Applying for Federal Awards: You Think You Know, But Do You? Rebecca Kinney Maggie Flowers Applying for Federal Awards: You Think You Know, But Do You? Sierra A/B While you’ve likely written several federal grant proposals, the applicant pool is more competitive than ever. Reviewer scores and comments matter (even for SHIP!). How do you tell your story in a way that will engage the grant reviewers? How do you make the case for your agency as the best applicant and capable of successfully managing the award? SMPs and SHIPs will gain insight into the key elements of a federal grant proposal and learn how to improve their applications.

Introductory Discussion Why are you here today? What do you hope to learn? Who writes the application for your agency? How many have written an application for ACL before?

Application Components Summary/Abstract Outcomes Problem Statement Project Management Goal(s) and Objective(s) Evaluation Proposed Intervention Dissemination Special Target Populations and Organizations Organizational Capacity Budget & Budget Narrative The components below are the same for both SMP and SHIP. We will highlight any differences as we walk through the material. Since the SHIP FOA is coming out soon some of the examples lean on that program but the lessons apply to both.

Summary/Abstract This section includes a concise description of the: Goal(s) - broad, overall purpose Objective(s) - narrow, more specific, identifiable or measurable steps toward a goal Outcomes - measurable results of a project Products - materials, deliverables It is a high level description of all components in the project narrative - including goal(s), objectives, outcomes, and products to be developed. Detailed instructions for completing the summary/abstract are included in the appendix titled "Instructions for Completing the Project Summary/Abstract." Goal(s) - broad, overall purpose, usually in a mission statement, i.e. what you want to do, where you want to be. Objective(s) - narrow, more specific, identifiable or measurable steps toward a goal. Part of the planning process or sequence (the "how") to attain the goal(s). Outcomes - measurable results of a project. Positive benefits or negative changes, or measurable characteristics that occur as a result of an organization's or program's activities. (Outcomes are the end-point) Products - materials, deliverables. TIPS: This section should be brief and written last. Bold the key words so it’s clear Even though the objectives are outlined – you should set your own goals for your state Example: Twenty objectives outlined in the proposal will result in the following outcomes over the three-year grant period 1) one-on-one counseling to at least 62,000 clients in year one, 65,100 year two, 68,300 year three; and 2) 1,200 public education or outreach events annually reaching at least 42,500 people per year.

Problem Statement Describes, in both quantitative and qualitative terms: the nature and scope of the particular problem how the project will potentially affect the older population and, possibly, the health care and social services systems This section should describe, in both quantitative and qualitative terms, the nature and scope of the particular problem or issue the proposed intervention is designed to address, including how the project will potentially affect the elderly population and/or their caregivers (including specific subgroups within those populations), and possibly the health care and social services systems (e.g., the use of health care and/or nursing home services.) TIPS: Do not assume the reviewers know anything about your work or the state you serve. Even if you think it is obvious, describe in detail what is happening in your state including number of Medicare beneficiaries, any background on common issues/concerns, details about subpopulations you’d like to target, and how the services are currently provided in your state. Review Criteria: Does the proposal provide a detailed description in both quantitative and qualitative terms of the nature and scope of the … …health care fraud control problems or issues within the state or territory that the proposed plan is designed to address (SMP)? …work needed by the applicant to achieve statewide coverage? Do they show an understanding of their Medicare population? (SHIP) Does the problem statement include a description of the demographics of the population to be served and a discussion of potential barriers to program access? (SMP)

Goals and Objectives This section should consist of a description of the project’s goals and major objectives. The project goals and objectives should be reflective of the priority activities discussed in SMP Strategic Program Objectives and the Four Strategic Themes in the SHIP FOA. Unless the project involves multiple complex interventions, ACL recommends proposing only one overall goal.

Goals & Objectives: SMP Example Goal: To empower and assist beneficiaries, their families and caregivers to prevent, detect, and report health care fraud, errors, and abuse through outreach, counseling, and education. Objective: Provide group education and one-on-one assistance to an increasing number of Medicare beneficiaries annually – a 5% increase annually over the prior project period.

Goals & Objectives: SHIP Example Goal: To consistently and confidentially provide accurate, objective, and comprehensive information and assistance about Medicare to beneficiaries, their caregivers, or advocates working on their behalf. Objective: To continue to fund a partner in each of county who will provide local one-on-one assistance to beneficiaries via in-person, and phone counseling. In the recent 12-month period, SHIP reported 50,000 direct client contacts with 30,000 counseling hours. We propose to increase this number by at least 5% each year during the three-year project period.

Proposed Intervention Clearly describe the proposed intervention, including: Strategic partnerships Management and operation plan for the project Describe the rationale for using the intervention, including: Lessons learned for similar projects previously tested Factors in the larger environment that have created the right conditions for the intervention Any major barriers you may encounter and how you will overcome them

SHIP Proposed Intervention The proposed intervention should address these four strategic themes: Service Excellence Capacity Building Operational Excellence Innovation This section should include: strategies to achieve service excellence in promoting awareness, knowledge, and visibility of the program and should include plans to increase exposure of the SHIP program through media campaigns and new partnerships. details on how the applicant plans to provide statewide, personalized counseling and assistance to beneficiaries and access to community outreach events enhanced for all types and levels of service. An outline of the approach to build the capacity of the SHIP program with specific goals and measures for enhanced team member management, including VRPM. strategies to promote operational excellence through improved alignment of policies, processes and procedures to program goals and increased accountability. anticipated barriers or challenges that the program may face in implementing these changes. Applicants are required to reflect priorities, activities and staff/system capacity to capture project performance data using the active ACL data system. strategies to increase innovation within the SHIP program to better serve Medicare eligible individuals and expand strategic awareness within the SHIP network. TIP: Examine and adapt the tools and resources available on team member recruitment, training, and management on the SHIP TA Center website As noted in the funding opportunity description, it is a priority for SHIP services to target vulnerable populations that are traditionally underserved due to isolation, ethnic, cultural, language barriers, socioeconomic or other factors. SHIPs are encouraged to develop plans for new and/or innovative ways to reach these hard-to-reach beneficiaries.

SMP Proposed Intervention Plans must address SMP Mission and Strategic Program Objectives, including: Provide group education and one-to-one assistance to beneficiaries statewide Recruit, train, and retain a sufficient and effective workforce ready to provide high quality education and inquiry resolution Monitor and assess results on operational and quality measures Position SMP to respond to changes in the programmatic landscape Plans must address the SMP Mission and Strategic Program Objectives: 1. Provide group education and one-on-one assistance to Medicare beneficiaries on a statewide basis. Describe a comprehensive plan to achieve statewide SMP coverage. In the project narrative, applicants must: Demonstrate knowledge of the geographic service area, including barriers to program access and strategies specifically designed to overcome these barriers. Explain plans to provide one-to-one assistance in-person, over the phone, on the internet, via postal mail, and/or through email. Explain plans to provide in-person group education sessions to teach beneficiaries to prevent, detect, and report Medicare fraud, errors, and abuse. Describe plans to develop a partnership network to deliver SMP services. Outline a statewide media and outreach plan based on a preliminary assessment of trends, issues, and underserved target populations. 2. Recruit, train, and retain a sufficient and effective workforce ready to provide high quality education and inquiry resolution. Provide a plan to ready a workforce to provide high quality service to beneficiaries including, but not limited to, the following: Describe a plan to train all SMP team members (staff and volunteers) with the information necessary to perform the work of the SMP program at the most basic level. In addition, training plans must offer advanced workforce training including: Development of effective skills in conducting educational presentations and outreach; Resolution of beneficiary inquiries and complaints; and, Referrals for further action, when appropriate. Describe a plan to recruit, retain, and manage volunteers throughout the state, including VRPM. 3. Monitor and assess SMP results on operational and quality measures. Applicants must describe plans to comply with SMP reporting requirements including: Timely data entry of SMP activities into SIRS, including individual interactions with beneficiaries, group education and outreach events, media education and outreach events, SMP team members, and SMP team member activities. Participation in quality assurance activities 4. Position SMP to respond to changes in the programmatic landscape. Applicants must propose a plan to adapt to changes in the programmatic landscape, such as the increasing Medicare beneficiary population, changes in the geographic distribution of beneficiaries, varied beneficiary needs by age, and traditionally underserved target populations that may need additional assistance understanding how to prevent, detect, and report Medicare fraud, errors, and abuse. Specifically, applicants must: Identify any anticipated changes in the programmatic landscape and explain how these changes will be addressed by the SMP project; Describe the target populations to be served, including; identifying the target population and its characteristics; barriers to providing service to the target population; and innovative and collaborative methods to reach the target populations. NOTE: The National SMP Resource Center develops and provides (optional) training materials that are available for use to all successful applicants.

SHIP Proposed Intervention Review Criteria Does it include a clear and detailed plan that addresses the SHIP Objectives? Does it provide education and outreach strategies designed to better serve the target population groups? Does it include approaches to recruit, train, and retain counselors at all levels? Does it demonstrate the capacity to fully utilize a web-based data collection and reporting system to assess performance measures are accurately recorded and tracked in a timely manner? Does the proposed approach include a clear and detailed plan that addresses the SHIP Strategic Program Objectives? Specifically: Service Excellence: Does the application provide details on how the SHIP will ensure consistency and confidentiality in the provision of SHIP services? Is there a plan to ensure all counselors (paid/partners, in-kind and volunteers) are certified and trained appropriately? Does the narrative specify how the applicant plans to promote awareness, knowledge, and visibility of the program statewide? (10 points) Capacity Building: Does the application include a clear plan for team member management? Including a detailed approach for implementing and managing the Volunteer Risk and Program Management policies and procedures as outlined by ACL including assessing the risks of the SHIP volunteer program, for ensuring that volunteers are adequately screened and trained, and for ensuring confidentiality of program information is maintained? (10 points) Operational Excellence: Does the application include plans to improve alignment of policies, processes, and procedures to program goals, as outlined in this FOA, and increased accountability to program expectations at all levels? Is the plan detailed and realistic? Does it include any anticipated barriers or challenges and are those barriers and challenges addressed? Are partners and volunteers included in this plan as appropriate? (10 points) Innovation: Is there a clear plan to promote adaptable and sustainable processes or activities to better serve Medicare beneficiaries into the future? Are the state's hard-to-reach beneficiaries included in this plan? (5 points) Does the proposed plan provide education and outreach strategies, including media activities and use of key partnerships, designed to better serve the target population groups? Does the plan include approaches to recruit, train, and retain diverse, sufficient, and effective counselors at all levels? (5 points) Does the proposal demonstrate the capacity to fully utilize a web-based data collection and reporting system, ensuring counseling activities, outreach and education, and other data to assess performance measures are accurately recorded and tracked in a timely manner? (5 points) Is the project work plan clear and comprehensive? Does it include key task leaders, roles of staff/partners and feasible timeframes for the accomplishment of tasks presented? Does the work plan include specific goals and tasks that are linked to measurable outcomes? (5 points)

SMP Proposed Intervention Review Criteria Does it describe… how program will be implemented? plans to provide one-on-one assistance, group education, and media outreach? plans to recruit, retain, and manage volunteers, staff, and partners? plans to monitor and assess SMP results on operational and quality measures? plans to position SMP to respond to changes in the programmatic landscape? target populations to be served and innovative methods to reach those populations? Strategic Program Objective 1 (10 points) - Provide group education and one-to-one assistance to Medicare beneficiaries on a statewide basis. Does the proposal include a detailed description of how statewide program coverage will be implemented? Does the applicant thoroughly describe plans to provide one-on-one assistance, group education, and media outreach, as well as any plans to establish a partnership network? Strategic Program Objective 2 (10 points) - Recruit, train, and retain a sufficient and effective workforce ready to provide high quality education and inquiry resolution. Does the proposal include a description of plans to recruit, retain, and manage volunteers, staff, and partners throughout the state? Does the proposal plan include an approach for implementing and managing the Volunteer Risk and Program Management (VRPM) policies and procedures as outlined by ACL? Does the proposal detail a training plan to equip staff and volunteers with the information necessary to perform SMP work? Strategic Objective 3 (10 points) - Monitor and assess SMP results on operational and quality measures. Does the proposal include plans to monitor and assess SMP results on operational and quality measures? Does the applicant describe plans to monitor performance on all SMP performance measures, use SIRS for timely data entry, and participate in the SMP Customer Satisfaction Survey? Strategic Objective 4 (5 points) - Position SMP to respond to changes in the programmatic landscape. Does the proposal include plans to position SMP to respond to changes in the programmatic landscape? Does the applicant identify target populations to be served and innovative methods to reach those populations?

Special Target Populations and Organizations How will the applicant: involve organizations in a meaningful way in the planning and implementation of the proposed project? target disadvantaged populations, including limited-English speaking populations, those of greatest economic need and those of greatest social need?

Outcomes A measurable outcome: Is an observable end-result that describes how a particular intervention benefits consumers Demonstrates the functional status, mental well-being, knowledge, skill, attitude, or behavior Describes a change in the degree to which consumers exercise choice over the types of services they receive or whether they are satisfied with the way a service is delivered Clearly identify the measurable outcome(s) that will result from the project. (NOTE: ACL will not fund any project that does not include measurable outcomes). Describe how the project’s findings might benefit the field at large (e.g., how the findings could help other organizations throughout the nation to address the same or similar problems). List measurable outcomes in the work plan grid under “Measurable Outcomes” in addition to any discussion included in the narrative along with a description of how the project might benefit the field at large.  Additional examples include: a change in the responsiveness or cost-effectiveness of a service delivery system; a new model of support or care that can be replicated in the aging network; new knowledge that can contribute to the field of aging; a measurable increase in community awareness; or a measurable increase in persons receiving services. A measurable outcome is not a measurable “output”, such as: the number of clients served; the number of training sessions held; or the number of service units provided The focus of this section is describing what outcome(s) will be produced by the project. Use the Evaluation section noted below to describe how the outcome(s) will be measured and reported Improvement or maintain in the beneficiary survey results ACL will use program data contained in the data system to assess project progress in reaching Strategic Program Objectives, including volunteer recruitment, training and management activities, populations served, and quality of grantee program efforts. For SHIPs – STARS and SMPs – SIRS. Hence, applicant plans should discuss expected outcomes and link these outcomes to the project priorities and activities provided in the Proposed Intervention upon which the outcomes are based.

Outcomes Criteria for Review Is the project work plan clear and comprehensive? Does it include key task leaders, roles of staff/partners and feasible timeframes for the accomplishment of tasks? Does it include specific goals and tasks that are linked to measurable outcomes? Does it clearly identify the measurable program outcome(s) that will result from the project? Are the expected outcomes linked to the priorities of the program?

Project Management Provide a clear delineation of the roles and responsibilities of project staff, consultants and partner organizations Specify who would have day-to-day responsibility for key tasks Describe the approach that will be used to monitor and track progress on the tasks and objectives Provide a clear delineation of the roles and responsibilities of project staff, consultants and partner organizations, and how they will contribute to achieving the project's objectives and outcomes. Specify who would have day-to-day responsibility for key tasks such as: leadership of project; monitoring the project's on-going progress, preparation of reports; communications with other partners and ACL. Describe the approach that will be used to monitor and track progress on the project's tasks and objectives.

Evaluation Describe the method(s), techniques and tools that will be used to: Determine whether or not the proposed intervention achieved its anticipated outcome(s) Document the "lessons learned" - both positive and negative - from the project that will be useful to people interested in replicating the intervention, if it proves successful Applicants should describe methods for forming and articulating lessons learned and sharing outreach materials developed with other grantees, ACL and the appropriate Technical Assistance Center. Does it contain a plan for evaluating the effectiveness of the proposed activities in achieving project outcomes? Does the plan discuss the method(s) to be used to disseminate the project’s results?

Dissemination Things to consider… What parties might be interested in using the results of the project to inform practice, service delivery, program development, and/or policy-making? What methods will be used to disseminate the project's results and findings in a timely manner and in easily understandable formats? What format will the materials be in? As noted in the evaluation section, applicants should describe methods for forming and articulating lessons learned and sharing outreach materials developed with other grantees, ACL and the appropriate Technical Assistance Center.

Organizational Capability Describe how the agency (or the division of a larger agency which will have responsibility for this project) is organized, the nature and scope of its work and/or the capabilities it possesses Be sure to include capabilities not included in the program narrative Include the organization's capability to sustain some or all project activities after Federal financial assistance has ended Each application should include an organizational capability statement and vitae for key project personnel. The organizational capability statement should describe how the applicant agency (or the particular division of a larger agency which will have responsibility for this project) is organized, the nature and scope of its work and/or the capabilities it possesses. It should also include the organization's capability to sustain some or all project activities after Federal financial assistance has ended. This description should cover capabilities of the applicant agency not included in the program narrative, such as any current or previous relevant experience and/or the record of the project team in preparing cogent and useful reports, publications, and other products. If appropriate, include an organization chart showing the relationship of the project to the current organization. Please attach short vitae for key project staff only. Also include information about any contractual organization(s) that will have a significant role(s) in implementing project and achieving project goals. NOTE: Even if you think ACL is familiar with your work, your application needs to provide a detailed explanation. Review Criteria: Are the roles and responsibilities of project staff, contractors and key partners delineated, and how they will contribute to implementation of the project? Do the resumes of the proposed project director, key staff and consultants reflect the background, experience, and other qualifications required to carry out designated roles and responsibilities, particularly project direction, volunteer management, data management, tracking and reporting, and outreach and education? Do letters of commitment document roles of key partners, including strategies to reach identified priority populations, detailing the specific role, commitment and resources/activities in support of the project's effort that will be played by each collaborating organization?

Budget Review Criteria This includes a review of: the adequacy and reasonableness of resources requested the time commitment of the proposed director and other key personnel allotted supervision and support to ensure the safety, integrity and professionalism of the workforce strategies outlined under each budget category without duplication budget line items clearly delineated and consistent with work plan objectives The Budget Narrative/Justification can be provided using the format included in the document, “Budget Narrative/Justification – Sample Format.” Applicants are encouraged to pay particular attention to this document, which provides an example of the level of detail sought. A combined multi-year Budget Narrative/Justification, as well as a detailed Budget Narrative/Justification for each year of potential grant funding is required. Is the budget t to the adequacy and reasonableness of resources requested? Is the time commitment of the proposed director and other key project personnel sufficient to assure proper direction, management and timely completion of the project? Does the plan provide adequate supervision and support to ensure the safety, integrity and professionalism of the SHIP workforce? Did the applicant provide a clear budget justification that comprises Federal funds? Are strategies clearly outlined under each budget category without duplication? Are budget line items clearly delineated and consistent with work plan objectives?

Tips and Tricks Read the FOA closely and respond clearly to each question. Don’t assume the reviewers know anything about your agency, state, or work – this is your chance explain all the great work you do. Performance Measures are the beginning – how will you build on these to describe how you will measure all the work required and its impact? Ask a colleague to review your final application before submission. Review and borrow from the Center’s online resources.