Quiz

11 questions 

Question 1

Short Essay (approximately 5 sentences):

What are the differences between OUTPUTS and OUTCOMES?

Question 2

Based on the SMART objective guidelines, what is missing from the following objective statement?

“100% of participants will demonstrate improvement in their skill test by at least 10 points”.

The statement is not time-bound.

The statement is not measurable.

The statement is not specific.

Question 3

Which of the following should a grant-writer address in the strategies section of their grant proposal? (Select ALL that apply)

The start and end dates of activities

Who has responsibility for completing each activity

The organization’s visionary goals; what could be accomplished if they had more time

Who will be served and how they will be identified

Question 4

Actions, behaviors, practice, and decisions are examples of which type of outcome?

Short term

Medium-term

Long-term

Question 5 ____________ are detailed descriptions of the activities an organization will conduct to achieve the ends specified in its objectives. Question 6 Short Essay (approximately 5 sentences): Imagine you are the grant-writer for an arts nonprofit. You are applying for a grant to support free cultural events to be held at your gallery. What are some of the challenges that arts organizations may face when developing problem statements? What are some strategies that can be used to write the problem statement, for this arts nonprofit?

Question 7

Provide 3 examples of ways that an organization could demonstrate sustainability to a grant funder.

Question 8

True or False: Both qualitative and quantitative data can be used in program evaluation.

 True

 False

Question 9

True or False: Goals are measurable and time-bound statements of how grant-seekers will know if their programs are working.

 True
 False

Question 10

____________ is a method used to attract funding from other sources or give an organization the tools it needs to raise other kinds of funds.

Question 11

What are some reasons an organization may decide to conduct a process evaluation? (Select ALL that apply)

A program is to new to conduct an outcome evaluation

To understand the integrity of the program process

To evaluate whether a program is in compliance with desired standards

To understand if staff work well together

Step

3

Writing a Compelling Problem Statement

THIS STEP HIGHLIGHTS THE KEY ELEMENTS of a problem statement (which some grantmakers might call a statement of need or needs statement), including the four requirements for it to be successful. The section also offers a worksheet and sample to serve as guides to preparing a problem statement for a proposal.

Purpose of the Problem Statement

An organization’s problem statement should answer the question, “What is the problem to be addressed?” Therefore this is a good place to begin writing a proposal. A problem statement sets the framework for the entire proposal, as it describes a critical condition or a social need affecting certain people or things in a specific place at a specific time.

The problem statement is fundamental to a proposal because funders must agree with the grantseeker that their program addresses an important community problem. Bolstered by accurate data (quantitative statistics) combined with the right selection of stories that provide a more personal illustration of the need (qualitative data), a compelling problem statement is often the first component that motivates a funder to give serious consideration to a nonprofit’s request. In addition, the unmet need – and an organization’s ability to address it – gives grantmakers an opportunity to realize their own goals and advance their own mission.

A solid and well-supported problem statement is the key that unlocks the door, moving a proposal that much closer to funding consideration.

Content of the Problem Statement

Here are some basic rules to follow when developing the proposal’s problem statement:

· The need being addressed in the statement should have a clear relationship to your organization’s mission and purpose.

· The problem statement should focus squarely on those communities the organization serves and their needs, rather than the organization’s needs – unless the organization is seeking a capacity-building grant.

· Any assertions about the problem should be supported with evidence (statistical facts, expert views, trends found in the experience of doing the work, and so on).

· The organization must be able to connect – and substantiate – the need described in the proposal with the organization’s ability to respond to that need.

· The problem statement must be easily digestible. Avoid using jargon, and do not make the reader have to work to understand the point. Graphs and charts with data to support the case can be good additions, as they present the data in a visual way.

The problem being addressed by the organization may be specific to its geographical area or it may be found in many communities. It may be nationwide or worldwide. Do not overpromise: define the piece of the problem that your organization can address.

If the problem exceeds the boundaries of the organization or proposed program, consider positioning the program as a potential model for other nonprofits in other locations. This enables the organization to broaden the pool of potential funders to include those concerned with the problem in other geographical areas. Begin by conducting research to discover whether other organizations in the service area have – or are developing – similar programs to address the same problem. If so, consider exploring a collaborative program that would leverage and expand the reach of each organization’s program plans and grant funds. Of course, consider these options only if they actually advance the organization’s goals, not simply to attract a funder.

If the organization decides to take either the model or collaborative approach, highlight this fact in the problem statement; the organization is addressing the need on a larger level through the development of a program that can be a model for others, or through leveraging its efforts with another organization (or more than one) so it can expand the reach and impact of its program.

Reality Check

Keep in mind that conducting a program as a replicable model or a collaboration will require different and possibly greater resources and effort than it would take to conduct the program itself. For instance, if an organization positions its program as a model for other nonprofits to replicate, it must document the program and its impacts much more thoroughly than it might otherwise. It must produce a report or training curriculum or some kind of mechanism that will enable others to replicate the program. It must develop a dissemination plan and conduct outreach to let others know about the program and how to replicate it. The additional cost and work are among the reasons why proposing a model program or collaboration should not be undertaken solely as a fundraising tactic, but only if such an approach will serve the organization’s mission and constituency.

Often arts organizations struggle with the problem statement section, owing to a perception that the arts do not meet a compelling community need. However, arts organizations should be encouraged, as they do meet important needs. Without these nonprofits, certain cultures and traditions would be lost, lives would not be enriched, and young people would not learn new and different ways of thinking or of expressing themselves.

The same holds true for social justice organizations that may struggle with how to quantify social change. Over the last few years, there has been more research in this area, and the Resource section (Resource C) offers some guidance on how best to frame social justice goals.

For general support grants, writing a problem statement may seem challenging because the proposal addresses the general work of the organization. Use the nonprofit’s mission and purpose as a guide, and focus on describing the problems that the organization addresses.

Definition

Collaboration
: Projects and programs undertaken by a partnership of multiple nonprofit organizations because the scope or complexity of the project will benefit from each organization’s particular expertise or provided services, or will enable more effective and efficient delivery of the program or services than individual organizations working alone or separately. It includes:

· Jointly developing and agreeing upon a set of common goals and direction.

· Sharing the risks and responsibility for obtaining those goals.

· Working together to achieve those goals, using the expertise and resources of each collaborator.

· Jointly developed structure.

1

Tips for Writing the Problem Statement

The problem statement should be concise. Many foundations require organizations to submit grant proposals through online portals that limit the available space to a specific number of words or even characters. (See the section on How to Use This Workbook for tips on how to write concisely.) Even if this is not the case, foundation guidelines often limit proposals to eight to 10 pages in total; corporate guidelines typically limit proposals to even fewer pages. The problem statement should take up only one or two of those pages, so the organization can use the majority of the space to write about how they will address the problem.

In stating the problem, use hard statistics from reputable sources and steer clear of assumptions and undocumented assertions masquerading as legitimate facts.

· Use statistics that are clear and that document the current unmet need or problem. If talking about a particular community within a city, offer one or two data points about the city, then zero in on the data specific to that community.

· Use comparative statistics and research where appropriate. Using data from a community that did something very similar to what you want to do and citing the benefits that the community derived from the project can make a strong case for your nonprofit to do the same.

· Quote authorities who have spoken on the topic. Be sure to cite the person who made each statement and the source where it was found, and if appropriate, provide backup information that substantiates that this person is indeed an authority on the subject matter.

· Make sure all data collection is well documented. When researching online, make sure that the websites being referenced are reputable and the links are both accurate and current; then cite the sources.

· Use compelling stories of people as examples. This is very effective, but only when balanced against hard data. Keep in mind that foundations vary in what they seek in terms of the right mix of vignettes and numbers. Follow their guidelines.

· Give a clear sense of the urgency of the request. Funders need to understand why the funding is important now.

Take a look at the following sample problem statement from the Alyson Eats program. (This statement is very brief; others can be longer, if the foundation guidelines allow it.) Then, using the proposal idea identified and developed in Step One, answer the questions on 

Worksheet 3.1A

, as this will assist in defining the need the organization is addressing. (

Worksheet 3.1B

 shows how Alyson Eats would fill out the worksheet.) After reviewing the sample problem statement and completing the worksheet questionnaire, write the organization’s problem statement based on the information developed. Next, answer the 2

>Problem Statement Review Questions

listed at the end of this step to make sure the statement is written well. Rewrite the problem statement until all the review questions are satisfactorily addressed.

Helpful Hint

4

>PROBLEM STATEMENTS FOR PUBLIC FUNDING

In the case of public funding, government entities are often very specific about the needs that they expect to be addressed by applicants, and grantseekers must pay close attention to the language used in Requests for Applications. For example, public funders may issue exact requirements for the population to be served (e.g., a specific demographic group), the geographic area(s) to be targeted, or the specific community need to be met.

Some other important tips for writing needs statements (or problem statements) for public funding:

· Use the most up-to-date government statistics available to document need. Some public funders specify the source of data – such as the FBI Uniform Crime Report or U.S. Census data – that must be presented in the need statement.

· Mirror the language used by the grantmaking agency in describing the target population, area to be served, and so forth.

· Participant stories and anecdotes often work well in foundation and corporate proposals but may not be right for many public funding applications. Be thoughtful about how you use anecdotal information in the needs statement.

· Public funding applications are usually scored on a point system. Pay attention to points given for specific areas of need and be sure to specially address those that can be awarded the highest points.

· Above all else, follow the RFA instructions to the letter so that you don’t lose points or become disqualified on a technicality.

Sample Problem Statement

Approximately 130,000 residents of Alyson, most of them living on the city’s south side, are at risk for hunger. On the south side, most children qualify for free lunch at school (

7

6

%). Adults sometimes skip meals because there is not enough food in the home (3

9

%), and many parents worry at the beginning of the month how they will feed their children by the end of the month (4

5

%), as a survey conducted last year by the Alyson City Council revealed. The summer months are particularly difficult because schools, and school lunch programs, are closed.

Convenience stores, take-out places, and fast-food restaurants abound on the south side, and many families must make do with the food they offer. Fresh, nutritious food is not only more expensive than less-nutritious food ($1.50 a day costlier, according to researchers at the Harvard School of Public Health), but also geographically out of reach for most residents of the south side, a large proportion of whom do not own cars. Only one-third of the neighborhoods in the south side are within reasonable distance – less than three miles – of a full-service grocery store via public transit. As a result, many south-side children grow up rarely having been in a supermarket, and with no opportunity to learn the consumer skills that can enable them to choose and afford healthful food throughout their lives.

We know that hunger is not merely the lack of food; it is the lack of access to resources, economic opportunity and social mobility – in other words, poverty. While Alyson Eats supports and partners with organizations that fight the root causes of poverty, including several grantees of the Future Foundation, our goal is more immediate: to reduce the suffering of those who are hungry. To this end we conduct a number of programs that serve and involve the low-income residents of Alyson’s south side.

    

WORKSHEET 3.1A

: Statement of Problem Questionnaire

	Who? Where? When?		What? Why?		Evidence of Problem		Impact If Problems Resolved?
Who is in need (people, animals, land, and so forth)?	What is the problem? (Get specific)	What evidence do you have to support your claim?	What will occur if the needs are met? What will be different—and how?
Where are they? (General: city/state; and specific: neighborhood, geography)	Why does this problem exist?	How is the problem linked to your organization?
When is the problem evident?

Winning Grants Step by Step, Fifth Edition. Copyright © 2019 by John Wiley & Sons, Inc. All rights reserved.

    

WORKSHEET 3.1B

: Statement of Problem Questionnaire, filled out by Alyson Eats

Who? Where? When?

What? Why?

Evidence of Problem

Impact If Problems Resolved?

Who is in need (people, animals, land, and so forth)? About 130,000 people	What is the problem? (Get specific) Approximately 13% of Alyson’s population lives in hunger or at risk of hunger (food insecure)	What evidence do you have to support your claim? Data from U.S. Census bureau, recent survey by Alyson city council, direct observation	What will occur if the needs are met? What will be different – and how? Adults and children are healthier when they are not hungry, students learn better, parents experience less stress.
Where are they? (General: city/state; and specific: neighborhood, geography) Living on the south side of the city of Alyson	Why does this problem exist? Long-term disinvestment in the primarily people-of-color neighborhoods on the city’s south side	How is the problem linked to your organization? The mission of Alyson Eats is to reduce the suffering of hunger on the city’s south side. We can’t solve the problem but can ease it considerably for the thousands of families we serve.
When is the problem evident? The problem is ongoing, but exacerbated in the summer when children are not provided school lunches

Winning Grants Step by Step, Fifth Edition. Copyright © 2019 by John Wiley & Sons, Inc. All rights reserved.
Problem Statement Review Questions

Once a problem statement is completed, answer the following six questions to see whether the statement hits the mark:

1. Is the problem statement focused on those who will be served by the program (and not on your organization)?

2. Does the problem statement directly connect to the organization’s mission statement?

3. Does the statement explain how the organization, given its size and resources, can address the problem in a meaningful way?

4. Is the problem statement adequately supported by solid and reputable quantitative and qualitative data on the nature, size, and scope of the need to be addressed?

5. Is it sweet and simple (remember KISS from a previous chapter)?

6. Is the problem statement persuasive without being wordy?

Reality Check

Avoid the trap of circular reasoning, which commonly occurs in problem statements. To use the Foundation Center’s definition, circular reasoning occurs when “you present the absence of your solution as the actual problem. Then your solution is offered as the way to solve the problem.” For example, “The problem is that our community has no food program for children during the summer. Conducting a summer food program for children will solve the problem.”

This statement does not communicate a problem: communities across the country thrive with no summer food program for children. However, if the proposal establishes that such a program would address certain challenges the community is facing and, if the proposed program is new, cites a similar community where a summer food program has had a positive impact in ways that are documented, it could build a compelling argument that would provide the context for the problem statement. In the sample proposal, the organization has conducted the program for years, and has its own data to demonstrate the community’s need and the program’s impact.

The program’s need is now established. Developing the program’s goals and objectives is next, which is 

Step 4

.

Note

  1. Definition courtesy of the Greater Green Bay Community Foundation, 

https://www.ggbcf.org/-Grant-Scholarship-Seekers/Grants-Process/Definition-of-Collaboration

.

Step 4
Defining Clear Goals and Objectives

IN THIS STEP GRANTSEEKERS LEARN the concept of writing clear goals and objectives – and the important differences between those two terms. Using the website and following the examples, grantseekers construct goals and a set of objectives for their own proposals.

Purpose of the Goals and Objectives Components: The “So What?” Factor

Once an organization has articulated (in the problem or need statement) the problem to be addressed, the next step is to develop solid goals that define what the organization intends to accomplish through its program, and establish measurable objectives that will indicate the organization’s progress toward its goals. The goals and objectives will allow the organization and its funders to know whether the program is successful at the conclusion of the grant. Poorly defined goals and objectives, or goals without objectives, push projects into missed milestones, overworked staff, unhappy clients, and disillusioned funders. Goals and objectives should be clear statements of purpose that define the end result of the project.1

Definition of Goals and Objectives

Some terms can be confusing, especially if the assumption is made that everyone understands what they mean. So it’s important to keep in mind that goals are what the program aspires to achieve, and objectives “should clarify what changes you expect to see as a result of your work.”2Don’t confuse the organization’s mission, which is its ongoing reason for existence, with the organization’s goals, which are more narrowly focused on an organization’s programs andprojects, and which might change from year to year.

Many foundations ask grantseekers to break down their objectives into smaller pieces, such as activities and outcomes, and some grantmakers use their own particular definitions. For this reason, it is essential to review each foundation’s guidelines and follow their instructions. Other terms some grantmakers might use under the general umbrella of goals and objectives include:

· Activities: the work that the organization will undertake in order to achieve its goals.

· Outcomes (sometimes used interchangeably with objectives; some foundations call these accomplishments): what will have changed as the result of the organization’s work during the course of this grant.

· Outputs: materials or other products the grantseeker’s program will produce, such as a training video.

· Measures of success (sometimes called benchmarks): how the organization will know it has achieved its objectives.

Some foundations ask grantseekers to articulate what they expect to achieve within different timeframes. For instance, some grantmakers ask for short- and long-term objectives – and they may define these terms in their own way. To one foundation, a short-term objective may mean what the grantseeker can achieve within the grant period, while another foundation may define short-term as over the next three years. These definitions will be spelled out in the foundation’s guidelines.

An organization may have more than one goal, and each goal may have more than one objective. In the sample proposal, for example, the organization as a whole has one goal and one objective. However, the organization conducts four programs, each of which has its own goal and objective. These four program objectives add up to the organizational objective. A smaller program may have only one goal and two or three objectives. What is important is that both the goals and the objectives are directly tied to the problem statement (Step 3).

Goal: The “thing(s) you’re attempting to accomplish,” which “show the funder that you have a vision for solving the problem.”3 Grantseekers might have goals for their organization as a whole, and/or for their programs. A good approach is to make sure a goal is SMART: Specific, Measurable, Achievable, Relevant and Time-bound. (Variations of the SMART formula abound: for instance, replacing Achievable with Ambitious, or Relevant with Realistic. It’s a tool – use the SMART definitions that work best for the project at hand.)

· Example: (Organizational goal) Reduce hunger in the city of Alyson.

· (Program goal – Every Youngster Eats) Reduce the summer school-lunch gap for 1,000 children.

Objective: A “major milestone … or benchmark on your route to reaching a goal.”4 An objective must be measurable.

· Example: (Organizational objective) Provide more than 200,000 nutritious meals to children and adults in Alyson who are experiencing or are at risk for hunger.

· (Program objective – Every Youngster Eats) 1,000 children will receive lunch five days a week from June through August (12 weeks), for a total of 60,000 meals.

Writing tip

When writing an objective, use verbs (action words), such as increase, decrease, reduce, improve, gain, create, provide, equip, and so on.

Everyone struggles in the beginning with the difference between goals and objectives. Use the side-by-side comparison in 

Table 4.1

 as an aid.5

Table 4.1

 Goals versus Objectives

Goals

Objectives

	Goals		Objectives
Are broad statements Provide focus, vision, and direction Can be idealistic and do not necessarily have to be reached during the proposed grant period Can be nonspecific and nonmeasurable	Are realistic steps to achieve the goal(s) Are active and use strong action verbs Answer: What? Why? Who? How? When? Can be validated Are clear to everyone with a basic knowledge Are SMART:  · Specific · Measurable · Achievable · Relevant · Time-bound
Example of Strong Goals and Objectives
All children have a playground within walking distance	Increase the access to playgrounds for children in Eastown by two playgrounds each year for the next five years.
Asthma is no longer the number one reason that children miss school	All students in grades K–3 who are diagnosed with asthma decrease their incidents of severe attacks by 15 percent in the first semester.
All adults can read confidently to their children	Eighty-five percent of first-time, new parents in the Barrisville section of Anytown can read and have child-appropriate books in their homes within a year of their first child’s birth.

Outcome-Focused Objectives

It is important to ensure that a grant proposal’s objectives focus on outcomes (the change) versus the process (how the change will be made). The “how” is addressed in the next step, which centers on strategies. Outcomes answer these questions: What will be different, improved, or better as the results of an organization’s actions? What can be measured?

An example of an outcome objective: “1,000 children will receive lunch five days a week from June through August.” There is another kind of objective, sometimes called process objectives. These focus on activities, for example, “To distribute ready-made meals to childcare centers, nonprofit day camps, and so forth, to make up for the school lunches that children rely on during the school year.”

Although there is a place for process objectives (see the Reality Check later), foundations are generally more interested in outcomes – in what an organization expects to achieve. In fact, a common error grantseekers make is to confuse activities (“We will conduct a program to distribute ready-made meals”) with outcomes (“1,000 children will receive lunch five days a week”).

As one example of a foundation’s guidelines, the Morris & Gwendolyn Cafritz Foundation in Washington, DC asks four clear and simple questions an organization should answer pertaining to the problem statement and outcomes:6

1. What problem/need does this project address?

2. What is your organization’s proposed solution to this problem/need, and how will it be implemented?

3. What evidence will prove the success of this project?

4. What results are you committed to achieving during the grant period?

Step 3 emphasized that the problem statement must focus on what the community needs, not what the organization needs; similarly, objectives should focus on what change the organization will achieve, not what the organization will do. The outcome-focused approach benefits an organization by allowing it the flexibility to adjust its strategies and activities as needed to reach its objectives – and ultimately to achieve its goals.

Definitions

1. Goal is what the program will achieve. Goals are visionary and may not be measurable.

2. Objectives are how grantseekers will know if their program is meeting its goal(s). Objectives are measurable and time-bound.

3. Strategies define the activities or methods needed to accomplish the objectives. Strategies are the “how to.”

Because outcomes are considered powerful indicators of success, this workbook focuses more on outcome objectives rather than process objectives. A growing numbers of funders, as well as individual donors, are looking to make an impact with their grants. A grantseeker’s outcome-focused objectives will help funders understand how their investment in the organization will make an impact by creating positive change.

Reality Check: Advocacy

Creating systems change, advocating for a community, group of people or position, and/or enabling community activism takes time, and the path to success is not always clear or easy to quantify. Because of the nature of this work, grantseekers may want to include process objectives as well as outcome objectives. These process objectives are the small wins that allow everyone to measure the progress in moving toward the goals.

Example for Advocacy Work

· Outcome: Schools replace high-sugar snacks with nutritious snacks in vending machines on campus.

· Process or small win: Have a proposition on the November ballot banning high-sugar snacks in school vending machines.

· Process or small win: Collect enough signatures to be on the November ballot.

The following chart contains some questions that may help grantseekers define better outcomes.7

Process-Oriented Questions	Outcome-Oriented Questions
What services do you offer?	What community results do you hope to accomplish through your services?
What is it that your organization does?	What is it that your organization is striving to achieve?
What service needs does your organization or agency meet?	What change in condition or behavior are you attempting to effect in the people you serve?

Writing Outcome Objectives

Answering the following questions will help to articulate the results the organization expects to accomplish:

· Based on the problem statement, what is (are) the key area(s) the organization is seeking to change?

· Who (what segment of the population or community) will be involved in the change?

· How will the change be measured (an increase or improvement, or a decrease and reduction)? And by what degree (by how much)?

· When will this change take place? How many months or years or by what specific date?

After you have written your objectives, it is helpful to run one last test to see if the objectives are SMART:

8

· Specific: Do they answer some or all of the five W questions about what change the organization wants to create (who, what, when, where, why)?

· Measurable: How will you know if you’ve met the goal? What metrics will you use? What benchmarks will serve as stepping stones to the final goal?

· Achievable: This is the reality check. Based on available resources (knowledge, funding, staffing, partners, physical space, etc.) and access to the target population, will the organization be able to make the change it envisions within the defined time? And with the resources requested? It is important to strike a balance between being overly ambitious and aiming too low.

· Relevant: Are the objectives results-oriented and rewarding to the organization, its funder(s), and, most important, the community being served?

· Time-bound: What is the deadline for reaching the change envisioned?

Reality Check

The SMART system has been in use for many years. The Management Center, which serves as a resource on effective management for social change organizations, has updated this tool with measures that are important to both foundations and grantseekers today.9 Their “SMARTIE” system includes the classic SMART descriptions, and adds:

· Inclusive: Brings traditionally marginalized people – particularly those most impacted – into processes, activities, and decision/policy making in a way that shares power.

· Equitable: Includes an element of fairness or justice that seeks to address systemic injustice, inequity, or oppression.

“SMARTIE goals are about including marginalized communities in a way that shares power, shrinks disparities, and leads to more equitable outcomes,” The Management Center explains. This approach can be used for any kind of program, from direct service to arts organizations.

Helpful Hint

Objectives measure a change: an increase or improvement, a decrease or reduction, or the creation of something that didn’t exist previously. Active phrases, like “our objective is to reduce X” are crisper than more passive phrases, such as “our objective is reducing X.” As much as possible, avoid using words that end in “ing.”

Public Funding: Goals and Objectives

Unlike private funders, public funders often provide specific goals and objectives they expect grantees to be able to meet, and applicants should be sure to state that they will meet those projected benchmarks in their goals and objectives. These expected goals and objectives may be tied to laws and regulations that authorize the funding opportunities. For example, many local public workforce development programs derive their funding from the multibillion-dollar, federal Workforce Innovation and Opportunity Act (WIOA). WIOA has specific performance measures related to job placement, job retention, attainment of credentials, and building relationships with employers, among others, that applicants must be prepared to address in their applications.

Public-funding applications may ask for goals and objectives to be stated in specific formats and/or to be presented in logic model format. Be sure to follow formatting directions to the letter.

As described in 

Step 1

, a logic model is a graphic representation of the program and its outcomes. If a logic model is required, there may be a sample provided the RFA. If not, there are many free downloadable templates and sample logic models available online.

Tips for Writing Good Goals and Objectives

Do …

· Include at least one goal for the project and one or two outcome objectives.

· Make sure that the goals and objectives tie back to the problem statement. This is critical.

· Include all relevant groups in the target population in the goal(s). When writing objectives, it’s fine to specify an outcome for a particular population or community.

· Allow plenty of time to accomplish objectives. Things always take longer to implement than planned. It is better to undercommit and overperform than to overcommit and underperform.

Don’t …

· Overpromise what can be accomplished. Limit the number of goals to one to three per program and no more than three objectives per goal. An organization will need to keep track of – and report to the funder on – all the objectives tied to the goals, so keep it manageable with a small number of the most meaningful objectives.

· Confuse outcome objectives with strategies or activities. Running a food pantry is an activity. To ensure that at least 3,000 households reduce their risk of hunger over the course of the year is an outcome objective, as it describes the result expected to be achieved.

· Forget to budget for evaluation activities (Step 6) if measuring the objective(s) will have costs associated with it.

Use 

Worksheet 4.1A

 to prepare to write proposal goals and objectives by focusing on outcomes. Start by writing down the goal of the program. Then describe the objectives that tie to that goal. Use the filled-out 

Worksheet 4.1B

 as a guide. If an organization has more than one goal for its program, use a separate copy of Worksheet 4.1A for each goal. Limit the objectives to no more than three per goal.

    

WORKSHEET 4.1A

: Goals and Objectives Exercise

Grantseekers should complete this worksheet for themselves. For guidance refer to Worksheet 4.1B, which contains sample goals and objectives based on the Eating Is a Right program.

GOAL:

	Objective 1		Objective 2		Objective 3
	Direction of change
	Area of change
	Target population
	Degree of change
	Time frame
Follow this standard form as objective statements are developed: To (direction of change) + (area of change) + (target population) + (degree of change) + (time frame).

Winning Grants Step by Step, Fifth Edition. Copyright © 2019 by John Wiley & Sons, Inc. All rights reserved.

    

WORKSHEET 4.1B

: Objectives Worksheet Completed for the Eating Is a Right Program

GOAL: To provide access to 144,000 healthful meals for individuals and families in Alyson’s south side.

Objective 1

Objective 2

Objective 3

Direction of change

Area of change

Target population

Degree of change

Time frame

Increase

Residents of the city of Alyson’s south side

Families who are hungry or at risk of hunger

9,000 boxes of food totaling 144,000 meals will reach at least 3,000 households

One full year

Winning Grants Step by Step, Fifth Edition. Copyright © 2019 by John Wiley & Sons, Inc. All rights reserved.

When this is completed, go through the

Goals and Objectives Review Questions

using the same approach you used for the problem statement. Remember, the goal is to be able to answer yes to each question in the review questions.

Goals and Objectives Review Questions

1. Are the goals stated as results? And do they relate to the problem statement?

2. Are the outcome objectives stated as results that relate to a program goal? Are they stepping stones to achieving success (the goal)? Can everyone understand them?

3. Can progress in meeting the objectives be measured and assessed?

4. Do the objectives describe the population and a specific time frame for change?

The organization’s problem statement is in order, and the “so what?” factor has been addressed in the program’s goals and objectives. So let’s move on to 

Step 5

 where the development of the organization’s strategies, or activities, will help to achieve the program’s objectives, thus leading to the accomplishment of the program’s goals.

Notes

  1. Rhonda Goetz, Defining Project Goals and Objectives, January 2010, 

www.projectsmart.co.uk

.  2. Walter and Evelyn Haas, Jr. Foundation Guidelines, 

https://www.haasjr.org/grants/for-current-grantees/sample-objectives

, accessed November 2018.  3. Beverly A. Browning, Grant Writing For Dummies, 6th ed. (Hoboken, NJ: John Wiley & Sons, 2016).  4. Ibid.  5. Adapted from UCLA Center for Health Policy Research, Health DATA, Train the Trainer Project. Performing a Community Assessment Curriculum, 2004. 

http://healthpolicy.ucla.edu/programs/health-data/trainings/Documents/tw_cba7

.  6. 

www.cafritzfoundation.org/apply/before-you-apply

.  7. Adapted from Robert A. Penna and William J. Phillips, Outcome Frameworks (Albany, NY: Rensselaerville Institute’s Center for Outcomes, Fort Orange Press, 2004), 8.  8. Adapted from Emily Esposito, “The Essential Gide to Writing S.M.A.R.T Goals,” 

Smartsheet.com

, 

https://www.smartsheet.com/blog/essential-guide-writing-smart-goals

, accessed December 2018.  9. SMARTIE Goals Worksheet, The Management Center, 

SMARTIE Goals Worksheet

.

Step 5
Developing the Strategies

THE STRATEGIES AN ORGANIZATION USES to reach its objectives are the focus of this step. Some funders may refer to this as a workplan. In this chapter, grantseekers look at the elements of developing the strategies component of a proposal and learn how to use a timeline to outline their plan of action. Using a worksheet and examples, organizations can write strategies that align with the objectives developed in Step 4.

Purpose of the Strategies Component

The problem statement is articulated, and the goals and objectives are set. The strategies component of the proposal systematically walks the prospective funder through the steps the organization proposes to carry out in order to accomplish its objectives. Strategies answer this key question: How will an organization actually accomplish the work for which it seeks funding?

Content of the Strategies Component

Strategies are detailed descriptions of the activities an organization will conduct to achieve the ends specified in its objectives. This section of the proposal should spell out the methods to be used and give the reasons for choosing them. Any research supporting the use of these methods – such as their previous successes or, if the methods are untested, data that support the assertion that these methods might prove successful – should be included. This section should also address whether the strategies selected are already in place within the organization and being replicated by the program, or whether they are new or being modified in some way, based on research or lessons learned. Finally, this section should describe the staff that will direct and implement the program and their qualifications, and identify the client population to be served, along with the reasons why this population was selected.

To develop the strategies component, answer the following questions:

1. What activities need to be carried out in order to meet the objectives?

2. What are the starting and ending dates of these activities?

3. Who has responsibility for completing each activity?

4. How will those served be identified? Or how will participants be selected? (The latter question is not applicable to all projects.)

5. How was this methodology determined to be the best one to solve the problem presented? Does it build on models already in existence, or is it a different approach? If it is different, why is it different? And why did the organization select it?

The strategies section should be realistic: the organization should be able to complete the proposed activities within the timeframe stated in the proposal, using the available resources. For proposals with multiple objectives and strategies, it is a good idea to include a timeline showing when each strategy will start and finish. The accompanying Sample Timeline for Alyson Eats shows one way to chart a nonprofit’s activities on a timeline.

Tips for Writing the Strategies Component

· Align the organization’s strategies to the program’s objectives and problem statement.

· Tie the strategies to the resources being requested in the program budget. Each activity should match its corresponding cost exactly.

· Explain the rationale for choosing these strategies; talk in terms of research findings, best practices, expert opinion, community surveys or need assessments, and the organization’s past experience with similar programs.

· Spell out the facilities and capital equipment that will be available for the project.

· Build various activity phases on top of one another to move the effort toward the desired results. Include a timeline if space allows.

· Be sure to discuss who will be served and how they will be identified.

· Do not assume that the funder knows about the nonprofit, its target audience, or what it proposes to accomplish.

·
    
WORKSHEET 5.1
: Worksheet Sample Timeline (Abbreviated Version)

Activity and Lead Responsible

FY 19 Quarter 4

FY20 Quarter 1

FY20 Quarter 2

FY20 Quarter 3

FY20 Quarter 4

Confirm and coordinate food donations for FY 2020 (food resource team)

X

X

X

Conduct volunteer outreach, recruitment and trainings in at least 12 community-based sites (volunteer manager)

X

X

X

Confirm all FY20 food distribution sites and add at least three new ones in areas of greatest need identified through community survey (community outreach manager)

X

X

Confirm food contributions and summer food distribution sites (food resource team)

X

Plan Sharing Is Caring workshops including facilitators and confirm community-based training sites (community outreach manager)

X

X

X

Hold Volunteer and Community Partner Recognition Day (volunteer manager)

X

X

Finalize Memorandum of Understanding (MOU) with Alyson High School for Food for Life Program (executive director)

X

Work with Alyson High School to identify at least 30 students for program participation; ensure students have parental/guardian approval for participation (community outreach manager)

X

X

Administer pretest to participants (Alyson High School staff)

X

Hold year-end family meals and administer posttest (community outreach manager and Alyson High School staff)

X

Continuous evaluation of all Alyson Eats programs and FY 21 planning process.

X

X

X

X

· Look over the sample Strategies Component for Alyson Eats. Then develop your organization’s strategies by completing Worksheet 5.1, which should list the key elements of the organization’s planned program. (See the Alyson Eats example worksheet 5.1B.) Finally, use the Strategies Review Questions to review the organization’s methods in the same way the questions were deployed in the organization’s program statement and goals and objectives.
Strategies
Alyson Eats provides most of our anti-hunger services through our three core programs, which we have tested and refined over the years and adapted to meet the changing needs of our communities.
EATING IS A RIGHT (EAR)
Alyson Eats created a large food pantry in a warehouse on the south side. Here we receive, inspect, organize and distribute boxes of healthful groceries for hungry families. The pantry is open for pick-up Wednesday through Sunday, from 6:00 a.m.–8:00 p.m. year-round to enable both day- and night-shift workers to stop in. Through the EAR program, we also distribute food boxes to central locations throughout the city, including schools, parks, churches/mosques/synagogues, and the main bus station. EAR is our oldest and most substantial program, requiring an extensive team of staff and volunteers in the warehouse, pantry, and behind the scenes, to source, inspect, transport, categorize, and distribute the food. As one tiny but vital example, we need a small army of volunteers – usually students – to fold and set up hundreds of cardboard boxes, which we buy in flat-packed bundles.
In 2020 we will distribute at least 9,000 boxes of nutritious food, each box weighing about 20 pounds and sufficient for 16 meals. This will total approximately 144,000 meals and 180,000 pounds of food during 2020. We do not ask for or keep track of our clients’ names, but we estimate that the 9,000 food boxes will serve at least 3,000 households, since many of our clients are “repeat customers” who come in a few times a year for food supplies.
· Goal: To provide access to 144,000 healthful meals for individuals and families in Alyson’s south side.
· Objective: The distribution of 180,000 pounds of nutritious food will reduce the risk of hunger for at least 3,000 households.
EVERY YOUNGSTER EATS (EYE)
During the summer months, Alyson Eats distributes ready-made lunches to childcare centers, nonprofit day camps, and so forth to make up for the free school lunches that children rely on during the school year. We partner with a local organization that helps parents organize childcare collectives, to make sure independent childcare providers have access to the EYE program’s meals for the children they care for.
· Goal: To reduce the summer school-lunch gap for 1,000 children.
· Objective: 1,000 children will receive lunch five days a week from June through August (12 weeks), for a total of 60,000 meals.
SHARING IS CARING
This is our outreach program, through which we recruit and engage individuals, institutions, and businesses from across the city to participate in our anti-hunger activities. Our staff, volunteers, and board members seek to enroll businesses, grocery stores, caterers, and so forth to provide fresh, unopened goods to the EAR and EYE programs. We also help schools, congregations, Scout troops and others to organize food drives.
Sharing Is Caring is also the program through which we recruit and train a large portion of our volunteers. In many cases, these are people who work for the businesses and institutions that share their fresh food with us. We also recruit at schools, houses of worship, and through African American sororities, whose alumnae are among our strongest volunteer leaders. Every new volunteer goes through a three-hour training program and is assigned an experienced volunteer as a mentor. Each volunteer is asked to give at least 25 hours a month (e.g., one shift per week at the food pantry). We provide ongoing training, leadership development and education opportunities for volunteers so they can understand more deeply the causes of hunger and poverty and the power of informed citizens to change these dynamics. Although our staff members lead some of these programs, much of the training and teaching is done by local educators, by Alyson Eats’ partner organizations in the advocacy and social change sectors, and by seasoned volunteers who have taken on important leadership roles. In 2020 we will recruit 40 additional volunteers, with the expectation that most volunteers will drop off or participate occasionally, but that we will be able to retain and develop 15 core volunteers from the group.
· Goal: To increase volunteer engagement and participation by 30 percent.
· Objective: Fifteen new core volunteers will contribute 4,500 hours of volunteer service.
FOOD FOR LIFE
This is a new program that we will test in 2020. The program is designed to help teenagers learn how to shop for and prepare simple, inexpensive, healthful meals from scratch, using widely available and/or seasonal ingredients. Of course, many young people in Alyson learn this from their own family members. Food for Life is for teenagers who don’t have access to such experiences, such as the many south-side kids whose parents work two and three jobs.
During this first year, we will take three teams of 10 young people each on field trips to supermarkets and farmers markets, to familiarize them with the food products available in the wider world above 38th Street, and get them comfortable navigating the process of grocery shopping. We’ll teach the young people skills such as how to read food labels, compare prices, and shop for sales, as well as basic cooking techniques. At the end of the year, students will invite their families to the Alyson Eats offices to enjoy a meal they themselves have shopped for and prepared.
But as we mentioned earlier in this proposal, “widely available” does not necessarily apply to Alyson residents who live in what is essentially a food desert, and seasonal produce may not be something they regularly encounter. A longer-term goal of Food for Life (beyond this one-year grant period) is to encourage local farmers markets both to establish more markets in the south side and to accept SNAP payments. Ultimately, we hope to introduce young people to an array of food choices that may be available to them in the near future, if not already, and to introduce food sellers to a whole new customer base they are not currently reaching.
· Goal: To test the efficacy of a pilot program in improving eating habits and consumer awareness among high school students.
· Objective: Thirty high school students enrolled in the pilot program will complete a pre- and post-assessment of the program’s first year and discussion of how to refine the program in future years.
    WORKSHEET 5.1A: Worksheet Strategies Exercise

Activities – tasks and subtasks

Responsible – lead staff or team, volunteers

Resources Required

Start and Completion Dates

 

    WORKSHEET 5.1B: Worksheet Strategies Exercise – Food for Life program

Activities – tasks and subtasks

Responsible – lead staff or team, volunteers

Resources Required

Start and Completion Dates

Finalize MOU with Alyson High School (AHS)

Exec. Director

Draft MOU, one-page summary of program

9/1/19
9/30/19

Identify 30 students to participate

Community outreach manager (with AHS staff)

List of qualifications for participants
Permission form for parents/guardians

1/10/20
1/31/20

Administer pre-test to participants

Community outreach manager (with AHS staff)

Online survey
Reserve computer time in school library

2/10/20
3/2/20

Strategies Review Questions
1. Do the strategies discussed in the proposal derive logically from the problem statement and the goals and objectives?
2. Do the strategies present the program activities to be undertaken?
3. Has the grantseeker explained why they selected the specific strategies or activities?
4. Has the grantseeker explained the timing and order of the specific activities?
5. Is it clear who will perform specific activities? And do their credentials and/or experience demonstrate that they are appropriate to carry out the activities of the program?
6. Given the organization’s projected resources, are the proposed activities feasible?
If an organization is following along with each step, including testing each proposal component against the questions at the end of each, it is now in a prime position to be successful in the next step: developing the evaluation component, which is Step 6.

Step 6
Preparing the Evaluation Component

EVERYTHING COMPLETED UP TO THIS POINT in the development of the organization’s proposal (problem statement, goals, objectives, and strategies) naturally leads to this component. The evaluation answers critical questions for both the organization and the funder, such as:

· Was the program successful?

· Did it do what it was designed to do?

· What did the organization learn from this experience that can be leveraged?

· What didn’t work – and why?

· What’s different in the community or the lives of those targeted as a result of the program?

Before writing this section of a grant proposal, it is essential for an organization to plan how it will evaluate what it proposes to do. This step explores learning how to write an effective evaluation plan so that the organization can demonstrate the success of its program and measure program impact – and capture the lessons learned. An exercise will help grantseekers think about what their evaluation plans should contain.

Definitions

Impact: The change an organization creates as a result of its program activities.

Leverage: A method of grantmaking practiced by some foundations, when they give a small amount of money with the express purpose of attracting funding from other sources or providing the organization with the tools it needs to raise other kinds of funds. Sometimes known as the “multiplier effect.”

1

 (An organization may also use leverage, for instance by enabling other organizations to replicate successful approaches it has developed, thus using one effort to build strength for other efforts.)

Purpose of the Evaluation Component

Evaluation is a process that determines the impact, effectiveness, and efficiency of a program. It reveals what worked and – equally important – what did not. Funders expect to hear from organizations how they define and measure the success of a program, whether the funder explicitly requests an evaluation or not. Yet the primary purpose of an evaluation should not be to satisfy a funder, but to help an organization assess the effectiveness of its work and plan for the program’s future. For that reason, how a program will be evaluated must be determined prior to its implementation, so that the organization can build evaluation measurements into the program plan. The organization then will be well-positioned to produce, at the end of a grant period, an organized and objective assessment documenting the return on investment for funders and the realized benefits to the community the organization serves.

Definition

Return on investment (ROI): The amount of benefit (return) based on the amount of resources (funds, hours of work) used to produce it.

The Virtues of Evaluation

First, a good evaluation component strengthens the proposal from the funder’s perspective. Grantseekers are asking potential grantmakers to invest in their organizations and programs – and they are asking the funders’ staffs to be their advocates. They want the funders to bet on the fact that the world will be improved in some specific way as a result of the nonprofits’ proposed programs. Essentially, the programs serve to test a hypothesis: “If we do this, then that will happen.” A solid evaluation component in a proposal reassures funders that the organizations are interested, as the funders are, in learning whether this hypothesis is correct.

Second, through evaluation, organizations will learn about the programs’ strengths and areas of weakness. The process of thinking through the evaluation design can strengthen a program before it is even implemented. From there, organizations can take the knowledge gained through an actual evaluation and share it with staff and volunteers to improve programs as they are being implemented. This knowledge may also be shared with others in the field so that they, too, can learn from the lessons of the program’s work.

The third benefit is to the public – the impact. Dollars granted from foundations and corporate-giving programs are dollars dedicated to charitable good; therefore, with each grant an organization receives, it becomes a recipient of public trust. Because of that, the organization has an obligation to ensure that its programs are actually having a positive impact on the community or on the organization’s target audience. Evaluation is one of the strongest and most effective tools any nonprofit has to verify and document that it is indeed fulfilling its obligation to make a positive impact on the community it serves.

Definition

Hypothesis: The assumed proposition that is tested in a research process.

Internal or External Evaluation

Some foundations will allow organizations to designate a certain amount of money or a certain percentage (generally from 5 to 10 percent, sometimes more) of the total program budget for evaluation; others will not. Therefore, organizations need to consider how they will evaluate their programs for the purpose of documenting results, findings, and lessons learned. There are some organizations that will spend time up front designing their evaluation components with the confidence that they have both the staffing and the expertise in place to objectively handle the evaluation internally. Other organizations will decide to engage an outside evaluator; among the most common reasons for doing so are that the organization (1) lacks expertise among the staff, (2) has the staff expertise but lacks the staff time to dedicate to evaluation, or (3) wants the evaluation to be deemed as objective as possible. Keep in mind that even if an organization hires an outside evaluator, it needs to reserve some staff time for the evaluation. An outside expert cannot conduct an evaluation without significant participation from the organization.

Organizations should provide some background information in the proposal that indicates whether they plan to evaluate the program internally or hire an external evaluator. The proposal budget should also reflect an expense line item for evaluation.

Content of the Evaluation Component

To design an evaluation, one first needs to consider the organization’s definition of success – the “so what?” factor. Then one must have a clear understanding of how the activities described in the proposal will lead to the expected outcomes. Finally, one needs to identify the aspects of the program for which it is most important that the organization can assess how well they worked – and why they did or didn’t work.

Organizations conduct evaluations

1. Find out whether the hypothesis was correct: Did what the organization proposed actually do what the organization expected it would?

2. Determine whether the strategies that were specified were indeed used and the objectives met.

3. Determine whether the organization’s work made an impact on the problem identified.

4. Obtain feedback from the clients served and other members of the community.

5. Make midcourse corrections along the way to increase the program’s chances of success.

When preparing the evaluation section of the proposal, answering the following questions will help frame the description:

1. What is the purpose of the organization’s evaluation?

2. How will the findings be used?

3. What will the organization know after the evaluation that it does not know now?

4. What will the organization do after the evaluation that it cannot do now because of lack of information?

5. How will the lives of the people or community served by the organization be better?

6. Did the organization use the funder’s investment wisely? Were the funds effectively managed or leveraged?

7. Was the program budget accurate, or did the program components end up costing significantly more or less that the organization expected?

This workbook provides a broad overview that can help grantseekers determine the parameters most appropriate for the program. Generally, there are two approaches to data collection: quantitative methods and qualitative methods.

Quantitative methods are methods to quantify (measure or count) data. Using this method, an organization collects data that can be analyzed statistically, via averages, means, percentiles, and the like. It can help an organization quantify how much it did – how many people did it train? How many meals did it deliver? These analyses allow organizations to make statements about cause-and-effect relationships. Employ quantitative methods in order to:

· Understand the quantities or frequency of particular aspects of a program (such as number of enrollees or number of dropouts).

· Determine whether an organization’s actions directly caused a particular result.

· Compare two different methods seeking to achieve the same outcomes.

· Establish numerical baselines that can be used in before-and-after comparisons (through such means as pretests and posttests, and quarterly or yearly follow-ups).

Qualitative methods, in contrast, are based on direct contact with the people involved with a program. These methods consist of interviews (group or individual), observation (direct or field), and personal stories told both in writing and in photos or videos, as well as review of selected documents. This approach can help organizations examine what it did and why it mattered. Employ qualitative methods in order to:

· Understand feelings or opinions about a program among participants, staff, or community members.

· Gain insight into how patterns of relationships in the program unfold.

· Gather multiple perspectives to understand the whole picture.

· Identify approximate indicators that clients are moving in the “right” direction.

In other words, pretests and posttests are not the only measures of success. By taking the time upfront to think strategically, an organization can come up with an evaluation design that incorporates both quantitative and qualitative methods.

A good evaluation lets both the funder and the nonprofit know whether the organization’s activities are achieving their desired effect. An evaluation that is “just for show” or designed merely to please a funder – and not to answer real questions that organizations should be asking themselves about their work’s effectiveness – are a waste of time and resources.

Take a look at the evaluation component prepared for the Alyson Eats organization, which uses both quantitative and qualitative data to assess its long-running programs. The organization is also testing a new program, and will seek outside help to design an evaluation for it.

Sample Evaluation Component

[Quantitative data] Our three core programs have specific annual goals, objectives, and outcomes to achieve during 2020:

· The EAR program seeks to provide 144,000 nutritious meals totaling 180,000 pounds of food for individuals and families in Alyson’s south side.

· The EYE program aims to provide lunch five days a week to 1,000 children over the summer, for a total of 60,000 meals; and

· The Sharing Is Caring program strives to recruit 15 new volunteers in order to increase volunteer engagement by 30 percent.

Because we have been conducting these programs for over a decade, we’ve established a rigorous system of quarterly check-ins to track our progress toward the annual goals.

[Qualitative data] In addition to these quantifiable benchmarks, Alyson Eats regularly seeks input from our partners, volunteers, and the people we serve. These inputs range from quarterly conversations in which volunteers and staff are invited to talk about what they think is working well and what could be improved, to a series of poster boards we display on the walls of our food pantry that enable our clients to tell us, through the use of colored stick-on dots, how they think we’re doing and what we could do better. Thanks to our historical and current partnership with the university, particularly the School of Social Work, students frequently work with Alyson Eats to create evaluation instruments and conduct assessments of our programs as part of their field practice. We take all of these evaluations seriously, and continually refine our programs to meet the needs and standards the assessments reveal.

Public Funding

: Evaluation

Evaluation requirements for public funding applications vary widely depending on the funding source, type of program being funded, and other factors. For example, many federal – and some state and local – proposals require applicants to include plans to engage outside evaluators to conduct rigorous programmatic assessments, and applicants can and should include these evaluation costs in their proposed budget, as allowable in the Request for Applications and other regulations.

Even in cases in which an outside evaluator is not required, if resources allow, your public funding evaluation section should be developed and/or reviewed by someone with expertise in program evaluation. This could be a staff person, a board member, consultant, or other organizational partner who has this expertise, or even an instructor or graduate level student at a local community college or other institution of higher education.

If you are developing the evaluation section yourself, be sure that the evaluation ties directly to the goals and objectives and is represented in the logic model, workplan, and/or timeline. Some public funders may also ask about your plans to publish or disseminate the findings of your evaluation – be sure to include a detailed plan for this aspect of the evaluation in the logic model, workplan and/or timeline as well.

Answer the questions in 

Worksheet 6.1

 to begin planning the evaluation section. Then review the section with the Evaluation Review Questions.

    WORKSHEET 6.1A: Evaluation Planning Questionnaire

1. What questions will the organization’s evaluation activities seek to answer?

2. What are the evaluation plans and time frames?

1. What kinds of data will be collected?

2. At what points?

3. Using what strategies or instruments?

4. Using what comparison group or baseline, if any?

3. If the intention is to study a sample of participants, how will this sample be selected?

4. What procedures will be used to determine whether the program was implemented as planned?

5. Who will conduct the evaluation?

6. Who will receive the results?

7. How does this program or project define success?

Step 7
Developing a Statement of Sustainability

PART OF THE CASE THAT GRANTSEEKERS must make to potential funders is that they have a plan to fully fund their organization and/or program now and in the future. Funders want to know what strategies organizations have developed to build a sustainable pool of grant funding, including other funders who have been secured or identified, individual donors who support the program, and other resources that are being leveraged including in-kind support and partnerships. In this step, grantseekers learn how to develop the sustainability statement and identify, through exercises and examples, potential sources of ongoing support that are best for the program.

Content of the Sustainability Statement

The sustainability statement should reflect whether the proposal is seeking general operating, program, capital or equipment, or capacity-building funding. (Reminder: these types of requests were defined in the Overview Section). Whatever the type of request, the grantseeker should lay out the plan to sustain the organization, program, or capital expenditure in the long term. In the case of a capacity-building grant, the grantseeker should explain how the additional capacity can be implemented or sustained.

Funders pay much more attention to this section than most grantseekers would probably suspect, because they will have a vested interest in the organization’s or project’s success beyond their funding. Therefore, this section of the proposal should provide a framework that shows how the nonprofit plans to raise money and leverage resources beyond the funder’s investment, as well as who on the organization’s staff will be responsible for making this plan happen.

· For general operating grants – the sustainability statement should address: the organization’s history in meeting revenue needs, future plans for diversifying funding from a variety of sources, the experience of its staff – including any staff specifically dedicated to development – and board in fundraising efforts, and any in-kind or donated resources that count toward its revenue goal (such as donated food and volunteer time in the case of Alyson Eats).

· For project- or program-specific grants – the sustainability statement should address: the history of the funding for the program, or in the case of a new program a rationale for why and how the resources will be raised and by whom. The sustainability statement can also include the organization’s success in other fundraising efforts by including the information listed under general operating grants.

· For capital or equipment (major equipment purchases or building renovations and expansion) grants – the sustainability statement should help funders understand the associated costs for operating the new equipment, for maintaining the new building, or for increasing services if building expansion results in program expansion. Funders will want to be sure that the organization can sustain the capital or equipment expenditure that their investment will support. So, for example, if a funder supports the expansion of technology through the purchase of hardware, your sustainability plan should address how that hardware will be maintained and that you have a plan to support the needed software and infrastructure (such as high-speed Internet) to make the hardware usable.

· For capacity-building grants – the sustainability statement should help funders understand how the organization will support the capacity it has grown. For example, a request might be made for a capacity-building grant to increase the organization’s fundraising ability by hiring a consultant to create a development plan. Once the plan is created – and the grant is expended – how does the organization plan to pay for the actual implementation of the new development plan? Does the organization have the staff and other resources to implement the plan?

In building the case for sustainability, here are some of the sources grantseekers can discuss in their strategy:

· Grants from other foundations and corporations. A nonprofit can seek continuing support from those foundations and corporations that fund ongoing programs. If your organization or program is effective and you properly cultivate and steward relationships with funders, they will often continue to support organizations beyond their initial investment. Once again, both the funder research along with the relationship building, as outlined in 

Step 2

, have a direct impact on the outcome of continued funding.

· Support from individual donors. Developing support from individual donors is a key strategy for nonprofits, although it takes a particular set of skills and organizational assets to do effectively. Check the Resource section on places to learn more about developing individual donors, including online through crowd-funding and other strategies.

· Fees for service. Some organizations generate revenue in other ways, such as providing consulting services in its areas of expertise or, for example, receiving a fee from a school to provide afterschool tutoring programs. If a nonprofit opts to ask clients to pay fees, the fee scale should be explained and shown in the proposal.

· Sales of items or activities. A nonprofit might be able to set up an income-producing situation, such as a gift shop or thrift store. In addition, it might be able to sell publications, concert recordings, or educational activities. Revenues generated from these sales might cover some costs of the program. If this route is taken, a clear expense and revenue projection should be a part of the proposal. (Please note: Organizations need to check with both legal counsel and accounting counsel to ensure that any revenue-generating ventures launched are set up and monitored in accordance with IRS guidelines.)

A typical mistake that grantseekers make in their proposals is writing a vague sustainability statement, something to the effect of “future funding will come from a mix of sources such as other grants and individual support.” Be sure to take time to develop and write a compelling plan for long-term support that will help funders feel secure in your ability to be around for the long haul.

Tips for Writing the Sustainability Component

Helpful Hint

Sell it! If an organization has examples of other instances in which it successfully continued programs beyond initial funding, this would be the place to share such information, because it speaks to the organization’s credibility not only in launching programs but also in maintaining them.

Many funders ask for this component in their grant guidelines; others do not. Whether or not this component is required, grantseekers should include some information on sources of support for the project’s future. The more specific grantseekers are in this section, the more confidence they will inspire in potential funders that the project will continue beyond their grant, thereby maximizing the impact of their investment.

Take a look at the Sample Sustainability Component to see what the Alyson Eats has planned for the sustainability of its program.

Sample Sustainability Component for Alyson Eats

Nothing would please Alyson Eats more than to go out of business because there’s no longer a need for our services. Short of that, we have a robust fundraising operation.

Our budget for 2020 is $1.3 million. We have commitments totaling 85 percent of this amount. Of our current commitments, approximately 57 percent are in-kind donations of volunteer work, food and facilities; 42 percent are donations from individuals, including our volunteers and their friends, and from institutions and foundations. With few exceptions, these are local and regional funders like the Future Foundation. We take it as a vote of confidence that the people who see our work close-up are the ones most moved to invest in our ongoing efforts. In the past few years, a new population of individual donors has emerged: people who once relied on our services, and now are on firm enough footing economically that they can turn around and donate to our programs. Although we value and appreciate every donation, the gifts from former clients mean the most to us.

Alyson Eats has yet to raise $197,016, which represents about 15 percent of our 2020 budget. A grant at the requested level from the Future Foundation would reduce our revenue gap by approximately 25 percent.

Public Funding

Public funding applications may or may not have a dedicated section that addresses sustainability. Public funders often want to understand how the program will be supported once the grant ends. They also want to understand that public funds are being leveraged to raise dollars from the private sector. If there is a sustainability question(s), the tips provided in this section will be equally helpful for public funding applications. As in the case of foundations, you want to be as specific as possible. And, as always, follow the specific guidelines outlined in the request for application.

Answering the

Sustainability Review Questions

will assist in developing the component of the proposal that deals with future funding.

Sustainability Review Questions

1. Is it the organization’s intent to have the program continue after the initial grant funding is gone?

2. If yes, does the sustainability component of the proposal present a plan for securing future funding for the program?

3. Does it discuss future funding strategies or earned-income strategies?

4. If the organization is requesting a multiyear grant, did it show that the organization will have a decreasing reliance on grant support each year? (Grantmakers are more inclined to make a multiyear grant to nonprofits that assume greater financial responsibility for the project each year, rather than asking the funder to maintain the same level of funding each year.)

The grantseeker has now developed a thoughtful statement of sustainability. It is time to develop a financial document to accompany the grant proposal—the grant budget, which is discussed in 

Step 8

.