The grant development process is both complex and simple. Complex in that there are multitudes of grant funding sources including corporations, foundations and government agencies (e.g., Federal and State). As independent entities (e.g., non-profit, tax-exempt organization under Chapter 501c3 of the Internal Revenue Code), established by (corporate or individual) donors or as Federal or State agencies, funding sources operate in accordance with their individual missions and donor-specified charters. All other criteria (e.g., awards, calendars, interests, etc.) are at the discretion of each sources’ managing body (e.g., Board of Directors, Program Staff, etc.).
I. General Information
A. Funding Cycles
1. Funding cycles may be annual, semi-annual or quarterly application periods. Proposals submitted outside a funding cycle are not considered for funding. A smaller number of funding sources accept proposals at any time in the calendar and/or fiscal year.
2. Funding cycles are at the discretion of the funding source.
3. Funding cycles may include short “turn around” deadlines (e.g., 7-10 days between publication of the RFP and the submission deadlines).
4. Governmental and some non-governmental (e.g., corporate, foundation) funding sources utilize any of three predominant operational calendars including: calendar year (1 January-31 December), fiscal year (1 July-30 June, 1 November-31 October), “grant year” (variable).
5. As with many institutions (private and public), funding sources are predominantly inactive between June and August.
B. Initial Contact
1. Many funding sources require an initial contact letter (or, “letter of interest”); describing the organization (it’s program and need). This letter also requests permission to submit an application/proposal. Unsolicited proposals are not considered.
2. Due to the large number of requests each funding sources receives, and any internal review schedule, this phase (e.g., initial contact letter, invitation to apply) may require 1 - 6 months.
C. Application Processes
1. Funding sources may issue Request for Proposals (RFP) 1 –3 months prior to any application deadline, and will only accept proposals submitted in response to a specific RFP.
2. Other funding sources may issue general funding program announcements 6-12 months in advance of funding availability without any subsequent publication of funding related information.
3. A smaller number of funding sources accept proposals at any time in the calendar and/or fiscal year without any Request for Proposals (RFP) or other announcements.
D. Review Periods
1. Most funding sources (regardless of application periods) review proposals only within a predetermined schedule.
2. Due to the large number of requests each funding sources receives, and any internal review schedule, this phase (e.g., proposal review/evaluation) may require 3-6 months.
E. Limited Availability of Funding
1. Despite the large number of governmental and non-governmental funding sources, fully half of these will not consider a proposal due to restrictions based on issues and/or geography.
2. This smaller “pool” of available funding requires greater attention to detail in identifying possible sources, program requirements, etc.
II. Research & Development Process
A. Organizational & Programmatic Review (5 - 40 hours)
1. Documentary Review - Review of all organizational documentation and programmatic materials. Organizational documents include, but are not limited to: budget(s), financial statement(s), business plan, mission statement, purpose statement, organizational chart(s), staff curriculum vitae, strategic plan). Programmatic documents include, but are not limited to: curriculum, marketing materials (brochures, pamphlets, etc.) program overviews, program evaluations, schedules
2. Identification of Priorities & Limitations - Client identifies priority of organizational needs (e.g., general operating support, equipment,) and/or programmatic needs (e.g., education, research, and training); Client identifies any limitations as to funding sources, e.g., governmental or non-governmental; and/or types of funding.
B. Concept Formulation (5 - 20 hours)
1. Client and RDA coordinate selection of single and/or multiple issue/need-based projects.
2. Client and RDA identify any complementary issue(s)/need(s).
C. Source Identification (10 - 250 hours)
1. Primary research references: areas of interest, deadlines, geographic limitations and types of support, etc.
2. Secondary research references: program, application (forms, guidelines and processes), formats and forms; and previous grant patterns (annual number of grants, average value of award, general financial information); and notes any changes to areas of interest and types of support, etc.
3. Tertiary research references: verification of secondary research results through direct contact of (potential) source via email and/or telephone, etc.
D. Source Review (20 - 250 hours)
Secondary review of potential funding sources (e.g., email, telephone, website) by source-specific parameters including:
1. Confirm area of interest, types of support, and eligibility
2. Process, requirements (e.g., initial contact, application forms, deadline/s, text formatting, application/proposal review schedule, supplementary document/s)
3. Project review (reporting/accounting)
4. Project evaluation (effectiveness)
E. Proposal Development (10 - 80 hours)
1. Outline
2. Preliminary drafts
3. Rewrite
4. Final draft
F. Proposal Review & Editing (5 - 40 hours)
1. Proofreading
2. Client review
3. Editing
4. Supplementary document index
G. Product Delivery (1 - 3 hours)
1. Approved proposal forwarded to Client (1 copy/disk, 1 copy/print)
2. Submission “checklist” (as relevant to each identified funding source) forwarded to Client (e.g., address, delivery venue, formatting, number of copies, supplementary/supporting documentation)
Terminology
In the following list, several grant terms are specific to Federal Grants, as indicated by double asterisks (**) following the term. Other terms have been generalized to include Federal and non-Federal grant terminology. However, some private philanthropic organizations have adapted some federal terminology, adjusted for the private grantmaking arena.
501(c)(3) – The section of the Internal Revenue tax code that defines the nonprofit, charitable (as broadly defined), tax-exempt organizations. Contributions made to these organizations are tax-exempt for the donors. To convey that status, they often represent themselves as 501(c)(3) organizations, rather than merely nonprofit organizations.
Abstract – Summarizes the purpose, importance and scope of the proposed project.
Administrative Costs – All direct and indirect costs associated with the management of grant programs. Often capped by the grantor at a certain percentage of the grant.
Advisory Committee – An Advisory Committee is a group of individuals who has been selected by an organization to provide technical consultation in a variety of areas (e.g., fundraising, outreach, strategic planning). Less formal than a board of directors, an advisory committee meets periodically to provide advice and feedback to the organization. The committee does not have legal responsibility or authority over organizational business.
Application – An Application is a request for financial support of a project/activity usually submitted in a specified format, using specified forms and in accordance with instructions provided by the awarding office (grantor agency).
Application Number – When an application has been successfully submitted to a funder and the funder assigns a unique number to that application. Applicants should keep a record of the application number and reference it when communicating with the funder.
Application Package – A package that contains the application notice for one or more discretionary grant or cooperative agreement programs and all the information and forms needed to apply for those programs.
Approved Budget – The financial expenditure plan, including any revisions approved by the awarding office for the grant-supported project or activity. For Federal grants, the approved budget consists of Federal (grant) funds and non-Federal participation, or Federal funds only, and will be specified on the Notice of Grant Award and on any subsequent revised or amended award notice. Any expenditures charged to an approved budget that consists of both Federal and non-Federal shares are deemed to be borne by the grantee in the same proportion as the percentage of Federal/non-Federal participation in the overall budget.
Assessment – The process of collecting and analyzing information to make judgments.
Assurance of Compliance Form** – The Assurance of Compliance Form is a section of the Public Health Service Grant Application Kit (PHS 5161-1) that sets forth certain requirements to ensure applicants' compliance with Title VI of the Civil Rights Act of 1964, Section 504 of the Rehabilitation Act of 1973, Title IX of the Education Amendments of 1972, and the Age Discrimination Act of 1975. Source: SAMHSA, 2005.
Assurances – A listing of a variety of requirements, found in different federal laws, regulations, and executive orders that applicants agree to by signature in an application.
Audit – An examination of grant records and financial accounts for accuracy and legal compliance which may lead to recommendations for corrective action.
Authorized Official – The individual, named by the applicant organization, who is authorized to act for the applicant and to assume the obligations imposed by the laws, regulations, requirements, and conditions that apply to grant applications or grant awards.
Award** – An Award is financial assistance that provides support or stimulation to accomplish a public purpose. Awards include grants and other agreements in the form of money, or property in lieu of money, by the Federal Government to an eligible recipient. The term does not include technical assistance, which provides services instead of money; other assistance in the form of loans, loan guarantees, interest subsidies, or insurance; direct payments of any kind to individuals; and contracts that are required to be entered under procurement laws and regulations. Source: SAMHSA, 2005.
Award Notification – An official document signed by the funder stating the amount and the terms and conditions of an award.
Award Number – The identifying number for a discretionary grant or cooperative agreement award issued by the funder.
B
Best Practices – Best Practices are interventions based on clinical opinions or open clinical trials. They are practices for which either no randomized clinical trials have been conducted or there are insufficient numbers of studies to allow for a claim of consistent scientific evidence. Source: SAMHSA, 2005.
Bidder’s Conference – A meeting to discuss with potential bidders, technical, operational and performance specifications, and/or the full extent of financial security and contractual obligations related to a grant solicitation.
Block Grant** – A Block Grant is a type of mandatory grant in which the recipients (normally States) have substantial authority over the type of activities to support, with minimal Federal administrative restrictions. The basic premise is that States should be free to target resources and design administrative mechanisms to provide services to meet the needs of their citizens. SAMHSA administers two separate block grants: the Substance Abuse Prevention and Treatment (SAPT) block grant and the Center for Mental Health Services (CMHS) block grant. Source: SAMHSA, 2005.
Board of Directors – A Board of Directors comprises individuals elected or appointed to oversee the management of an organization. Board members may be paid, are required to meet several times each year, and assume legal responsibility for an organization's activities.
Boilerplate – A form or section of a document that is used so often as to become standard and reused.
Budget – The financial expenditure plan for the grant-supported project or activity. The budget consists of funder (grant) funds and, if required by the funder, grantee participation in the form of matching or cost sharing.
Budget Period – The Budget Period is the interval of time into which the project period is divided (usually in terms of annual budget period) for budgetary and funding purposes.
C
Capital Expenditure – The cost of an asset (land, building, equipment), including the cost to put it in place. A capital expenditure for equipment includes the net invoice price and the cost of any modifications, attachments, accessories, or auxiliary apparatus to make it usable for the purpose for which it was acquired. Other charges, such as taxes, in-transit insurance, freight, and installation, may be included in capital expenditure costs in accordance with the recipient’s regular accounting practices consistently applied regardless of the source of funds.
Capital Support – Funds provided for endowment purposes, buildings, construction or equipment.
Carry-Forward – A pool of unexpended funds which is moved to the next funding period.
Catalog of Federal Domestic Assistance (CFDA) – A publication, and database, that lists the grants and assistance programs of all federal agencies and gives information about a program’s authorization, fiscal details, guidelines, eligibility requirements, program contacts, application and award process. The program’s CFDA number is required on grant application forms.
Certification – A statement, signed by an applicant or grantee as a prerequisite for receiving funds, that it (1) meets or will adhere to certain conditions and/or (2) will undertake or not undertake certain actions.
Certifications** – Certifications is a section of the grant application kit that sets forth certain requirements concerning debarment and suspension, drug-free workplace requirements, lobbying, the Program Fraud Civil Remedies Act, and environmental tobacco smoke with which an organization must comply if a grant is awarded. Source: SAMHSA, 2005.
CFDA Number** – The CFDA (Catalog of Federal Domestic Assistance; www.cfda.gov) number is a unique identifier for a particular Federal grant. The CFDA is the encyclopedia of all funding programs and the way that all grants are cataloged.
Challenge Grant – A grant offered with the stipulation that the recipient will raise additional funds from another source or sources. Also called a “matching grant”.
Charitable Choice – A requirement, placed in recent legislation that state governments contracting with private sector organizations cannot discriminate against a faith-based social services provider because the provider is religious.
Coalition – A coalition is a group of organizations and/or individuals working together for a common purpose.
Code of Federal Regulations (CFR) – A compilation of all final regulations issued by federal agencies, published annually and divided by numbered “Titles”.
Cognizant Agency – The Federal agency which, on behalf of all Federal agencies, is responsible for implementing the requirements of the Single Audit Act which include: reviewing, negotiating, and approving cost allocation plans, indirect cost rate and similar rates; receiving and approving non-federal audit reports; conducting federal audits as necessary; and resolving cross-cutting audit findings.
Collaboration – A process through which parties who see different aspects of a problem can explore constructively their differences and search for, and implement, solutions that go beyond their own limited vision of what is possible (Taylor-Powell, et al., 1998).
Community – A group of people residing in the same locality and under the same government; a group or class having common interests; a group viewed as forming a distinct segment of society; common ownership or participation. Source: Webster's New College Dictionary, 3rd Edition, 2005.
Community Development Corporation – A private, non-profit entity governed by a board of directors consisting of residents of the community and business and civic leaders that has the primary purpose of planning, developing, or managing low-income housing or community development projects.
Community Foundation – A 501(c)(3) organization, usually considered a public charity that makes grants for specific purposes in a specific community or region. Funds are derived from many donors and held in an endowment that is independently administered.
Community-based Organizations – Human service organizations that provide services to residents of the community.
Community-level Data – Key information collected by each grantee that will allow for analysis. This usually consists of data on the target population, demographic information, poverty rates and/or unemployment rates as well as data that is specific to the program as defined in the program announcement.
Comparison Data – Data from a similar project against which an organization can compare its own project's data.
Compassion Capital Fund Intermediary** – The appropriated Federal funds specifically targeted for faith and community-based organizations. Intermediary organizations that receive these funds issue subawards and provide technical assistance to help faith- and community-based organizations support startup costs, operations, or expansion of programs, particularly in the areas of homelessness, hunger, etc.
Competing Continuation Application** – A request for financial or direct assistance to extend, for one or more additional budget periods, a project period that would otherwise expire. Competing continuation applications compete with other competing continuation, competing supplemental, and new applications for funds.
Competitive Review Process – The process used by a funders to select applications for funding, in which subject-area experts score applications and only applications with the highest scores are considered for funding.
Concept Paper – Preferred by foundations as a first submission, a concept paper contains key elements of a project.
Consortium Agreement – A formalized agreement whereby a project is carried out by the grantee and one or more other organizations that are separate legal entities.
Consultant – An individual who provides professional advice or services for a fee, but normally not as an employee of the engaging party. In unusual situations, an individual may be both a consultant and an employee of the same party, receiving compensation for some services as a consultant and for other work as a salaried employee. Consultants also include firms that provide professional advice or services.
Contact Person – The representative of the funder for the grant program, and may also serve as the program administrator or grant officer.
Continuation Grant – A continuation grant provides additional funding for budget periods subsequent to the initial budget period.
Contracting Under a Grant – A process whereby a grantee enters into a written agreement with a third party for the acquisition of property or services or the conduct of prescribed activities or functions under the grant.
Cooperative Agreement** – A financial assistance mechanism used in lieu of a grant when substantial Federal programmatic involvement with the recipient during performance is anticipated by the awarding agency. A Substantial involvement means that the recipient can expect Federal programmatic collaboration or participation in managing the project.
Corporate Foundation – A private foundation whose assets are derived primarily from the contributions of a for-profit business. While a company-sponsored foundation may maintain close ties with the parent company, it is an independent foundation with its own endowment and its own board.
Corporate Giving Program – A grant-making program established and administered by a profit-making company. Corporate giving is planned as part of the company’s budgeting process and usually is funded with pre-tax income.
Cost-Benefit Analysis – A quantitative procedure that assesses the desirability of a project by totaling and comparing the equivalent money value of the benefits and costs of a given project. The outcome of the analysis is a cost-benefit ratio, which demonstrates whether the net value of benefits exceeds the net value of costs.
Cost-Effectiveness – A systematic quantitative method for comparing the costs of alternative means to achieve the same benefits of a given objective; generally determined by performing a cost/benefit analysis.
Cultural Competence – The attainment of knowledge, skills, and attitudes that enable administrators and practitioners within systems of care to provide for diverse populations. Cultural competence includes an understanding of a culture's language, beliefs, norms, and values that may have a significant impact on the well-being of individuals within that culture. Cultural competence is a critical component of Federal grant programs. Source: SAMHSA, 2005.
D
Deadline Date – The receipt date by the funder for an application to be considered for funding.
Deliverables – Those products that are produced by a grant project. They may be quantified achievement or singular outcomes.
Demonstration Grant – A grant made to fund an innovative project with the intention of duplicating the project elsewhere.
Direct Costs – Costs that can be specifically identified with a particular project or program.
Discretionary Grant** – Permits the Federal Government, according to specific authorizing legislation, to exercise judgment (discretion) in selecting the applicant/recipient organization, through a competitive grant process. Types of activities commonly supported by discretionary grants include demonstration, research, training, service, and construction projects or programs. Discretionary grants are sometimes referred to as a project grants.
DUNS Number – A Data Universal Numbering System (DUNS) number, is a unique identifier available to organizations by registering with Dun and Bradstreet.
E
Earmark – Requirement by Congress that a Federal agency set aside funds within an appropriation for a stated recipient or purpose.
Employer Identification Number – A 9-digit number assigned by the Internal Revenue Service.
Encumbrance – An obligation in the form of purchase orders, contracts, or salary commitments which are chargeable to an award and for which a part of the awarded amount is reserved. They cease to be encumbrances when paid.
Endowment – Financial support kept permanently by an institution and invested to provide income to support programs or operations.
Equipment – For grantees subject to 45 CFR Part 74, equipment is an article of tangible personal property that has a useful life of more than 2 years and an acquisition cost of $500 or more. For grantees subject to 45 CFR Part 92, an article of tangible, nonexpendable, personal property having a useful life of more than 1 year and an acquisition cost of $5,000 or more per unit.
Evaluation – The process of collecting and analyzing data on various aspects of a program, usually for the purpose of program planning and goal setting, improving processes and outcomes, securing and allocating resources. Includes formative (collecting and analyzing data to focus on “what’s working and what needs to be improved”) and summative (collecting and analyzing to investigate “what’s been achieved” in a program).
Event Coalition – An Event Coalition only has to agree on one particular issue and dissolve when the issue has been solved or the event has been coordinated.
Evidence-based Practices (EPBs) – Interventions for which there is consistent scientific evidence that they improve client outcomes. The highest standard for an EBP is several randomized clinical trials comparing the practice to alternative practices or to no intervention, considered together (i.e., meta-analysis), that support the superiority of the EBP to the alternatives (or no intervention).
Expiration Date – The date specified in the grant award notification after which expenditures may not be charged against the grant unless to satisfy obligations committed before that date.
F
Faith-based Organizations – Groups or organizations that provide services and have a faith element integrated into their organization.
Federal Financial Assistance** – The transfer of money, property, or other direct assistance to an eligible recipient to support or stimulate a public purpose authorized by statute.
Federal Information Processing Standards (FIPS) Code – The unique 5-digit number that is assigned to each county in the United States. This number is comprised of a 2-digit State code followed by a 3-digit county code.
Federal Register** – A daily compendium provides public notice of all of federal regulations, notices and grant programs once they are approved by Congress. The FR is available at: http://www.archives.gov/federal-register. You may also subscribe to the daily FR table of contents (FEDREGTOC-L list) with hyperlinks to the specific notices at http://listserv.access.gpo.gov.
Federally Recognized Indian Tribal Government – (See 45 CFR Part 92.3). "Recognition" is a legal term meaning that the United States recognizes a government-to-government relationship with a tribe and that a tribe exists politically in a "domestic dependent nation status." A federally-recognized tribe is one that was in existence, or evolved as a successor to a tribe at the time of original contact with non-Indians. Federally-recognized tribes possess certain inherent rights of self-government and entitlement to certain federal benefits, services, and protections because of the special trust relationship.
Federated Giving Program – A joint-fundraising effort, usually administered by an umbrella organization that, in turn, distributes the contributed funds to several non-profit agencies.
Fee – An amount, in addition to actual, allowable costs, paid to an organization providing goods or services consistent with normal commercial practice. This payment also is referred to as “profit.”
Financing and Cost-effectiveness – Current and sustainable financing and cost-effective strategies must be considered when designing, implementing, and evaluating programs.
Fiscal year (FY) – The 12-month accounting period at the end of which the books are closed for an agency or governmental unit.
Focus Group – A small group selected from a wider population and sampled, as by open discussion, for its members' opinions about or emotional response to a particular subject or area. Focus groups are commonly used in market research or political analysis. Source: SAMHSA, 2005.
Formula Grants** – Allocations of money to States or their subdivisions in accordance with the distribution formulas prescribed by administrative regulation, for activities of a continuing nature not confined to a specific project. The formula is often based on population, crime statistics, or previous years' services provided.
For-Profit Organization – An organization, institution, corporation, or other legal entity that is organized or operated for the profit or financial benefit of its shareholders or other owners. Such organizations also are referred to as “commercial organizations”.
Funder – The governmental unit, foundation or other entity that awards grants.
Funding Cycle – The schedule of events starting with the announcement of the availability of funds, followed by the deadline for submission of applications, review of applications, award of grants and release of funds.
Funding Priorities – A means of focusing a competition on the areas in which a funder is particularly interested in receiving applications. Priorities take the form of specific kinds of activities that applicants are asked to include in an application to receive preference in the review process.
G
Government Performance and Results Act (GPRA of 1993; Public Law 103-62) – Mandates performance-based management by Federal agencies, focusing on results or outcomes in monitoring the effectiveness of Federal programs and their progress toward achieving national goals. The law places increased emphasis on collecting, reporting, and reviewing data to hold the agency accountable for achieving results with public funds.
Grant – A financial assistance mechanism whereby money and/or direct assistance is provided to carryout approved activities. A grant can be classified on the basis of type of activity(ies) supported; degree of discretion allowed the awarding office (mandatory or discretionary award); and/or the method of determining amounts of award (negotiated basis or formula).
Grant Agreement – A grant agreement is a legal instrument for the transfer of funds from the funder to the grantee and which sets forth the terms and conditions of the award.
Grant Period – The period that extends from the effective date through the expiration date.
Grant-approved Projects/Activities** – Those activities specified or described in a grant application, plan, or other document that are approved by the awarding office for funding, or changes that may be proposed by the grantee and subsequently approved by the Grants Management Officer. For purposes of this definition, it does not matter whether Federal funding constitutes all or only a portion of the financial support necessary to carry out such activities.
Grantee – An organization that has been awarded financial assistance for a project. The grantee is the entire legal entity even if a particular component (e.g., department, office, or agency) caries-out the grant –funded activities. The grantee is legally responsible and accountable to the funder for the performance and financial aspects of the grant-supported project or activity.
Grantor – A governmental unit, foundation, or other entity that awards grants.
Grants Management Officer (GMO) – The official responsible for the business management aspects of particular grants or cooperative agreements. The GMO serves as the counterpart to the business officer of the grantee agency. In this capacity, the GMO is responsible for all business management matters associated with the review, negotiation, award and administration of grants and interprets grants administration policies and provisions. S/he works closely with the program or project officer who is responsible for the scientific, technical, and programmatic aspects of the grant.
Grants Management Specialist** – A Federal staff member who oversees the business and other non-programmatic aspects of one or more grants or cooperative agreements. These activities include, but are not limited to, evaluating grant applications for administrative content and compliance with regulations and guidelines, negotiating grants, providing consultations and technical assistance to recipients, conducting post-award administration, and closing out grants.
Guidance for Applicants (GFA) – Currently referred to as Request for Applications (RFA). See the definition for RFA.
I
Impact Evaluation – A form of outcome evaluation that assesses the net effect of a program by comparing program outcomes with an estimate of what would have happened in the absence of the program. This form of evaluation is employed when external factors are known to influence the program’s outcomes, in order to isolate the program's contribution to achievement of its objectives (General Accounting Office, 1998). It assesses program processes to understand how outcomes are produced(Perrin, 1998), including information about the applicant, the target population, the need, objectives, total budget, other contributors and what makes it remarkable. Concept papers should not exceed three pages, including the cover letter.
Indicators – Specific terms of information that track a program's success. Indicators describe observable, measurable characteristics or changes that represent achievement of an outcome. Also, indicators are observable phenomena that point toward the intended and/or actual condition of certain situations, programs, and outcomes and are used to provide tangible evidence of the extent a program has achieved its goal.
Indirect Cost – An accounting term used to assign or charge costs that are common to two or more of a grantee's projects or operations. Usually, this includes the cost of building occupancy, equipment usage, procurement, personnel administration, accounting and other overhead activities that are charged to grants and contracts proportionately. IDC is not substantially different from direct costs and in fact, could be treated as direct costs. For example, voluntary health and welfare organizations treat building occupancy and other types of common costs as direct costs. However, universities and tribal organizations usually treat those common costs as indirect costs. It is imperative that grantees remain consistent in declaring costs as either direct or indirect for all projects and activities of the organization, regardless of the source of funding Source: Federal Grants Management Handbook, 2005.
Indirect Cost Rate – The percentage of a grant, approved by a federal or state department, or that a particular organization can use to reimburse itself for indirect costs incurred in doing the work of the grant project including general administrative costs of a project, including such items as rent, utilities, maintenance, depreciation and custodial services.
In-kind – A contribution of equipment, supplies or other tangible resource, as distinguished from a monetary grant. Some organizations may also donate the use of space or staff time as an in-kind.
Inputs – Resources dedicated to a program or consumed by the program.
Institutional Review Board (IRB) – An administrative body established to protect the rights and welfare of human research subjects recruited to participate in research activities conducted under the auspices of the institution with which it is affiliated. The IRB has the authority to approve, require modifications in, or disapprove all research activities that fall within its jurisdiction. More information on IRBs can be obtained from the Office for Human Research Protections at http://ohrp.osophs.dhhs.gov.
Intervention – Any planned activity within a project that is intended to produce changes in the target population and/or the environment and that can be formally evaluated.
J
Journal Vouchers – An accounting entry for the recording of certain transactions, corrections or information. The journal voucher usually contains an entry or entries, explanations, references to documentary evidence supporting the entry or entries, and the signature or initials of one or more properly authorized officials.
K
Key Personnel – The individuals who contribute to the development or execution of a project in a substantive, measurable way, whether or not they receive salaries or compensation under the grant. Consultants also may be considered key personnel if they meet this definition. “As needed” is not an acceptable level of involvement for key personnel.
L
Letter of Commitment – Identifies services, money or other inputs promised to the project by partner organizations.
Letter of Intent – Expresses the grantor’s willingness to commit funds to a project if other conditions are met.
Letter of Support – Written endorsements of an application for funding, provided by organizations or individuals who are familiar with the applicant’s ability.
Logic Model – A systemic, visual way to present a planned program with its underlying assumptions and theoretical framework. It is a picture of why and how the program will work and causes the author to describe, share, discuss, and improve program theory as the program is developed.
M
Maintenance of Effort (MOE) – A a requirement contained in certain legislation, regulations, or administrative policies that a recipient must maintain a specified level of financial effort in the area for which Federal funds will be provided in order to receive Federal grant funds. This requirement is usually given in terms of a previous base-year dollar amount.
Matching Funds – Matching Funds means the value of third-party, in-kind contributions (non-Federal funds) and/or the portion of the costs of a Federally-assisted project or program not borne by the Federal government. Costs used to satisfy matching requirements are subject to the same policies governing allow ability as other costs under the approved budget.
Matching Grant – A grant made by one grantor or donor to match those provided by another grantor or donor.
Memorandum of Understanding (MOU) – An agreement developed and executed among partners relating to their roles in a joint operation.
Mission Statement – A written statement that defines the business of the organization, states the basic goals and guiding philosophies, and establishes a context within which strategies are formulated and can be used to initiate, evaluate, and refine activities.
Monitoring – A grantor’s review and evaluation of specific aspects of a grantee’s activities under a grant agreement. These activities include (1) measuring a grantee’s performance, (2) assessing a grantee’s adherence to applicable laws, regulations, and the terms and conditions of the award, (3) providing technical assistance to grantees, and (4) assessing whether a grantee has made substantial progress; A process whereby the programmatic and business management performance aspects of a grant are reviewed by assessing information gathered from various reports, audits, site visits, and other sources.
N
Needs Assessments – Tools (surveys, questionnaires, etc.) used to involve individuals in discussions about their lives and the communities in which they live. Community participants become involved in programming as they provide information about their social, economic, and environmental concerns. Needs Assessments usually draw upon two fundamental approaches: the Social Indicators Approach and the Self-report Approach.
New Application – A request for financial or direct assistance for a project/program not currently receiving financial assistance.
No-Cost Extension – A formal extension of the grant period to allow the grantee additional time to complete grant-funded activities at no additional cost to the Grantor (grantor does not provide additional money).
Noncompeting Continuation Application – A request for continued financial or direct assistance for a subsequent budget period within a previously approved project period.
Non-profit Organization – Any organization, including a faith-based organization or community development corporation, exempt (and documented as exempt by the IRS) from taxation by reason of paragraph (3) or (4) of section 501 (c) of the Internal Revenue Code of 1986.
Notice of Funding Availability (NOFAs)** – Announcements that appear in the Federal Register, printed each business day by the U.S. Government, inviting applications for Federal grant programs. NOFAs generally include information on eligibility, funding areas, amount of funding, deadline for submission of applications, and contact information.
Notice of Grant Award** – A legally binding document that notifies the grantee and others that a grant or cooperative agreement has been made, refers to all terms of the award and contains or references all terms of the award and it documents the obligation of Federal funds.
O
Obligated Funds – Funds that are unexpended but are encumbered at the end of the funding period to cover the known obligations. They are considered to be unexpended funds.
Office of Management and Budget (OMB) – A branch of the Executive Office of the President, evaluates the effectiveness of agency programs, policies, and procedures; assesses competing funding demands among agencies, and sets funding priorities; ensures that agency reports, rules, testimony, and proposed legislation are consistent with the President’s budget and with administration policies. In addition, OMB oversees and coordinates the administration’s procurement, financial management, information, and regulatory policies. In each of these areas, OMB’s role is to help improve administrative management, to develop better performance measures and coordinating mechanisms, and to reduce any unnecessary burdens on the public.
OMB Circulars – Administrative policy documents issued by OMB that give instruction to Federal agencies on a variety of topics, including the administration of Federal grants and cooperative agreements.
Operating Foundation – An operating foundation uses the majority of its funds to conduct research or run programs for the common good. An operating foundation may make a few, small grants.
Opportunity Assessments – Opportunity Assessments identify the combination of circumstances that are favorable for program development and implementation. Agencies and organizations assess the opportunity presented for its ability to make a positive impact on the targeted social, economic, or environmental condition. Because missions and goals vary among different agencies/organizations, opportunity assessments identify how collaborative efforts among agencies and/or organizations can most effectively address the social, economic, or environmental condition using the least amount of resources.
Outcome Evaluation – An Outcome Evaluation is a form of evaluation that assesses the extent to which a program's outcome-oriented objectives are achieved. It focuses on outputs and outcomes, including unintended effects, to determine the program's effectiveness but may also assess the program process to evaluate how outcomes are produced (General Accounting Office, 1998). An outcome evaluation will determine the net effects of the interventions applied in the program and will produce and interpret findings related to whether the interventions produced desirable changes and their potential for replicability (Did the program work?).
Outcome – Outcomes are benefits or changes for individuals or populations during or after participation in program activities. Outcomes may relate to behavior, skills, knowledge, attitudes, values, conditions or other attributes. Outcomes are what participants know, think, or can do; how they behave, or what their conditions are that is different following program implementation. Source: United Way of America.
Outputs – Program activities and their direct products, usually measured in terms of the volume of work accomplished. Outputs have little inherent value in themselves however they are important because they are intended to lead to a desired benefit for participants or target populations.
Outreach – An active effort by program staff to encourage individuals in the designated service delivery area to avail themselves of program services.
P
Peer Review – Independent evaluation employing reviewers who are the professional equivalent of the applicant's project director or principal investigator.
Performance Funding – Based on the timely submission of deliverables according to the specifications negotiated between grantor and grantee.
Performance Period – The total amount of time during which the funder authorizes a grantee to complete the approved work of the project described in the application. Performance periods of more than 1 year in duration are divided into budget periods.
Performance Report – A report of the specific activities a grantee has performed during the budget or performance period.
Pre-application – A summary statement of the intent of the applicant to request funds. It is often used to predetermine the applicant's eligibility, determine how well the proposed project can compete with similar applications, and eliminate any proposals that have little or no chance of funding. Pre-applications are often required by the grantor agency to prepare for the grant review process.
Private Benefits – The improvements in social, economic, or environmental conditions that program participants receive through their participation may be called Private Benefits.
Process Evaluation – Assesses the extent to which a program is operating as it was intended. It typically assesses the program activities' conformance to statutory and regulatory requirements, program design, professional standards and customer expectations (Source: General Accounting Office, 1998). A process evaluation is an ongoing examination of the implementation of the program. It focuses on the effectiveness and efficiency of the program's activities and interventions. It should answer questions such as: Who is receiving what services and are the services being delivered as planned? It is also known as a formative evaluation, because it gathers information that can be used as a management tool to improve the way a program operates while the program is in progress. It should also identify problems that occurred and how they were dealt with and recommend improved means of future implementation (How was the program carried out and why did this program work/not work?).
Program – An activity, project, function, or policy that has an identifiable purpose or set of objectives. A program may also be defined as a series of activities designed to collectively hasten development and testing, consideration, and adoption of technologies and practices toward improving social, economic, and environmental conditions. These activities adapt, systematize, and transfer information to program participants and also provide them with non-formal (not for academic credit) education. Program participants include end users of targeted practices and technologies, as well as intermediate users that support and influence those who are end users. Source: General Accounting Office, 1998.
Program Announcement (PA) – An awarding agency's formal published announcement of the availability of funding through one of its assistance programs. The announcement invites applications and provides information such as eligibility and evaluation criteria, funding preferences and priorities, procedures for obtaining application kits, and submission deadlines. The difference between PAs and RFAs is that PAs have recurring receipt dates. Both are referred to as grant announcements.
Program Director/Project Director/Principal Investigator – The individual designated by the grantee to direct the project or program being supported by the grant. S/he is responsible and accountable to the grantee organization's officials for the proper conduct of the project or program. The organization is, in turn, responsible and accountable to the funding agency for the performance and financial aspects of the grant-supported activity. Source: SAMHSA, 2005.
Program Evaluation – Individual systematic studies conducted periodically or on an ad hoc basis to assess how well a program is working. They are often conducted by experts external to the program, either inside or outside the agency, as well as by program managers (General Accounting Office, 1998).Whether the evaluation is conducted internally, externally, or by the program manager is often dictated by the grantor agency. Most federal agencies require the evaluation to be conducted by an independent evaluator.
Program Evaluation and Review Technique (PERT) – A chart/project management tool used for displaying project schedules depicting tasks and the dependencies between tasks.
Program Income** – The gross income generated by grant-supported activity. The common rule for state and local government grant administration defines program income as income earned during the grant period. See 45 CFR Parts 74.41 and 92.25 for additional information.
Program Planning and Development – All activities required to assess needs and identify strengths, weaknesses, opportunities and threats (SWOT Analysis) through collaboration with program partners, proposed participants, and stakeholders. Partners, participants and stakeholders then formulate a strategy, preferably using best practices, to address the identified need. This encompasses setting objectives or targets for program accomplishment, selecting the program content, methods of service or product delivery, establishing baseline data through assessment in order to evaluate program success, and identifying the roles of each partner, participant and stakeholder.
Program Year (PY) – The 12-month period allotted for grant-project activities.
Programmatic Report – See ‘Performance Report’.
Project Grant – Funding, for fixed or known periods, of specific projects, and can include fellowships, scholarships, research grants, training grants, traineeships, experimental or demonstration grants, evaluation grants, planning grants, technical assistance grants, survey grants, and construction grants.
Project Narrative – A descriptive statement about the proposed grant activities or purchases, which explains why the grant funds are needed and the benefits to be realized from the use of the grant funds.
Project Officer (PO)** – The Project Officer is the individual designated as the Federal official responsible for the programmatic, scientific, and/or technical aspects of grant-funded programs. This individual is sometimes referred to as the Government Project Officer. He or she serves as the counterpart to the Department's Grants Management Officer, who is responsible for all business management aspects of the grant.
Project Period** – The Project Period is the total time stated in the Notice of Grant Award (including any amendments) for which Federal support is recommended. The period consists of one or more budget periods. It does not constitute a commitment by the Federal Government to fund the entire period.
Promising Practices – Promising Practices are interventions based on clinical opinions or consensus opinion, for which there is a lack of research evidence. Many activities conducted in the treatment and service arena have not received research attention (e.g., discharge planning), yet providers are generally in agreement about what constitutes "desirable" practices.
Quantitative Objectives – Quantitative Objectives, often referred to as Targets, are measurable conditions to be reached in a defined period of time.
R
Real Property – Land, including land improvements, structures, and appurtenances, but not movable machinery and equipment; See 45 CFR Parts 74.41 and 92.25.
Replicability – Replicability, or the ability to duplicate a program, is often a requirement of demonstration grants. Grantors want to know if the project or program can be replicated at other locations.
Request for Applications (RFA) – The RFA is a grant announcement that contains all the instructions and information needed to prepare a grant application. It describes the intent and goals of the program; provides special requirements, applicable policies, and procedures; and includes complete guidance for preparing and submitting an application.
Request for Proposal (RFP) – A solicitation by a grantor seeking applications from potential grantees. Also used by organizations to hire professional services.
Reviewer, Grant Reviewer, Peer Reviewer, Field Reviewer – An individual who serves the funder by reviewing and scoring a competitive proposal. Reviewers are chosen for their subject-area expertise and typically serve on a panel or “technical” panel of at least three members.
S
Seed Money – A grant or contribution used to start a new project or organization.
Selection Criteria or Evaluation Criteria – Standards by which different components of a proposal are rated and scored to qualify for funding.
Self-report Approach to Needs Assessment – Legislators, policy makers and organizational leadership use committee reports, public hearings, forums, public records, focus groups, and surveys to gauge public opinion, sort out special interests, and facilitate the formation of citizen action groups. The Self-report Approach assumes that individuals are keenly aware of their needs, but that the policy makers may not have a grasp of the situation. Therefore, through the Self-report Approach to Needs Assessment, citizen groups inform the policy and decision makers of their needs.
Set-asides – Funds reserved by a grantor for a specific purpose or project.
Social Indicators Approach to Needs Assessment – The Social Indicators Approach assumes that the nature of social, economic, and environmental needs are known, and that outcomes can be measured by changes in indicators. It presumes that objective indicators can be found to rate social, economic, and environmental conditions. Therefore, various statistics (e.g., U.S. Census) are understood to be objective indicators of how well the community or society is meeting their citizen's needs.
Solicitation for Grant Application (SGA) – A term some agencies use for the announcement of a funding competition or an RFP.
Stakeholder – A Stakeholder is any person, inside or outside the organization that has a real and active interest in the organization and its programs; who has an investment (time, energy, emotional, or money) in the program; and who has a commitment to the program's success.
Standard Form 269 (SF-269) – A standard Federal form for reporting expenditures for a grant or cooperative agreement for a particular reporting period, usually the 12-month Federal fiscal year, which runs from October 1 through September 30.
Standard Form 424 (SF-424) – A standard Federal form required for applications for federal assistance.
Subgrant** – An award of financial assistance in the form of money or property made under a grant by a grantee to an eligible recipient called a subgrantee (see 45 CFR Parts 74.3 and 92.3).
Substantive Programmatic Work – Substantive Programmatic Work is the primary project activities for which grant support is provided and/or a significant portion of the activities to be conducted under the grant.
Supplemental Award – The addition of funds to an existing award to: 1. Support New or additional activities which are not identified in the current grant or which significantly expand the project’s scope beyond the purpose(s) for which the current grant was awarded; 2. Support an expansion of the grant approved activities; or 3. Provide for an increase in costs due to unforeseen circumstances. For supplemental awards, the budget and grantor numbers remain the same.
Supplemental Application** – A Supplemental Application is a request for an increase in support during a current budget period for expansion of the project's scope or research protocol or to meet increased administrative costs unforeseen at the time of the new, noncompeting continuation, or competing continuation application.
Suspension – Temporary withdrawal of a grantee’s authority to obligate grant funds, pending either corrective action by the grantee, as specified by the funder, or a decision by the funder to terminate the award.
T
Target area – Usually a geographic area, such as a city, neighborhood, county, certain census tracts or school districts, school service areas.
Target population – The target group to receive direct assistance through the project.
Termination – Termination, in grant terms, is the permanent withdrawal of the grantee's authority to obligate previously awarded funds before that authority would otherwise expire, including voluntary relinquishment of that authority by the grantee.
Terms and Conditions – All legal requirements imposed on a grant by the funder, whether based on statute, regulation, policy, or other document referenced in the grant award, or specified by the grant award document itself.
Terms of Award** – For Federal grant programs, the Terms of Award are all the legal requirements imposed on a grant by the Federal Government, whether by statute, regulation, or terms in the grant award document. Each Notice of Grant Award may include both standard and special provisions that are considered necessary to attain the objectives of the grant, facilitate post-award administration of the grant, conserve grant funds, or otherwise protect the Federal Government's interests.
Third Party In-kind Contributions – Third Party In-kind Contributions are the value of non-cash contributions provided by non-Federal third parties which may be in the form of real property, equipment, supplies and/or other expendable property, and the value of goods and services directly benefiting and specifically identifiable to the project or program.
Third Party Agreement – A Third Party Agreement is a written agreement entered into by the grantee and an organization, individual or business entity Including a wholly owned subsidiary), by which the grantee makes an equity investment in support of grant purposes.
Total Project Costs – Total Project Costs are the total allowable costs incurred by the grantee to carry out an approved grant-supported project or program, including direct, indirect, and matching funds. For Federal programs, this amount will be listed in the grant application, Notice of Grant Award, and included on the Financial Status Report.
U
Unallowable Cost – A cost determined to be unallowable in accordance with the applicable cost principles or other terms and conditions contained in a grant award.
Unexpended Funds – The funding (money) not spent during the award process.
Z
Zero Balance – At the closing of a grant, when cash, expenditures, budget, and revenue are equal, the budget is said to have a zero balance.
I. General Information
A. Funding Cycles
1. Funding cycles may be annual, semi-annual or quarterly application periods. Proposals submitted outside a funding cycle are not considered for funding. A smaller number of funding sources accept proposals at any time in the calendar and/or fiscal year.
2. Funding cycles are at the discretion of the funding source.
3. Funding cycles may include short “turn around” deadlines (e.g., 7-10 days between publication of the RFP and the submission deadlines).
4. Governmental and some non-governmental (e.g., corporate, foundation) funding sources utilize any of three predominant operational calendars including: calendar year (1 January-31 December), fiscal year (1 July-30 June, 1 November-31 October), “grant year” (variable).
5. As with many institutions (private and public), funding sources are predominantly inactive between June and August.
B. Initial Contact
1. Many funding sources require an initial contact letter (or, “letter of interest”); describing the organization (it’s program and need). This letter also requests permission to submit an application/proposal. Unsolicited proposals are not considered.
2. Due to the large number of requests each funding sources receives, and any internal review schedule, this phase (e.g., initial contact letter, invitation to apply) may require 1 - 6 months.
C. Application Processes
1. Funding sources may issue Request for Proposals (RFP) 1 –3 months prior to any application deadline, and will only accept proposals submitted in response to a specific RFP.
2. Other funding sources may issue general funding program announcements 6-12 months in advance of funding availability without any subsequent publication of funding related information.
3. A smaller number of funding sources accept proposals at any time in the calendar and/or fiscal year without any Request for Proposals (RFP) or other announcements.
D. Review Periods
1. Most funding sources (regardless of application periods) review proposals only within a predetermined schedule.
2. Due to the large number of requests each funding sources receives, and any internal review schedule, this phase (e.g., proposal review/evaluation) may require 3-6 months.
E. Limited Availability of Funding
1. Despite the large number of governmental and non-governmental funding sources, fully half of these will not consider a proposal due to restrictions based on issues and/or geography.
2. This smaller “pool” of available funding requires greater attention to detail in identifying possible sources, program requirements, etc.
II. Research & Development Process
A. Organizational & Programmatic Review (5 - 40 hours)
1. Documentary Review - Review of all organizational documentation and programmatic materials. Organizational documents include, but are not limited to: budget(s), financial statement(s), business plan, mission statement, purpose statement, organizational chart(s), staff curriculum vitae, strategic plan). Programmatic documents include, but are not limited to: curriculum, marketing materials (brochures, pamphlets, etc.) program overviews, program evaluations, schedules
2. Identification of Priorities & Limitations - Client identifies priority of organizational needs (e.g., general operating support, equipment,) and/or programmatic needs (e.g., education, research, and training); Client identifies any limitations as to funding sources, e.g., governmental or non-governmental; and/or types of funding.
B. Concept Formulation (5 - 20 hours)
1. Client and RDA coordinate selection of single and/or multiple issue/need-based projects.
2. Client and RDA identify any complementary issue(s)/need(s).
C. Source Identification (10 - 250 hours)
1. Primary research references: areas of interest, deadlines, geographic limitations and types of support, etc.
2. Secondary research references: program, application (forms, guidelines and processes), formats and forms; and previous grant patterns (annual number of grants, average value of award, general financial information); and notes any changes to areas of interest and types of support, etc.
3. Tertiary research references: verification of secondary research results through direct contact of (potential) source via email and/or telephone, etc.
D. Source Review (20 - 250 hours)
Secondary review of potential funding sources (e.g., email, telephone, website) by source-specific parameters including:
1. Confirm area of interest, types of support, and eligibility
2. Process, requirements (e.g., initial contact, application forms, deadline/s, text formatting, application/proposal review schedule, supplementary document/s)
3. Project review (reporting/accounting)
4. Project evaluation (effectiveness)
E. Proposal Development (10 - 80 hours)
1. Outline
2. Preliminary drafts
3. Rewrite
4. Final draft
F. Proposal Review & Editing (5 - 40 hours)
1. Proofreading
2. Client review
3. Editing
4. Supplementary document index
G. Product Delivery (1 - 3 hours)
1. Approved proposal forwarded to Client (1 copy/disk, 1 copy/print)
2. Submission “checklist” (as relevant to each identified funding source) forwarded to Client (e.g., address, delivery venue, formatting, number of copies, supplementary/supporting documentation)
Terminology
In the following list, several grant terms are specific to Federal Grants, as indicated by double asterisks (**) following the term. Other terms have been generalized to include Federal and non-Federal grant terminology. However, some private philanthropic organizations have adapted some federal terminology, adjusted for the private grantmaking arena.
501(c)(3) – The section of the Internal Revenue tax code that defines the nonprofit, charitable (as broadly defined), tax-exempt organizations. Contributions made to these organizations are tax-exempt for the donors. To convey that status, they often represent themselves as 501(c)(3) organizations, rather than merely nonprofit organizations.
Abstract – Summarizes the purpose, importance and scope of the proposed project.
Administrative Costs – All direct and indirect costs associated with the management of grant programs. Often capped by the grantor at a certain percentage of the grant.
Advisory Committee – An Advisory Committee is a group of individuals who has been selected by an organization to provide technical consultation in a variety of areas (e.g., fundraising, outreach, strategic planning). Less formal than a board of directors, an advisory committee meets periodically to provide advice and feedback to the organization. The committee does not have legal responsibility or authority over organizational business.
Application – An Application is a request for financial support of a project/activity usually submitted in a specified format, using specified forms and in accordance with instructions provided by the awarding office (grantor agency).
Application Number – When an application has been successfully submitted to a funder and the funder assigns a unique number to that application. Applicants should keep a record of the application number and reference it when communicating with the funder.
Application Package – A package that contains the application notice for one or more discretionary grant or cooperative agreement programs and all the information and forms needed to apply for those programs.
Approved Budget – The financial expenditure plan, including any revisions approved by the awarding office for the grant-supported project or activity. For Federal grants, the approved budget consists of Federal (grant) funds and non-Federal participation, or Federal funds only, and will be specified on the Notice of Grant Award and on any subsequent revised or amended award notice. Any expenditures charged to an approved budget that consists of both Federal and non-Federal shares are deemed to be borne by the grantee in the same proportion as the percentage of Federal/non-Federal participation in the overall budget.
Assessment – The process of collecting and analyzing information to make judgments.
Assurance of Compliance Form** – The Assurance of Compliance Form is a section of the Public Health Service Grant Application Kit (PHS 5161-1) that sets forth certain requirements to ensure applicants' compliance with Title VI of the Civil Rights Act of 1964, Section 504 of the Rehabilitation Act of 1973, Title IX of the Education Amendments of 1972, and the Age Discrimination Act of 1975. Source: SAMHSA, 2005.
Assurances – A listing of a variety of requirements, found in different federal laws, regulations, and executive orders that applicants agree to by signature in an application.
Audit – An examination of grant records and financial accounts for accuracy and legal compliance which may lead to recommendations for corrective action.
Authorized Official – The individual, named by the applicant organization, who is authorized to act for the applicant and to assume the obligations imposed by the laws, regulations, requirements, and conditions that apply to grant applications or grant awards.
Award** – An Award is financial assistance that provides support or stimulation to accomplish a public purpose. Awards include grants and other agreements in the form of money, or property in lieu of money, by the Federal Government to an eligible recipient. The term does not include technical assistance, which provides services instead of money; other assistance in the form of loans, loan guarantees, interest subsidies, or insurance; direct payments of any kind to individuals; and contracts that are required to be entered under procurement laws and regulations. Source: SAMHSA, 2005.
Award Notification – An official document signed by the funder stating the amount and the terms and conditions of an award.
Award Number – The identifying number for a discretionary grant or cooperative agreement award issued by the funder.
B
Best Practices – Best Practices are interventions based on clinical opinions or open clinical trials. They are practices for which either no randomized clinical trials have been conducted or there are insufficient numbers of studies to allow for a claim of consistent scientific evidence. Source: SAMHSA, 2005.
Bidder’s Conference – A meeting to discuss with potential bidders, technical, operational and performance specifications, and/or the full extent of financial security and contractual obligations related to a grant solicitation.
Block Grant** – A Block Grant is a type of mandatory grant in which the recipients (normally States) have substantial authority over the type of activities to support, with minimal Federal administrative restrictions. The basic premise is that States should be free to target resources and design administrative mechanisms to provide services to meet the needs of their citizens. SAMHSA administers two separate block grants: the Substance Abuse Prevention and Treatment (SAPT) block grant and the Center for Mental Health Services (CMHS) block grant. Source: SAMHSA, 2005.
Board of Directors – A Board of Directors comprises individuals elected or appointed to oversee the management of an organization. Board members may be paid, are required to meet several times each year, and assume legal responsibility for an organization's activities.
Boilerplate – A form or section of a document that is used so often as to become standard and reused.
Budget – The financial expenditure plan for the grant-supported project or activity. The budget consists of funder (grant) funds and, if required by the funder, grantee participation in the form of matching or cost sharing.
Budget Period – The Budget Period is the interval of time into which the project period is divided (usually in terms of annual budget period) for budgetary and funding purposes.
C
Capital Expenditure – The cost of an asset (land, building, equipment), including the cost to put it in place. A capital expenditure for equipment includes the net invoice price and the cost of any modifications, attachments, accessories, or auxiliary apparatus to make it usable for the purpose for which it was acquired. Other charges, such as taxes, in-transit insurance, freight, and installation, may be included in capital expenditure costs in accordance with the recipient’s regular accounting practices consistently applied regardless of the source of funds.
Capital Support – Funds provided for endowment purposes, buildings, construction or equipment.
Carry-Forward – A pool of unexpended funds which is moved to the next funding period.
Catalog of Federal Domestic Assistance (CFDA) – A publication, and database, that lists the grants and assistance programs of all federal agencies and gives information about a program’s authorization, fiscal details, guidelines, eligibility requirements, program contacts, application and award process. The program’s CFDA number is required on grant application forms.
Certification – A statement, signed by an applicant or grantee as a prerequisite for receiving funds, that it (1) meets or will adhere to certain conditions and/or (2) will undertake or not undertake certain actions.
Certifications** – Certifications is a section of the grant application kit that sets forth certain requirements concerning debarment and suspension, drug-free workplace requirements, lobbying, the Program Fraud Civil Remedies Act, and environmental tobacco smoke with which an organization must comply if a grant is awarded. Source: SAMHSA, 2005.
CFDA Number** – The CFDA (Catalog of Federal Domestic Assistance; www.cfda.gov) number is a unique identifier for a particular Federal grant. The CFDA is the encyclopedia of all funding programs and the way that all grants are cataloged.
Challenge Grant – A grant offered with the stipulation that the recipient will raise additional funds from another source or sources. Also called a “matching grant”.
Charitable Choice – A requirement, placed in recent legislation that state governments contracting with private sector organizations cannot discriminate against a faith-based social services provider because the provider is religious.
Coalition – A coalition is a group of organizations and/or individuals working together for a common purpose.
Code of Federal Regulations (CFR) – A compilation of all final regulations issued by federal agencies, published annually and divided by numbered “Titles”.
Cognizant Agency – The Federal agency which, on behalf of all Federal agencies, is responsible for implementing the requirements of the Single Audit Act which include: reviewing, negotiating, and approving cost allocation plans, indirect cost rate and similar rates; receiving and approving non-federal audit reports; conducting federal audits as necessary; and resolving cross-cutting audit findings.
Collaboration – A process through which parties who see different aspects of a problem can explore constructively their differences and search for, and implement, solutions that go beyond their own limited vision of what is possible (Taylor-Powell, et al., 1998).
Community – A group of people residing in the same locality and under the same government; a group or class having common interests; a group viewed as forming a distinct segment of society; common ownership or participation. Source: Webster's New College Dictionary, 3rd Edition, 2005.
Community Development Corporation – A private, non-profit entity governed by a board of directors consisting of residents of the community and business and civic leaders that has the primary purpose of planning, developing, or managing low-income housing or community development projects.
Community Foundation – A 501(c)(3) organization, usually considered a public charity that makes grants for specific purposes in a specific community or region. Funds are derived from many donors and held in an endowment that is independently administered.
Community-based Organizations – Human service organizations that provide services to residents of the community.
Community-level Data – Key information collected by each grantee that will allow for analysis. This usually consists of data on the target population, demographic information, poverty rates and/or unemployment rates as well as data that is specific to the program as defined in the program announcement.
Comparison Data – Data from a similar project against which an organization can compare its own project's data.
Compassion Capital Fund Intermediary** – The appropriated Federal funds specifically targeted for faith and community-based organizations. Intermediary organizations that receive these funds issue subawards and provide technical assistance to help faith- and community-based organizations support startup costs, operations, or expansion of programs, particularly in the areas of homelessness, hunger, etc.
Competing Continuation Application** – A request for financial or direct assistance to extend, for one or more additional budget periods, a project period that would otherwise expire. Competing continuation applications compete with other competing continuation, competing supplemental, and new applications for funds.
Competitive Review Process – The process used by a funders to select applications for funding, in which subject-area experts score applications and only applications with the highest scores are considered for funding.
Concept Paper – Preferred by foundations as a first submission, a concept paper contains key elements of a project.
Consortium Agreement – A formalized agreement whereby a project is carried out by the grantee and one or more other organizations that are separate legal entities.
Consultant – An individual who provides professional advice or services for a fee, but normally not as an employee of the engaging party. In unusual situations, an individual may be both a consultant and an employee of the same party, receiving compensation for some services as a consultant and for other work as a salaried employee. Consultants also include firms that provide professional advice or services.
Contact Person – The representative of the funder for the grant program, and may also serve as the program administrator or grant officer.
Continuation Grant – A continuation grant provides additional funding for budget periods subsequent to the initial budget period.
Contracting Under a Grant – A process whereby a grantee enters into a written agreement with a third party for the acquisition of property or services or the conduct of prescribed activities or functions under the grant.
Cooperative Agreement** – A financial assistance mechanism used in lieu of a grant when substantial Federal programmatic involvement with the recipient during performance is anticipated by the awarding agency. A Substantial involvement means that the recipient can expect Federal programmatic collaboration or participation in managing the project.
Corporate Foundation – A private foundation whose assets are derived primarily from the contributions of a for-profit business. While a company-sponsored foundation may maintain close ties with the parent company, it is an independent foundation with its own endowment and its own board.
Corporate Giving Program – A grant-making program established and administered by a profit-making company. Corporate giving is planned as part of the company’s budgeting process and usually is funded with pre-tax income.
Cost-Benefit Analysis – A quantitative procedure that assesses the desirability of a project by totaling and comparing the equivalent money value of the benefits and costs of a given project. The outcome of the analysis is a cost-benefit ratio, which demonstrates whether the net value of benefits exceeds the net value of costs.
Cost-Effectiveness – A systematic quantitative method for comparing the costs of alternative means to achieve the same benefits of a given objective; generally determined by performing a cost/benefit analysis.
Cultural Competence – The attainment of knowledge, skills, and attitudes that enable administrators and practitioners within systems of care to provide for diverse populations. Cultural competence includes an understanding of a culture's language, beliefs, norms, and values that may have a significant impact on the well-being of individuals within that culture. Cultural competence is a critical component of Federal grant programs. Source: SAMHSA, 2005.
D
Deadline Date – The receipt date by the funder for an application to be considered for funding.
Deliverables – Those products that are produced by a grant project. They may be quantified achievement or singular outcomes.
Demonstration Grant – A grant made to fund an innovative project with the intention of duplicating the project elsewhere.
Direct Costs – Costs that can be specifically identified with a particular project or program.
Discretionary Grant** – Permits the Federal Government, according to specific authorizing legislation, to exercise judgment (discretion) in selecting the applicant/recipient organization, through a competitive grant process. Types of activities commonly supported by discretionary grants include demonstration, research, training, service, and construction projects or programs. Discretionary grants are sometimes referred to as a project grants.
DUNS Number – A Data Universal Numbering System (DUNS) number, is a unique identifier available to organizations by registering with Dun and Bradstreet.
E
Earmark – Requirement by Congress that a Federal agency set aside funds within an appropriation for a stated recipient or purpose.
Employer Identification Number – A 9-digit number assigned by the Internal Revenue Service.
Encumbrance – An obligation in the form of purchase orders, contracts, or salary commitments which are chargeable to an award and for which a part of the awarded amount is reserved. They cease to be encumbrances when paid.
Endowment – Financial support kept permanently by an institution and invested to provide income to support programs or operations.
Equipment – For grantees subject to 45 CFR Part 74, equipment is an article of tangible personal property that has a useful life of more than 2 years and an acquisition cost of $500 or more. For grantees subject to 45 CFR Part 92, an article of tangible, nonexpendable, personal property having a useful life of more than 1 year and an acquisition cost of $5,000 or more per unit.
Evaluation – The process of collecting and analyzing data on various aspects of a program, usually for the purpose of program planning and goal setting, improving processes and outcomes, securing and allocating resources. Includes formative (collecting and analyzing data to focus on “what’s working and what needs to be improved”) and summative (collecting and analyzing to investigate “what’s been achieved” in a program).
Event Coalition – An Event Coalition only has to agree on one particular issue and dissolve when the issue has been solved or the event has been coordinated.
Evidence-based Practices (EPBs) – Interventions for which there is consistent scientific evidence that they improve client outcomes. The highest standard for an EBP is several randomized clinical trials comparing the practice to alternative practices or to no intervention, considered together (i.e., meta-analysis), that support the superiority of the EBP to the alternatives (or no intervention).
Expiration Date – The date specified in the grant award notification after which expenditures may not be charged against the grant unless to satisfy obligations committed before that date.
F
Faith-based Organizations – Groups or organizations that provide services and have a faith element integrated into their organization.
Federal Financial Assistance** – The transfer of money, property, or other direct assistance to an eligible recipient to support or stimulate a public purpose authorized by statute.
Federal Information Processing Standards (FIPS) Code – The unique 5-digit number that is assigned to each county in the United States. This number is comprised of a 2-digit State code followed by a 3-digit county code.
Federal Register** – A daily compendium provides public notice of all of federal regulations, notices and grant programs once they are approved by Congress. The FR is available at: http://www.archives.gov/federal-register. You may also subscribe to the daily FR table of contents (FEDREGTOC-L list) with hyperlinks to the specific notices at http://listserv.access.gpo.gov.
Federally Recognized Indian Tribal Government – (See 45 CFR Part 92.3). "Recognition" is a legal term meaning that the United States recognizes a government-to-government relationship with a tribe and that a tribe exists politically in a "domestic dependent nation status." A federally-recognized tribe is one that was in existence, or evolved as a successor to a tribe at the time of original contact with non-Indians. Federally-recognized tribes possess certain inherent rights of self-government and entitlement to certain federal benefits, services, and protections because of the special trust relationship.
Federated Giving Program – A joint-fundraising effort, usually administered by an umbrella organization that, in turn, distributes the contributed funds to several non-profit agencies.
Fee – An amount, in addition to actual, allowable costs, paid to an organization providing goods or services consistent with normal commercial practice. This payment also is referred to as “profit.”
Financing and Cost-effectiveness – Current and sustainable financing and cost-effective strategies must be considered when designing, implementing, and evaluating programs.
Fiscal year (FY) – The 12-month accounting period at the end of which the books are closed for an agency or governmental unit.
Focus Group – A small group selected from a wider population and sampled, as by open discussion, for its members' opinions about or emotional response to a particular subject or area. Focus groups are commonly used in market research or political analysis. Source: SAMHSA, 2005.
Formula Grants** – Allocations of money to States or their subdivisions in accordance with the distribution formulas prescribed by administrative regulation, for activities of a continuing nature not confined to a specific project. The formula is often based on population, crime statistics, or previous years' services provided.
For-Profit Organization – An organization, institution, corporation, or other legal entity that is organized or operated for the profit or financial benefit of its shareholders or other owners. Such organizations also are referred to as “commercial organizations”.
Funder – The governmental unit, foundation or other entity that awards grants.
Funding Cycle – The schedule of events starting with the announcement of the availability of funds, followed by the deadline for submission of applications, review of applications, award of grants and release of funds.
Funding Priorities – A means of focusing a competition on the areas in which a funder is particularly interested in receiving applications. Priorities take the form of specific kinds of activities that applicants are asked to include in an application to receive preference in the review process.
G
Government Performance and Results Act (GPRA of 1993; Public Law 103-62) – Mandates performance-based management by Federal agencies, focusing on results or outcomes in monitoring the effectiveness of Federal programs and their progress toward achieving national goals. The law places increased emphasis on collecting, reporting, and reviewing data to hold the agency accountable for achieving results with public funds.
Grant – A financial assistance mechanism whereby money and/or direct assistance is provided to carryout approved activities. A grant can be classified on the basis of type of activity(ies) supported; degree of discretion allowed the awarding office (mandatory or discretionary award); and/or the method of determining amounts of award (negotiated basis or formula).
Grant Agreement – A grant agreement is a legal instrument for the transfer of funds from the funder to the grantee and which sets forth the terms and conditions of the award.
Grant Period – The period that extends from the effective date through the expiration date.
Grant-approved Projects/Activities** – Those activities specified or described in a grant application, plan, or other document that are approved by the awarding office for funding, or changes that may be proposed by the grantee and subsequently approved by the Grants Management Officer. For purposes of this definition, it does not matter whether Federal funding constitutes all or only a portion of the financial support necessary to carry out such activities.
Grantee – An organization that has been awarded financial assistance for a project. The grantee is the entire legal entity even if a particular component (e.g., department, office, or agency) caries-out the grant –funded activities. The grantee is legally responsible and accountable to the funder for the performance and financial aspects of the grant-supported project or activity.
Grantor – A governmental unit, foundation, or other entity that awards grants.
Grants Management Officer (GMO) – The official responsible for the business management aspects of particular grants or cooperative agreements. The GMO serves as the counterpart to the business officer of the grantee agency. In this capacity, the GMO is responsible for all business management matters associated with the review, negotiation, award and administration of grants and interprets grants administration policies and provisions. S/he works closely with the program or project officer who is responsible for the scientific, technical, and programmatic aspects of the grant.
Grants Management Specialist** – A Federal staff member who oversees the business and other non-programmatic aspects of one or more grants or cooperative agreements. These activities include, but are not limited to, evaluating grant applications for administrative content and compliance with regulations and guidelines, negotiating grants, providing consultations and technical assistance to recipients, conducting post-award administration, and closing out grants.
Guidance for Applicants (GFA) – Currently referred to as Request for Applications (RFA). See the definition for RFA.
I
Impact Evaluation – A form of outcome evaluation that assesses the net effect of a program by comparing program outcomes with an estimate of what would have happened in the absence of the program. This form of evaluation is employed when external factors are known to influence the program’s outcomes, in order to isolate the program's contribution to achievement of its objectives (General Accounting Office, 1998). It assesses program processes to understand how outcomes are produced(Perrin, 1998), including information about the applicant, the target population, the need, objectives, total budget, other contributors and what makes it remarkable. Concept papers should not exceed three pages, including the cover letter.
Indicators – Specific terms of information that track a program's success. Indicators describe observable, measurable characteristics or changes that represent achievement of an outcome. Also, indicators are observable phenomena that point toward the intended and/or actual condition of certain situations, programs, and outcomes and are used to provide tangible evidence of the extent a program has achieved its goal.
Indirect Cost – An accounting term used to assign or charge costs that are common to two or more of a grantee's projects or operations. Usually, this includes the cost of building occupancy, equipment usage, procurement, personnel administration, accounting and other overhead activities that are charged to grants and contracts proportionately. IDC is not substantially different from direct costs and in fact, could be treated as direct costs. For example, voluntary health and welfare organizations treat building occupancy and other types of common costs as direct costs. However, universities and tribal organizations usually treat those common costs as indirect costs. It is imperative that grantees remain consistent in declaring costs as either direct or indirect for all projects and activities of the organization, regardless of the source of funding Source: Federal Grants Management Handbook, 2005.
Indirect Cost Rate – The percentage of a grant, approved by a federal or state department, or that a particular organization can use to reimburse itself for indirect costs incurred in doing the work of the grant project including general administrative costs of a project, including such items as rent, utilities, maintenance, depreciation and custodial services.
In-kind – A contribution of equipment, supplies or other tangible resource, as distinguished from a monetary grant. Some organizations may also donate the use of space or staff time as an in-kind.
Inputs – Resources dedicated to a program or consumed by the program.
Institutional Review Board (IRB) – An administrative body established to protect the rights and welfare of human research subjects recruited to participate in research activities conducted under the auspices of the institution with which it is affiliated. The IRB has the authority to approve, require modifications in, or disapprove all research activities that fall within its jurisdiction. More information on IRBs can be obtained from the Office for Human Research Protections at http://ohrp.osophs.dhhs.gov.
Intervention – Any planned activity within a project that is intended to produce changes in the target population and/or the environment and that can be formally evaluated.
J
Journal Vouchers – An accounting entry for the recording of certain transactions, corrections or information. The journal voucher usually contains an entry or entries, explanations, references to documentary evidence supporting the entry or entries, and the signature or initials of one or more properly authorized officials.
K
Key Personnel – The individuals who contribute to the development or execution of a project in a substantive, measurable way, whether or not they receive salaries or compensation under the grant. Consultants also may be considered key personnel if they meet this definition. “As needed” is not an acceptable level of involvement for key personnel.
L
Letter of Commitment – Identifies services, money or other inputs promised to the project by partner organizations.
Letter of Intent – Expresses the grantor’s willingness to commit funds to a project if other conditions are met.
Letter of Support – Written endorsements of an application for funding, provided by organizations or individuals who are familiar with the applicant’s ability.
Logic Model – A systemic, visual way to present a planned program with its underlying assumptions and theoretical framework. It is a picture of why and how the program will work and causes the author to describe, share, discuss, and improve program theory as the program is developed.
M
Maintenance of Effort (MOE) – A a requirement contained in certain legislation, regulations, or administrative policies that a recipient must maintain a specified level of financial effort in the area for which Federal funds will be provided in order to receive Federal grant funds. This requirement is usually given in terms of a previous base-year dollar amount.
Matching Funds – Matching Funds means the value of third-party, in-kind contributions (non-Federal funds) and/or the portion of the costs of a Federally-assisted project or program not borne by the Federal government. Costs used to satisfy matching requirements are subject to the same policies governing allow ability as other costs under the approved budget.
Matching Grant – A grant made by one grantor or donor to match those provided by another grantor or donor.
Memorandum of Understanding (MOU) – An agreement developed and executed among partners relating to their roles in a joint operation.
Mission Statement – A written statement that defines the business of the organization, states the basic goals and guiding philosophies, and establishes a context within which strategies are formulated and can be used to initiate, evaluate, and refine activities.
Monitoring – A grantor’s review and evaluation of specific aspects of a grantee’s activities under a grant agreement. These activities include (1) measuring a grantee’s performance, (2) assessing a grantee’s adherence to applicable laws, regulations, and the terms and conditions of the award, (3) providing technical assistance to grantees, and (4) assessing whether a grantee has made substantial progress; A process whereby the programmatic and business management performance aspects of a grant are reviewed by assessing information gathered from various reports, audits, site visits, and other sources.
N
Needs Assessments – Tools (surveys, questionnaires, etc.) used to involve individuals in discussions about their lives and the communities in which they live. Community participants become involved in programming as they provide information about their social, economic, and environmental concerns. Needs Assessments usually draw upon two fundamental approaches: the Social Indicators Approach and the Self-report Approach.
New Application – A request for financial or direct assistance for a project/program not currently receiving financial assistance.
No-Cost Extension – A formal extension of the grant period to allow the grantee additional time to complete grant-funded activities at no additional cost to the Grantor (grantor does not provide additional money).
Noncompeting Continuation Application – A request for continued financial or direct assistance for a subsequent budget period within a previously approved project period.
Non-profit Organization – Any organization, including a faith-based organization or community development corporation, exempt (and documented as exempt by the IRS) from taxation by reason of paragraph (3) or (4) of section 501 (c) of the Internal Revenue Code of 1986.
Notice of Funding Availability (NOFAs)** – Announcements that appear in the Federal Register, printed each business day by the U.S. Government, inviting applications for Federal grant programs. NOFAs generally include information on eligibility, funding areas, amount of funding, deadline for submission of applications, and contact information.
Notice of Grant Award** – A legally binding document that notifies the grantee and others that a grant or cooperative agreement has been made, refers to all terms of the award and contains or references all terms of the award and it documents the obligation of Federal funds.
O
Obligated Funds – Funds that are unexpended but are encumbered at the end of the funding period to cover the known obligations. They are considered to be unexpended funds.
Office of Management and Budget (OMB) – A branch of the Executive Office of the President, evaluates the effectiveness of agency programs, policies, and procedures; assesses competing funding demands among agencies, and sets funding priorities; ensures that agency reports, rules, testimony, and proposed legislation are consistent with the President’s budget and with administration policies. In addition, OMB oversees and coordinates the administration’s procurement, financial management, information, and regulatory policies. In each of these areas, OMB’s role is to help improve administrative management, to develop better performance measures and coordinating mechanisms, and to reduce any unnecessary burdens on the public.
OMB Circulars – Administrative policy documents issued by OMB that give instruction to Federal agencies on a variety of topics, including the administration of Federal grants and cooperative agreements.
Operating Foundation – An operating foundation uses the majority of its funds to conduct research or run programs for the common good. An operating foundation may make a few, small grants.
Opportunity Assessments – Opportunity Assessments identify the combination of circumstances that are favorable for program development and implementation. Agencies and organizations assess the opportunity presented for its ability to make a positive impact on the targeted social, economic, or environmental condition. Because missions and goals vary among different agencies/organizations, opportunity assessments identify how collaborative efforts among agencies and/or organizations can most effectively address the social, economic, or environmental condition using the least amount of resources.
Outcome Evaluation – An Outcome Evaluation is a form of evaluation that assesses the extent to which a program's outcome-oriented objectives are achieved. It focuses on outputs and outcomes, including unintended effects, to determine the program's effectiveness but may also assess the program process to evaluate how outcomes are produced (General Accounting Office, 1998). An outcome evaluation will determine the net effects of the interventions applied in the program and will produce and interpret findings related to whether the interventions produced desirable changes and their potential for replicability (Did the program work?).
Outcome – Outcomes are benefits or changes for individuals or populations during or after participation in program activities. Outcomes may relate to behavior, skills, knowledge, attitudes, values, conditions or other attributes. Outcomes are what participants know, think, or can do; how they behave, or what their conditions are that is different following program implementation. Source: United Way of America.
Outputs – Program activities and their direct products, usually measured in terms of the volume of work accomplished. Outputs have little inherent value in themselves however they are important because they are intended to lead to a desired benefit for participants or target populations.
Outreach – An active effort by program staff to encourage individuals in the designated service delivery area to avail themselves of program services.
P
Peer Review – Independent evaluation employing reviewers who are the professional equivalent of the applicant's project director or principal investigator.
Performance Funding – Based on the timely submission of deliverables according to the specifications negotiated between grantor and grantee.
Performance Period – The total amount of time during which the funder authorizes a grantee to complete the approved work of the project described in the application. Performance periods of more than 1 year in duration are divided into budget periods.
Performance Report – A report of the specific activities a grantee has performed during the budget or performance period.
Pre-application – A summary statement of the intent of the applicant to request funds. It is often used to predetermine the applicant's eligibility, determine how well the proposed project can compete with similar applications, and eliminate any proposals that have little or no chance of funding. Pre-applications are often required by the grantor agency to prepare for the grant review process.
Private Benefits – The improvements in social, economic, or environmental conditions that program participants receive through their participation may be called Private Benefits.
Process Evaluation – Assesses the extent to which a program is operating as it was intended. It typically assesses the program activities' conformance to statutory and regulatory requirements, program design, professional standards and customer expectations (Source: General Accounting Office, 1998). A process evaluation is an ongoing examination of the implementation of the program. It focuses on the effectiveness and efficiency of the program's activities and interventions. It should answer questions such as: Who is receiving what services and are the services being delivered as planned? It is also known as a formative evaluation, because it gathers information that can be used as a management tool to improve the way a program operates while the program is in progress. It should also identify problems that occurred and how they were dealt with and recommend improved means of future implementation (How was the program carried out and why did this program work/not work?).
Program – An activity, project, function, or policy that has an identifiable purpose or set of objectives. A program may also be defined as a series of activities designed to collectively hasten development and testing, consideration, and adoption of technologies and practices toward improving social, economic, and environmental conditions. These activities adapt, systematize, and transfer information to program participants and also provide them with non-formal (not for academic credit) education. Program participants include end users of targeted practices and technologies, as well as intermediate users that support and influence those who are end users. Source: General Accounting Office, 1998.
Program Announcement (PA) – An awarding agency's formal published announcement of the availability of funding through one of its assistance programs. The announcement invites applications and provides information such as eligibility and evaluation criteria, funding preferences and priorities, procedures for obtaining application kits, and submission deadlines. The difference between PAs and RFAs is that PAs have recurring receipt dates. Both are referred to as grant announcements.
Program Director/Project Director/Principal Investigator – The individual designated by the grantee to direct the project or program being supported by the grant. S/he is responsible and accountable to the grantee organization's officials for the proper conduct of the project or program. The organization is, in turn, responsible and accountable to the funding agency for the performance and financial aspects of the grant-supported activity. Source: SAMHSA, 2005.
Program Evaluation – Individual systematic studies conducted periodically or on an ad hoc basis to assess how well a program is working. They are often conducted by experts external to the program, either inside or outside the agency, as well as by program managers (General Accounting Office, 1998).Whether the evaluation is conducted internally, externally, or by the program manager is often dictated by the grantor agency. Most federal agencies require the evaluation to be conducted by an independent evaluator.
Program Evaluation and Review Technique (PERT) – A chart/project management tool used for displaying project schedules depicting tasks and the dependencies between tasks.
Program Income** – The gross income generated by grant-supported activity. The common rule for state and local government grant administration defines program income as income earned during the grant period. See 45 CFR Parts 74.41 and 92.25 for additional information.
Program Planning and Development – All activities required to assess needs and identify strengths, weaknesses, opportunities and threats (SWOT Analysis) through collaboration with program partners, proposed participants, and stakeholders. Partners, participants and stakeholders then formulate a strategy, preferably using best practices, to address the identified need. This encompasses setting objectives or targets for program accomplishment, selecting the program content, methods of service or product delivery, establishing baseline data through assessment in order to evaluate program success, and identifying the roles of each partner, participant and stakeholder.
Program Year (PY) – The 12-month period allotted for grant-project activities.
Programmatic Report – See ‘Performance Report’.
Project Grant – Funding, for fixed or known periods, of specific projects, and can include fellowships, scholarships, research grants, training grants, traineeships, experimental or demonstration grants, evaluation grants, planning grants, technical assistance grants, survey grants, and construction grants.
Project Narrative – A descriptive statement about the proposed grant activities or purchases, which explains why the grant funds are needed and the benefits to be realized from the use of the grant funds.
Project Officer (PO)** – The Project Officer is the individual designated as the Federal official responsible for the programmatic, scientific, and/or technical aspects of grant-funded programs. This individual is sometimes referred to as the Government Project Officer. He or she serves as the counterpart to the Department's Grants Management Officer, who is responsible for all business management aspects of the grant.
Project Period** – The Project Period is the total time stated in the Notice of Grant Award (including any amendments) for which Federal support is recommended. The period consists of one or more budget periods. It does not constitute a commitment by the Federal Government to fund the entire period.
Promising Practices – Promising Practices are interventions based on clinical opinions or consensus opinion, for which there is a lack of research evidence. Many activities conducted in the treatment and service arena have not received research attention (e.g., discharge planning), yet providers are generally in agreement about what constitutes "desirable" practices.
Quantitative Objectives – Quantitative Objectives, often referred to as Targets, are measurable conditions to be reached in a defined period of time.
R
Real Property – Land, including land improvements, structures, and appurtenances, but not movable machinery and equipment; See 45 CFR Parts 74.41 and 92.25.
Replicability – Replicability, or the ability to duplicate a program, is often a requirement of demonstration grants. Grantors want to know if the project or program can be replicated at other locations.
Request for Applications (RFA) – The RFA is a grant announcement that contains all the instructions and information needed to prepare a grant application. It describes the intent and goals of the program; provides special requirements, applicable policies, and procedures; and includes complete guidance for preparing and submitting an application.
Request for Proposal (RFP) – A solicitation by a grantor seeking applications from potential grantees. Also used by organizations to hire professional services.
Reviewer, Grant Reviewer, Peer Reviewer, Field Reviewer – An individual who serves the funder by reviewing and scoring a competitive proposal. Reviewers are chosen for their subject-area expertise and typically serve on a panel or “technical” panel of at least three members.
S
Seed Money – A grant or contribution used to start a new project or organization.
Selection Criteria or Evaluation Criteria – Standards by which different components of a proposal are rated and scored to qualify for funding.
Self-report Approach to Needs Assessment – Legislators, policy makers and organizational leadership use committee reports, public hearings, forums, public records, focus groups, and surveys to gauge public opinion, sort out special interests, and facilitate the formation of citizen action groups. The Self-report Approach assumes that individuals are keenly aware of their needs, but that the policy makers may not have a grasp of the situation. Therefore, through the Self-report Approach to Needs Assessment, citizen groups inform the policy and decision makers of their needs.
Set-asides – Funds reserved by a grantor for a specific purpose or project.
Social Indicators Approach to Needs Assessment – The Social Indicators Approach assumes that the nature of social, economic, and environmental needs are known, and that outcomes can be measured by changes in indicators. It presumes that objective indicators can be found to rate social, economic, and environmental conditions. Therefore, various statistics (e.g., U.S. Census) are understood to be objective indicators of how well the community or society is meeting their citizen's needs.
Solicitation for Grant Application (SGA) – A term some agencies use for the announcement of a funding competition or an RFP.
Stakeholder – A Stakeholder is any person, inside or outside the organization that has a real and active interest in the organization and its programs; who has an investment (time, energy, emotional, or money) in the program; and who has a commitment to the program's success.
Standard Form 269 (SF-269) – A standard Federal form for reporting expenditures for a grant or cooperative agreement for a particular reporting period, usually the 12-month Federal fiscal year, which runs from October 1 through September 30.
Standard Form 424 (SF-424) – A standard Federal form required for applications for federal assistance.
Subgrant** – An award of financial assistance in the form of money or property made under a grant by a grantee to an eligible recipient called a subgrantee (see 45 CFR Parts 74.3 and 92.3).
Substantive Programmatic Work – Substantive Programmatic Work is the primary project activities for which grant support is provided and/or a significant portion of the activities to be conducted under the grant.
Supplemental Award – The addition of funds to an existing award to: 1. Support New or additional activities which are not identified in the current grant or which significantly expand the project’s scope beyond the purpose(s) for which the current grant was awarded; 2. Support an expansion of the grant approved activities; or 3. Provide for an increase in costs due to unforeseen circumstances. For supplemental awards, the budget and grantor numbers remain the same.
Supplemental Application** – A Supplemental Application is a request for an increase in support during a current budget period for expansion of the project's scope or research protocol or to meet increased administrative costs unforeseen at the time of the new, noncompeting continuation, or competing continuation application.
Suspension – Temporary withdrawal of a grantee’s authority to obligate grant funds, pending either corrective action by the grantee, as specified by the funder, or a decision by the funder to terminate the award.
T
Target area – Usually a geographic area, such as a city, neighborhood, county, certain census tracts or school districts, school service areas.
Target population – The target group to receive direct assistance through the project.
Termination – Termination, in grant terms, is the permanent withdrawal of the grantee's authority to obligate previously awarded funds before that authority would otherwise expire, including voluntary relinquishment of that authority by the grantee.
Terms and Conditions – All legal requirements imposed on a grant by the funder, whether based on statute, regulation, policy, or other document referenced in the grant award, or specified by the grant award document itself.
Terms of Award** – For Federal grant programs, the Terms of Award are all the legal requirements imposed on a grant by the Federal Government, whether by statute, regulation, or terms in the grant award document. Each Notice of Grant Award may include both standard and special provisions that are considered necessary to attain the objectives of the grant, facilitate post-award administration of the grant, conserve grant funds, or otherwise protect the Federal Government's interests.
Third Party In-kind Contributions – Third Party In-kind Contributions are the value of non-cash contributions provided by non-Federal third parties which may be in the form of real property, equipment, supplies and/or other expendable property, and the value of goods and services directly benefiting and specifically identifiable to the project or program.
Third Party Agreement – A Third Party Agreement is a written agreement entered into by the grantee and an organization, individual or business entity Including a wholly owned subsidiary), by which the grantee makes an equity investment in support of grant purposes.
Total Project Costs – Total Project Costs are the total allowable costs incurred by the grantee to carry out an approved grant-supported project or program, including direct, indirect, and matching funds. For Federal programs, this amount will be listed in the grant application, Notice of Grant Award, and included on the Financial Status Report.
U
Unallowable Cost – A cost determined to be unallowable in accordance with the applicable cost principles or other terms and conditions contained in a grant award.
Unexpended Funds – The funding (money) not spent during the award process.
Z
Zero Balance – At the closing of a grant, when cash, expenditures, budget, and revenue are equal, the budget is said to have a zero balance.