SUGGESTIONS FOR WRITING PROPOSALS AND FOLLOWING GRANT APPLICATION PROCEDURES I. INTRODUCTION The information contained within the following pages is designed to assist individuals and institutions seeking a grant from a U.S. Government assistance program. The ideas and suggestions are not all- inclusive, they are designed as a sort of "general guide." The material applies to most assistance proposals, but an applicant should remember that the basic requirements, application forms, information, and procedures will vary with the Federal agency awarding the grant. The legislative intent and the administrative guidelines of Federal programs (see the AUTHORIZATION category of the program description) are useful as a starting point in considering if and how a proposal matches the needs of the Federal agency making the grant award. A telephone call or letter to the appropriate Federal agency contact person (see the INFORMATION CONTACTS category of the program description) can provide invaluable help in the beginning stages of your proposal development. A potential applicant should consult the program's information contact person before developing a proposal to determine whether an application should be made, if there is money available, applicable deadlines, and the process the agency uses in accepting applications. It is important to identify any priorities the Federal agency considers significant. Agencies often prepare guidelines for specific programs to assist applicants in proposal development. These guidelines should be requested by the applicant. Individuals without prior grant writing experience may find it useful to attend a grantsmanship workshop. A workshop can amplify the basic information presented here. Applicants requiring additional information on grantsmanship and proposal development should consult the references listed at the end of this booklet, and other library sources. *********************************************************************** II. INITIAL PROPOSAL DEVELOPMENT A.) The Concept Paper After outlining the idea for a proposal, it is useful to develop a concept paper (preliminary proposal) maybe 1 or 2 pages long. The paper should attempt, at a minimum, to outline proposed goals, rationale, population to be served, estimate of cost, and expected program achievements. The author should periodically revise the paper as ideas about the proposal or grant requirements of the Federal program change. The paper should be distributed to interested persons and agencies within the community. They can be helpful by providing both review and comment on the proposal contents. Select someone who knows and someone who does not know about the subject matter of the paper. This procedure will serve to provide at least two perspectives on the contents; first, a substansive review of the material, and second, insight into the clarity of the writing style and grammatical accuracy. Further, a review by someone who has submitted a proposal to the funding source in the past will yield valuable information regarding experience with the agency's proposal preferences. The concept paper can be used later, if necessary, for the proposal summary page of the application, which is usually one of the most important pages in the grant package (refer to the application kit for details on the development of the proposal summary page). Wfen developing an idea for a proposal it is important to determine if the idea has been or is now being considered in the applicant's locality or State. A careful check should be made of legislators, area government agencies, and related public and private agencies which may have (or have had) grant awards or contracts to do similar work. If a program exists (or has existed in the past), the applicant may need to reconsider submitting the proposed project particularly if duplication of effort is perceived. Unless significant differences can be established between the existing and proposed project, it may be unwise to pursue Federal assistance. The applicant must strive to select a fundable project that can be supported in view of the local need. Alternatives, in the absence of Federal support, should be pointed out. The influence of the project (both during and after the project period) should be explained. The consequences of the project as a result of funding should be highlighted. B.) Community Support Community support for most proposals is essential. Once an outline or concept paper has been developed, look for individuals or groups representing academic, political, professional, and lay organizations that may be willing to support the proposal in writing. The type and caliber of community support is critical in the initial and subsequent review phases. Numerous letters of support can be persuasive to the Federal agency awarding the grant. Do not overlook support from local government agencies and public officials. Letters of endorsement detailing exact areas of project sanction and commitment are often requested as part of a proposal to a Federal agency. Several months may be required to develop letters of endorsement since something of value (e.g., buildings, staff, and services) is sometimes negotiated between the parties involved. Many agencies require, in writing, affiliation agreements (a mutual agreement to share services between agencies) and building space commitments prior to either grant approval or award. A useful method of generating community support may be to hold meetings with the top decision makers in the community who would be concerned with the subject matter of the proposal. The forum for discussion may include a query into the merits of the proposal, development of a contract of support for the proposal, to generate data in support of the proposal, or development of a strategy to create proposal support from a large number of community groups. C.) Identification of a Funding Source A review of the OBJECTIVES and USES AND RESTRICTIONS sections of the program description can point out which programs might provide funding for an idea. Do not overlook the RELATED PROGRAMS section as potential resources. Both the applicant and the grantor agency should have the same interests, needs, and intentions if a proposal is to be considered an acceptable candidate for funding. Once a potential grantor agency is identified, call the agency contact person (see the INFORMATION CONTACTS section of the program description) and ask for a grant application kit. Later, get to know some of the agency personnel. Ask for advice, criticisms, and suggestions about the proposed project. In many cases, the more personnel who know about the proposal, the better the chance of support and of an eventual favorable decision. Sometimes, it is useful to send the concept paper to a specific agency official with a separate cover letter, and ask for review and comment at the earliest possible convenience. Always check with the Federal agency to determine it's preference if this approach is under consideration. If the review is unfavorable and differences cannot be resolved, ask the examining agency official to suggest another department or agency that may be interested in the proposal. A personal visit to the agency's headquarters or regional office is also important. A visit not only establishes face-to-face contact, but also may bring out some essential details about the proposal or help secure literature and references from the agency's library. Fedral agencies are required to report funding information as funds are approved, increased, or decreased among projects within a given State depending upon the type of required reporting. Also, consider reviewing the Federal Budget for the current and budget fiscal years to determine proposed dollar amounts for particular budget functions. The applicant should carefully study the Eligibility Requirements section of the program description for each Federal program under consideration. The applicant may learn that he or she may be required to provide services otherwise unintended (such as a service to particular client groups, or involvement of specific institutions). It may be necessary to modify the original concept paper in order for the project to be eligible for funding. Questions about eligibility should be discussed with the appropriate agency official. Deadlines for submitting applications are often not negotiable. They are usually associated with strict timetables for agency review. Some programs have more than one application deadline during the fiscal year. Applicants should plan proposal development around the established deadlines. The timing used by the applicant in implementing Part II, Sections A, B, and c above depends upon the stage of development of each section. The applicant should carefully balance the knowledge and understanding of each part prior to determining the first step and before proceeding to the formal development of the proposal. *********************************************************************** III. WRITING AND DEVELOPING A PROPOSAL A.) Gathering Applicant Organizational Data The applicant should gather data about his or her organization from all available sources. Most proposals require a description of the applicant's organization to describe it's past and present operations. Some features to consider are: 1) a brief biography of board members and key staff members; 2) The organization's goals, philosophy, and track record with other grantors, and any success stories. The data should be relevent to the goals of the Federal grantor agency and should establish the applicant's credibility. B.) Problem Statement Development One of the key elements of a proposal is a well-supported, clear, concise statement of the problem to be addressed. The best way to collect information about the problem is to conduct and document both a formal and informal needs assessment for a program in the target or service area. There is a considerable amount of literature on the exact assessment techniques to be used. Any State, regional, or local government planning office, or local university offering course work in planning and evaluation techniques should be able to provide excellent background references. The types of data that may be collected include: historical, factual, statistical, geographic, quantitative, and philosophical information, as well as studies completed by colleges, and literature searches from public and/or university libraries. Local colleges or universities that have a department or section related to the proposal topic may help determine if there is interest in developing a student or faculty project to conduct a needs assessment. It may be helpful to include examples of the findings for highlight in the proposal. The information provided should be both factual and directly related to the problem that is being addressed by the proposal. Areas to document are: 1) The purpose for developing the proposal; 2) The beneficiaries - who they are and how they will benefit; 3) The social and economic costs to be affected; 4) The nature of the problem (provide as much hard evidence as possible); 5) How the applicant organization came to relize the problem exists, and what is currently being done about the problem; 6) The remaining alternatives available when funding has been exhausted. Explain what will happen and the impending implications; 7) 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. *********************************************************************** IV. THE ACT OF WRITING A.) Preorganization Prior to any formal development of a proposal the applicant should first complete the task of accumulating information, and then begin writing the proposal. The applicant should also have the grant application kit in hand. One of the first steps in the development of an application is to identify a coordinating person, and have this person thoroughly review the application kit. This task is best performed by the person with the major responsibility for the coordination of the proposal development tasks and may or may not be the person who knows the most about the proposal subject area. These are often two different persons. Make an outline of the forms, copy each one and put the originals in a secure file. Use these copies only when ready to type the final draft. Then subsitute the filed copies in the application kit. It may be useful to develop a milestone chart (a type of schedule that charts significant events in the development of a proposal over time) to address and identify the implementation dates of the following: 1) Formatting the available information not requiring additional development; 2) Gathering data necessary for the development of the proposal and where to get it; 3) Who and when staff will be available to assist with the project; 4) Item-by-item development of the first draft; 5) Schedule for the completion of the second and final drafts to be inspected by the coordinator. Whenever steps in the milestone chart are delayed it is advisable to immediately negotiate the earliest possible new deadline with the affected parties. Care should be exercised to guarantee that the next selected data does not delay the entire project schedule. Most grant proposals will need to be copied 4 or more times. The original and copies will go to the Federal grantor agency's program and/or grant office. Other copies may go to single State agencies, regional and local government officials and board members (if any). If the copying is done internally it may be wise to identify a back-up copy machine in case of mechanical failure. This may be critical when working against strict deadlines. Typists should be notified and scheduled in advance if possible. Prepare to commit enough financial resources to produce a proposal. It is difficult to gauge how much money, material,and personnel will be needed, but some considerations are: 1) Person power (typists, writers, researchers, clerks, statisticians, and consultants); 2) Supplies (copy machine(s), typewriter, paper, postage, pens and pencils, binders, correction fluid, and types of stylus apparatus for charts); 3) Office space; 4) A telephone; 5) Office equipment. B.) Getting Organized to Write the Proposal Throughout the proposal writing stage keep a notebook handy to write down ideas. Periodically, try to connect ideas by reviewing the notebook. Never throw away written ideas during the grant writing stage. Maintain a file labeled "Ideas" or by some other convenient title and review the ideas from time to time. The file should be easily accessible. The gathering of documents such as articles of incorporation, by-laws, and exemption certificates should be completed, if possible, before the writing begins. C.) A Note On Special Technical Services States and political subdivisions can obtain technical information services from Federal agencies when preparing proposals. A written request from the chief executive officer (county executive, mayor, or governor) is required. Services are provided according to the Federal agency's mission, special capabilities, and authorization by law. Assistance may include: statistical or other studies and compilations, development projects, technical tests and evaluations, technical information, reports, surveys, training activities, and documents. All services must relate to either current or future needs of the Federal government. Some form of proof is required to ensure that these services can be procured reasonably and quickly by the requesting agency through ordinary business channels. Federal agencies may require considerable time in supplying information. Consider such time lags when requesting assistance. (NOTE: The following information (Sections D,E,F, and Part V and VI) is generally adaptable to all proposals, and will test the creativity and resourcefulness of the applicant.) D.) Developing Program Objectives Program objectives refer to specific activities in a proposal. It is necessary to identify all objectives related to the goals to be reached, and the methods to be employed to achieve the stated objectives. Consider quantities or things measurable and refer to a problem statement and the outcome of proposed activities when developing a well stated objective. The figures used should be verifiable. Remember, if the proposal is funded, the stated objectives will probably be used to evaluate program progress, so be realistic. There is literature available to help identify and write program objectives. E.) Writing the Solution - A Program Design The program design refers to how the project is expected to work and solve the stated problem. Sketch out the following: 1) The activities to occur along with the related resources and staff needed to operate the project (inputs); 2) A flow chart of the organizational features of the project. Describe how the parts interrelate, where personnel will be needed, and what they are expected to do. Identify the kinds of facilities, transportation, and support services that are required (throughputs); 3) Explain what will be achieved through 1 and 2 above (outputs) (e.g., plan for measurable results). The project staff may be required to produce evidence of program performance through an examination of stated objectives during either a site visit by the Federal grantor agency and/or grant reviews that may involve peer review committees. 4) It may be useful to devise a diagram of the program design. For example, draw a three column block. Each column is headed by one of the parts (inputs,throughputs, and outputs) and on the left (next to the first column) specific program features should be identified (e.g., staffing, procurement, implementation, and systems development). In the grid specify something about the program design, for example, assume the first column is labeled "inputs" and the first row is labeled "staff." On the grid one might specify under "inputs" five nurses to operate a child care unit. The "throughput" might be to maintain charts, counsel the children, and set-up a daily routine; "outputs" might be to discharge 25 healthy children per week. This type of procedure will help to conceptualize both the scope and detail of the project. 5) Wherever possible, justify in the narrative the course of action taken. The most economical method should be used that does not compromise or sacrifice project quality. The financial expenses associated with performance of the project will later become points of negotiation with the Federal program staff. If everything is not carefully justified in writing in the proposal, after negotiation with the Federal grantor agencies, the approved project may resemble less of the original concept. Carefully consider the pressures of the proposed implementation, thatis, the time and money needed to acquire each part of the plan. A Program Exaluation and Review Technique (PERT) chart could be useful and supportive in justifying some proposals. 6) Highlight the innovative features of the proposals under consideration. 7) Whenever possible, use appendices to provide details, references, supplementary data, and information requiring in-depth analysis. These types of data, although supportive of the proposal, if included in the body of the design, could detract from it's readability. Appendices provide the proposal reader with immediate access to details if and when clarification of an idea, sequence or conclusion is required. Time tables, work plans, schedules, activities, methodologies, legal papers, letters of support, a personal resume, and endorsements are examples of appendices. F.) Evaluating the Program Most Federal agencies now require some form of program evaluation among grantees. The requirements of the proposed project should be carefully explored. Evaluations may be conducted by an internal staff member, an evaluation firm, or both. The applicant should state the amount of time needed to evaluate, how the feedback will be distributed among the proposed staff, and a schedule for review and comment for this type communication. Evaluation designs may start at the beginning, middle, or end of the project, but the applicant should specify a start-up time. It is practical to submit an evaluation design at the start of a project for two reasons: 1) Convincing evaluations require the collection of appropriate data before and during program operations; 2) If the evaluation design cannot be prepared at the onset then a critical review of the program design may be advisable. Even if the evaluation design has to be revised as the project progresses, it is much easier and cheaper to modify a good design. If the problem is not well defined and carefully analyzed for cause and effect relationships then a good evaluation design may begin the identification of facts and relationships. Often a thorough literature search may be sufficient. Evaluation requires both coordination and agreement among program decision makers (if known). Above all, the Federal grantor agency's requirements should be highlighted in the evaluation design. Also, Federal grantor agencies may require specific evaluation techniques such as designated data formats (an existing information collection system) or they may offer financial inducements for voluntary participation in a national evaluation study. The applicant should ask specifically about these points. Also, consult the CRITERIA FOR SELECTING PROPOSALS section of the program description to determine the exact evaluation methods to be required for the program if funded. *********************************************************************** V. BUDGET INFORMATION A.) Planning the Budget Funding levels in Federal assistance programs change yearly. It is useful to review the appropriations over the past several years to try to project future funding levels (see the FINANCIAL INFORMATION section of the program description). However, it is safer to never anticipate that the income from the grant will be the sole support for the project. This consideration should be given to the overall budget requirements, and in particular, to budget line items most subject to inflationary pressures. Restraint is important in determining inflationary cost projections (avoid padding budget line items), but attempt to anticipate possible future increases. Some vulnerable budget areas are: 1) Rental of buildings and equipment; 2) Utilities; 3) Telephones; 4) Insurance; 5) Salary increases; 6) Food; 7) Transportation. Budget adjustments are sometimes made after the grant award, but this can be a lengthly process. Be certain that implementation, continuation, and phase-down costs can be met. Consider costs associated with leases, evaluation systems, audits, hard/soft match requirements, development, implementation and maintenance of information and accounting systems, and other long-term financial commitments. A well prepared budget justifies all expenses and is consistent with the proposal narrative. Some areas in need of evaluation for consistancy are: 1) the salaries in the proposal in relation to those of the applicant organization should be similar; 2) if new if new staff members are being hired, additional space and equipment should be considered, if necessary; 3) if the budget calls for an equipment purchase it should be the type allowed by the grantor agency; 4) if additional space is rented the increase in insurance should be supported; 5) if an indirect cost rate applies to the proposal the division between direct and indirect costs should not be in conflict, and the aggregate budget totals should refer directly to the approved formula; 6) if matching costs are required the contributions to the matching fund should be taken out of the budget unless otherwise specified in the application instructions. It is very important to become familiar with government-wide circular requirements. The program descriptions supplied by U.S. Information Services/Systems identifies the particular circulars applicable to a Federal assistance program. The applicant should thoroughly review the appropriate circulars since they are essential in determining items such as cost principals and conforming with government guidelines for Federal domestic assistance. Summaries of circular requirements are also available from U.S. Information Services/Systems. *********************************************************************** VI. REVIEW A.) Criticism At some point, perhaps after the first or second draft is completed, seek out a neutral third party to review the proposal working draft for reasoning, clarity, and continuity. Ask for constructive criticism at this point, rather than wait for the Federal grantor agency to volunteer this information during the review cycle. For example, has the writer made unsupported assumptions or used jargon or excessive language in the proposal? B.) Signature Most proposals are made to institutions rather than individuals. Often signatures of chief administrative officials are required. Check to make sure they are included in the proposal where appropriate. C.) Neatness Proposals should be typed, collated, copied, and packaged correctly and neatly (according to agency instructions, if any). Each package should be inspected to insure uniformity from cover to cover. Binding may reqiure either clamps or hard covers. Check with the Federal agency to determine it's preference. A neat, organized and attractive proposal package can leave a positive impression with the reader about the proposal contents. D.) Mailing A cover letter should always accompany a proposal. Standard U.S. Postal Service requirements apply unless otherwise indicated by the Federal agency. Make sure there is enough time for the proposals to reach their destinations. Otherwise, special arrangements may be necessary. Always coordinate such arrangements with the Federal grantor agency's project office (the agency that will ultimatley have responsibility for the project), the grant office (the agency that will coordinate the grant review), and the contract office (the agency responsible for disbursement and grant award notices), if necessary. *********************************************************************** VII. ADDITIONAL SOURCES OF INFORMATION Below are resources for more detail about grants and grant writing. There are several very good private resources available that can be identified by consulting a public library. A.) Research Tools THE FEDERAL REGISTER The Federal Register, published daily, is a medium for making available to the public Federal agency regulations and other legal documents of the Executive branch. These documents cover a wide range of government activities. Here, government requirements are published which involve environmental protection, consumer product safety, food and drug standards, occupational health and safety, and many more areas of concern to the public. Perhaps more importantly, the Federal Register includes proposed changes in regulated areas. Each proposed change published carries an invitation for any citizen or group to participate in the consideration of the proposed regulation through the submission of written data, arguments, and sometimes by oral presentations. Through the publication of proposed rules and notices of public meetings, citizens are given the opportunity to be informed about aand participate in the workings of their government. The Federal Register Index is based on a consolidation of entries appearing in the issues of the Federal Register together with broad references. It is published monthly and is cumulated for 12 months. All Federal Register publications are available for purchase from: Superintendent of Documents U.S. Government Printing Office Washington D.C., 20402 ================================ THE CODE OF FEDERAL REGULATIONS The Code of Federal Regulations (CFR) is a codification of the general and permament rules published in the Federal Register by executive departments and agencies of the Federal government. It includes all statutory regulations of Federal agencies, and is divided into 50 titles which represent broad subject areas of Federal regulations (e.g., Housing and Urban Development, Public Welfare, Transportation, or Public Health). Each title is divided into chapters that usually bear the name of the issuing agency. Each chapter is further subdivided into parts covering specific regulatory areas. The number preceding the CFR citation is the title or volume number. The CFR is kept up-to-date by the individual issues of the Federal Register, these two publications must be used together to determine the latest version of any given rule. Individual volumes of the CFR are revised at least once each calander year and issued on a staggered quarterly basis. The CFR thus serves as a convenient reference for the citizen desiring a comprehensive source for general and permanent Federal regulations. A general index to the entire Code of Federal Regulations (the CFR index) is revised as of July 1 each year. The numerical Finding Aids, as a cumulative list of CFR Sections affected is published monthly and is cumulated for 12 months, keyed to the revision dates of the various CFR volumes. The Federal Register and the Code of Federal Regulations are available in Federal depository libraries and most major libraries or Federal bookstores. Individual copies can be purchased from the U.S. Government Printing Office. THE FEDERAL BUDGET The following four budget documents are briefly described below: 1) The Budget of the U.S. Government; 2) the Budget Appendix; 3) The Budget in Brief; 4) the Special Analyses of the Budget (Budget documents are available for purchase from the U.S. Government Printing Office.) 1) The Budget provides information on the President's budget proposals, ongoing programs, the budget system and summary tables on the budget. For program identification, the last 3 digits of the identification code in the FINANCIAL INFORMATION section of the program description is the functional code. The codes and functions are contained in the back section of the Budget (Budget Outlays by Function). 2) The Appendix provides detailed information on Federal programs, and identifies specific amounts (as shown in the budget) for each existing or proposed program. Supplemental proposals and amendments for the cur-rent year are also identified. 3) The Budget in brief is designed for use by the general public. This document is a less technical overview of the Budget, and provides graphic displays, a summary and historical tables on the Federal Budget. 4) The Special Analyses, Budget of the U.S. Government contains analyses that are designed to highlight specific program areas or provide other significant presentations of the Federal budget data. B.) Guidelines and Literature ====================== U.S. Government Manual ====================== Superintendent of Documents U.S. Government Printing Office Washington DC, 20402 ====================================== OMB Circulars #A-87; #A-102; #A110; #A-128; and (E)xecutive (O)rder 12372 ====================================== Publications Office Office of Administration Room 2200, 726 Jackson Place N.W., Washington DC, 20503 or... U.S. Information Services/Systems 909 Westbourne Dr. #101 Los Angeles, CA 90069-4145 =============================== The Federal Granting System: A Guide for Local Governments in Massachusetts =============================== Bulletin Center, Cottage A Thatcher Way University of Massachusetts Amherst, MA 01003 ====================================== Guide for the Preparation of Proposals for the Prefreshman and Cooperative Education for Minorities in Engineering (Preface) Program ====================================== Department of Energy Washington DC, 20545 ======================================= Guide for the Submission of Unsolicited Research and Development Proposals ======================================= Department of the Interior, Office of Research and Development Washington DC, 20240 ======================================== Guide for the Submission of Research and Development Proposals by Individuals and Organizations Other than Educational Institutions ========================================= Department of Energy Washington DC, 20545 *********************************************************************** VIII. INFORMATION RESOURCES FOR LEGISLATIVE RESEARCH AND INQUIRY A.) General Congressional Telephone Resources Senate Document Room: ......................... (202) 224-7701 House Document Room: .......................... (202) 225-3546 Government Printing Office Order Desk: ........ (202) 783-3238 Federal Registry Inquiry Desk: ................ (202) 523-5240 B.) Government Printing Office (GPO) Resources The government documents identified above as available from the GPO can be requested (supply the necessary identifying information) by writing to: Superintendent of Documents U.S. Government Printing Office Washington DC, 20402 Additional resources available from the GPO are: 1) House and Senate Calendars (Monday edition only); 2) How Our Laws Are Made; 3) Digest of Public General Bills and Resolutions; 4) Monthly Catalog of U.S. Government Publications The stock numbers and prices of these publications can be obtained by calling or writing to the GPO. To order or inquire about congressional documents from the GPO, call: (202) 275-3030. To order or inquire about other government publications, call the GPO Order Desk at: (202) 783- 3238. C.) Federal Register Resources Statistical Abstract of the United States, Weekly Compilation of Presidential Documents, Federal Register, The Federal Register: What It Is and How to Use It. D.) Regional and Depository Libraries Regional libraries can arrange for copies of government documents through an interlibrary loan. A list of depository and regional libraries is available by writing: Chief, Library Division, Superintendent of Documents Stop SLL, Washington DC, 20402 E.) Other Resources Copies of the documents identified above and many private sector publications devoted exclusively to the codification, analysis, and dissemination of legislative information are available at most law libraries and State Government Libraries. ************************************************************************ For all government assistance information, contact: U.S. Information Services/Systems 909 Westbourne Dr. #101 Los Angeles, CA. 90069-4145 (213) 854-0964