LC 34,13/53 Report mo, 77% --74, I? Report No. 77-76 E WASH! N (.:3TQ’N U N M! E R8 ETY How TO WRITE A GRANT PROPOSAL NOV 17 1989 ti ’\ -_ . . ._ ..,_. E?T.I_C3LJH3. fifii). « BY BARBARA 0. MAFFEI Analyst in Government Finance Economics Division March 17, 1977 CONGRESSIONAL RESEARCH 4 . SERVICE H3 275 ..A THE LIBRARY OF CONGRESS The Congressional Research Service works exclusively for the Congress, conducting research, analyzing legislation, and providing information at the request of committees, Mem- bers, and their staffs. The Service makes such research available, without parti- san bias, in many forms including studies, reports, compila- tions, digests, and background briefings. Upon request, CRS assists committees in analyzing legislative proposals and issues, and in assessing the possible effects of these proposals and their alternatives. The Service’s senior specialists and subject analysts are also available for personal consultations in their respective fields of expertise. HOW TO WRITE A GRANT PROPOSAL What makes a good proposal? Although there are many answers to this question, some basic features stand out that separate the excellent proposal from the average one. The main ingredient of any proposal is a good idea. But poorly presented or inadequately described, a good idea can be over- looked or misunderstood. On the other hand, a well prepared appli- cation will not turn an ordinary idea into an inspiring one. One sign of a good proposal is that-it is submitted well in advance of the deadline date. When no deadline date exists, six months to a year in advance of when funds are needed should be allowed to permit the required review and decision. By applying well in advance, the funding source is aware that careful plans have been made. Another sign of a good proposal is that it is concise and to the point. Proposals should always be written in simple language and the use of professional jargon should be avoided. If some professional terms are unavoidable, always remember to define them. Several other signs of good proposals are that: 1. The proposed project is within the funding source's stated purposes. 2. The proposed project is important and addresses itself to some measurable outcome. 3. The anticipated results of the project justify the costs. 4. The applicant is qualified to carry out the project. CRS - 2 The length of the proposal will vary with the project. Research applications, which require extensive documentation, often are several hundred pages long. On the other hand, a request for scholarship funds may be presented in only a few pages. The type of activity to be funded usually determines the length of the pro- posal. Proposals written for the Federal Government will differ from those written for foundations. Often, the Government proposal will require the use of standard forms;l/ private foundations, on the other hand, usually do not have printed applications. Although these pro- posals will differ, there are nine basic elements that generally make up most proposals. These elements are described below along with some suggestions on how to make the proposal effective. A bibliography of guides to proposal writing also has been included. Cover sheet. The first page of any proposal should be the cover sheet. The cover sheet serves as an identification tag that lets the funding source know the name of the applicant, the appli- cant's Internal Revenue Service identification number, the applicant's social security number, the name of the person who authorized the proposal, the date the proposal is submitted, the subject of the pro- posal, the amount requested, and the name and the address of the applicant's fiscal agents. 1/ Call the agency before beginning to request application forms or any grant brochures or instructions that might be available. CRS - 3 Proposal summary. Next is the proposal summary which should be clear, concise, and to the point. The summary should briefly describe who you are, what your project is and the anticipated cost. The summary generally is not written until other portions of the proposal have been completed. Introduction. The third section is where you establish credibility as an applicant. An organization, for example, would build its credibility by telling how it got started, what its goals are, and how long it has existed. It should also include a list of its activities and primary accomplishments as well as information on other funding that has been received in the past. Additionally, the organization should provide a list of its board of directors and describe the relationship of the board to the formation of program policies. If this information is included in an annual report, then attach a copy of the report highlighting those sections that would be of interest to the funding source. Quotations from letters of support of the presentation may lend credence to the proposal. These should be included along with. statements from reliable sources that your proposal has potential. For an organization that is new and has no statistics on its accomplishments, it is helpful to rely on statements from reliable persons recognized as experts in field of the program or activity. An individual applicant would build his credibility by describing his education, training, and professional credentials. CRS ~ 4 Statement of the problem. Fourth, the statement of the problem, is where the nature and the importance of the problem to be dealt with are presented. The problem addressed should be clearly defined. For example: The problem is an alarming increase in the number of teenage pregnancies in the community over the past five years. The rate has risen from x percent of the total female population aged 13 to 19 in 1970 to more than y percent of this segment of the population in 1975. This compares with the national average of z pregnancies per one hundred female teenagers and the State average of q preg- nancies per one hundred female teenagers. The statistics that are used in the statement of the problem should be documented. When no statistics on the problem exist, it is helpful to rely on statements from authorities, such as school principals in this case, or experts in the field. Furthermore, the problem statement should contain how your background can help solve the problem. There are two common mistakes frequently made when writing the problem statement. The most common mistake is to express the method by which the objective will be achieved rather than expressing the problem. To illustrate: The problem is that there is a need for a medical clinic in this economically depressed rural area. This, however, is not the problem. The problem is that there are no medical facilities or services avaialble to these underprivileged persons. Establishing a free medical clinic is the method for solving CRS - 5 the problem. Always remember that the lack of facilities or services are not problems and that the provision of these items are methods for solving problems. The second mistake often found in proposals is to make the problem so broad that the funding source feels that it will take many times the requested budget to solve the problem. For example, trying to solve the unemployment problem rather than trying to solve the unemployment problem among economically disadvantaged youths aged 18 to 21 is much too broad for any one organization to tackle. pProg£am objective. The fifth section is the statement of the program objective. The program objective is simply what you hope to accomplish within a stated time period. It should be a specific measurable outcome of the proposal. One problem commonly found in proposals is the failure to distinguish between methods and objectives. For example, a proposal objective may read something like this: "The purpose of this program is to provide peer counseling for alcoholic youths." However, the real objective of this program is to reduce teenage alcoholism to a specified level of the youth population. Establishing fa service or providing an activity are not objectives, but are methods; they do not address themselves to a measurable outcome of the problem. Methods. In the sixth portion of the proposal, described are the means or activities that will be used to accomplish the program objectives. The methods should be supported bf evidence showing why CRS - 6 they were selected. This can be done by describing programs of a similar nature that have been effective or successful. It is important to consider alternatives in this section.’ Consideration of alternatives lets the funding source know that you are familiar enough with the field to be aware of the different ways of providing the activity or program or project. Evaluation. In the next portion, the method of evaluating the proposal is stated. The evaluation is the criteria that are used to measure the success or failure of the program. Program evaluations measure and monitor progress toward the program objec- tives, and, thus allow any necessary adjustments to be made in the program. Program evaluations also let the funding agency know how effective the program is. Progress reports and a final report should be sent to the agency. ’Because it is difficult to provide a means of objectively evaluating your program, it is sometimes better to go to an outside organization to develop an evaluation design. Evaluations are an ongoing process and should be implemented when the program begins so that you can determine whether it is necessary to change the program design. Evaluations should never be started at the conclusion of a program because you no longer have access to a control group or situation. Budget. The eighth element of the proposal is the budget. Budget requirements differ not only among foundations but among CRS - 7 Federal agencies, as well. Although foundations usually require less detail than Federal agencies, it is always best to be specific. The budget should be divided into a donated and requested section and into personnel and non-personnel sections. The personnel section should contain the following categories of costs: wages and salaries, fringe benefits such as health insurance and social security, and consultant fees and contractural services. The non-personnel section should include: supplies, travel, space, equipment, and publications. The usual format is to list the item, the amount requested, and the amount donated or contributed. When applying for Federal assistance, the last column should be labeled non-Federal or matching share instead of donated share. Each item listed should be in specific terms. For example, the salary of a project director would include the name, if known, of the director, the job title, the amount of time to be spent on the project, the length of time to be spent on the project, and the salary to be paid. The entry might look like this: Requested Donated John Public, Project director, 100% time for 12 months at $25,000 per year $25,000 For a counselor donating two and one—half days a week, the entry would read: Requested Donated Mary Smith, Counselor, 50% time for 12 months at $15,000 per year $7,500 CRS - 8 Budget items in the non-personnel section would follow a similar format. For example, equipment to be rented would include the type of equipment, the length of time the equipment will be needed, the rental cost, and the total expected cost. Following this format, the entry for a copying machine, would appear as follows: Requested Donated ‘Copying machine, $135 a month for 12 months $1,620 Besides personnel and non-personnel costs, some projects incur what are known as joint and common costs. These are costs that benefit one or more activities; consequently, they must be allocated among the activities involved. This cost allocation process is usually done by application of an indirect cost rate set through negotiation with the funding source. Indirect costs generally occur when the activity or program is sponsored by an institution and where the institution takes administrative responsibility or provides the facilities. Once the budget is prepared, it should be checked over for any items that may raise a question. Budget justifications should be provided for these items. Future funding. The last element of most grant proposals contains information on how the program will continue after the funding runs out. This may seem irrelevant when funds are being CRS - 9 sought for a one-time request such as the purchase of a vehicle. However, the funding source will be interested in knowing how you will manage to pay the operating expenses. A plan that the program will be maintained after the grant has run out should be presented in the proposal. This plan might include charges for services, written commitments from other funding sources, or the selling of publications. Funding sources are not interested in plans to continue seeking alternative sources of support. Other items. Some other items that may be included with the proposal are: 1. Short biographical sketches of the achievements, experiences, education and training, and professional credentials of the professional staff; 2. Official and institutional endorsements; and, 3. Certifications such as documentation that the matching funds are available. CRS - 10 BIBLIOGRAPHY OF GUIDES TO WRITING GRANT PROPOSALS Gortner, Susan R. Research grant applications: what they are and what they should be. The American journal of nursing, v. 20, July-August, 1971: 292-295. RTl.A5 Jacquette, F. Lee and Barbara I. Jacquette. What makes a good proposal? Foundation news, v. 14, January-February, 1973: 18-21. AS911.A2F68 Kiritz, Norton J. The problem statement or needs assessment. The grantsmanship center news, v. 2, February-March, 1975: 33-40. ----- Program planning and proposal writing. The grantsmanship center news, January, 1974: 11-14. Krathwohl, David R- How to prepare a research proposal. Syracuse University Bookstore, 303 University Place, Syracuse, New York 13210. [1966] $1.00 per copy. Maclntyre, Michael. How to write a proposal. Education, Training and Research Sciences Corp. Washington, D.C. [1971] 55 p. HJ41.M25 Mayer, Robert A. What will a foundation look for when you submit a grant proposal? Library journal, July, 1972: 2348-2350. Z671.L7 Patillo, Manning M. Preparing the foundation proposal. In: foundations: 20 viewpoints. Russell Sage Foundation, New York, 1965. p. 89-94. HV97N4A5 U.S. National Science Foundation. Grants for scientific research. [washington, D.C., 1973?] "NSF 73-12" Available free from the National Science Foundation. White, Virginia P. Grants: how to find out about them and what to do next. New York, Plenum Press [1975] 354 p. Q180.U5W47 dd OF WA8HlN A umvensrrv 81’. Lows - MO.