfalls Defining collaboration.What do you want to do that can only be done by collaboration?Collaboration working principles.Determining readiness.Deciding to collaborate.Formalizing the collaboration.What role will you play?Barriers to collaboration.Making collaboration work.
198 ~ Collaboration by Barbara Gray 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 GrayThe 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.
199 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 HimmelmanHubert Humphrey Institute for Public PolicyThe 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.
200 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
201 Critical Dynamics of Collaboration Stakeholders are interdependent.Solutions emerge out of constructive resolutions of differences.Decisions are jointly owned.Stakeholders assume collective responsibility for future direction.All players are equal.Collaboration is an emerging process.(Stakeholders grow in their capacity to collaborate.)
202 Essentials to SuccessCollaboration 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.
203 Developing Partnerships Do NOT operate your program in isolation.Do link your organization to other organizations with related activities to improve your overall effectiveness.
204 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 organizationIndividual or organization providing services(s).Specific services(s) to be renderedLength of time service(s) will be providedSpecific days and times service(s) will be offeredCost of services(s) (if any)Follow-up procedures
205 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
206 Determining Your Agency’s Readiness Decide:Why does the agency want to collaborate?What does the agency hope to achieve?What resources – technical, personnel, time, money, etc. can you offer?What do you need from other?What is your collaboration “ability?”Who will represent you?Who are potential partners?
207 What Can the Agency Offer? Resources AvailableDescribe Specific ResourcesHow Adequate / Available?Collaborative experience.Relationships with potential partners.Facilities to share.Equipment, materials, etc.Board willingness to explore ideas.Other.
208 What You Need From Others Similar concerns. (When in conflict, we lose sight of that need.)Common values and working principles.Leader who has time and commitment.Willingness to risk.Willingness to keep at it – it’s a dynamic, not static process.
209 Collaboration Prospects Who might be a good partner?Potential Partners(Who?)Potential Benefits to them(Why?)Collaborative Posture(Experience)
210 Define Working Principles In retreat, or over several meetings, decide:Why collaboration is best option.Mission and vision of collaboration.Mandates or requirements.Constituencies you will be answerable to.What will be the benefits and/or negative impacts of the collaboration?Values, working principles, etc. that participants cannot compromise.Values, working principles, etc. that participants can compromise.
211 The Collaborative Process Phase I: OrganizingBring players together.Secure commitment.Develop common definition of the problem(s) and outcome(s).Reduce protectiveness.Discuss administrative and organizational structure.Determine who will contribute what.Establish ground rules.
212 The Collaborative Process (cont’d) Phase II: Basic Organizational DecisionsWhat are we here to do?Who is leader/convener?Who else should be here?How will we merge differing concepts?What commitments are we willing to make?What benefits do individuals and/or agencies need from this collaboration?How will we solve problems?
213 Successful Collaborations Include: Readily available staff supportPooled funding – not categorizedAdequate resourcesServices brokered by one agency, or cross-agency case-managedAccess to wide array of services delivered in a flexible mannerHistorical precedents that are incorporated into the collaboration
214 Interplay within the Collaboration The interplay of the stakeholdersis the challenging dilemma ofsuccessful collaboration.
215 Using Your Power to Make the Collaboration Succeed Identify the vision/purpose of the collaborationDecide what is wanted and define it clearlyBuild in early, small successesKnow 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.
216 Using Your Power to Make the Collaboration Succeed (cont’d) Realize that people will evaluate issues in their own self-interest; therefore you must understand their issuesIdentify realms in which you will need to operate in order to make change happenUse win-win communication skillsUse your power to enhance the collaboration and each individual
221 Barriers to Collaboration Different perceptions of riskTechnical complexity of problemGovernment tradition of funding categorical grantsOrganizational culture may work against collaborationCollaborating for financial reasons only
222 Collaboration Doesn’t Work When.. Folks don’t want toIt is done to appease othersIndividuals can’t see beyond their own interestsDifferences are turned into harmful conflictsIssues are ill definedEffective leadership is absent
224 Collaboration GridCollaboration relies on maximum use of cooperation and assertiveness, and requires that all members feel satisfaction and value from their participation.ASSERTIVENESSHighCompetitiveCollaborativeCompromiseAvoidanceAccommodativeLowLowHighCOOPERATION
225 Collaboration Requires Communication:Ongoing, open communications, both internal and externalEstablished communication channelsClear lines of responsibilityArticulated outcomeSharing of all informationConflict – a necessary ingredient
226 Collaboration Requires Attitudes:Commitment to own role and support for roles of othersReinforcing trustCommunicating with respectCreating understandingSpiritual commitmentWillingness to build strength of othersCommitment to positive relationshipsSolving of interpersonal problemsHonest enjoyment of each other
227 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).
228 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.
229 Cooperation, Coordination, & Collaboration ESSENTIAL ELEMENTSVision and RelationshipsCOOPERATIONbasis for cooperation is usually between individuals but may be mandated by a third partyorganizational missions and goals are not taken into accountInteraction is on an as needed basis, may last indefinitelyCOORDINATIONindividual relationships are supported by the organizations they representmissions and goals of the individual organizations are reviewed for compatibilityinteraction is usually around one specific project or task of definable lengthCOLLABORATIONcommitment of the organizations and their leaders is fully behind their representativescommon, new mission and goals are createdone or more projects are undertaken for longer term results
230 Cooperation, Coordination, & Collaboration ESSENTIAL ELEMENTSStructure, Responsibilities & CommunicationCOOPERATIONrelationships are informal; each organization functions separatelyno joint planning is requiredinformation is conveyed as neededCOORDINATIONorganizations involved take on needed roles, but function relatively independently of each othersome project-specific planning is requiredcommunication roles are established and definite channels are created for interactionCOLLABORATIONnew organizational structure and/or clearly defined and interrelated roles that constitute a formal division of labor are createdmore comprehensive planning is required that includes developing joint strategies and measuring success in terms of impact on the needs of those servedbeyond communication roles and channels for interaction, many ‘levels’ of communication are created as clear information is a keystone of success
231 Cooperation, Coordination, & Collaboration ESSENTIAL ELEMENTSAuthority & AccountabilityCOOPERATIONauthority rests solely with individual organizationsleadership is unilateral and control is centralall authority and accountability rests with the individual organization which acts independentlyCOORDINATIONauthority rests with the individual organizations but there is coordination among participantssome share of leadership and controlthere is some shared risk, but most of the authority and accountability falls to the individual organizationCOLLABORATIONauthority is determined by the collaboration to balance ownership by the individual organizations with expediency to accomplish purposeleadership is dispersed, and control is shared and mutualequal risk is shared by all organizations in the collaboration
232 Cooperation, Coordination, & Collaboration ESSENTIAL ELEMENTSResources and RewardsCOOPERATIONresources (staff time, dollars, and capabilities) are separate, serving the individual organizations’ needsCOORDINATIONresources are acknowledged and can be made available to others for a specific projectrewards are mutually acknowledgedCOLLABORATIONresources are pooled or jointly secured for a longer-term effort that is managed by the collaborative structureorganizations share in the products; more is accomplished jointly than could have been individually
233 CONTINUUM OF "PARTNERSHIP" SHARED POWERDelegated PowerCitizen ControlInformingTOKENISMConsultationPlacationManipulationNONPARTICIATORYTherapy
234 Acknowledgments Collaboration Process and Pitfalls ~ Florence Green & Associates2005 Contributions Graphsby Giving USA 2006Association of Fundraising Professional 2005 Final Report 7/10/06The Funder’s Perspectiveby Christine Henry, Director of William S. and Dorothy K. O’Neil FoundationGuide for Writing a Funding Proposalby Learner Associates