LIBRARIAN’S HANDBOOK FOR SEEKING, WRITING, AND MANAGING GRANTS ppt

Its scope embraces allaspects of the proposal development process and the requirements for grantmanagement regardless of the size of library or level of K-12 education.Teachers, elementa

LIBRARIAN’S HANDBOOK FOR SEEKING, WRITING, AND MANAGING GRANTS

This page intentionally left blank

HANDBOOK FOR SEEKING, WRITING, AND MANAGING

Copyright 2011 by Sylvia D Hall-Ellis, Stacey L Bowers, Christopher Hudson, Claire Williamson, and Joanne Patrick

All rights reserved No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, electronic, mechanical,

photocopying, recording, or otherwise, except for the inclusion of brief quotations in a review or reproducibles, which may be copied for classroom and educational programs only, without prior permission in writing from the publisher.

Library of Congress Cataloging-in-Publication Data

Librarian’s handbook for seeking, writing, and managing grants / Sylvia D Hall-Ellis [et al.].

p cm.

Includes bibliographical references and index.

ISBN 978–1–59158–870–2 (hard copy : alk paper) – ISBN 978–1–59158–872–6 (ebook)

1 Project management—Finance 2 Project management—Evaluation 3 Education— Research—Finance 4 Proposal writing for grants I Hall-Ellis, Sylvia D.

This book is also available on the World Wide Web as an eBook.

Visit www.abc-clio.com for details.

Libraries Unlimited

An Imprint of ABC-CLIO, LLC

ABC-CLIO, LLC

130 Cremona Drive, P.O Box 1911

Santa Barbara, California 93116-1911

This book is printed on acid-free paper

Manufactured in the United States of America

Excerpts from Grants for School Libraries by Sylvia D Hall-Ellis and Ann Jerabek.

Copyright # 2003 by Sylvia D Hall-Ellis and Ann Jerabek Reproduced with permission

of ABC-CLIO, LLC.

The Reward System for Staff Contributions 10Culture and Complexity of the Organization 11

General Guidelines for the Predevelopment Planning Process 16

Decisions Relating to Proposal Preparation 35

The Importance of a Lucid Mission Statement 44

The Relationship of the Goal and Objectives 47

vi Contents

Capabilities Statements for Key Project Personnel 90Principal Investigator (or Project Director) 93

The Influence of Funding Agencies on Budget Formatting 163

Demographic Data and Community Descriptions 170

Standards, Benchmarks, and Academic Achievement 173

Literature Review, “Best Practices,” and Models 173Letters of Commitment and Letters of Support 179

Activities Between the Submission and Decision 186Strategies for Successful Grant Recipients 187Strategies for Organizations Failing to Obtain Grant Funding 189

Getting Started: Celebrate, Praise, and Communicate 195

Review Project Award Information and Documents

Traditional Ways of Promoting the Grant Project 219Web Sites and Other Electronic Publications 220

Promoting the Grant Project Using Social Media 221Building an Online Community to Support the Grant Project 222Overlooked Opportunities to Promote the Grant Project 222

Organizational Structure: The Big Picture 225

viii Contents

Operations 230

Specific Types of Agreements in the Grant Context 273

This page intentionally left blank

Success in writing and winning grants comes through practice-based effort,sustained enthusiasm, tenacity, and a commitment to turn temporary set-backs (i.e., proposal rejections) into renewed efforts and grant awards.Few educators or librarians begin their professional careers prepared to par-ticipate in the grant seeking process As their careers evolve, they recognizeand understand economic realities Without supplemental funding, schoolsand their media centers are often forced to choose between essential anddesirable programs Consequently, the importance of identifying and secur-ing supplemental financial resources increases as tax revenues, formula-driven state support, and mandated monies decrease Challenged to payfor a portion of programs and services with non-institutional funds, includ-ing their own paychecks, educators and media specialists seek supplementalfunding Their dedication to students’ academic and personal successes fre-quently drives them to investigate the grant-making process This interestmay begin during professional development sessions, conferences, or site-based committee work Or interest can begin in response to an administra-tor’s decision to seek additional funds

Larger public, academic, and specialized libraries have historically ticipated in the writing and winning of grants However, as school mediacenters increase institutional participation in the grant arena, staff predict-ably lack resources and expertise required to compete with their larger col-leagues Novice grant writers seek opportunities to gain knowledge aboutfunding and grantors, “best practices” research, and writing skills Theyneed encouragement to manage proposal development, project design,

par-evaluation techniques, and articulate collaborative arrangements amongpartner organizations.

Inexperienced grant writers are likely to find the process confusing, consuming, and intimidating We have made significant efforts to cover thefull spectrum of the process in a lucid, succinct format In short, this book isdesigned to provide the information necessary for educators and media spe-cialists to become effective members of grant development teams

time-This book is a desktop, ready-reference handbook The text may be usedfor casual inquiry or as a guide during grant writing Its scope embraces allaspects of the proposal development process and the requirements for grantmanagement regardless of the size of library or level of K-12 education.Teachers, elementary and secondary education administrators, librarians,library coordinators, and others involved in the “community of learners”will find this handbook valuable The authors bring together informationdesigned to prepare readers with the following skills:

• to identify potential funding sources in federal and state arenas;

• to organize and manage the proposal development process;

• to establish and encourage representative participation on localdevelopment teams;

• to compile relevant research, standards, and Internet resources tosupport grant requests; and

• to recommend professional reading materials to individuals andgroups interested in grant writing

Recognizing that grants are developed through a sequential process,Librarian’s Handbook for Seeking, Writing, and Managing Grants focuses

on its fundamental components Presuming little or no background edge, the book is organized to guide the reader through the primary stagescomprising the grant development process Each chapter in part one dis-cusses the elements of these sections:

• grant accountability; and

• closing out the grant

The insights included in the chapters are taken from the authors’ ces as professional grant writers, readers, and researchers Their backgroundsinclude work with school districts, state educational agencies, regional educa-tion services centers, public libraries and multi-county systems, institutions ofhigher education, private consulting, fee-based information services, andgraduate teaching The text also synthesizes selected information that

experien-is readily available in a number of expensive, out-of-print, and proprietarypublications

This page intentionally left blank

Few educators or librarians begin their professional careers prepared to ticipate in the grant-seeking process From start to finish, grant developmentand management require a diverse skill set not generally possessed by thosenew to such endeavors Good writing and editing habits, efficient projectmanagement, and careful long-term budgeting and planning skills areneeded to successfully compete for grant awards Knowledge of reportingand formal evaluation standards, experience hiring and supervising person-nel, and familiarity with relevant governmental and institutional policies,regulations, and laws are required for the management and administration

par-of funded projects

It is the rare individual who is the master of all facets of the grant process.For this reason, Librarian’s Handbook for Seeking, Writing, and ManagingGrants emphasizes the importance of teamwork and collaboration in allstages of development and management Including individuals with varyingbackgrounds and expertise on the grant team provides a framework of skilland experience necessary for the creation and management of funded proj-ects As economic realities encourage more institutions to seek outside fund-ing, competition for limited resources becomes increasingly keen Utilizingthe collective knowledge and expertise of co-workers and colleagues willallow smaller institutions and those with limited experience or institutionalsupport to have success

In addition to capitalizing on collective skill, cooperation and teamworkfoster creativity and encourage accountability among team members Withmany projects to choose from, funding agencies are especially responsive

to those that address documented needs in novel and creative ways Funding

agencies also look for proposals that are well reasoned, well written, andfree of errors Including individuals of varying experience ensures consider-ation of diverse points of view Further, working with close colleagues andpeers from other professional backgrounds encourages increased attention

to detail and presents learning opportunities for all involved

Although an unsought obligation at many institutions, grant seeking andmanagement should not be overwhelming or overly burdensome Successfulgrant seeking is a sequential process that can be learned by anyone willing todevote the time needed for research and development of skills This text isdesigned as a step-by-step guide for those new to the field From identifyingfunding sources to disseminating results, Librarian’s Handbook covers all ofthe fundamentals in an easy-to-understand format For those already famil-iar with the process, the text will provide new perspective and serve as ahandy ready reference

xvi Introduction

PART 1

Grant Development

This page intentionally left blank

Planning: The Core of Proposal

Development

Creativity and entrepreneurial approaches to promoting services and grams that contribute to the library mission are essential Ideas and creativeapproaches to problem solving can originate with anyone When an individ-ual identifies an idea that evolves into an appropriate service or program forthe organization, but implementation cannot be undertaken without addi-tional resources, a grant can provide them The key components for grant-seeking success include strong, dynamic leadership, shared vision for theproposed project, and the dedicated investment of time, resources, andeffort from team members The individual whose idea is the foundation forthe grant typically serves as a team leader (Principal Investigator or ProjectDirector)

pro-Writing a successful grant proposal that results in funding requires a executed plan The planning process represents the combined efforts of indi-viduals, representatives of key constituencies, and community partnersworking on the grant development team Group members share a strongcommitment to funding their project They provide the energy and commit-ment required to write and submit a grant proposal Working collabora-tively, team members develop project goals, objectives, and activities;divide research and writing responsibilities; and secure partnerships withinthe applicant organization and among partner community organizations,higher education institutions, and not-for-profit groups

well-The composition of a grant team depends on the type of funding nity and the organization that leads the project implementation, evaluationactivities, and grant management responsibilities A wide variety of fundingopportunities from government agencies, private foundations, and

opportu-philanthropic individuals offer possibilities for libraries of all types to ner with school campuses, districts, non-profit organizations, state and localgovernment agencies, departments within colleges and universities, and citi-zen groups Regardless of the identified library need, the potential to seekand secure grant funding exists.

part-Self-directed, local teams are the key to effective grant preparation ing together or independently, team members can perform the various tasksthat underpin the final document These tasks include (but are not limitedto) the identification of potential funding sources (particularly within federaland state governments and the private sector), the evaluation of Requests forProposals (RFPs) and Requests for Applications (RFAs), execution of localneeds assessments, a survey of the education and library literature to identifyresearch-based models and “best practices,” the establishment of partnerships

Work-in support of projects, and preparation for the proposal document

In a public library system or district, the ideal grant development teamincludes administrators (the director, supervising librarians, department orbranch managers), librarians (the local experts with regard to working withpatrons, the library’s collection of resources, and current services and pro-grams), school teacher-librarians (partners in teaching and learning), pro-gram directors, support staff, faculty members from institutions of highereducation, business and industry leaders, library computer systems, net-working, and technology specialists, evaluators, the library coordinator forgrants development and management, and neighborhood representatives.Within a school campus, charter school, or district, a grant developmentteam ideally includes administrators (principals, assistant principals, depart-ment or grade-level chairpersons), teachers (the local experts with regard tothe use of instructional strategies and the integration of technologies into thelearning environment), school librarians (partners in teaching), curriculumspecialists, program directors, district library coordinators, support staff,faculty members from institutions of higher education, business and indus-try leaders, technology specialists, evaluators, the district coordinator forgrants development and management, students, and parents

Academic librarians find themselves in a unique situation with regards togrant funding opportunities While a selected number of funding opportuni-ties focused exclusively on the library exist, the number is significantlygreater when the college or university library joins one or more academicunits and partners in a funding proposal On the college or university cam-pus, the ideal grant development team includes the Principal Investigator(a faculty member seeking grant funding to further an established researchagenda and support for students); faculty colleagues who share researchcomponents and bring complementary aspects to the initiative; librarians(the local experts with regard to working with the academic community,

4 Librarian’s Handbook for Seeking, Writing, and Managing Grants

the library’s collection of resources, and current services and programs);department chairs; support staff; faculty members from other institutions

of higher education; business and industry leaders; library computer tems, networking, and technology specialists; and, evaluators

sys-All academic units on campus, including the library, work through an office

of sponsored programs or funded research The Office of Research and sored Programs (ORSP) coordinates grant seeking, management, and compli-ance across the campus Coordinating grant applications across the campusbenefits each member of the team and streamlines the administrative tasksafter funding is secured When research funding includes participation ofhuman subjects, the Principal Investigator (or Project Director) is required towork through the local Institutional Review Board (IRB) Defined in theNational Research Act of 1974, institutional IRBs are governed by Title 45CFR (Code of Federal Regulations).1All research that receives funding,directly or indirectly, from the Department of Health and Human Services(HHS) must work through an IRB according to the regulations of the Officefor Human Research Protections (OHRP) within HHS.2

Spon-PLANNING DEFINED

Team members may begin their tasks after they reach a mutual ment to planning In general, planning is a defined strategy for doing anactivity, arranging items or materials, or producing a product In a library

commit-or educational environment, planning customarily results in providing a vice or imparting knowledge and skills to a specific target group or audi-ence In the context of grant proposal development, planning is ongoingand continuous Specific planning activities include grant seeking, proposalpreparation, funding, evaluation, and reporting

ser-Planning activities include these distinct components:

1 conceptualizing the program and its budget;

2 securing organizational approval to submit a proposal;

3 identifying potential funding sources;

4 requesting guidelines and application forms;

5 writing the grant proposal;

6 submitting the proposal by the deadline;

7 waiting for proposal review and evaluation;

8 receiving notification of a grant award;

9 negotiating the award;

10 celebrating the award;

11 implementing the project;

12 conducting formative and summative evaluations;

13 submitting programmatic and financial reports; and

14 completing final documents for the funding entity and project partners.Figure 1.1 provides a visual representation of the planning process

THE RATIONALE FOR PLANNING

Grant seeking is a continuous process The time required to develop vative projects is not related to predefined dates of the calendar or academicyear Grant seekers are cautioned to avoid the practice of formulating aproject in response to a funding announcement Proposals written during thefinal days before the submission deadline generally do not reflect the collabo-rative planning that is characteristic of successful applications Fundingbodies issue announcements and invitations to submit proposals according

inno-to their organizational timelines Government agencies publish dates for thesubmission of grant applications on a timeline driven by legislative appropri-ations and departmental workloads Consequently, routine monitoring offunding announcements is an appropriate albeit time-consuming task Experi-enced grant seekers gain the knowledge to anticipate upcoming opportunities

so that work can begin well in advance of the formal announcement.Anecdotal evidence throughout the library practitioner community indi-cates that administrators traditionally have considered grant seeking periph-eral to assigned job responsibilities Consequently, seeking and applying foradditional funds has occurred without adequate planning and attention todetail Grant proposals prepared in these situations are not frequentlyfunded However, after the economic downturns and significant cuts tolibrary funding, staff members with experience in fundraising and grantwriting have been encouraged to pursue these activities more formally Posi-tion descriptions for librarians more frequently include grant writing as apreferred skill or as a potential assignment upon hiring

Without supplemental monies from government agencies, foundations, porations, and other supporters, libraries in the twenty-first century have beenforced to reduce services and programs The decline in state and federal fund-ing since the mid-1990s and the economic downturns of the first decade in thetwenty-first century forced librarians in libraries of all types and sizes acrossthe United States to focus their efforts on the procurement of outside funding.These positions carry various titles, including Grant Writer, Proposal Develop-ment Specialist, Development Officer, Grants and Grant Development andManagement Specialist, and Grants Administrator

cor-Regardless of the job title, the individual oversees a number of tasks insupport of grant seeking, application writing, and management Respon-sibilities include the establishment of an office, routine monitoring andidentification of potential funding sources, overseeing the preparationand coordination of proposal writing, and managing grant awards

6 Librarian’s Handbook for Seeking, Writing, and Managing Grants

READINESS FOR PLANNING

The commitment to a successful grants program results in changes withinthe organizational culture as priorities shift Time and resources must beallocated differently, and new systems and procedures will need to be imple-mented Building an efficient organizational infrastructure to support grantseeking and management is a challenge, especially as library administratorsstrive to train and provide professional development opportunities for theaffected staff Library administrators, managers, and grant team leadersshould anticipate and prepare for organizational resistance However, awell-developed, successful process that results in additional funding usuallyconvinces administrators

Figure 1.1 Grant Development Process Flowchart

Each library faces its own set of unique and uncertain events Popularstrategic remedies to cope with them include total quality management, con-tinuous improvement, benchmarking, re-engineering, downsizing, learningorganizations, groupware, customer focus, core competencies, self-directedteams, just-in-time inventories, scenario planning, activity-based costing,outsourcing, and strategic alliances.3 Because local circumstances areunique, a successful librarian will develop a tailored approach to strategicplanning Seeking grant funds should be incorporated into the library’slong-range strategic plan As part of the fact finding about the needs of thelibrary’s target service community, assessments of current library opera-tions, and accountability to funding bodies, administrators can identify theareas that current financial resources cannot be stretched to support Incor-porating the potential opportunities for seeking and procuring grant fundsemphasizes the importance of the effort and enables librarians to identifyhow current services and programs will be enhanced through new, exter-nally funded initiatives.

Successful strategies share three characteristics First, team members willformulate long-term goals, followed by the identification and allocation ofresources.4Second, group members will participate in conversations to create

a “vision of success” and articulate clearly how to realize its achievement.5Third, group members will create a clear and realistic strategic plan A success-ful strategic planning process includes the following elements:

• formulating a clear future direction;

• establishing a set of priorities;

• making coherent decisions;

• including all levels and functions in decisions;

• addressing significant problems;

• improving performance;

• building teamwork and expertise;

• thinking and behaving strategically; and

• preparing appropriate responses to changes in the environment

At its best, strategic planning pulls the library and its partners together as

a single unit working toward a common vision of the future The library’sadministrators, its governing body, and community partners will considerissues horizontally and vertically Incentives can promote cooperation andthe ability to respond effectively and rapidly to the unexpected

In the end, ideas matter Strategic planning inspires and promotes ideas.The successful library administrator inspires participation and contributionsfrom each member of the staff The formulation of strategies focuses onlocal leadership and the inclusive involvement of the entire library commu-nity Effective strategic planning empowers the library and its communitypartners to meet identified needs and expectations Ideas evolving from

8 Librarian’s Handbook for Seeking, Writing, and Managing Grants

strategic planning inspire everyone and give participants a unified sense ofpurpose.

Because successful grant seeking is a collaborative process, individualsthroughout the organization must be motivated to participate The follow-ing steps can help lay the groundwork for a favorable climate:

• Encourage the chief executive officer (i.e., library director, tendent, dean) to issue (or endorse) a policy statement indicatingthat grant seeking is an organizational priority

superin-• Provide the time, resources, personnel, and training to support grantdevelopment teams

• Recognize and reward grant team preparation activities within theorganization

• Employ in-house newsletters or letters from the chief executive cer to recognize the grant development team for its efforts

offi-• Share grant awards with others in the organization and the nity Enthusiasm is contagious!

commu-• Start small and build Select a core staff to act as local experts

As they achieve success, others will want to get involved

The potential for success is significantly increased when the grant opment team collaborates to design a service, program, or project thatreflects an understanding of the institutional mission (see Chapter 2),responds to the needs of the library’s clientele, and motivates employees(achievement, recognition, responsibility) A number of organizationalcharacteristics should be considered as part of the effort to achieve a matchbetween project objectives and organizational missions

devel-Librarians have the option to work through a proposal-specific group orwith an established grant team Some librarians choose to hire a profes-sional grant-writing firm If the librarian brings together individuals based

on their content expertise or work experience to prepare a specific grantapplication, then they face a steep learning curve about the actual applica-tion process An established grant team has the potential to learn throughconsistent efforts by applying for and procuring funding A seasoned grantteam has the advantage of developing standard language about the library,its mission, services and programs, and the community it serves In addition,the team gains an understanding of the budgetary and financial require-ments that must be followed Consequently, this will significantly reducethe learning curve for the content experts who develop the programs andservices, as they can rely on the support of the grant team A for-hire grantwriter brings experience to the process but does not possess an in-depthunderstanding of the library and its operations Turning over the respon-sibility to an outside consultant may be expedient, but it can be costly anddoes not guarantee success

Once an organizational team is formed, the project planning for the grantbegins An effective planning process is not a given In fact, the need to planeffectively may be ignored, discounted, or underestimated by inexperiencedgrant seekers Team efficiency and success will be curtailed if the level of sup-port and commitment within the organization is limited Changes in thelibrary environment during the planning process have the potential to causefailure for a grant development team The team must recognize and respond

to a notable principle of behavior: organization prevents reorganization

Historical Commitment to Planning

A library with a history of effective planning provides significant mentation for the grant development team to use in its work On the otherhand, the lack of materials about the library, partner organizations, andcommunity indicates a diminished importance for planning The library’sunwillingness to adopt a plan of continuous planning for improvement toprograms, services, and community-based collaborations reflects a lack ofcommitment A file cabinet filled with plans that have never been imple-mented represents another danger sign Reliance upon outside “experts” towrite plans can contribute to failure Without an insider’s knowledge ofthe organization, a consultant may produce a document (i.e., a plan) butthe probability of adoption and implementation by the library, its governingbody, and the community is limited The successful implementation offunded projects reflects the involvement and endorsement of the entirelibrary community

docu-The Reward System for Staff Contributions

Successful organizations routinely reward employees for their efforts.Inspirational administrators engage in five practices of exemplary leadership:

• Model the way;

• Inspire a shared vision;

• Challenge the process;

• Enable others to act; and

• Encourage the heart.6

Hard work and the sharing of creative ideas to solve problems are essentialfor organizational success On the other hand, the lack of recognition todeserving librarians, faculty members, teachers, teacher-librarians, staff,community partners, residents, and parents compromises future efforts.While some employees are strongly self-motivated, the majority of librari-ans, managers, teachers, and teacher-librarians require encouragement.Motivation may be extended through a variety of mechanisms, including

10 Librarian’s Handbook for Seeking, Writing, and Managing Grants

(but not limited to): recognition by the governing body and chief executiveofficer; increased influence within the library system, school district andschool, or campus; nomination or appointment to key task forces and com-mittees at the district, system, or campus level; increased responsibilities;paid release time for outside assignments, including grant preparation tasks;access and support for special training opportunities and professional devel-opment activities to increase an employee’s skills; merit salary increases;perks such as financial travel support for attendance at conferences; “chits”for resources or additional funds for library or classroom supplies or enrich-ment materials; a liberalized dress code; the availability of recreationalfacilities; and gift certificates to suppliers or bookstores.

Culture and Complexity of the Organization

Organizational culture reflects shared beliefs Libraries are “communities

of practice,” reflecting common interests and expertise.7Library staff bers articulate their shared vision and philosophy through a mission state-ment Their collective energies must be focused on the delivery of servicesand programs designed to transform this mission into realistic goals andobjectives

mem-Regardless of an organization’s size or complexity, the mission statementfunctions as a cornerstone for the proposal development process Signifi-cant grant development support should go to initiatives designed to secureadditional funding for services and programs directly supported by thelibrary’s mission Library service area, number of library card holders,and project implementation strategies need to be considered when deter-mining organizational priorities Larger organizations have the resourcesrequired to offer an extensive array of services and programs These libra-ries can employ a correspondingly large number of administrators to over-see specific instructional, financial, and management functions Smallerorganizations may need to limit development to essential services andprograms

In a public library system or district, the traditional hierarchy is terized as “top down.” Lead by the library director, the administrative teamincludes an associate director, supervising librarians (e.g., division heads forseveral departments), department heads, and branch managers Librariansare the local experts with regard to working with patrons, the library’s col-lection of resources, and current services and programs Department andbranch staffs include paraprofessionals (library assistants, clerks, and shel-vers), physical plant workers, and custodians

charac-Within a school district or charter school, the educational leader is thesuperintendent, working with a central administrative team, including assis-tant (or area) superintendents, and directors of large initiatives (curriculum,assessment, Title I, etc.) A principal leads the campus cadre of experts that

includes assistant principals, department or grade-level chairpersons, ers, and school librarians The campus staff includes paraprofessionals(classroom assistants, office staff, and clerks), and custodians.

teach-Academic libraries find themselves in a unique situation with regard toorganizational structure The enrollment for the college or university gener-ally dictates the size of the library and its staff However, regardless ofsize, the traditional hierarchy is characterized as “top down.” Lead by thelibrary dean or director, the administrative team includes an associate dean

or director, departmental library managers, and department heads withinthe main library Librarians are the local experts with regard to workingwith students and faculty, the collection of print, online, and electronicresources, and services and programs Staff members include paraprofes-sionals (library assistants, clerks, and shelvers), physical plant workers,and custodians

The Principal Investigator should seek approval from the administrativeteam early in the planning stage (see Form 1.1) Knowing the library’s cul-ture and organizational structure will ensure the inclusion of necessaryand/or influential individuals in these discussions The grant developmentteam needs to consider the project focus and its relationship to the librarymission within the context of the organizational vision, values, and goalsstatements Without approval, the allocation of the library’s resources intothe effort is inappropriate After the library administrator approves thepreparation of a grant application, supervisors and staff from participatingunits should be invited and encouraged to participate Smaller librariesemploy fewer staff members and administrators However, the importance

of their participation in the grant development process is critical and cannot

be overlooked

Rate of Growth

A library experiencing rapid growth within its diverse user communitytends to focus its attention on the management of expansion When thegrowth occurs outside of the library’s span of control (e.g., populationexplosion caused by the influx of new residents or increased use of thelibrary due to economic downturns), administrators will feel pressured toredistribute resources which otherwise would have been available to thegrant development team If the number of new patrons is pronounced,administrators will be forced respond While the library service area isexpanding, the chief executive officer and other administrators will need toexpand its internal capacity to accommodate increased planning, includinggrant development activities Regardless of the growth rate, the grant devel-opment team needs to have an in-depth understanding of the library’sclimate in order to design a project that reflects both support needs and serv-ices for users

12 Librarian’s Handbook for Seeking, Writing, and Managing Grants

1 Title: _

2 Funder: _

3 Due date: _ Dollar value: Indirect rate:

4 Starting date: Ending date: _ Duration: _

3 Who are the institutional or community partners? _

4 Do we meet every requirement in the evaluation criteria? Yes _ No _Don’t know _

5 Will subcontractors/consultants be required? Yes _ No _

Administrator: Date:

Form 1.1 Bid Decision Form

Financial Resources

The library must underwrite grant development costs When the projectincludes partner organizations, these preparatory expenses can be shared.Grant preparation costs typically include staff salaries and benefits, officespace, equipment use, photocopying, communications (e.g., telephone,FAX, Internet access), travel to “best practices” sites, and attendance atmeetings

Funding agencies do not underwrite proposal preparation costs Whilethis fact does not pose a serious problem for less ambitious activities, com-prehensive projects encompassing collaborative efforts across a geographi-cally dispersed area can require the investment of considerable resources.The Principal Investigator is responsible for negotiating sufficient supportfor the proposal writing process During initial planning stages, teammembers should identify all anticipated proposal development costs ThePrincipal Investigator should compile the projected expenses and forwardthem to the appropriate administrator When the lead agency (i.e., grantapplicant) is unable to underwrite anticipated costs, the project costs may

be paid by partner organizations or a related group However, it is tant to bear in mind that encouraging the grant development personnel towork without adequate financial support represents unsound managementpractice Many experts feel that if the school district or campus cannot sup-port grant development the process should be terminated

impor-Ready Reference Handbooks and Tools

Grant writing is a specialized form of technical writing Successful grantwriters need to understand the funding announcement and response pro-cess, political activities that impact legislation and appropriations, and thelocal community In addition to understanding the educational environ-ment, proposal developers are proficient writers and editors To supporttheir work a majority of grant writers maintain a collection of ready refer-ence handbooks and tools These materials typically include (but are notlimited to) the following items:

• a style manual (Publication Manual of the American PsychologicalAssociation or The Chicago Manual of Style);

• The New York Public Library Writer’s Guide to Style and Usage;

• The New York Public Library Desk Reference;

• a dictionary (American Heritage, Webster’s, or the like);

• Roget’s Thesaurus;

• Statistical Abstract of the United States;

• U.S Government Organization Manual;

• Yearbook of Mental Measurement;

14 Librarian’s Handbook for Seeking, Writing, and Managing Grants

• books about writing (Write Tight by William Brohaugh, A Writer’sReference by Diana Hacker, or similar title);

• The Foundation Center Directory;

• subscriptions to Education Week, The Chronicle of Philanthropy,Grants Alert, Educational Leadership, and similar professional con-tinuing resources;

• Catalog of Federal Domestic Assistance;

• The Federal Register;

• EDGAR;

• local telephone book;

• professional organization directories;

• current and retrospective data from the U.S Bureau of the Census;

• content standards for curricular areas published by the local schooldistrict, the state department of education, and national organiza-tions;

• standardized test results for the school district, campuses, the state,and the nation;

• school district and campus demographic data;

• school district policies and procedures; and

• community, regional, and state economic development data, ing forecasts and historical perspectives

includ-Access and Availability of Information

The proposal development process requires access to a minimum of twotypes of information First, the team needs comprehensive backgroundinformation describing the library and its parent organization, including itsservice area, demographics, recent standardized test scores for students, lev-els and types of available technologies in libraries (at the public library,within classrooms and the school library, and the college or university),funding history, key personnel, staffing patterns, grant management experi-ence, and overall services and programs When this information is compiled,

it should be organized to optimize reference and access Relevant new andrevised documents should be added to the reference (or “record”) set uponpublication by the library When these reference documents are properlymaintained, these data can be used in the development of every proposal.The second type of required information includes research findings, “bestpractices,” and other relevant material focused on the area addressed in theproposal In the competitive environment characterizing twenty-first cen-tury grant seeking, development team members require access to significantamounts of up-to-date information

The grant development leader needs to encourage team members tobecome proficient computer and Internet users An understanding of what

is available as well as a mastery of search and retrieval techniques requires

significant time and effort Reference librarians understand educationaltechnologies, offer access to the Internet, and possess skills in informationseeking and retrieval Their specialized skills make them particularly valu-able members of the grant team.

Electronic resources available through the Internet (see bibliography) areessential to keep current with grant-seeking institutions, newly released fund-ing announcements, research findings, training and professional developmentopportunities, technical assistance sessions, and “best practices” sites

Willingness to Take Risks

Funding agencies do not financially support routine, ongoing activities.Librarians who lack a commitment to change or are unwilling to take risksare not likely to be successful in the grants arena Historically, a number oflibraries, school districts, and educational consortia have built significantreputations through their long-standing grant-funded instructional pro-grams, technology initiatives, and supplementary student services

The decision to maintain a conservative stance is appropriate to selectedlibraries However, a dynamic external environment has motivated manylibrary administrators to use self-assessment tools to assure continued organi-zational vitality Self-assessments frequently provide a mandate for change Insuch instances, the grant development team is responsible for the incorpora-tion of the commitment to change into funding proposals In conclusion, theanalysis of a library’s preparedness to change may best be handled throughthe use of the instrument included in Form 1.2

GENERAL GUIDELINES FOR THE PREDEVELOPMENTPLANNING PROCESS

Library administrators should be encouraged to participate in the ongoingreview of funding opportunities Administrative involvement can motivatelibrary staff members and heighten general interest in grant development,diminishing the possibility of overlooking viable funding sources Particularattention should be given to those administrators who oversee programs focus-ing on key target service and program areas and groups If a funding sourceappears promising, the information needs to be shared with library administra-tors, campus leaders, and members of the grant development team

Information describing potential funding entities and their interests isavailable primarily in two formats: electronic and printed Both formatsinclude continuing resources (serials, periodicals, newsletters, documents,and subscription services) that distribute regular announcements of upcom-ing grant opportunities (see bibliography)

After identifying potential funding sources, the team needs to request formalgrant announcements These announcements customarily contain the

16 Librarian’s Handbook for Seeking, Writing, and Managing Grants

space between each pair of descriptors to reflect your assessment.

Library Leadership Position

Leader : : : : : : FollowerResponse to Change Capability

Rapid : : : : : : SlowResponse to Change Capacity

Broad : : : : : : NarrowLibrary Name Recognition in State

High : : : : : : LowLibrary Name Recognition in Region

High : : : : : : LowLibrary Name Recognition in Nation

High : : : : : : LowCapacity Utilization

High : : : : : : LowLibrary Infrastructure

Strong : : : : : : WeakLibrary Operations

Deficit : : : : : : No deficitAccess to Capital

High : : : : : : Low accessLibrary Facilities

Expandable : : : : : : StaticLibrary Technology and Telecommunications Infrastructure

Strong : : : : : : WeakLibrary Collection Area Expertise

High : : : : : : LowLibrary Technology Expertise

High : : : : : : LowLibrary Reputation

Ethical : : : : : : UnethicalProject Staff Recruitment Potential

Good : : : : : : Poor

guidelines, eligibility and program requirements, and the required forms to mit with the proposal Upon arrival, copies of the announcements need to bedistributed to team members and administrators for review and evaluation.

sub-Calculating the Funding Potential

Only those funding opportunities deemed attainable by the library and itscollaborating partners should be pursued Administrators are encouraged to

18 Librarian’s Handbook for Seeking, Writing, and Managing Grants

Summarize strengths and weaknesses

Part II Based upon the above analysis of organizational strengths andweaknesses, consider the following opportunities for expansion Pleaseindicate the extent to which your library could expand

Provide new services and programs

Form 1.2 Library Self-Assessment Tool

(Continued)

consider the following issues while making a decision regarding the priateness of a funding source:

appro-• The library or a collaborating partner must be an eligible applicant

as defined by the funding agency

• The project requirements must be acceptable within the context ofthe library’s mission

• When matching funds are required, the library and its collaboratingpartners must be able to raise them

The pre-proposal checklist in Form 1.3 shows additional support that thePrincipal Investigator and grant team may request from administratorsduring proposal development

Managing Proposal Development

If a potential funding source looks promising after a formal review andanalysis, the team needs to explore levels of interest among the library andits partners Oral and written comments, suggestions, and concerns should

be solicited and encouraged from administrators, librarians, teachers, theschool librarian, support staff, parents, and potential partner organizations

at this fact-finding stage of the process Securing a definite commitmentnecessitates bridging the gap between a general interest in grant seekingand a focused conversation concerning the proposed project

Because conceptualization requires significant time and effort, it is tive that the proposal development process be seen an opportunity to servethe community and meet needs in an innovative way Proposal writing involvesthe construction of many seemingly unrelated parts; therefore, the crafting of acoherent document cannot be accomplished without making an effort to envi-sion the grant development process as a whole The Principal Investigator canuse the pre-proposal checklist to ensure that all of the steps necessary for suc-cessfully planning and writing a fundable proposal are taken (see Form 1.4)

impera-Selecting Partner Organizations

The importance of working with partnerships cannot be ignored intwenty-first century grant proposal development Historically, an applicantcould identify a funding opportunity, prepare a proposal, submit the docu-ment, and receive funding independently However, contemporary proposaldevelopment practices assume that the applicant will collaborate with part-ner organizations formally and informally

The selection process for a grant proposal does not differ from other laborative endeavors Library administrators and the Principal Investigatorshould select potential partners to represent the constituencies directly

A Description of Funding Opportunity

1 Title: _

2 Funder: _

3 Due date: _ Dollar value: Indirect rate:

4 Starting date: Ending date: _ Duration: _

B Assistance for the Principal Investigator (check all that apply)

& Literature review

& Conducting online

& Updating my literature review

& Statistical data

& Compiling statistical data (national,

state, local)

& Preparing statistical data (graphic

representation)

& Analyzing data

& Concept development

& Implementation strategy

& Project staffing

& Personnel costs (coordinator, support

& Formative

& Summative

& Data collection

& Focus groups

& Others

& Partners (support / contribute /

sub-agreement)

& Identifying potential partners

& Community partners

& Institutional partners

& Partnership agreement (draft)

& Budget development

& Tuition (current & future academic

years)

& Travel (per diem rates)

& Expenses (pro-forma budget)

& Library indirect rate calculations

& Cost share calculations

& Proposal editing and/or proofing

& Library submission process

Submitted by: Date: _Form 1.3 Pre-Proposal Assistance Request Form

& Submit “Letter of Intent”?

& Qualify funding opportunity

& 1st analysis of RFP

& Copy RFP and distribute

& Bid/No bid decision

& 2nd analysis of RFP

& Administration

& Library Services and

Programs

& Business Office

& Send “no bid” letter?

& Administration approval

& Assemble proposal team

& Identify outside evaluator

& Prepare proposal status form

& Outline RFP

& Identify proposal resources

& Writing team members

& Review team members

& Budget team members

impacted by the proposed project Potential partners include school districtadministrators (superintendent, principals, teachers, and school librarians),college and university representatives (dean, department heads, and faculty

in specific departments associated with the grant focus), research tions (regional educational laboratories, “think tanks,” and commercialfirms), boards of cooperative education services (BOCES, educational ser-vice centers, and the like), parents, and community leaders

organiza-Members of the proposal development team are selected to representidentified constituencies in the community Parents may be self-identified,nominated by the parent-teacher organization, volunteer, or secure recom-mendations from teachers and administrators Community representativesmay include members of service clubs, not-for-profit agencies, chambers of

& Computer software

& Printer

& “War room”

& Develop proposal schedule