LEADING PROPOSAL DEVELOPMENT AND UNDERSTANDING GRANTS MANAGEMENTCCNCCE
2012 National Conference
Welcome!
Catherine Crary, M.Ed.Coordinator, GrantsOffice of the PresidentRio Salado College
Joseph Swaba, Ed.D.Associate DirectorGrants Development and ManagementMaricopa Community Colleges
1) Identify the elements that comprise a typical grant proposal,
2) Develop or strengthen the skills necessary to prepare a typical grant proposal,
3) Understand the funding sources and types of proposals that fund service learning and civic engagement, and
4) Recognize the basics of grants management and compliance.
Pre Conference Session
Learning Objectives
Describe the common elements of a grant proposal.
Locate key details in a request for proposals (RFP).
Understand service learning can be integrated in many proposals through collaboration.
Ability to use concept generator tools to develop a proposal idea.
Write an effective goal statement and two grant objectives.
Understand the basics for effective grants management.
INTRODUCTION to Proposal Development
Proposal Development:Step by Step
Step One: Determine a need and a solution
Step Two: Locate a funding source Step Three: Plan a proposal Step Four: Write a proposal Step Five: Review and submit
proposal
A PROPOSAL is a document developed in accordance with application instructions that:
Describes a problem or need
Offers a solution (usually as a project)
Requests funding to implement the project
PROPOSALS come in all sizes
small, simple
BIG, COMPLEX
Successful Proposal Puzzle
Common Elements of a PROPOSAL
Cover Sheet/Signature Page and Forms
Table of ContentsAbstract or SummaryNarrative*BudgetAppendices
*Narrative
Introduction Problem Statement/Needs
Assessment Goals and Objectives Operational Plan Institutional Commitment Key Personnel Evaluation Other: Program Specific
Budget
Budget SummaryForm
Annual Budget Budget Narrative
Appendices
May include:Letters of
commitmentResumes or biosManagement planSample curriculumMaps
Determine a need and a solution
Step One:
Step One: Determine a need and a solution
Proposals which are based on a need are much more competitive.
If you have many needs – prioritize them.
Proposals must have a solution or proposed outcome.
The Data Tells Us…
Integrated Postsecondary Education Data System (IPEDS)
http://nces.ed.gov/ipeds/
The primary source for data on colleges, universities, and technical and vocational postsecondary institutions in the United States.
Retention Rates for First-Time Students
Percentage of Students Who Began Their Studies in Fall 2008 and Returned Fall 2009
Maricopa cc 1 Maricopa cc 2
Community College Survey of Student Engagement (ccSSE)
http://www.ccsse.org/
The Community College Student Report, provides information on student engagement, a key indicator of learning and, therefore, of the quality of community colleges.
Community College Survey of Student Engagement (ccSSE)
MccCD High ScoreMccCD Low Score
Noel-Levitz Student Satisfaction Inventory
https://www.noellevitz.com/
The SSI is a tool to improve the quality of student life and learning. It measures student satisfaction and priorities, showing how satisfied students are as well as what issues are important to them.
Noel-Levitz Student Satisfaction Inventory
Scale Maricopa cc Dist 09
National ccs
Mean Difference
Student Centeredness 5.24 5.34 -0.10
Instructional Effectiveness 5.28 5.38 -0.10
Responsive to Diverse Populations
5.38 5.43 -0.05
Campus Support Services 4.83 4.94 -0.11
Safety and Security 4.94 4.97 -0.03
Academic Advising/Counseling 4.93 5.19 -0.26
Admission and Financial Aid 4.87 5.10 -0.23
Academic Services 5.39 5.42 -0.03
Registration Effectiveness 5.30 5.39 -0.09
Service Excellence 5.14 5.23 -0.09
Concern for the Individual 5.03 5.21 -0.18
Campus Climate 5.16 5.27 -0.11
National Community College Benchmark Project (NccBP)
http://www.nccbp.com
Provides community colleges with opportunities to report outcome and effectiveness data in critical performance areas, receive reports of benchmarks, and compare results with those of other colleges.
National Community College Benchmark Project
Category Indicator MccCD National Median
Persistence Fall 07 to Spring 08 60% 69%
Complete or Transfer
3-Yr Rate for FT 23% 38%
3-Yr Rate for PT 8% 16%
Core Academic Success
College Algebra 56% 58%
English I 68% 69%
English II 59% 68%
Dev. Course Retention
Dev. Math 68% 85%
Dev. English 76% 85%
Dev. Reading 80% 89%
Dev. Course Success
Dev. Math 50% 54%
Dev. English 61% 63%
Dev. Reading 65% 67%
Institutional Research
www.maricopa.edu/business/ir
Provides timely, relevant and critical information to decision makers in support of MccCD's Vision, Mission and Values, and Strategic Directions.
•Institutional effectiveness monitoring •Strategic planning process •State and federal reporting •Maintenance of longitudinal research data warehouse and analysis systems
Institutional Research
Developmental Course—Successful Course Completion
Course Fall 08 Spring 09 Fall 09MAT082 62% 60% 64%
MAT092 48% 47% 47%
RDG081 64% 64% 62%
RDG091 65% 57% 70%
ENG081* 67% 67% 60%
ENG091* 68% 63% 71%
Adjunct Faculty Teaching Courses—By Section
Fall 2010 Total Sections Adjunct Percent
MAT082 49 37 76%
RDG081 20 17 85%
ENG091 43 30 70%
CPD150 21 18 93%Data Source: College Institutional Research Office
Institutional Research
Potential Data Sources
Institutional Data Local/State/National
Data Surveys and Interviews Research Reports Anecdotal Evidence Trends and Projections
Now you have the data, let’s generate the concept…
Concept Generator Activity
Locate a funding source
Step Two:
Step Two: find a funding source and the opportunity
Review funding opportunities available based within your discipline.
Talk with colleagues who receive grant funding.
Sign up for to receive press release lists, funding opportunities and announcements.
Think outside the box … what agencies relate to your need?
Talk to a manager or owner about your idea Look around in the neighborhood…local
funders
Step Two: find a funding source and the opportunity
Once you find the opportunity – read the RFP
Determine: What is the purpose or rationale for the
funding? Can you apply for this funding? Are you eligible? When is the proposal due? What are the narrative guidelines? How do you submit an application? How much money can you apply for? What are the allowable costs? What are the matching requirements? How will the proposal be reviewed?
Is it a match? Then proceed!
Searching for Funding Sources
Local Library
Think Broad….
Think beyond a focused service learning grant
Collaborate with colleagues Integrate service learning into a
component of a larger grant
Title III or Title VU.S. Department of Education
Examples
Promise Neighborhoods U.S. Department of Education
Youth Service America: MLK Day Lead Organizer GrantsCorporation for National and Community Service (CNCS) - Youth Service America (YSA)
Scholarships for Science, Technology, Engineering, and MathematicsNational Science Foundation
Advanced Technological EducationNational Science Foundation
Serving Young Adult Ex-Offenders through Training and Service-Learning U.S. Department of Labor
Potential Funding Sources
The Application is called…
SGA: Solicitation for Grant Application
RFP: Request for Proposals
RFA: Request for Assistance
NOFA: Notice of Funding Availability
Purpose or rationale for the funding
Eligibility Basic directions for laying out
and submitting the proposal Directions for writing the
proposal narrative Allowable costs and matching
requirements Due date Review Criteria
The Application: What to Look for…
So the funding source puts all that important stuff together up front where you can easily find it, right?
Nope!!!!
Tip: Use highlighters and
sticky notes to mark the important
information in the RFP so you
can find it again quickly.
The Application: What to Look for…
Locating key details on an RFP
RFP Activity
2. What is the purpose of funding? To supports innovative grants and cooperative agreements to improve postsecondary education at the community college level. It supports reforms, innovations, and significant improvements of postsecondary education. Pay close attention to
invitational priorities
1. Who is the funding source? Department of Education Fund for the Improvement of Community Colleges CFDA #87.654B
Page 31702
The Application: Finding the Answers
3. How much money can you apply for? Eligible up to $150,000 Average award is $100,000
4. When is the proposal due? June 29, 2012 No Preliminary proposal or Letter of Intent (LOI)
5. Who is eligible to apply? Institutions of Higher Education, public and private nonprofits, or combinations6. Is a match required? No. More information will be available in the discussion of budgets.
The Application: Finding the Answers
Page 31702
8. Is electronic submission required? Yes, via Grants.gov No later than 4:30 p.m. Washington, D.C. time
7. What are the formatting requirements? 25 pages double-spaced (except titles, headings, footnotes, quotations, references and captions, charts, tables, figures, and graphs may be single- spaced) Page limit does applies only to narrative, does not include required forms Page is 8.5” X 11” with 1” margins Font that is 12 point or larger or no smaller than 10 pitch (characters per inch); use only Times New Roman, Courier, Courier New, or Arial.
The Application: Finding the Answers
Page 31703
9. What are the narrative guidelines? Follow the selection criteria listed under Section V. Applicant Review Information
10. What sections are the most weighted? Plan of Operation (30 points) Need for Project (20 points)
The Application: Finding the Answers
Page 31705
Bonus Information: RFP Math
Application Review Information 100 point criteria for application review 25 pages double-spaced narrative Equates to .25 double-space pages per
point (25/100) Example:
The Need Section = 20 Points25 x 0.20 = 5 pages
First Subsection = 8 points25 x 0.08 = 2 pages
I have the RFP…Now What?
Summaries Checklists Writing outlines
Guidelines Reviewer feedback Anecdotal Training
Plan a Proposal
Step Three:
Step Three: Plan a Proposal
Start early!! Many months before the deadline. Two weeks before it is due is too late!!
When planning your proposal, be sure to keep the agency’s guidelines in mind.
Create a writing outline and/or checklist
Invite the main partners together to plan.
Decide on the main components: who, what, when, where and why.
Look at the budget early Review the prior awards – if
your project is similar, speak with the PI. [Look at press release, abstracts, possible proposal]
Email or call a program officer to discuss your idea with them.
Step Three: Plan a Proposal
Proposal Formula
2/3 Planning
+ 1/3 Writing
Competitive Application
Grant Writing = Strategic Planning
Step Three: Plan a Proposal
Develop a Proposal
Step Four:
Step Four: Develop a proposal
Typical proposal components: Cover Sheet/Signature
Page Abstract/Summary Description/Narrative References Budget Appendices
Cover Sheet
Federal agencies use the SF-424
Abstract/Project Summary
The abstract is typically the LAST thing to be written since it typically offers an overview of the proposal from need to outcomes.
Most of the time, the information to be included in the abstract is very clearly defined in the solicitation.
Abstract formatting is often different from the narrative.
Narrative
Introduction Need (Problem Statement) Goals and Objectives Operational Plan Institutional Commitment Key Personnel Evaluation Dissemination Sustainability
NeedObjecti
ve
OperationalPlan
Institutional
CommitmentQuality
of Personn
el
Evaluation
Dissemination
Sustainability
Budget
Refer to your Concept Generator
Concept Generator Concept Generator Tool
Introduction
Briefly introduces the applicant to the reviewers. (As appropriate for the application.)
Needs Statement
Documents and quantifies the problems…
…but does not include the solution.
Need Statement — Strengths
Programs and Practices Capacity and Infrastructure Successes and Innovation Awards and Recognition Industry Support
What sets your college apart from others?
Standing out in a positive way can enhance success!
Need Statement — Strengths
Department of Education: Capacity National Science Foundation: Synergy Department of Labor: Strategic
Partnerships
Funders value being able to harness the energy of successful programs and practices.
Make the connection between their goals and your proposal.
Need Statement — Weaknesses
Where can we improve? What does data suggest about
enrollment, persistence, graduation, and transfer?
Do our students face any particular barriers to success that we can address through programs, activities, capacity, or services?
In a grant application, an institution’s needs must be data driven.
The closer data is to your college or community, the more compelling it will be!
Building a Compelling Case
Strengths Weaknesses Strategic Priorities
The Problem drives the proposal development process.
Environmental Factors
Current Research Data—Data—Data
Goals and Objectives
Provides the project direction…
…and the project benchmarks.
Goal(s)
Concise statement(s) of the project purpose
Should match what the source wants to fund
Objective(s)
Specific, measurable, outcomes to be achieved by the project
Information included in the need section will help to determine if your goal is ambitious yet attainable
SMART Objectives
Specific
Measurable
Aggressive
Realistic
Time bound
? as measured by what
Use your proposal idea to craft a goal statement and two objectives
Goal and Objectives Activity
Sample Goal and Objectives
Objective: At least 85% of participants will meet the requirements for becoming a Certified Nursing Assistant (CNA) after their first semester in the Program as measured by successful completion of licensing examination.
Goal: To increase the number of bilingual (English/Spanish) Registered Nurses
Department of Health and Human ServicesNursing Workforce Diversity
Sample Goal and Objectives
Objective: 74 % of all participants served by the SSS project will persist from one academic year to the beginning of the next academic year or graduate and/or transfer from a 2-year to a 4-year institution during the academic year as measured by institutional records.
Goal: To increase the number of first generation, low-income, and/or students with disabilities who succeed in postsecondary education.
U.S. Department of EducationTRIO: Student Support Services
Operational Plan
The plan of activities to be implemented to
achieve the goals and objectives.
Operational Plan
Gives rationale for selection of activities
Describes target population and recruitment processes
Describes sequence of activities
Operational Plan
Describes staffing and administration of program
May include flow charts or graphics showing program model
May include a timeline of who, what, and when
Institutional Commitment
Administration, faculty, staff engagement
Facilities and equipment
Policies and Practices
Alignment with mission, goals, strategic plan
Key Personnel
Includes descriptions of key personnel and describes their qualifications and duties
May request you include resumes for key positions and job descriptions in the appendices
Key Personnel
Generally includes an organizational chart showing
reporting lines of all program staff (may need to create
new one for purposes of the grant)College President
Vice President
Project Director
Staff Staff Staff
Key Personnel
May include a recruitment/hiring plan and desired
qualifications.
Evaluation
Comprehensive plan for determining the degree to which objectives are met Includes success indicators Describes how data will be collected
and analyzed Explains any testing instruments,
surveys or questionnaires to be used Describes evaluation reports to be
produced annually and at the end of the project period
Evaluation
A typical evaluation is qualitative and quantitative, summative and formative.
Usually done externally, but can be completed internally Can be done internally or externally.
Dissemination
Description of activities that will occur to share the results of your project with a broad audience.
Sustainability
Description of the proposal elements which will remain after grant funds end.
Funder agencies don’t expect your grant to be retained at the level it was funded, but they expect elements/ components to remain.
Discussion
Identify and describe 4 strategies to sustain a program.
Budget
Clearly delineate allowable costs to be paid by grant funds
Is detailed in all aspects, showing clearly how amounts were calculated
Contains no unexplained amounts for contingency or miscellaneous expenses
Is reasonable and sufficient to perform the tasks outlined in the Operational Plan
Budget Categories
Personnel Fringe Benefits Travel Equipment Supplies Contractual Construction Other Indirect Costs
Budget - What Do I Include?
Clearly define allowable costs to be paid by the grant and costs to be provided by your institution or other sources
Be detailed and show clearly how amounts are calculated
Detail salaries and benefits separately Identify all consultants Allowable indirect costs Make sure it is reasonable and sufficient
to perform the tasks outlined in narrative
Budget - The 3 “R”s
Read the guidelines and pay close attention to allowable expenses
Review the proposal and budget to make sure they match
Remember - budget needs to support objectives!
Institutional Review Board
History Background Requirement Process DHHS or CITI Training
Review and Submit Proposal
Step Five :
Step Five: review and submit
Have others review the proposal. Two individuals review the
proposal: one familiar with the topic as well as someone who is not familiar with the topic.
Ask questions after the review: What will the proposal do? Why is this important to fund? What will the outcomes be? How will you determine it a success?
Step Five: review and submit
Make sure it is not a poorly planned proposal with circular reasoning.
Example: A Community College needs a
science lab Need: a science lab Objective: to create a science lab Method: to build a science lab Evaluation: was the science lab
built?
Helpful Hints
Remember…
Spell cheek does not cache ill errors.
Start early…revise often. Use the same
titles/headings as the funding agency.
Try to get an example of a funded proposal.
Try to have two people read your final draft: One who is familiar to the project and one who is not.
Helpful Hint #1
Always read and follow the instructions!!!
Helpful Hint #2
Make sure that your goal and proposed project coincide with what the funding source wants.
Helpful Hint #3
Always have a plan “a,” a plan “b,” and a plan “c.”
If something can go wrong it will. Such as: Budget doesn’t add up, exceeds
the maximum, and/or doesn’t agree with the narrative.
Proposal requires letters of commitment – you don’t have any.
Technical difficulties with grants.gov
Helpful Hint #4
Check and recheck the deadline information carefully.
If it is submitted electronically, does it have to be submitted 5pm EST or MST?
Electronic Submissions: Agencies suggest submitting 48-72 hours before deadline.
Helpful Hint #5
Do not miss the deadline. If you are one minute late the proposal will not be reviewed and will be deemed ineligible.
Funding agencies are not sympathetic to problems occurring during submission.
Helpful Hint #6
If the proposal is not funded on the first try, get reviewer comments, speak with a program officer, revise, and resubmit for the next competition.
Your chances of getting funded are usually improved on the second try, after implementing the suggestions from the program officers.
Helpful Hint #7
Think like a reviewer. Is there a need? Does the project propose a
good idea? Who and how many people
will the project impact? Does the college have
resources and capability to complete the project?
Is the budget appropriate? Does the project have a solid
evaluation plan?
Remember – the evaluator may be asking these questions after reading for 8 hours.
Be creative first…critique later
Helpful Hint #8
Budget Tips
Begin budget process early in the proposal development stage
Don’t exceed maximum allowed budget Be realistic when determining what it
costs to perform objectives Read through the narrative and make sure
all costs are included in the budget.
Follow all agency guidelines Be sure costs are realistic and best
estimates or quotes Remember…budgets are for future
spending periods, make sure to account for inflation
Do not include any unexplained amounts (e.g. miscellaneous supplies)
Budget Tips
Your grant was funded…now what?
Grants Management and Compliance
Grants Management — The Basics
Read and understand all guidelines and regulations (pre and post award)
Know what are allowable and non-allowable costs
Keep all of your records Grant management begins PRIOR to
applying for a grant Follow all internal guidelines/procedures Being realistic of what it takes to
manage grant (small, large, HUGE, and individual vs. consortia)
Proper college procedures for seeking funding should be followed, whether for public or private funding.These include:
Submission of Pre-approval forms Submission of Required forms by funder Appropriate signatures for applying and
accepting awards Memorandums of Understanding and/or
Letters of Commitment
Grants Management — The Basics
Create a quick reference guide with: Award details (dates, amounts, contact
information) Grants terms and conditions Project Director information or Key
Personnel Reporting requirements Record keeping requirements Recognizing the funding source Scholarship criteria Institutional Research Board Prior Approval Other
Grants Management — The Basics
The grant award is based on the proposed application—if not it needs to be re-negotiated and new outcomes and budget need to be updated, prior to acceptance of award. Otherwise, funder will expect original outcomes for a lesser amount of award.
Grant Application and Award
All parties (internal and external) involved in grant need to receive training on objectives and outcomes for the proposal; timelines and programmatic and budget reporting process.
All parties involved in grant are qualified to participate in grant including passing necessary clearances (epls.gov, fingerprinting, background checks, etc.)
It is important to develop a strong and open relationship with program officer from funding source
Grants Management
Not meeting programmatic and fiscal reporting deadlines…
Not meeting goals, objectives, and outcomes…
Not adhering to IRB rules… Replacing principal investigator without
pre-approval by funder Not keeping up with changes in the
regulations
What gets PIs and PDs in Trouble?
Over spending budget Under spending budget Matching grant with unallowable funds Supplanting and co-mingling funds Embezzlement
What gets PIs and PDs in Trouble?
Suspended from doing business with funder
Debarred from doing business from funder Repayment of Grant Funds Go to PRISON
Possible Consequences…
1) Identify the elements that comprise a typical grant proposal,
2) Develop or strengthen the skills necessary to prepare a typical grant proposal,
3) Understand the funding sources and types of proposals that fund service learning and civic engagement, and
4) Recognize the basics of grants management and compliance.
Review of Pre Conference Session
Review of Learning Objectives
Describe the common elements of a grant proposal. Locate key details in a request for proposals (RFP). Understand service learning can be integrated in many proposals through collaboration. Ability to use concept generator tools to develop a proposal idea. Write an effective goal statement and two grant objectives. Understand the basics for effective grants management.
Wrap-up
Now you have the tools to lead proposal development and can have meaningful conversation's about grants management.
Next Steps…
Sign up for grant announcements
Complete the Concept Generator
Explore funding opportunities
Touch base with your college grants department
Sign up to review grant proposals with the federal agencies
QUESTIONS???
EVALUATIONS
Contact Information
Coordinator, Grants
Office of the President
Rio Salado [email protected]
480|517-8797
Associate Director
Grants Development & Management
Maricopa Community Colleges
480|731-8954
Catherine Crary, M.Ed. Joseph Swaba, Ed.D.