Workshop Objectives Describe the elements of a proposal Describe the grant review process Differentiate between types of grants and funders Identify sources of funding Describe information needed for a PAG or grant from OHRAB Describe steps to receive DUNS number Describe steps to register on Grants.gov
GRANT BASICS Federal Vs. Private Funding Needs Eligibility Direct & Indirect Costs
Basic Questions Are you eligible for a grant? How much money do you need? Do you have the time to manage a grant? Do you have the people to work on the grant? Do you have management buy-in? Do you have authority? Can you handle the reporting requirements? Is there anyone to help with the proposal writing and grant management?
Federal VS. Private Federal Funds Highly structured Specific Requirements Eligibility guidelines Many processes to assure equality among applications Private Funds Often less restrictive Often more flexible May not accept unsolicited proposals Initiatives & focus many change without formal notification Important to have the latest information
Federal Funders Government or tax funds support a particular program Are subject to legislative oversight Rules & Regulations Standard guidelines Lots of forms Are the largest grantors
Foundations General purpose: Ford, Mellon, Rockefeller Special-purpose: single purpose determined by establisher Company-sponsored: within for-profit company Public charities: local operations Community: apply only in their city/region Family: usually admin by family attorney
Limits on Foundation Support Type of program funded Geographical area Minimum/maximum funding Type of organization that can receive grant (now usually incorporated non-profit organizations)
Other Funding Sources Internal grants for universities or other institutions Professional organizations Community organizations Conferences or seminars
Important to Remember Money is getting tighter and resources are becoming more limited More people are applying for funding. Funders are having to become more critical in the review and assessments of proposals.
Needs Can you clearly articulate your need? 3 minute Elevator Speech Have you considered all aspects of your need? Are you including all staffing, equipment, and time needed for your project? Do you have measurable goals? Is your plan well thought out with achievable milestones? What is the outcome of your project? What will be better, different, or new after you finish your project?
Eligibility Are you a federal or state agency? Are you open to the public? Do you have full-time staff? Does your project match the project guidelines?
How much Money Is there a “Cost Share”? Cost sharing is used to describe a non-federal commitment of any size. Even very small commitments (down to 1 percent of project costs) are described as cost sharing. Do you need “Matching Funds”? Matching is often referred to as a dollar-for-dollar, 2-for-1, or 3-for-1 match of non-federal to sponsor funds. If you already have some money, is the project eligible for a “Challenge Grant”? A grant awarded only if the grant seeker raises a designated amount from other sources.
What are your Direct Costs? Those costs that can be identified specifically with a particular sponsored project relatively easily with a high degree of accuracy. Must be: Allowable - as described by federal cost principles Reasonable - what a prudent person would spend. Allocable - limited to that portion of expenses directly benefiting the project;. Consistently treated as direct charges.
What are your Indirect Costs? Those that are incurred for common or joint objectives or in other words cannot be specifically allocated to a specific project. Referred to officially by the federal government as “Facilities and Administration” (F & A). Also called “Overhead”
THE GRANT PROPOSAL Proposal Process Elements of a Proposal Elements of a PAG
The Grant Proposal Process Develop plan of work & identify partners Obtain management support Locate potential funders Write the proposal Submit draft to funders; get comments Submit the proposal
Writing the Proposal Keep it simple Elevator speech Request letters of support early Proofread Follow the application instructions Use a checklist A good proposal doesn’t guarantee a grant
Elements of a Grant Proposal Cover Letter Executive Summary About Your Institution Statement of Need Project Description Budget Appendices
Preservation Assistance Grant for Smaller Institutions National Endowment for the Humanities Division of Preservation and Access $6,000 in outright funds Guidelines usually come out in January/February Over 3500 PAG applications submitted since 2000 Funding ratio has been 46% Deadline has been May 1
Parts of the PAG Project abstract Narrative Budget Appendices Application Package (downloaded from Grants.gov)
Narrative Questions A.What activity/activities would the grant support? B.What are the content and size of the humanities collections that are the focus of the project? C.How are these humanities collections used? D.What is the nature and mission of your institution? E.Has your institutions ever had a preservation or conservation assessment or consultation?
Narrative Questions F.What is the importance of this project to your institution? G.What are the names and qualifications of the consultant(s) and staff involved in the project? H.What is the plan of work for the project?
Project Abstract One paragraph abstract Up to 1000 characters Describes nature of collections Significance to the humanities Specific goals & activities of project **This paragraph will be used in the downloaded Grants.gov application.
Activities supported by Grant Planning and assessments for care of collections (PAG) Improvement to environmental controls (PAG) Education and training (PAG) Increase access and intellectual control, through cataloging, arrangement, and description Conservation treatment, reformatting, and re-housing Digitizing collections Developing databases, and spatial and linguistic tools Research and development
Content & Size of Humanities Collections Types of materials in your collections Paper Photographs Textiles Etc. Size Cubic feet Room size Number of file cabinets/storage cabinets Number of items
How are Collections Used? Who do you serve? Community? University? K-12? Researchers? Regional users? International users? Tribal members? What do they do with their work? Genealogy? Thesis or Dissertation? Books?
Nature & Mission of Your Institution What is your organizations mission and vision statement? Does your department/group have a mission statement? How does your project fit into the mission statement?
Previous Preservation or Conservation Assessment? If no – answering “no” is fine If yes Date done Who performed Include if it was a PAG, CAP or MAP if appropriate Include copy of report in appendices
Importance of this project to your institution? Discuss what you want to accomplish Goal vs. Objective Goal: Outcome statements that guide the organization’s programs, administrative, financial & governance functions Objective: Precise, measurable & time-phased result that supports the goal Standard form for an Objective (verb noting direction of change) + (area of change) + (target population) + (degree of change) + (time frame) Process Objective = “to develop, to implement, to establish” Outcome Objective = “to increase, to decrease, to improve”
Name & Qualifications of Staff & Consultants Involved Who is your consultant? Are they qualified? Do they match your collections? Staff involved Project director Support staff Others **For your appendices** Letter of commitment that includes pricing!
Plan of Work for the Project? What is the timeframe of the grant award? Plan for the unexpected No Gold Star for finishing early Make sure you include all your activities
Budget Requested info usually includes: Expense information Income information Budget narrative – the rationale for the numbers The budget is often read first
Appendices What materials best support your case? What materials are requested by the funder? Organizational chart Financial information Resumes/CVs List of Board members
Oklahoma Collection Assessment Plans Program (OCAP) Through the Oklahoma Historical Records Advisory Board (OHRAB) Deadline is Friday, January 31, 2014 Pays for conservator to help develop a preservation plan Preservation Assistance for Archival Collections Grant Deadline is Friday, January 31, 2014 $6,000 Must have a preservation plan in place Support for a recommendation from preservation plan
Information Required OCAP Description of Organization Description of Archival Collections Staff and Volunteers Public Use Describe your first Priority Archival Collection Grant Recommended activity from preservation plan to be funded Size and content of collection How collections are used Plan of work Budget
EXERCISE Review example of a successful PAG application What is a Preservation Plan
AFTER THE SUBMISSION Criteria for evaluating the proposal After you get the grant What to do if you don’t get the grant
The Grant Review Process Submission to Grants.gov is delivered to NEH NEH reviews grant proposals NEH identifies people qualified to review the PAG application PAG proposals sent to peer reviewers Peer reviews returned to NEH Program Officers make recommendations to fund NEH Chairman and National Humanities Council approve awards Organization is contacted regarding award
Standard Criteria for Evaluating the Proposal Clarity logical and easy to follow Complete includes all required items Internal consistency parts consistent with each other External consistency recognize accepted ideas of the field Understanding of the problem and service methods
Standard Criteria for Evaluating the Proposal Capability to carry out promised activities Qualifications Responsiveness to requirements, purposes, needs Efficiency and accountability timetable Realism in scope and budget Need shown Ability to continue project self-sustaining
5 Categories of Federal Rating Excellent Highest priority of support Very Good High priority of funding Good Project can go forward as presented but it is a low priority Merit Proposal may not be ready for support but project itself may be potentially important Reject The proposal is a poor one and applicant has failed to make the case for the project’s significance.
Ratings Recommend “with conditions” Used in cases where the project can be implemented as described except for one or two minor aspects of the plan of work Funding a portion of a project defined in proposal May be appropriate in the case of a proposal requesting support for several components that are not equally compelling Recommendation may be made to support only that part of a project deemed more important or better developed
After You Get the Grant Thank you letter Review the budget Report at least annually even if it isn’t required Publicity Seek a renewal
What to do if you don’t get the grant… Don’t take it personally Request the review comments Find out if you can resubmit later
Program Officers – A Hidden Resource Can help identify appropriate grants Offer advice about preparing a proposal Supply examples of projects Review preliminary drafts Want to help you!
Managing Your Project Meet all requirements for reporting Time recording Monitor accomplishments Mention funder in publicity and publications Report staff changes and budget changes
Reporting Requirements Obtain guidelines from the funder Foundation requirements Short report and revised budget with actual expenditures Federal requirements Annual financial reports Interim and final financial and narrative reports Copies of documents generated through grant funding
If You Don’t Report… Funds put on hold Audit (can happen even if you DO report!) Decreased chances of future grants
The Brighter Side of Reporting Activity reports for management and boards Statistics for annual and other reports Opportunities for publicity
Seeking Continued Funding Will current funder support? (or one-time only?) Start planning the day you get first grant Start writing 6-12 months before deadline Evaluations? Surveys? How did you do? Spin-off projects Pre-review subsequent grant
IMPORTANT EXTRAS Dun & Bradstreet Number Grants.gov
What is a Dun & Bradstreet Number? Needed to bid on government proposals A unique 9-digit identification number for each physical location of a business Free Required to register with federal government for contracts or grants Also called D-U-N-S Number http://fedgov.dnb.com/webform
Info Needed for D-U-N-S Number Legal name Headquarters name and address for your business Doing Business As (DBA) or other name by which your business is commonly recognized Physical address, city, state and ZIP Code Mailing address (if separate from headquarters and/or physical address) Telephone number Contact name and title Number of employees at your physical location Whether you are a Home-Based BusinessHome-Based Business
Grants.gov Required by all federal funding agencies Institutions must register Individuals must register Strict guidelines for submission
Institutions must register Need a DUNs number Register with the Central Contractor Registry Create a User name & password with ORC, the Grants.gov credential service provider Register with Grants.gov using the ORC name & password
Individuals must register Grants.gov will send an email to your designated POC (Point of Contact) POC responds to email to designate individual to be Authorized Organization Representative (AOR) AOR receives notification of AOR status and can begin grant submission.
Grants.gov Registration Checklist Have organization’s DUNS Number. Are registered with SAM. I know my E-Business POC. I have registered with ORC, the Grants.gov Credential Service Provider (CSP). I have used my Username and Password to register with Grants.gov. I have obtained authorization from my organization’s E-Business POC. I have secure access to Grants.gov and I’m ready to begin.
Application Process Register on Grants.gov Research grants appropriate for your project Read grant guidelines Clarify questions with Program Officers Download grant application package Write narrative Send narrative to agency or to Amigos for review Create budget Review entire grant application Submit grant on Grants.gov Sit back and wait for news!!