THE FUNDING CYCLETHE FUNDING CYCLE

Facilitator: Kelly Stevenson

The Bamenda Coordinating Centre for Studies in Disability and

Rehabilitation

November 16/17

INTRODUCTIONINTRODUCTION Funding goes through a cycle

Starts with government or an NGO indicating it is willing to provide funds for a service or product

Ends with the completion of the work

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FUNDING METHODSFUNDING METHODS There are different methods of providing

fundingNeed to understand this terminologyHowever, governments and NGOs are

not consistent on use of termsThe following terms and concepts are

used fairly consistently by agencies of the U.S Government

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FUNDING METHODSFUNDING METHODS Most of the time, organizations will be

interested in what is considered “assistance.”The intent of the funding is to help or

assist the recipientHowever, the funding agency expects this

will further its own interestsCDC, for example, provides funding for PMTCT (Preventing Mother to Child Transmission of HIV) not because it wants to help the recipient organization but because it wants to fight HIV.

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FUNDING METHODSFUNDING METHODS

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FUNDING METHODSFUNDING METHODS Assistance comes in two forms: Grants

and Cooperative Agreements (or partnerships)Grants can be in the form of money or

propertyProperty – vehicles, computers,

laboratory equipment

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FUNDING METHODSFUNDING METHODS Grants and cooperative agreements

With a cooperative agreement, the funding organization is substantially involved in the project.

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FUNDING METHODSFUNDING METHODS Grants and Cooperative Agreements

Two main devices are used to solicit proposals

Request for Application (RFA)Program Announcement (PA)

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FUNDING METHODSFUNDING METHODS Grants and Cooperative Agreements

RFAs and PAs are called “funding opportunity announcements.” (“We have money to give away!”)

There are other FOAs as well.The idea of an FOA is that it is a public

announcement that the government or an NGO has money available.

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FUNDING METHODSFUNDING METHODS Grants and cooperative agreements

Request for ApplicationUsually for one time onlyUsually for a specific, focused grant

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FUNDING METHODSFUNDING METHODS Grants and cooperative agreements

Program AnnouncementUsually ongoing solicitation, not just one time

May have various deadlines during the year

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FUNDING METHODSFUNDING METHODS Contracts

Contracts are an alternative to grants and cooperative agreements

A funding agency uses a contract to acquire or purchase a service or product.

For example, an organization might receive a contract to run a laboratory and analyze blood samples

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FUNDING METHODSFUNDING METHODS A funding agency uses a contract when

it wants to acquire something for itself and knows what it wants.

In contrast, a grant or cooperative agreement might be used when the government in unsure of what is specifically wants.

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FUNDING METHODSFUNDING METHODS When contracts are to be awarded, two

main devices are used to solicit proposals.

Notices Requests for Proposal (RFP)

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FUNDING METHODSFUNDING METHODS Contracts

Notices are announcements that the funding organization is accepting bids for contractsThese notices are published in print and online

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FUNDING METHODSFUNDING METHODS Contracts

Requests for Proposals are used when the funding agency wants bidders to offer their input on the service or product being acquired. A notice is used when the service is known in advance and can be specified

A RFP is used when the service is more general and cannot be simply specified. 16

FUNDING METHODSFUNDING METHODS Sometimes a funding agency does not

use an RFA or RFPFunding agency may just issue

guidelines and a template to be completed

Just fill-in the blanks to submit an application

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THE STEPS IN THE CYCLETHE STEPS IN THE CYCLE

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STEPS IN THE CYCLESTEPS IN THE CYCLE We will review these steps:

Funding opportunity announcementPlanningProposal preparation and submissionProposal evaluation

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STEPS IN THE CYCLESTEPS IN THE CYCLE

Steps (Cont’d)Award announcementProject beginsPost-award monitoring and evaluationProgress reportingClose out

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STEPS IN THE CYCLESTEPS IN THE CYCLE Funding opportunity announcement

We have discussed these earlierRFAs, PAs, RFPsOrganizations actively involved in

pursuing grants keep in contact with funding organizations

Know when an RFA is going to be released and its general content.

That helps in preplanning21

STEPS IN THE CYCLESTEPS IN THE CYCLE Funding opportunity announcement Cont’d

Letter of Inquiry (LOI)Used to ask whether the funding agency would consider what you have in mind.

This is a small version of a proposalAdvantage: avoid a lot of work in preparing a proposal that will be rejected. 22

STEPS IN THE CYCLESTEPS IN THE CYCLE Planning

Not only must you have a strategy in deciding to apply for a grant

You must have a strategy for preparing the application

Planning is essential

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STEPS IN A CYCLESTEPS IN A CYCLE

Planning (cont’d)Read the “fine print” to be sure you

understand what is in the FOAFor example, confirm your

organization is eligible to applyConfirm that the subject area is a

permitted activity – HIV prevention vs. treatment and care.

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STEPS IN A CYCLESTEPS IN A CYCLE Planning (cont’d)

Prepare a list of questions and contact the funding agency

Email addresses and phone numbers are usually included in Funding Opportunity Announcement.

Seek advice at this early stageIs there someone within your organization or outside who has experience with this particular agency or type of grant proposal? 25

STEPS IN A CYCLESTEPS IN A CYCLE Planning (Cont’d)

Remember before we said you need an IDEA!Term used is a “hook” something that will make your proposal distinctive.

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STEPS IN A CYCLESTEPS IN A CYCLE Planning (cont’d)

Relating to having a hook is making your organization different from a possible competitor.

What does your organization offer that a competitor cannot offer?

Will not say this directly in the application, but will imply it.

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STEPS IN A CYCLESTEPS IN A CYCLE Planning (cont’d)

Think in terms of the funding organizationWhat are its mission and priorities?

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STEPS IN THE CYCLESTEPS IN THE CYCLE Planning (cont’d)

Study the criteria that will be used to evaluate or review the proposalsThese are listed in RFA, RFP, etc

Assemble a teamAs noted before, need a team to draft the proposal and a team that will work on the projectWill be submitting resume or curriculum vitae (must include the project’s persons CVs) 29

STEPS IN THE CYCLESTEPS IN THE CYCLE Planning (cont’d)

Draw up the Big PictureWhat will the proposal look like when it is finished?

What information is needed to prepare the proposal and who will supply that information.

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STEPS IN THE CYCLESTEPS IN THE CYCLE Planning (Cont’d)

Draft a timetable or schedule for completing the proposal.What tasks are to be done?Who will do them?When will first draft of each section be prepared?

When will final draft of each section be prepared?

Keep in mind that a proposal often has many sections. 31

STEPS IN THE CYCLESTEPS IN THE CYCLE Planning (cont’d)

Someone needs to be the manager for writing the proposalWill not necessarily be the person who manages the project

Each person needs to manage his or her own time during preparationClear your schedule to get the job accomplished.

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STEPS IN THE CYCLESTEPS IN THE CYCLE Proposal writing and submission

The announcement will provide instructions on how to submit the proposal.

Today, electronic submissions are usually required.

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STEPS IN THE CYCLESTEPS IN THE CYCLE Proposal Evaluation

Funding agency will have its own people assigned to review portions of proposal.For example, someone will determine your organization’s eligibility and another will be responsible for reviewing the proposed budget.

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STEPS IN THE CYCLESTEPS IN THE CYCLE Proposal Evaluation (cont’d)

External reviewers are often used Experts in the fieldCannot be applicants or that would be conflict of interest

Reviewers may be brought together in one city do all of their work through e-mail and telephone.

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STEPS IN THE CYCLESTEPS IN THE CYCLE Proposal Evaluation (cont’d)

Evaluation criteria are used by the reviewers

As noted, these are reported in the RFA and also are often standard across all RFAs of an agency

Remember that it is essential in PLANNING the proposal that these criteria are kept in mind.Need to check off each one to be sure it is covered. 36

STEPS IN A CYCLESTEPS IN A CYCLE Proposal Evaluation (cont’d)

U.S National Institute of Health uses 5 criteria:Significance – importance of topic or project

Approach – design of project is appropriate

Innovation – new ideasInvestigators – qualifications of key personnel

Environment – organization and where it operates 37

STEPS IN THE CYCLESTEPS IN THE CYCLE Proposal Evaluation (cont’d)

Criteria for Centers for Disease Control and Prevention:Ability to carry out the proposal (20 points)

Technical and programmatic approach (20 points)

Capacity building (15 points)Monitoring and Evaluation (15 points) 38

STEPS IN THE CYCLESTEPS IN THE CYCLE Understanding the problem (10 points) Personnel (10 points) Administration and management (10

points)

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STEPS IN THE CYCLESTEPS IN THE CYCLE Negotiation

Usually the negotiations occur after selection for an award

Negotiations may be minimal or extensive

May require budget changes in order to comply with law.

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STEPS IN THE CYCLESTEPS IN THE CYCLE Negotiation (Cont’d)

Institutional Review Boards (IRBs) are used to protect “human subjects.”Must submit proposal to local IRB for review.

Concern is ethical treatment of individuals, especially vulnerable people.

HIV – positive patients41

STEPS IN THE CYCLESTEPS IN THE CYCLE Negotiation (cont’d)

IRBsProposal may be submitted before or after funding is approved.

If project is being done with a U.S college or university, the project must be approved by that institution’s IRB as well as your organization’s IRB.

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STEPS IN THE CYCLESTEPS IN THE CYCLE Award Announcement

Notice of Award (NoA) is issued.Terms and conditions of the awardIncludes reporting requirementsThis device starts the process for money to flow to the receiving organization.

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YOU GOT THE GRANT!

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STEPS IN THE CYCLESTEPS IN THE CYCLE Project begins

Important to be ready to start with the beginning of funding.If people are to be hired, they already have been recruited and are ready to commence work.

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STEPS IN THE CYCLE Project begins (cont’d)

“Project management is the discipline of planning, organizing and managing resources to bring about the successful completion of specific project goals and objectives.” (wikipedia)

This refers to the timeline in the proposal where you planned when various tasks would be done.

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STEPS IN THE CYCLESTEPS IN THE CYCLE Project begins (cont’d)

Henry Gantt (1861-1919) is often considered the father of project management.

Design of GANTT chartsToday, project management is a

complex discipline within the field of management.

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STEPS IN THE CYCLESTEPS IN THE CYCLE Project begins (cont’d)

The key steps are that you: Identify when those tasks will startIdentify when those tasks will be completed

Identify any linkages among tasks How one task cannot be completed until another is first completed.

Identify who is responsible for each task. 48

STEPS IN THE CYCLESTEPS IN THE CYCLE Project begins (cont’d)

A Sample GANTT Chart

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STEPS IN THE CYCLESTEPS IN THE CYCLE Project begins (cont’d)

Project Management is critical in seeing that a project’s goals and objectives are achieved within available resources and on time.

If deadline are not being met, project manager can investigate.

Was the original plan too ambitious?Were sufficient funds committed to a task?Are the “right” people working on the

task? 50

STEPS IN THE CYCLESTEPS IN THE CYCLE Post – Award monitoring and evaluation

A plan for M&E is standard in grant proposals

Project itself conducts M&E, often by using an outside expert to validate results.

Funding agency does its own monitoring.Program OfficerBudget Officer 51

STEPS IN THE CYCLESTEPS IN THE CYCLE Progress reporting

Progress reporting may be required monthly, quarterly, semi-annually, and annually.

These reports cover both the substance of the project and its finances.Are some budgeted items insufficient to cover project needs?

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STEPS IN A CYCLESTEPS IN A CYCLE Progress reporting (cont’d)

Reporting is a requirement, not an option.

If the organization fails to report thoroughly and on time, funding can be withheld or withdrawn altogether.

Such problems can ruin relations between your organization and one or more donors for years to come.

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STEPS IN THE CYCLESTEPS IN THE CYCLE Close out:

Funding agency certifies that project objectives have been met.

Final report is submittedFinances are reviewed for final check

that expenses have been in compliance with regulations

Check is made of how property will be used after project closes – vehicles and furniture (usually goes back to funders or is purchased by the organization). 54

STEPS IN A CYCLESTEPS IN A CYCLE Questions?

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