leading proposal development and understanding grants management

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

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


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.


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.


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)


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.


Proposal Formula

2/3 Planning

+ 1/3 Writing

Competitive Application

Grant Writing = Strategic Planning


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


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


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

[email protected]

480|731-8954

Catherine Crary, M.Ed. Joseph Swaba, Ed.D.

mailto:[email protected]




leading proposal development and understanding grants management

Documents

cc proposal development

cc proposals

proposal step

maricopa cc

proposal idea

cc appendicesmay

cc introduction

typical grant proposal