IN THE PUBLIC DOMAIN:

DEVELOPING EFFECTIVE STRATEGIES FOR GOVERNMENT FUNDING

Breakin’ It Down Conference

Friday, October 15, 2010

Valerie F. Leonard
Community Development Consultant
www.valeriefleonard.com
 Acknowledgements
This presentation is based upon information from public sources, including
– The Federal Register, Grants.gov, the Catalog of Federal Domestic
Assistance
– Illinois ResourceNet: A Funding Access Initiative
– Federal Grants Management Bootcamp Power Point Presentation by
Valerie F. Leonard,2010 for the Illinois ResourceNet
– In the Public Domain Power Point Presentation by Valerie F. Leonard 2006
– Core Competencies for Effective Grants Management: A Tool for Learn
and Serve America Grantees, published by the Corporation for National and
Community Service Learn and Serve America,2005
– Building Federal Budgets Power Point presentation by Jay Readey, JD,
MBA, 2009 (for the Illinois ResourceNet)
– Grants Management 101: Understanding Federal Grants Processes,
published by the National Alliance of State and Territorial AIDS Directors,
2009
 Workshop Goals

• You will learn

– the differences between government submissions
and submissions for private agencies
– The grant budget cycle
– How to translate a proposal into an implementation
plan
 What We’ll Cover

• Understanding Your Audience

• Registering With Grants.gov
• Grant Cycle
• Program Implementation
• Models of Collaboration
• New Themes Under the Obama
Administration
• Financial Management
• Grants Management
• Contract/Grant Administration
• Compliance
 Understanding Your Audience:
Federal Grants vs. Private Foundations

• The process for preparing federal

grant submissions differs from
private foundations
– Pre-Submittal
– Types of Funding
– Tracking Grant Opportunities
– Disclosure
– Application Content
– Application Review Process
 Understanding Your Audience:
Federal Grants vs. Private Foundations
Pre-Submittal
• Foundations
– Letter of Inquiry
– Summary of the proposal
– Contact information of
the principals
– Organizations are invited
to submit full proposal if
the foundation is
interested
• Federal Government
– Secure DUNS number from
Dun & Bradstreet
• This is how the government
tracks funding
– Register with Central
Contractor Registry
• This is how the government
tracks information on its
partners
– Register with Grants.gov
• The organization will be
assigned a username and
password
– Eligible organizations may
submit proposals
 Understanding Your Audience:
Federal Grants vs. Private Foundations

Types of Funding
• Foundations • Federal Government
– Grants – Grants
– Program Related • Formula Grants
Investments, or • Project or
PRI’s Discretionary
• Earmarks
– Contracts
– Loans
 Understanding Your Audience:
Federal Grants vs. Private Foundations
Tracking Grant Opportunities
• Foundations • Federal Government
– Electronic – Grants.gov
Databases – Catalog of Federal
– Foundation Domestic Assistance,
Websites www.CFDA.gov
– Print Directories – Federal Register,
– Libraries www.gpoaccess.gov
• Chicago Public
Library
• Donors Forum
Library

-Match funding sources to your mission and specific programs

-Develop a submission schedule based on deadlines and the
required lead time you need to meet them.
 Understanding Your Audience:
Federal Grants vs. Private Foundations
Disclosure
• Foundations • Federal Government
– Typical documents – In addition to documents
to accompany required by private
proposal include institutions, the federal
• IRS Letter of government requires
Determination • Standard Forms (ie, SF-
• Articles of 424, Application for
Incorporation Federal Assistance, SF-
• List of board of 424A, Budget
directors Information and an SF-
424B, Assurances.)
• Form 990
• Certifications (ie,
• Audited
lobbying, conformance
statements
with MBE/DBE/WBE)
 Understanding Your Audience:
Federal Grants vs. Private Foundations
Common Application Content
• Federal Government
• Foundations – Project Abstract
– Qualifications of the – Needs Assessment and
Applicant Approach
– Geographic Location
– Needs Statement
– Goals and Objectives
– Goals and – Program Logic Model
Objectives – Staff and Position Data
– Methods – Organizational Profile
– Evaluation – Program Framework (i.e., Ready
4 Work, Positive Youth
Component Development)
– Sustainability – Evaluation
– Program Budget – Budget/Budget Justification
– Sustainability
– MOU’s and/or 3rd Party
Agreements
 What is Grants.gov?

• Grants.gov is a central clearinghouse for

information on federal grant programs

– Registration
• Dun & Bradstreet (Securing a D-U-N-S
Number)
• CCR-the Central Contractor Registration
database.
 Grant Budget Cycle

Source: NASTAD
 Program Implementation:
Translating a Proposal Into a Program

• A program plan (sometimes referred to an

implementation plan, or work plan) provides detailed
information concerning the goals and objectives,
activities, outcomes and performance measures.

– Should be consistent with program logic model and

program narrative from the grant application

– Starts with a mission statement that outlines the

program’s purpose and is consistent with the
organization’s mission

– Should include a timeline and assign roles and

responsibilities for achieving key milestones
 Program Implementation:
Translating a Proposal Into a Program

– Should be prepared with input from key

stakeholders responsible for the success of
the program
– Identifies the skills and tools necessary to
achieve program goals (corresponds to the
“inputs” of the program logic model)
– Identifies the methods for data collection
and tracking progress towards program
goals and desired outcomes
 Financial Management

• Organizations receiving federal funds

should have strong financial
management systems in place
– Must adhere to generally accepted accounting
principles (GAAP) for nonprofit organizations

– Maintain systems of internal controls that are

reviewed and updated on an annual basis

– System of cost management should include fiscal

and programmatic components, cost allocation and
monitoring
 Financial Management

• Managing Costs
– Using the budget provided in the approved
proposal, identify all costs associated with the grant

– Manage and document those costs over the life of

the project
• Keep track of invoices, checks, receipts
• Look at budget versus actual expenditures;
make adjustments as needed

– Include direct and indirect costs

– Understand the cost principles pertaining to match,
allowable costs, direct and indirect costs
 Program Implementation:
Translating a Proposal Into a Program

• Managing Costs
– Develop a plan for sustainability, including raising
funds from other sources
– Develop effective systems for competitive bidding of
contracts and procurement
• Document process in financial policies and
procedures
• Solicit through RFQ (request for qualifications)
and RFP (request for proposals) process
– Where applicable, grantees should also have an
audit done by a certified public accountant (CPA)
 Financial Management

• Questions for Reflection

– Do you have a working knowledge of
financial management principles ?
– If not, do you know where to get the
training you need?
– Does your organization have a
comprehensive system for organizing
financial statements?
– What systems do you have in place for
documenting and managing cost?
– Does your organization have policies and
procedures and financial controls in place?
 Models of Collaboration

• MOU
– Informal agreement outlining roles and
responsibilities of each partner
– Not legally binding
• Partnership
– Formal contract outlining roles and responsibilities
of each partner
– Legally Binding
 Models of Collaboration

• Joint Venture
– Two or more organizations joining forces to create a
separate entity to manage a project or program
– Formal agreement
– Each entity has ownership stake and retains
autonomy
– Each entity is part of the governance structure
• Merger(New Corporation)
– Each organization combines its assets to become a
new entity
 Common Elements in
Collaborative Structures

Legal structure could take on a number

of forms, including, MOU, Partnership,
Joint Venture or New Corporation.
Governance could occur through a
MOU, partnership agreement, advisory
council, board of directors, etc. Collaboration
(Governance, Decision Making)

Finance/Admin- Marketing and Fundraising-

Program Organization A Outreach (All) Organization A

Case Grants
Mentoring- Housing- Job Training-
Management- Management-
Organization C Organization B Organization C
Organization A Organization A

Source: Your First Chance at the Second Chance Act, Power Point Presentation by
Valerie F. Leonard for Illinois ResourceNet
Develop a Strong Program Logic Model
Goals and Objectives

• Macro Inputs • Who We Outcomes

• Big Picture Reach
• Policy • Target Market
• What We Invest • How will our
• National •Money clients or
•Staff Time • What We Do community
• Micro •Equipment • Programs
• Local •Supplies be impacted
• Services
• Community, by our work?
• Organization • What We Acquire • Short Term
• Additional Staff
• Clients •Expertise • Intermediate
Situation •Training • Long Term
Outputs
Analysis

Ongoing Evaluation
*Adapted from the University of Wisconsin Extension Program Action Model
Sample Mentoring Program Logic Model
Goal: Reduce the rate of recidivism among clients in Second Chance Act-funded programs by 50% over the next 5 years

Situation Analysis Inputs Outputs Outcomes

Over 650,000 inmates are
released per year in the U.S.
and return to their families and
communities
Hire case manager, recruit and
train mentors, hire VISTA
volunteer
Target nonviolent offenders 18 Outcome: Clients secure
years or older that have been employment
released from prison within the
past 180 days Indicator: # clients entering
employment

Without intervention, 40% of
returning inmates will return to
prison within 5 years
Purchase software to track Provide case management and Outcome: Clients establish
program outcomes mentoring programs consistent work history
Indicators: # clients remaining
employed

18,377 inmates were released to
Cook County in 2001 . 15,488
(84.3 percent) were released to
the city of Chicago.
Provide professional
development opportunities for
staff; develop pre-release
orientation and learning
opportunities for prisoners.
Provide job training and Outcome: Clients earn living
placement programs. wages
Indicator: Average earnings

The Second Chance Act of 2007
was passed in April 2008.
Provide matching funds and in-
kind donations up to 50% of
grant amount
Make referrals to supportive Outcome: Increased public
services safety
Indicator: Rates of recidivism
among program participants

Evaluation: What is the power of the mentorship model to reduce recidivism? Utilize data from intake process, and other program
documents to conduct ongoing program assessment and quality improvement. Hire outside evaluator to provide evidence-based
program evaluation.

Source: Your First Chance at the Second Chance Act, Power Point Presentation by
Valerie F. Leonard for Illinois ResourceNet
New Themes Under the Obama
Administration
• Increased accountability and transparency
– Greater focus on outcomes as opposed to
production
– Reports of grant awards, compliers and
noncompliers online
– Reports/GIS maps of all stimulus funding online
• Focus on evidence-based processes
– Processes should be grounded in best practices
with sufficient data to support the process
• Greater emphasis on evaluation
• Greater emphasis on capacity building
 Helpful Hints

• Allow community needs to drive the

proposal development process, as
opposed to “build it, and they’ll come
• Make sure the funding you seek and
programs you develop are within the
realms of your organization’s mission,
goals and objectives
• Ensure your organization has the
internal capacity to fulfill grant
requirements and maintain
accountability
• Establish relationships with persons at
all levels of the grant making process
 Preparation

• Elements of Effective Letters of Support

– Letter should come from individual or organization
who will provide services or resources, utilize
service
– Letter should not look or sound like a form letter
– Supporter should demonstrate knowledge of the
organization, the project
– Letter should indicate commitment of some sort (ie,
Cash or in-kind resource; use of service once it is
available; provision of technical assistance to staff or
clients

Note: In some instances a memorandum of understanding (MOU)

outlining roles and responsibilities may be helpful to maintain a
commitment, or even required by the funding agency.
 Preparation

• Research the Issues

• Get expert opinions
• Conduct public relations campaign
• Quantify the costs and identify
potential funding sources
• Establish relationships with key
decision makers
Contract/Grant Administration

• Monitor project/program progress

towards goals periodically (monthly,
quarterly, or annually)
• Submit regular status reports and/or
grant reports
• Monitor budgeted versus actual
program expenditures; explain
variances
• Evaluate program regularly. Use
results to inform future program
changes.
 Compliance

• Understand contractual and regulatory

reporting requirements
– Form 990 and AG 990-IL
– Audited statements
– Periodic reports as required by agency
• Understand penalties for
noncompliance
– Loss of funding
– Possible repayment of grant funds
– Financial Penalties and late fees
– Loss of tax-exempt status
 Thank You!

It has been a pleasure providing this

workshop. If you have any questions
regarding the content, please feel free
to contact

Valerie F. Leonard
773-521-3137
Consulting@valeriefleonard.com
www.valeriefleonard.com