A r c h i v e d  I n f o r m a t i o n

Appendix I

The Discretionary Grant Cycle: Five Phases

The notice typically contains information about the program, identifies eligible applicants, any eligibility requirements, and where interested members of the public can obtain an application package, and provides the deadline for transmitting applications, the amount of funds that are available for new awards, the estimated number of awards to be made, and other information. The agency generally announces a grant competition after determining that Congress has appropriated funds for the competition under a new or existing program, and establishing any policies or regulations that may be needed to guide the competition and funded activities under the program.

Application -- Grant programs vary tremendously. While the application package generally contains all of the instructions and information that are needed to prepare a program application and understand how it will be evaluated, each competition will have its own subject-matter focus, requirements, deadlines, expectations, and priorities.

The following tips will help applicants as they prepare their proposals.

First, and most important, study the specific program, selection criteria and competition as carefully as possible: Find out what the agency is looking for and how your application should be presented. When preparing your proposal, be as specific as possible, and take care to ensure that it meets the application criteria. Pay particular attention to logistical details: some competitions require pre-application processes; and some applications require clearances before being submitted. In addition, keep in mind the following:

Purposes and Objectives: Take note of the range of purposes and objectives specified in the application instructions. When writing up your proposal, make sure that the statement of purposes and objectives in your proposal fits those in the application instructions; moreover, make sure that your plans show clearly how you will be able to fulfill these objectives, and how students or teachers will benefit from an award.

Consistency: Make sure that all of the pieces of your proposal fit together, and that all of them complement your objectives.

Management Plan: Make sure that your proposal can be effectively administered and implemented. In particular, see that the breakdown of tasks is reasonable: that you have the resources and personnel needed to complete the tasks as planned, and that your project will run efficiently.

Time: Include a realistic time schedule for achieving your objectives. Make sure the time frame is feasible in relation to your proposed activities.

Budget: Examine your cost proposal carefully. Make sure that your cost projections make sense, and that the overall costs are reasonable.

Make sure that the your application is returned by the due date in the agency's instructions. Some programs require pre-applications and others may offer technical assistance workshops or advice (generally done for formula grant programs rather than purely discretionary programs) to answer questions about the application. Applicants with questions should contact the program manager of the particular grant.

Evaluation -- Many programs use outside field readers to evaluate applications, although some use in-house (departmental) review. Proposals typically are assigned a panel of readers, whose members individually score and comment on the applications. The panel members' scores are then combined or averaged to calculate an application's final score. The readers' scores are based on their review of the proposals in relation to any criteria (and maximum number of points to be assigned to those criteria) established by the program's authorizing legislation or by the agency administering the program. For example, many Department of Education programs either establish their own selection criteria, or rely on the following general criteria contained in the Department's General Administrative Regulations (EDGAR): plan of operation; quality of key personnel; budget and cost effectiveness; evaluation plan; and adequacy of resources.

Negotiation and Award -- From the evaluation scores, the agency generally prepares a rank-order slate of applications to determine the applications to be recommended for funding. Except where an agency has information to warrant changes in funding recommendations, the proposals to be included in the proposed funding slate" are determined on the basis of the reviewers' assessment of the quality of applications, the proposed budgets in the highest-ranked applications, and the amount of available funding. The projects on the proposed funding slates are then negotiated by specially-trained grants office staff, after which the agency makes final decisions and notifies successful applicants of the award of funds.

Project Implementation -- After an applicant has been selected for funding, it receives a notice of grant award that includes the award of funds, the projected length of the project, and the budget period in which those funds may be expended (typically one year). (For multi-year projects, the agency usually makes new grant awards, sometimes subject to receipt of performance information, before the start of each new budget period.) The notice of grant award also may contain any conditions that govern the use of awarded funds. Subject to any conditions, a grant recipient is responsible for using program funds in ways that implement the activities described in its approved application in accordance with applicable statutes and regulations. At the end of the award period (and, depending on the particular competition, possibly more frequently), grant recipients also are expected to file performance and/or financial reports.
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[Smithsonian Institution]

[Appendix II]