IL NET an ILRU/NCIL National Training and Technical Assistance Project Expanding the Power of the Independent Living Movement GRANT WRITING TOOLS TO FURTHER YOUR MISSION A National Conference Participant's Manual March 4-6, 2002 San Francisco, CA Contributors to the training materials: Quentin Smith Darrell Jones Maggie Shreve Raweewan Buppapong Kristy Langbehn Anne-Marie Hughey Carri George Richard Petty Dawn Heinsohn (c) 2002 IL NET, an ILRU/NCIL Training and Technical Assistance Project ILRU Program NCIL 2323 S. Shepherd Street 1916 Wilson Boulevard Suite 1000 Suite 209 Houston, Texas 77019 Arlington, Virginia 22201 713-520-0232 (V) 703-525-3406 (V) 713-520-5136 (TTY) 703-525-4153 (TTY) 713-520-5785 (FAX) 703-525-3409 (FAX) ilru@ilru.org 1-877-525-3400 (V/TTY - toll free) http://www.ilru.org ncil@ncil.org http://www.ncil.org Permission is granted for duplication of any portion of this manual, providing that the following credit is given to the project: Developed as part of the IL NET: an ILRU/NCIL National Training and Technical Assistance Project. IL NET is funded through a special provisions cooperative agreement with the U.S. Department of Education, Rehabilitation Services Administration, Agreement No. H132B99002. Grant Writing Tools to Further Your Mission March 4-6, 2002 San Francisco, CA Table of Contents Section 1 Agenda i About the Trainers iv List of Trainers and IL NET Staff vi About ILRU viii About NCIL viii About IL NET ix Welcome! 2 Section 2 Establishing Superior Performance: Developing a competency based model 3 The Vision Thing: Defining terms for project development/grant writing 8 Organizational Analysis: Where Is Your CIL Going and Is It Getting There? 16 Sample CIL Vision and Mission Statement 27 Steps in the Planning Process 30 Section 3 Grant Writing Resources: Types of Grants 34 A Checklist for Simple Grant Writing 36 Likely Funding Sources for Project Support 44 Getting Started: What to do before you start writing 52 Writing the Application 55 Preparing a Realistic Budget 63 Section 4 Appendix: Sample Successfully Funded Federal Grant 71 Sample "Roadmap for Reviewers" 118 Sample Successfully Funded Foundation Grant 123 Funder Profile Sheet 129 "Who do you know" Worksheet 132 Section 5 Slide Presentation: Building Relationships with Private Funding Sources 134 Readiness to Raise Money: Is Your House in Order? 169 About the Trainers Quentin Smith has extensive experience in project development and securing project funding from a variety of public and private sources. He is an associate professor of family and community medicine at Baylor College of Medicine in Houston. Quentin holds a master of science degree in health care administration from the State University of New York at Stony Brook. He also completed doctoral level coursework in health education and management at Texas A&M University. Since leaving graduate school in 1978, Quentin has worked in several positions in which he has had major responsibility for project development and grant writing. In 1983-84, Quentin served as executive director of the Houston Center for Independent Living. He continued working on independent living projects as a consultant with ILRU during tenures as administrator of the Department of Cell Biology and Anatomy at the University of Alabama in Birmingham and grants and contracts manager of the National Rehabilitation Hospital in Washington, D.C. In January 1989, Quentin returned to Houston to devote more time and effort to his interests in independent living, working at ILRU until 1996. In more than 20 years of doing project development and preparing grant applications, Quentin has been the primary writer of proposals that have garnered more than $200 million in project funding. He has written successful proposals to the Rehabilitation Services Administration, the National Institute on Disability and Rehabilitation Research, the Office of Special Education and Rehabilitation Services, the National Institutes of Health, the Centers for Disease Control and Prevention, and the Equal Employment Opportunity Commission. He has also written successful proposals to numerous private foundations, including The Robert Wood Johnson Foundation, the Milbank Memorial Fund, the California Endowment, and the J.M. Foundation. Quentin has also published numerous articles in professional journals dealing with training, research, and policy issues. He has co-authored a number of monographs dealing with management issues in independent living and other topics related to service delivery for people with disabilities. Quentin brings to his training activities a commitment to equal access and opportunity for all individuals and extensive experience in developing projects that merit support by public and private funding agencies. Darrell Lynn Jones is Training Specialist for the IL NET Project at the National Council on Independent Living and has been involved in the IL movement for 24 years. She was founding Executive Director of the Rochester Center for Independent Living in Rochester, New York, and subsequently became the first director of the Association of Independent Living Centers in New York. In both positions she was a principle player in the creation of independent living as a statutory program in New York State, expanding CILs from an initial nine to 34 by 1987. Darrell has authored numerous successfully funded grants from foundations, corporations, and state and local governments. In various capacities she has provided technical assistance to CILs for over 14 years in the areas of board training, management, resource development and strategic planning. She has been a consultant to Cornell University, the Rehabilitation Services Administration, New York State Office of Advocate for Persons with Disabilities and various other institutions. Darrell holds an M.A. in counseling from Eastern Michigan University and a B.A. in sociology from Millsaps College in Jackson, Mississippi. She is also co-author with June Isaacson Kailes of A Guide to Planning Accessible Meetings. Grant Writing Tools to Further Your Mission March 4-6, 2002 San Francisco, CA Trainers Quentin W. Smith 4128 E. Bujia Segunda Tucson, Arizona 85718 520-299-7990 (V) 520- 299-5787 (FAX) quentin.smith@prodigy.net Darrell Lynn Jones National Council on Independent Living Suite 209 Arlington, Virginia 22201 877-525-3400 (toll-free -V/TTY) 703-525-3406 (V) 703-525-4153 (TTY) 703-525-3409 (FAX) darrell@ncil.org IL NET STAFF ILRU Lex Frieden Laurie Gerken Redd Executive Director Administrative Coordinator lfrieden@ilru.org lredd@ilru.org Richard Petty Carri George Program Director Publications Coordinator richard.petty@bcm.tmc.edu cgeorge@ilru.org Laurel Richards Dawn Heinsohn Training Director Materials Production Specialist lrichards@ilru.org heinsohn@ilru.org ILRU Program 2323 S. Shepherd Suite 1000 Houston, TX 77019 713-520-0232 (V) 713-520-5136 (TTY) 713-520-5785 (FAX) ilru@ilru.org http://www.ilru.org NCIL Anne-Marie Hughey Executive Director hughey@ncil.org NCIL 1916 Wilson Boulevard Suite 209 Arlington, VA 22201 703-525-3406 (V) 703-525-4153 (TTY) 703-525-3409 (FAX) 1-877-525-3400 (V/TTY - toll free) ncil@ncil.org http://www.ncil.org Kristy Langbehn Project Logistics Coordinator kristy@ncil.org Darrell Lynn Jones Training Specialist darrell@ncil.org Raweewan Buppapong Project Assistant toony@ncil.org ABOUT ILRU The Independent Living Research Utilization (ILRU) Program was established in 1977 to serve as a national center for information, training, research, and technical assistance for independent living. In the mid-1980's, it began conducting management training programs for executive directors and middle managers of independent living centers in the U.S. ILRU has developed an extensive set of resource materials on various aspects of independent living, including a comprehensive directory of programs providing independent living services in the U.S. and Canada. ILRU is a program of TIRR, a nationally recognized, free-standing rehabilitation facility for persons with physical disabilities. TIRR is part of TIRR Systems, a not-for-profit corporation dedicated to providing a continuum of services to individuals with disabilities. Since 1959, TIRR has provided patient care, education, and research to promote the integration of people with physical and cognitive disabilities into all aspects of community living. ABOUT NCIL Founded in 1982, the National Council on Independent Living is a membership organization representing independent living centers and individuals with disabilities. NCIL has been instrumental in efforts to standardize requirements for consumer control in management and delivery of services provided through federally-funded independent living centers. Until 1992, NCIL's efforts to foster consumer control and direction in independent living services through changes in federal legislation and regulations were coordinated through an extensive network and involvement of volunteers from independent living centers and other organizations around the country. Since 1992, NCIL has had a national office in Arlington, Virginia, just minutes by subway or car from the major centers of government in Washington, D.C. While NCIL continues to rely on the commitment and dedication of volunteers from around the country, the establishment of a national office with staff and other resources has strengthened its capacity to serve as the voice for independent living in matters of critical importance in eliminating discrimination and unequal treatment based on disability. Today, NCIL is a strong voice for independent living in our nation's capital. With your participation, NCIL can deliver the message of independent living to even more people who are charged with the important responsibility of making laws and creating programs designed to assure equal rights for all. ABOUT THE IL NET This training program is sponsored by the IL NET, a collaborative project of the Independent Living Research Utilization (ILRU) of Houston and the National Council on Independent Living (NCIL). The IL NET is a national training and technical assistance project working to strengthen the independent living movement by supporting Centers for Independent Living (CILs) and Statewide Independent Living Councils (SILCs). IL NET activities include workshops, national teleconferences, technical assistance, on-line information, training materials, fact sheets, and other resource materials on operating, managing, and evaluating centers and SILCs. The mission of the IL NET is to assist in building strong and effective CILs and SILCs which are led and staffed by people who practice the independent living philosophy. The IL NET operates with these objectives: * Assist CILs and SILCs in managing effective organizations by providing a continuum of information, training, and technical assistance. * Assist CILs and SILCs to become strong community advocates/change agents by providing a continuum of information, training, and technical assistance. * Assist CILs and SILCs to develop strong, consumer-responsive services by providing a continuum of information, training, and technical assistance. Grant Writing Tools to Further Your Mission A Manual to Accompany Training Produced by Quentin Smith and Darrell Jones In Association with Including Material Developed by Maggie Shreve WELCOME! "Grant Writing Tools to Further Your Mission" is a workshop for staff, board members, and consultants working with Centers for Independent Living (CILs) and Statewide Independent Living Councils (SILCs). The original authors of these materials are Quentin Smith and Maggie Shreve. This adaptation was produced with the help of Darrell Jones. Thanks to support provided through a cooperative agreement with the Rehabilitation Services Administration, this workshop provides information about how to develop effective projects and seek appropriate funding for them. This workshop lasts three and three-quarter (33/4) days and covers a wide variety of topics, including: • Examining the current federal and state disability-service environment and its implications for CILs and SILCs • Defining vision, mission, and goals • How to find appropriate funding sources • How to approach public and private funding sources • Tips on writing effective proposals • What to do once the proposal has been sent • How to review a federal proposal Training methods for this workshop include some lectures, but a great deal more of group and individual activities. Learning Objectives: Participants will be able to: ( Relate independent living mission to fund raising efforts ( Demonstrate effectiveness in documenting the need and rationale for the project for which you are seeking funding ( Identify measurable objectives to serve as the basis for proposed activities ( Develop and describe a rational plan for achieving the objectives identified ( Characterize project outcomes in ways that make clear the importance of the project ( Devise an evaluation plan that clearly indicates how progress will be measured and results documented ( Identify public and private sources of funding appropriate for CILs and/or SILCs Establishing Superior Performance: Building a Competency-Based Model For Project Development and Grant Writing Establishing Superior Performance: Building a Competency-Based Model for Project Development and Grant Writing Grant Writing Tools to Further Your Mission Definitions COMPETENCY: Underlying characteristics of a person, learned and innate, encompassing: > values > traits > knowledge > attitudes > skills > behaviors > potential for future that leads to effective superior performance Building A Competency-Based Model For Project Development And Grant Writing Definitions SKILL: Behavior which creates the ability to perform a work task. KNOWLEDGE: Familiarity with an awareness and understanding of a range of information necessary to perform specific work tasks. Building A Competency-Based Model For Project Development And Grant Writing Definitions COMPETENCY MODEL: A blueprint or tool of characteristics associated with superior performance in a particular job, encompasses: > critical elements of the job * desired behaviors, skills, and knowledge for * superior performance Building A Competency-Based Model For Project Development And Grant Writing Questions to be answered 1. What are the identifiable characteristics of the superior project developer? 2. What are the identifiable characteristics of the superior grant writer? 3. How can we measure ourselves against the competency-based model we build? The Vision Thing: Defining terms for project development/grant writing The Vision Thing: Defining terms for project development/grant writing DEFINITIONS VISION ( something seen in a dream; ( an object of imagination; ( the art or power of imagination; ( mode of seeing or conceiving; ( unusual discernment or insight DEFINITIONS MISSION ( a body of persons sent to perform a service or carry on an activity GOAL ( the end toward which effort is directed (aim) OBJECTIVE ( something toward which effort is directed (goal, aim) DEFINITIONS ACTION ( the manner or method of performing; ( a thing or things done; ( behavior, conduct; ( often implies more than one step, is continuous or is capable of repetition DEFINITIONS STRATEGY ( the science and art of employing the political, economic, psychological and military forces of a nation or group to afford maximum support to adopted policies in peace or war STRATEGIC ( necessary to or important in the initiation, conduct or completion of a strategic plan DEFINITIONS POLICY ( prudence or wisdom in the management of affairs; ( management or procedure based primarily on material interest; ( a definite course or method of action selected from among alternatives and in light of given conditions to guide and determine present and future decisions. DEFINITIONS PROCEDURE ( a particular way of accomplishing something or of acting; ( a step in a procedure; ( a series of steps followed in a regular definite order VISION Ú Ú MISSION > > > > > > × × × × × × × OUTCOMES Ú Ù Ú Ù GOALS/OBJECTIVES Ù Ú Ù Ú > > > > > > > >STRATEGIES > > > > > > STRUCTURE TACTICS PROGRAMS METHODS PLANNING APPROACHES EVALUATION Ú Ú Ú Ù POLICIES > >PROCEDURES > > Administration, Personnel, Finance, Fund Raising, Marketing, Public and Community Relations, Services and Programs ORGANIZATIONAL ANALYSIS: WHERE IS YOUR CIL GOING? and IS IT GETTING THERE? Below are brief statements to be completed by you about your CIL. Definitions for key terms precede each statement. 1. VISION * something seen in a dream; * an object of imagination; * the art or power of imagination; * mode of seeing or conceiving; * unusual discernment or insight As a result of our CIL's vision and work, I see a community where: 2. MISSION * a body of persons sent to perform a service or carry on an activity Our CIL's purpose within this vision is to: 3. GOALS * the end toward which effort is directed (aim) OBJECTIVES * something toward which effort is directed (goal, aim) To fulfill our purpose and to realize our vision, our CIL has the following long-term goals objectives (permanent goals or goals which will take 3 or more years to accomplish): 1. ______________________________________________________________ ______________________________________________________________ 2. ______________________________________________________________ ______________________________________________________________ 3. ______________________________________________________________ ______________________________________________________________ 4. ______________________________________________________________ ______________________________________________________________ 5. ______________________________________________________________ ______________________________________________________________ 6. ______________________________________________________________ ______________________________________________________________ 7. ______________________________________________________________ ______________________________________________________________ 8. ______________________________________________________________ ______________________________________________________________ 4. ACTION * the manner or method of performing; * a thing or things done; * behavior, conduct; * often implies more than one step, is continuous is capable of repetition To reach our long-term goals/objectives, our center engages in the following actions on a regular basis (activities done daily, weekly, or monthly): 1) ___________________________________________________________ 2) ___________________________________________________________ 3) ___________________________________________________________ 4) ___________________________________________________________ 5) ___________________________________________________________ 6) ___________________________________________________________ 7) ___________________________________________________________ 8) ___________________________________________________________ 9) ___________________________________________________________ 10) ___________________________________________________________ 11) ___________________________________________________________ 12) ___________________________________________________________ 13) ___________________________________________________________ 14) ___________________________________________________________ 15) ___________________________________________________________ 5. STRATEGY * the science and art of employing the political, economic, psychological and military forces of a nation or group to afford maximum support to adopted policies in peace or war STRATEGIC * necessary to or important in the initiation, conduct or completion of a strategic plan Our center uses different strategies (methods or approaches) to conduct our activities and to reach our goals/objectives. Some of our strategies are: 6. POLICY * prudence or wisdom in the management of affairs; * management or procedure based primarily on material interest; * a definite course or method of action selected from among alternatives and in light of given conditions to guide and determine present and future decisions. Our center has developed policies to guide staff and volunteers in completing their work so that our vision, mission and goals will be realized over time. Samples of some of these policies include: 7. PROCEDURE * a particular way of accomplishing something or of acting; * a step in a procedure; * a series of steps followed in a regular definite order Certain procedures have been established within our center to ensure that we follow policies in reaching our goals, fulfilling our mission and realizing our vision. Examples of some procedures which facilitate goal accomplishment by our center include: 8. EVALUATION * the determination or fixation of a value * the determination of the significance, worth or condition of something, usually by careful appraisal and study To assess how well our center is doing in realizing our vision and fulfilling our mission, we should evaluate progress on our long-term goals/objectives. Here is how we should or do evaluate ourselves on each of the goals listed in number 3. GOAL HOW EVALUATED 1) ___________________________ _____________________________ ___________________________ _____________________________ 2) ___________________________ _____________________________ ___________________________ _____________________________ 3) ___________________________ _____________________________ ___________________________ _____________________________ 4) ___________________________ _____________________________ ___________________________ _____________________________ 5) ___________________________ _____________________________ ___________________________ _____________________________ 6) ___________________________ _____________________________ ___________________________ _____________________________ 7) ___________________________ _____________________________ ___________________________ _____________________________ SELF-ANALYSIS: Where Do I Fit Into the Organizational Analysis? Name: _______________________________________________________ Title: _______________________________________________________ 1. I report to: __________________________________________________ (Title of your immediate supervisor or supervisions) 2. ...who reports to: ____________________________________________ (Title of your supervisor's supervisor or supervisors) 3. My responsibilities for program evaluation include (list all that apply): 4. I am expected to produce the following reports (list all that apply): 5. My authority over or for program evaluation could be described as: 6. We face a number of pressures for reporting which have a direct impact on our program evaluation methods. These sources and the pressures they apply include: Source of Pressure Evaluation Pressures Applied ____________________________ ____________________________ ____________________________ ____________________________ ____________________________ ____________________________ ____________________________ ____________________________ ____________________________ ____________________________ ____________________________ ____________________________ ____________________________ ____________________________ 7. The problems I see with program evaluation in our center include: 8. The most important information we could possibly get form a superior program evaluation system would be (list 3 to 5 things, in priority order, you think are critical to knowing how effective your center is in relationship to your vision and mission.): 1) ______________________________________________________ 2) ______________________________________________________ 3) ______________________________________________________ 4) ______________________________________________________ 5) ______________________________________________________ 9. We could do a better job of program evaluation if (complete the sentence with as many points as you can): * ____________________________________________________________ * ____________________________________________________________ * ____________________________________________________________ * ____________________________________________________________ * ____________________________________________________________ 10. My personal values related to program evaluation include (list the things you value from a program evaluation system, whether the data is relevant or not relevant to your vision, mission, or funding source requirements): * ____________________________________________________________ * ____________________________________________________________ * ____________________________________________________________ Sample CIL Vision and Mission Statement Reprinted with permission of Southern Tier Independence Center Binghamton, New York Southern Tier Independence Center Independent Living Philosophy People with disabilities should be empowered to control the direction of their own lives. This means choosing their goals, plotting their course and taking responsibility for their actions and the results. People with disabilities have the right to make their own choices and decisions and the right to make mistakes and learn/benefit from those mistakes. Independent living centers (ILC) foster independence, help disabled people to develop networks and supports and promote self-reliance. ILCs advocate for the inclusion and integration of people with disabilities in all aspects of community life. STIC Mission Statement STIC's mission has three parts. We provide assistance and services to people with all disabilities of all ages to increase their independence in all aspects of in-tegrated community life. We also serve their families and friends and businesses, agencies, and governments to enable them to better meet the needs of people with disabilities. Finally, we educate and influence our community in pursuit of full inclusion of people with disabilities. STIC Values Statement * We value the ability of every human being to reach for their dream. * We hold that each individual has strengths and weaknesses that must be taken into account in their journey toward their dreams. Each individual must accept the responsibility for the dream, the journey, as well as the work to get there. * We offer support, ideas, tools, training, respect and concern. * We will not do for, when it can be done by the person. * We will not patronize for the sake of efficiency, or in the guise of caring. We will try to understand when this causes fear, anger and frustration. * As we develop programs and policies, we will be guided by the dreams and abilities of the people we serve. * No matter how difficult the road, we will always choose the path of inclusion and integration. * We will not sacrifice our principles or values for money, convenience or expediency. * We will not shy away from controversy if that controversy will further our mission. * We offer hope and continue to look at each person as a unique and joyful experience that will teach us, and take us on a journey where we have never been. Steps in the Planning Process VISION: We see a world/state/community where.... MISSION: Our purpose and role in this world/state/community is to.... GOALS/OBJECTIVES: We must achieve the following in order to fulfill our mission and realize our vision.... ACTION STEPS: This year, we will do the following things to achieve our goals.... Vision Mission Goals/Objectives Action Steps STEP 1: GET ORGANIZED • Decide whether to develop a strategic plan • Get commitment • Determine if outside help is needed • Outline a planning process that fits • Form a planning team STEP 2: TAKE STOCK (SITUATION ANALYSIS) • History and present situation • Mission • Opportunities and threats • Strengths and weaknesses • Critical issues for the future STEP 3: DEVELOP A STRATEGY • Select a planning approach -Scenario approach -Critical issues approach -Goal approach • Identify and evaluate alternatives • Develop strategy STEP 4: DRAFT AND REFINE THE PLAN • Agree on format • Develop a first draft • Refine the plan • Adopt the plan STEP 5: IMPLEMENT THE PLAN • Implement the plan • Monitor performance • Take corrective action • Update the plan Grant Writing Resources TYPES OF GRANTS I. Questions for ANY type of grant -- Federal, state, or local A. Solicited versus unsolicited proposals? B. Requests for proposals (RFPs), or requests for applications (RFAs) or bids versus single source contracts? C. Length of narrative expected? Can run from 2 to 100 pages D. Type of approach expected and language used? Check and double-check with funding source on approach E. Is research and/or evaluation expected? Such components are often emphasized F. Is there dissemination and/or replication value in your idea? These features are often sought (i.e., "model" approaches) G. Does your proposal incorporate both the instructions and whatever evaluation criteria will be used? Using an outline helps. Make sure you have covered everything and in detail! II. Private grants A. Foundations 1. Independent -- funding usually comes from an endowment established by a family, individual or group of individuals. 2. Company-sponsored -- independent grant-making organization with close ties to the corporation providing the funds, funding may be from an endowment or contributions from the profit-making company. 3. Operating -- an organization which uses its resources to conduct research or provide a direct service, funding usually comes from an endowment provided by a single source. 4. Community -- publicly supported organization which makes grants for a specific community or region, funding usually comes from contributions of many donors. B. Corporations 1. Trusts -- fund established for specific giving purposes, can be similar to a company sponsored foundation. 2. Corporate giving -- may come through United Way contributions, through other payroll deduction plans of the company or through a decision of the for-profit board of directors. A CHECK LIST FOR SIMPLE GRANT WRITING _____ 1. Develop your program concept. a. Does it fit your mission? b. Does it fit your strategic plan? _____ 2. Seek approval from the board of directors for the program concept and development of a grant. _____ 3. Investigate possible funding sources: a. References: 1) Foundation Directory and Source Book Profiles 2) Annual Register Grants Book 3) Catalog of Federal Domestic Assistance 4) Federal Register 5) NIH Guide 6) Local libraries, universities, donor forums b. Find out: 1) The foundation's or agency's purpose, mission and funding priorities; 2) Amounts of money available and for what length of time; 3) Types of proposals previously funded; 4) Deadline date(s) for applications or letters; and 5) What is required for an application. _____ 4. Refine your concept in order to prepare requests for funds from different kinds of sources. Using an outline format can be helpful for shorter and then expanded grant applications. ___ a. Identify the needs your program will meet: What will your program do? How will funding make a difference? ___ b. List the goals and objectives of your program: are your objectives quantifiable and/or measurable? How do you determine "quality" of results? ___ c. Describe the procedures necessary to meet your objectives -- list action steps for each objective: How will you meet your goals and objectives? ___ d. Begin collaboration with other agencies or groups to solicit support for your ideas and to coordinate activities: Don't duplicate what others are doing! Do your consumers want this? How do you know? ___ e. Assess the amount of money you need to accomplish your objectives (i.e., staff, benefits, equipment, occupancy charges, travel, etc.?). Develop your budget and be realistic! _____ 5. Make preliminary contact with possible funding sources to identify their requirements and procedures for applications. a. Talk to funding sources at length before getting too deeply involved in writing your proposal. You want to ensure that you are developing a program that has the potential for funding. Ask to meet a representative in person if you can; if not, use the telephone. b. Have questions ready based upon research you have done, people you have talked with and your basic program concept. c. Be honest yet inquisitive. Don't chit-chat unless the funding source contact seems to want to do this. _____ 6. Write your application for funding after you feel reasonably confident that you are approaching the right sources. Each funding source you choose will have its own specific criteria, but all applications should include the following information: ___ a. Name, address, tax exemption number, contact person, that person's title and telephone number of your organization. ___ b. Purpose and activities of the organization (history). ___ c. Brief description of the proposed program, including the need for the program, any services to be offered, information to be gathered, information to be disseminated, types of persons to be served, and geographical area to be covered. This may be extrapolated as an "abstract." ___ d. Amount of money requested (budget) with justification for each major budget category. ___ e. Organizational chart of proposed program, job descriptions, resumes of key existing staff, and a list of governing board members. ___ f. Program plan (objectives with scheduled deadlines). Use a PERT or Gantt chart -- easy to read, helpful to reviewers. ___ g. Approach or methodology; in other words, how you will achieve the program's objectives (action steps with scheduled deadlines). ___ h. Expected results or benefits or how will the program make a difference in the work of your organization or the people you serve (use data which can be quantified if possible). ___ i. Facilities and resources available for the program, including any inter-agency agreements, matching funds from another source, physical space, equipment and accessibility of current facilities. ___ j. Evaluation plan and plans for permanent financial support (if needed). You do not need to include plans for future financial support if the program for which you are requesting funds is intended to be short-term, for capital improvements or for delivery of a product. ___ k. Any assurances required or letters of support. _____ 7. Other things to think about: Possible funding source questions: > What is the funding source's track record? > Who are the key decision-makers within that funding source? > What connections do you have to those decision-makers? > Is the source generally supportive of your type of program? > Will your program be of benefit to others in the same field? > Would the funding source gain recognition for achievements of your program? > Will the funding source want proof of your results? > What kind of communication will the funding source expect after it has granted you funds? > What kinds of "strings" may be attached to granted funds? Other questions you might ask: Writing style: * Writing style should be clear, direct and concise. * Some sources only desire a 2 or 3 page proposal; others expect 15 to 100 pages. * Write in the present tense whenever possible (such as, "The We Perform Miracles CIL provides peer support to persons with disabilities in the greater Wonderland metropolitan area. This project expands service delivery to the surrounding six counties.") * Future tense is acceptable when it describes what the funding could do. Objectives and action steps should always be in the present tense, as in the form of a command, and should always be measurable. * Avoid the use of personal pronouns such as "we" "our" "I" and "they." * Use a resource like The Elements of Style by Strunk and White. Other hints on writing style: Final check on the out-going application: * Computer-printed or typed final copy should be neat, easy-to-read, error-free and paginated. * One inch columns on either side and at the top and bottom of each page are desirable unless the funding source provides a template with set margins as is the case with the PHS-398 application package used with many NIH grants. * Format your proposal with plenty of breaks in narrative text by using headlines and sub-headlines, underlining, "bullets," etc. There should be ample "white space" on each page. * If the proposal is long, include a table of contents with pages for each division or section of the proposal. * Do not type or print on both sides of a page. * Double check your budget to make sure that your figures are reasonable and that all columns add up to the correct total. Also, be sure that your budget does not exceed any specified budget limits. The Office of Special Education and Rehabilitation Services (OSERS), in which both the Rehabilitation Services Administration (RSA) and the National Institute on Disability and Rehabilitation Research (NIDRR) are housed, now rejects without review any proposal that includes a budget that exceeds the amount indicated as the limit for announced programs (e.g., $150,000 total costs, including direct and indirect costs, for field initiated research projects). * Make sure that you have sufficient copies of the application. * Ensure your method of delivery gets the documents to the proper person by the proper time and at the proper address. Other final check items: _____ 8. Items needed for easy retrieval: ___ History of the organization, mission statement, current annual plan ___ Organizational charts (board and staff) ___ Board of directors roster ___ Existing staff job descriptions ___ Resumes of existing staff (up-to-date) ___ Current annual budget ___ Recent statements of revenue and expense (balance sheets) ___ Audit report (annual) ___ 501(c)(3) letter from the IRS ___ Certificate of good standing or record of incorporation from the state where your organization is doing business ___ Record of achievements or annual report (brochure or other promotional materials) ___ Track record of other successful grants Other easy retrieval items: FUNDING SOURCES FOR RELATED SUPPORT ACTIVITIES Basic Tips in Considering Funding Options CILs and SILCs may initially be at somewhat of a disadvantage in competing for grants. Many independent living organizations have relatively limited resources (e.g., staff, equipment, research capacity) with which to pursue funding options. Because federal grant funding is generally highly competitive and requires fairly well developed project development and grant writing skills, initial efforts to obtain funding support might be best committed to securing small grants from local foundations and businesses. Once some experience in project development has been gained and a track record in project administration has been established, more ambitious project development and grant writing efforts can be undertaken. Following is some information on various private foundation and corporate grant sources that might be considered. Immediately following the information on private grant sources, information on federal and other public grant sources is summarized. PRIVATE FUNDING SOURCES--National Foundations There are a number of foundations that provide funding for projects on a national basis. Unfortunately, small non-profit consumer groups are typically at a disadvantage in applying for funding from national foundations. Such groups are disadvantaged because most of the these foundations are interested in funding projects that are very innovative, national in scope, and/or are models that have a high likelihood for replication elsewhere. Although your project may be innovative in your community, it may be difficult to convince foundation staff that the approach that you are taking has not been tried before, or that there is a reasonable likelihood that the approach can be replicated in other settings. As such, careful consideration should be given to whether it is wise to invest the time in pursuing funding from national foundations. A few national foundations that bear mentioning. These include: 1. The J.M. Foundation Chris K. Olander, Executive Director 60 East 42nd Street, Suite 1651 New York, NY 10165 Telephone: (212) 687-7735 Founded by Jeremiah Milbank, the J.M. Foundation has always viewed disability-related projects as a high priority. Like the Dole Foundation, J.M. is concerned about employment opportunities for people with disabilities. However, J.M. also funds other projects that benefit people with disabilities. Although the amounts of awards are typically not very large ($10,000 - $30,000 range), J.M. may be more approachable with regard to projects with local impact than are most national foundations. 2. The Robert Wood Johnson Foundation Steven Schroeder, M.D., President Route 1 and College Road East Post Office Box 2316 Princeton, NJ 08543-2316 Telephone: (609) 452-8701 The Robert Wood Johnson (RWJ) Foundation has traditionally funded projects that deal directly with health care delivery and model approaches for improving health care services. Within the past few years, they have modified their approach to health care services to include delivery of non-medical services. Although they continue to be committed to health care priorities, they are more willing to consider non-traditional approaches to service delivery than they were a few years ago. If you have a project that is linked closely to health care improvements, particularly if it is one that may be replicated in other settings, then it might be worth contacting RWJ. 3. The W.K. Kellogg Foundation William C. Richardson, President and CEO One Michigan Avenue East Battle Creek, MI 49017-4058 Telephone: (616) 968-1611 The W.K. Kellogg Foundation is interested in projects around education and community-based health care services, as well as broadening the leadership capacity of individuals. They particularly like to fund pilot projects that can be sustained by the grantee beyond the period of initial funding. They are willing to provide substantial funding for projects that they deem worthy. State and Local Foundations As implied from the previous discussion, the best source of foundation funds to support local initiatives is from state and local foundations that have vested interests in the well-being of the states and communities in which they are located. There are literally thousands of state and local private foundations that provide grants ranging from the hundreds of dollars to the millions of dollars. The best source of information on state and local foundations is The Foundation Directory, published by the Foundation Center in New York. Most public libraries keep a copy in the reference section, and virtually all university libraries have copies in the reference section. The Foundation Directory and its two companion publications-The Foundation Directory Part 2 and The Foundation Directory Supplement provide the names of all private foundations--excluding corporate foundations--in each state, along with summary information on the types of projects funded, ranges of dollar support for projects, contact information, and approach preferred by the foundation. However, the full set is rather expensive at $465. You can also subscribe to Foundation Directory Online for a fee ranging from $19.95 monthly to $59.95 monthly. The Foundation Center can be contacted at, and information on online products and services available from The Foundation Center can be found at http://fdncenter.org. The Foundation Center 8th Floor 79 Fifth Avenue New York, NY 10003 Telephone: (212) 620-4230 Other published reference works on grant opportunities that you may wish to consider include: Directory of Grants for Organizations Serving People with Disabilities: A Reference Directory Identifying Grants Available to Nonprofit Organizations (11 edition, September 2000) By Richard M. Eckstein This publication, available from http://www.amazon.com, includes summary information on federal programs that fund disability-related projects. The 2000 edition at $59.95 may a good investment if you have some extra dollars to throw around. However, the information is available through other sources. Directory of Operating Grants (5th edition, February 2000) By Richard M. Eckstein This publication is also available from http://www.amazon.com for $59.95. If you are having difficulty finding sources of funding just to keep things going, this may be a good investment. Many foundations specifically exclude funding for program operations, so having this resource might reduce the time that you spend looking for operating support. In addition to these two sources, there are print and online funding newsletters available. Some services are free, while others are available at costs ranging up to several hundred dollars per year. One of the biggest players in the print and online newsletter business is Aspen publications. They operate a World Wide Website called Grantscape. At the Grantscape Website, http://www.grantscape.com, a variety of products and services are offered, including general tips and ideas on grant writing and fundraising and customized searches for grant-related resources. While many of the tips and ideas featured on the Website are offered free of charge, the cost for the Grantscape: Electronic Fundraising Database, Online Version 3.0 is $715. More information on Aspen's print and online products and services can be obtained at the Website indicated above, from Aspen's Alexandria, VA office. Aspen Publications 1101 King Street, Suite 444 Alexandria, VA 22314 Telephone: (703) 683-4100 Approaching Private Foundations and Funding Sources • Make sure you know what the funding priorities of the foundation are and any restrictions that they place on use of funds (e.g., cannot be used for operating expenses, no funding for construction). • Determine the proper process for applying. Do you need to send a letter prior to submitting an application? Does the foundation only review invited applications? • Find out if there are specific application dates or deadlines set by the foundation. Many foundations accept applications all year long, but some have specific deadlines, usually tied to foundation board meetings when funding decisions are made. • Determine what types of documentation will be required with your application. Most private foundations require a copy of your 501(c)(3) determination from the IRS and a listing of the board members for your organization and their business affiliations. Some foundations may request a copy of your bylaws and of your last annual financial audit. Be prepared for these requests. All of these documents should be easily retrievable. • Determine if there are application restrictions with which you must comply (e.g., no more than a two-page narrative, no funding for salaries--believe it or not, some foundations do not provide funding for salaries). • Find out if you have any contacts with anyone serving on the foundation's board or in a key staff position. If so, you need to use that contact effectively. • Cultivate relationships with board members and key staff of foundations that you would like to approach for funding. In the sales business there is an old saw about the three most important factors in making sales--the answer is location, location, location. In the private grant business, the three most important factors in securing funding are relationships, relationships, relationships. It takes time to develop relationships with foundation personnel--two years is generally cited as the lead time before any funding is obtained--but the pay-offs can be well worth the investment. FEDERAL SOURCES Finding Information on Federal Grant Opportunities * Where do you find information about Federal funding opportunities that may be right for your organization? All organizations that provide services to persons with disabilities should monitor, on a regular basis, the funding opportunities available through Federal agencies. There are a number of Federal departments of agencies that may provide funding for disability-related services, and Websites for some of these entities are listed below. However, the most likely source of funding for service related activities operated out of consumer-based organizations, like CILs and SILCs, is the U.S. Department of Education's Office of Special Education and Rehabilitation Services (OSERS). OSERS is the home to the Rehabilitation Services Administration (RSA), through which Federal money for CILs and SILCs is administered, and to the National Institute on Disability and Rehabilitation Research, which funds a wide range of disability related projects and services, including rehabilitation research and training centers (RRTCs), rehabilitation engineering research centers (RERCs), and field-initiated research (FIR) projects. The easiest way to keep up to new funding initiatives from the Department of Education is by visiting their "Announcements" Website at: http://www.ed.gov/legislation/FedRegister/announcements/index.html Weekly visits to the site will keep you and your organization apprised of new initiatives through the Department of Education, including those of RSA and NIDRR. Once you identify an initiative of interest to you, you can go to another Department of Education Website to retrieve the application package for the initiative: http://www.ed.gov/GrantApps/ In addition to retrieving the entire application package, at this Website you can download the cover page, budget, assurances, and other forms needed to complete and submit the application. This is a wonderful resource for grant writers, and you should be familiar with it. Other Disability-Related Federal Grant Programs In addition to the Department of Education, many other Federal agencies provide grant funding for programs and services relating to disability. To get a sense of what is available from various Federal agencies, it is a good idea to visit periodically the NonProfit Gateway Website. It can be accessed at: http://www.nonprofit.gov/ The NonProfit Gateway allows the user to retrieve information on a wide range of funding opportunities available through different Federal agencies. Some of the agencies that are involved in funding disability-related activities include the Department of Health and Human Services (DHHS), which focuses on disability issues through a number of its organizational components. Perhaps the DHHS component most involved in disability-related activities is the National Center for Medical Rehabilitation Research (NCMRR), which is a center within the National Institutes of Health, National Institute on Child Health and Human Development (NICHD-the acronym doesn't match the name, but that is what they use). NCMRR's primary focus is clearly medically oriented, with funding for basic science and clinical research projects. However, there may be opportunities for collaboration with medical research organizations in conduct of research. One current-that is 2001-NCMRR initiative focuses on development of "Cooperative Multicenter Traumatic Brain Injury Clinical Trials Networks." The request for proposals can be retrieved from: http://grants.nih.gov/grants/guide/rfa-files/RFA-HD-01-007.html If your organization has a relationship with a medical facility involved in brain injury clinical research, you may want to explore the potential of collaborating with the organization in its research activities. Some medical organizations may see the advantage of partnering with a consumer-based organization for purposes of subject recruitment and related activities. However, you should be cautious about "getting into bed" with clinical research organizations. Some non-profits have been "used" by slick research organizations, including university-based research programs, to create a veneer of consumer sensitivity in an organization that does not truly adhere to the principles-consumer control, disability rights-that are cornerstones of the independent living movement. Approach potential relationships with research organizations cautiously; a gain of a few thousand dollars in grant support could cost you the far more in terms of your organization's reputation and credibility with consumers and others in the community who respect the IL principles and philosophy. To remain current on requests for applications (RFAs) and program announcements (PAs) from NCMRR or from other components of the National Institutes of Health (NIH), you can check the NIH Guide online. It is published weekly, and the new version is usually available through the NIH Guide Website by late afternoon on Monday or early Tuesday morning. Simply click the current year on the Website indicated below and it will bring up the weekly listings of the announcements starting with the most recent weekly publication and going back over the full year's announcements. You can check for new announcements weekly at: http://grants.nih.gov/grants/guide/index.html Other DHHS components that should be looked at from time to time to see if there are potential funding opportunities include the: * Health Care Financing Administration (HCFA) http://www.hcfa.gov/ord/ordhp1.htm * Agency for Healthcare Research and Quality (AHRQ) http://www.ahrq.gov/fund/ * Administration on Aging http://www.aoa.dhhs.gov/research.html * Centers for Disease Control and Prevention (CDC) http://www.cdc.gov/funding.htm Other Federal agencies that may have funding related to disability include the: * Health Resources and Services Administration (HRSA) http://www.hrsa.gov/default.htm * Social Security Administration (SSA) http://www.ssa.gov/ * Department of Agriculture (USDA) http://www.usda.gov/nonprofi.htm * Department of Labor (DoL) http://www.dol.gov/dol/public/nonprofit/grant.htm * FIRSTGOV for Seniors http://www.seniors.gov/ With regard to the USDA, you might consider establishing a working relationship with one of the nation's 105 land grant colleges that receive UDSA funding for a wide range of projects. If you want to know where the land grant colleges are located, go to this Website for a complete listing of land grants institutions: http://www.nasulgc.org/publications/Land_Grant/Schools.htm Land grant institutions are involved in many projects that may relate to disability issues. One example of the types of projects funded through the Department of Agriculture and involving the land grant colleges can be seen in the Children, Youth, and Families Education and Research Network (CYFERnet). CYFERnet activities focus on community-based programs. You can learn more about CYFERnet by visiting their Website at: http://www.cyfernet.org/ It is also strongly recommended that all organizations involved in disability services become familiar with funding sources targeting older Americans. The explosion in the size of the elderly population that will occur between 2010 and 2030 as baby boomers begin to enter the ranks of the elderly will have a profound impact on the population as a whole and on the population of people with disabilities, in particular. The likelihood of acquiring a disabling condition increases dramatically with aging, and meeting the needs of the mushrooming older population of Americans with disabilities will become a real "growth industry" over the next several years. Monitoring funding opportunities by looking at the FIRSTGOV for Seniors Website, (http://www.seniors.gov/) may help you maintain awareness of opportunities coming down the pike to develop or expand programs or services for seniors with disabilities. The Federal Register Another source of information on Federal grant opportunities is the Federal Register. The Federal Register is published every working day of the Federal calendar year. It contains information on many funding programs, rulemaking organizations, and other components of the Federal government. You can access the Federal Register free and search it by date and/or key word at this Website: http://www.access.gpo.gov/su_docs/aces/aces140.html You should be familiar with what's in the Federal Register and how to use the search functions at this Website. In addition to grant information, it can provide you with information on new ADA regulations and other important disability-related information. STATE FUNDING SOURCES In addition to the potential federal funding sources identified above, there are many state agencies that should be considered as possible sources for disability-related projects. Although the names of public agencies vary from state to state, all states have agencies with responsibility for projects related to health and human services. In order to become familiar with these agencies and project funding available through them, you are urged to subscribe to your state's Register. Just as the federal government publishes notices of funding in the Federal Register, states are required to publish notices of project funding in a state register. In Texas it is called the Texas Register, and is published daily. It is in your best interest to subscribe to your state's Register and to review it daily for funding opportunities for which your organization might apply. COUNTY AND MUNICIPAL FUNDING SOURCES These may be some of the best sources of funding available to disability-related organizations. Some cities particularly are very liberal in the use of Community Development Block Grant (CDBG) funds obtained from the federal government, and it is worthwhile to determine what city agency has responsibility for CDBG funds in your city. County governments also typically contract for many services needed by county residents. You should determine who is responsible for grants and contracts at your municipal and county governments and make sure that you are on their mailing lists. Getting Started! What Do You Do Before You Start Writing? 1. Private Foundation Grants Before beginning a private foundation grant, make sure that you have all of the instructions available regarding the application process and materials required. It is also recommended that you speak with the project officer identified at the foundation prior to beginning. Generally speaking, the project officer can tell you if your idea is one that fits with the purposes and objectives of the foundation and any specific priority that may have been announced. Otherwise, the suggestions outlined below for public grant applications should generally be followed in applying for foundation grants. 2. Federal and Other Public Applications • Read the application materials at least twice. • Make sure that your organization is eligible to apply. It is usually worth a call to the project officer to ask a few questions about the types of projects they are looking for and whether there are any restrictions on the types of agencies eligible to apply or the types of projects that they intend to fund. • Determine exactly when the application is due. Is the due date a postmark date or a receipt date? If this is unclear in the application materials, call the funding agency for clarification. • Determine what the funding range for projects is and what the average award amount is expected to be. Keep in mind that unless you believe that you can develop an outstanding project, you are unlikely to obtain funding above the average level. You may determine that you simply do not have the resources to carry out a project at the funding level indicated. In such cases, you can save yourself a lot of aggravation by making such determinations early. • Decide if you need collaborating organizations or consultants. Often it is clear from the application instructions that involvement of persons with certain types of expertise is essential for an application to be competitive. You may need to involve someone from your state Client Assistance Program (CAP) or someone with special education experience. An early decision as to whether the likelihood of getting support from needed collaborators is feasible will help you decide whether you should proceed. • Find out if applications are going to be "peer reviewed," and if so, who the reviewers are likely to be. Not all applications are peer reviewed. Particularly for applications for smaller amounts of funding (e.g., under $50,000), decisions on funding may be made by program staff of the funding agency. If this is the case, make sure that you talk to program staff at the agency to determine if they have any recommendations on how to proceed. They may tell you that they can only provide whatever information is in the application, but it is worth asking. If the applications are going to be peer reviewed, ask them what types (e.g., medical professionals, special educators, vocational rehab counselors) of persons will be invited as peer reviewers. This will give you an indication of the types of folks with whom you may want to collaborate. For example, if the reviewers are mostly special educators, it is in your best interest to collaborate with one or more special educators during preparation of the proposal, as well as afterwards. This increases the likelihood that you will address the issues that reviewers are likely to be concerned about. • Determine if there are page length restrictions and other restrictions on format and presentation that may be mandated by the funding agency. Some agencies, such as the Administration on Aging, have firm limits on page length of the narrative and accompanying materials. They also have firm restrictions on margin sizes, number of characters per inch of typing, and position of page numbers. If any of these restrictions are violated, your application is returned without being read. Make sure that you are aware of any format or structure restrictions before beginning to write. Reorganization takes time. • Determine whether there are certifications (e.g., drug-free workplace requirements, anti-lobbying statements) that need to be signed and sent with the package. This may require some policy action by your organization's board, so do not wait until you start writing your application to take care of this. • Make sure you know who within your organization needs to sign off on an application, and that they will be available when the application is ready for signing. This will depend on internal policies and procedures of your organization. If you have an executive director who can sign off on applications, make sure he or she is ready to do so on a timely basis. If the board president needs to sign off, get him or her ready to do so. Don't wait until you are in the thick of proposal writing to do this--it might not get done! • Decide what you are going to do about indirect costs. If you have a federal negotiated indirect cost rate, this is no problem. However, most consumer groups do not have a negotiated indirect cost rate. In making this decision read the application carefully, it may indicate that indirect costs are restricted to some pre-determined level. If there is no fixed indirect cost rate stated in the application instructions, and you do not have a negotiated rate with any federal agency, it is probably in your best interests not to request indirect costs. However, if you do not request any indirect costs, it is critical that you recover all of the direct costs of the project. • Make your best estimate of the amount of time that will be required to produce the application. Be Realistic! We all have tendency to underestimate the amount of time it takes to prepare an application. If you believe that it will take ten days of time, add 20% to that and budget your staff time accordingly. Spending ten days on an application that is not ready for mailing on time is not only frustrating, but also demoralizing to people who have been "under the gun" while you've been working on a deadline. If the time is not available, do not try to squeeze it out unless you believe that the likelihood of getting the funding is at least 90%. • Make sure that the proposed project "fits" your organization, and that it is not going to divert resources from other crucial activities. We have all seen the impact of organizations becoming engaged in chasing dollars and getting away from their missions of providing support to their members. If you want to be something other than a survivor and family support group, that is your board's choice. However, this choice should be made consciously as a result of a rational strategic planning process and should not occur as a by-product of the chase for dollars. Writing the Application 1. Private Foundation Grants Most of what applies to federal and other public grants also applies to private foundation and corporate grants. However, the types of applications submitted to private foundations and corporate funding sources are usually much more spare than are applications to public funding agencies. This requires an economy of language and conciseness that takes practice to achieve. A few tips for preparing private foundation and corporate funding source applications are provided. However, it should be cautioned that there is enormous variation in requirements of private funding organizations, and it is in your best interests to develop a relationship with someone at the foundation or corporation who can help you to "decode" published information that may be available on the application process. • Follow their stated application procedure to the letter. If the process requires an initial letter of intent, make sure that you provide such a letter before submitting an application. Some foundation staff view their roles as "gatekeepers," whose primary mission is to reduce the number of applications with which the foundation must deal. These folks will use the application process as a means of eliminating as many applications as early in the application process as possible. Not following the stated procedure provides them an easy means of eliminating your application without spending any time on it. • If the initial approach is by letter, state the reason why funding is requested and the amount of funding you believe to be necessary for your project right in the opening sentence. Do not be vague about what you are requesting or keep the reader wondering what it is that you want. In general, directness, clarity, and brevity are valued by foundation staff people who have to consider numerous requests for support. • Avoid jargon and excessive use of abbreviations at all costs. Even more than with federal grants, jargon and "alphabet soup" are anathema to foundation staff. If they have to stop and look up terms or get outside help in understanding what your application is about, they are not likely to respond to it favorably. Plain and understandable English is the best approach in requesting funding from private funding sources. • Do not confuse an application for project funding with a public relations campaign for your group or organization. Although you may want to establish the credibility of your organization by indicating how many people it serves, singing your own praises can be offensive to the reader. If you are trying to obtain funding for a project, talk about the project and the organization's capabilities to conduct it--not about how wonderful your organization is. If the foundation staff want to find out about the reputation of your organization in your community, they probably will not rely on you for such information. • Make sure that you provide all of the accompanying materials requested. Do not send partial applications. Foundation staff may not be inclined to follow-up if something is missing, particularly with unsolicited applications. 2. Federal and Other Public Funding Applications • The instructions stupid! This may sound crass, but many times as a reviewer you wonder if the people who prepared the application read the application instructions. Make sure that you organize your proposal as indicated in the application package. If a specific order of items is indicated try to follow it religiously. • Be faithful to the review criteria. You make the reviewers' jobs easier if you can follow the format of the review criteria that are provided in application package. Sometimes this is difficult because the review criteria and the organizational outline provided for the application do not match well. In such cases, you need to decide how to clearly indicate to the reviewer that you have addressed each criterion specified. This may be done by using techniques such as a "roadmap" of the criteria, indicating which sections of the proposal address each criterion. This is often tricky to accomplish, but the more you help the reviewer, the more favorable reception of your application is likely to be. • Avoid jargon. Even in cases where the reviewers are likely to recognize terms that are specific to a professional discipline or field, it is a good idea to avoid excessive use of jargon. You should write your proposal so that any person with a college education can read it and understand it, even if they are not familiar with the field. Although it may be necessary to use terms that are not in general usage, this should be kept to a minimum, and the narrative should be easily readable to anyone. • Avoid "alphabet soup." The overuse of abbreviations is one of the most annoying habits of people who write federal applications. Only abbreviations that are readily recognizable to likely reviewers or abbreviations that are used for key concepts repeated frequently in the proposal should be used--and these only sparingly. Introducing numerous new abbreviations for organizational components or strategies will drive the reviewer crazy as he or she constantly tries to sort them out or is forced to look back to see what the "IBQ" is. • Write clearly and concisely. Make your points and get on with the application. Do not try to "sell" your plan or concept with a lot of excess verbiage. If it is a good idea, it will "sell" itself. You need to provide enough information to be clear about what you are going to do, why you are doing it, how you are doing, what you expect to come out of it, and who will be doing it. Providing more information than that is distracting to reviewers. • Make sure that you document the need for what you are doing with appropriate data. If you are doing a local project, make sure that you have some data on local need for the project. Indicate where your data came from and when it was gathered. If you do not have local data, indicate why it is missing (often this only requires that you indicate that funds have been lacking to collect local data). If you do not have local data, estimate needs by extrapolating from state or national data that can be cited from a good source. Indicating that you have made some effort to quantify the scope of the problem that you are addressing suggests to the reviewer that you have done your homework. • Use language that parallels the language in the application package. If the application instructions use terms like "goals and objectives," give them goals and objectives. Even if you disagree with their use of the term goals and objectives for what they are seeking, do not reduce your chances of getting a favorable review by correcting the terminology in the application package because you think it was misused. If you have strong objections to terminology used, or it simply does not fit the project that you are proposing, tactfully explain your use of the term and how such use might vary somewhat from standard usage. • Address every requirement indicated in any outline provided in the application package and every item in the review criteria. This may be tricky, but it will increase your chances of a favorable review. If a reviewer feels that you failed to address an issue that was identified in the application materials, you will almost certainly lose points in the review process. • Even if the page limit is only "suggested," make an extra effort to stay within it. Do not assume that because the page limit requirement is not mandatory, the reviewers will ignore it and simply read on through a document that substantially exceeds suggested limits. Some reviewers will simply stop reading when they reach the suggested limit and base their review on what they read to that point. Others will be so annoyed at your disregard for suggested limits, that their judgment of the application will be affected negatively. • Use appendices wisely. If you have material that you think will really enhance a reviewer's understanding of your proposed project, but it simply is too lengthy to be included in the narrative, put it in an appendix and refer to it in the narrative text. Careful consideration should be given to what is placed in the narrative and what goes into appendices, since all reviewers may not be provided appendix materials. • Proofread the document carefully and use spell check. Almost all applications have a couple of grammatical "glitches" or misspelled words. A few of these problems are generally overlooked by reviewers. However, an application with misspelled words on every page and grammatical errors throughout the document suggests that the writers did not take much care with their efforts. Get someone to proofread your application who understands the issues, but who was not involved in preparing the application. This person can tell you if it made sense and if it is readable and understandable. • Include a table of contents. If possible, this should allow reviewers to locate outlined sections of the application and pages where specific review criteria are addressed. Not having a table of contents makes it very difficult for reviewers to go back and see if specific points were addressed in the application. Writing Measurable Project Objectives One of the challenges faced by organizations trying to develop proposals in response to Federal announcements and requests relates to the problem of developing measurable objectives for the project. It's worth taking a quick look at the difference between goals, objectives, and activities. Resource Note: In discussing developing measurable objectives, we will refer to a 1999 publication produced by the Department of Education for its 21st Century Community Learning Centers Program. This publication, A Guide to Continuous Improvement Management (CIM), by Natalia Pane, Ivor Mulligan, Alan Ginsburg, and Andrew Lauland, can be downloaded from the Department of Education Website as an Acrobat file in pdf format.1 It can be found at: http://www.ed.gov/offices/OUS/PES/21cent/cim226.pdf For those of you who need the document in an alternate format, the Adobe Acrobat Website provides a plug-in for Acrobat version 4.0 that allows you to export pdf files to text formats. You can obtain the 4.0 plug-in at the Adobe site by going to: http://www.adobe.com/support/downloads/5efe.htm If you download the Acrobat 5.0 reader from the Adobe site, it will have the access features built into it. Version 5.0 of the Acrobat reader is at: http://www.adobe.com/products/acrobat/readstep.html It is recommended that all disability-related service organizations obtain an accessible version of the Acrobat reader software so that you can provide accessible versions of documents published in pdf formats to your staff, consumers and others. Grant writers are also encouraged to retrieve the document A Guide to Continuous Improvement Management (CIM), and refer to it when preparing an application for the U.S. Department of Education. It offers excellent suggestions. A Guide to Continuous Improvement Management (CIM) differentiates goals and objectives as follows: * Goals reflect the program's broad intent by defining what is to be obtained through sustained effort over the long term. * Objectives specify what is to be achieved in a scheduled period of time in order to progress to each goal. For a project focusing on student achievement, you might state one or two broad goals, with clarifying points as part of each broad goal. The goal examples provided below were adapted from examples provided in A Guide to Continuous Improvement Management (CIM). Goal 1: To increase student academic performance and interest: a. By increasing performance in reading and mathematics. b. By increasing student motivation and interest in school. c. By increasing student development and applied academic experiences. d. By increasing student aspirations. Goal 2: To improve the learning environment: a. By providing a safe and nurturing environment. b. By providing a drug-free environment. c. By offering enrichment and learning opportunities outside of regular school curriculum. d. By reducing juvenile crime in the community. As these goal statements suggest, the goals should be broad enough to tell the reviewer where the project is going, while having enough specificity to provide a functional focus for the project. In these two goal statements one gets the clear sense that the project will target student performance and interest, while also addressing the environment in which learning will take place. Furthermore, from the points covered under the broad goal statements, it is easy to see that focus will be on reading and mathematics, student motivation and interest, applied academic experience, and student aspirations as regards the first broad goal. Also, the points made under the second broad goal make it clear that the project developers recognize the importance of the learning environment in fostering academic achievement, including providing a safe, drug-free environment that promotes learning beyond the classroom, while concurrently reducing juvenile crime in the community. These goal statements tell the reviewer a great deal about the factors that the project developers view as important in addressing issues of student achievement in a particular community setting. Where the goal statements are broad and point toward important issues to be addressed over the long term, objectives should be stated in measurable terms, specifying what is to be achieved in a scheduled period of time in order to progress toward goals.1 Objectives should:2 * Be definitive and specific; * Describe the accomplishments or results, not * activities or behaviors; * Be measurable (quantifiable); * Delineate a time frame or deadline; * Be challenging yet achievable; * Define your customers; and * Designate the partners and their responsibilities. Using the project on student achievement referred to under the goals and objectives above, let's take a look at some examples of good, better, and best stated objectives. These are excerpted from the A Guide to Continuous Improvement Management (CIM).1 They include a brief discussion of the gains realized in going from a good objective to a better stated objective, and on to further improvement in the "best" stated objective. Example 1 Good: Better: Best: Gains: Our primary objective is to maximize the number of children in the community who attend our program. Our program will provide at least 600 children in the community with educational, recreational, and enrichment activities over the next three years. Our program will provide at least one activity (educational, recreational, or enrichment) over the next three years to at least 600 different economically disadvantaged children in the community, and each child will participate in that activity for at least half the possible attendance days. What is the "maximum number of children" referred to in the first objective? The second objective provides a specific number that can be measured when assessing your program. In addition, the second example offers a timeline for when the objective is to be achieved. The third objective specifies who the 600 children will be and what counts as having participated in an activity (attending half the time). Example 2 Good: Better: Best: Gains: At the end of year three, our program will result in a decrease in crime in the community. After the third year of program operation, there will be a 15 percent reduction in the number of acts of vandalism in the community. After the third year of program operation, there will be a 15 percent reduction in the number of acts of vandalism on school grounds within the community compared to other schools in a neighboring and similar community. The second objective provides specifics about what kinds of crime: acts of vandalism. The third objective goes a step further in stating that the acts will be measured on school grounds, since these data are more likely to be accessible and more closely tied to students in the program. The third objective states that the rates will be compared to those of schools that do not have similar programs. If crime decreases in your town, but not in the other town, then the comparison provides a stronger argument that your program had something to do with the change. Conversely, if crime rates increase in your town, it may be because the whole state or area has experienced increasing crime. By comparing your community with another, you may be able to support a conclusion that your efforts had a favorable impact on crime rates because rates did not increase as much as those in similar communities. Example 3 Good: Better: Best: Gains: Student motivation will be improved and attendance at school will increase by 45 percent after the second year of the program. Motivation will be improved and attendance will improve by 10 percent after the first year and 20 percent by the second year of the program. Student and parent motivation will be improved (e.g., scores on a self-report survey will increase significantly) and student attendance at school and parent attendance at teacher conferences will improve by 10 percent after the first year of the program and 20 percent by the second year of the program. The first objective is definitely challenging, but may not be attainable after one year. The second objective sets a more attainable figure and sets two short-term targets instead of one longer-term target. The third objective specifies who is to be measured and for what activities. The Challenge of Writing Sound IL-Related Objectives The examples provided above work well within educational systems. However, it should be noted that: a) most educational systems have very easily quantified outcome measures; and b) well established data collection systems to draw upon for evaluation purposes. Among the problems faced by CILs and SILCs in trying to develop project-related objectives around independent living activities are: * A lack of research-based, quantifiable outcome measures for assessing the results of service delivery both on an individual and an organizational basis; * A dearth of data collection instruments and tools both for establishing baseline performance measures and for gathering the data needed to assess progress against the baseline; and * Few options for management information systems that allow IL personnel to generate needed outcomes information in an effective and efficient manner. This situation suggests that people working in IL need to be creative in developing measurable project objectives that target outcomes important to potential funding sources which have accountability requirements. During this workshop, we will explore ways of doing this, as well as resources that might be tapped in constructing measurable objectives for specific types of projects. Preparing a Realistic Budget 1. Private Foundation and Corporate Funding The budgeting processes used by private foundations and corporate funding agencies vary as extensively as the foundations themselves. Many use budgeting processes similar to the U.S. Department of Education, while some use simpler budgeting formats, and some--like The Robert Wood Johnson Foundation--use more complicated budgeting formats. The best advice in preparing budgets for private foundations is to follow any directions that they provide precisely. Do not be careless in adhering to the budget directives of foundations, or they may assume that you are careless about other aspects of your project. Some private foundations require even more detailed justification of budgets than do federal funding agencies. Be sure and provide adequate justification for all budget items when requested. Often, private foundations will not require detailed budgets until after they have reviewed a preliminary application with a budget outline. It is a good idea, however, to prepare your budget justification when you prepare your initial budget outline so that you will be prepared to respond quickly if the foundation requests additional details. Make sure that you are aware of any restrictions placed on funding from private foundations before you prepare your budget. For example, many private foundations will not fund conferences or seminars. If you have a request for such funding in your proposal, you can count on it being excluded if your project gets funded. If you are requesting funding for a project that includes a seminar or conference and your best funding prospect does not provide funding for such purposes, make sure that you indicate that the foundation or corporation being approached is not being asked to pay for that portion of the project. In addition to allowing you to pursue the funding through the prospective foundation, this approach also allows you to show how project costs will be shared between funding sources, a notion that many foundations find attractive. 2. Federal and Other Public Agency Applications • Personnel. Determine how many and what type of staff you will need to get the job done. This is not always a straightforward process. If you are proposing projects that are consistent with your organization's mission, they are likely to have some things in common with projects or programs that you already have underway. This provides the opportunity to take advantage of existing resources (including materials already developed, staff or volunteers working on activities similar to those proposed, and dissemination vehicles that are already in place). In any event, you should try and gauge as realistically as possible the amount of staff time--including direct service staff time, supervisory staff time, and support staff time--that will be required in order to complete all of the activities planned for the project. Although it is to your advantage to draw upon resources that may be available through related projects or programs, care should be taken to avoid understaffing a project. Understaffing can be disastrous if the project gets funded and you have to pull people from other projects or programs in order to get the job done on the new project. Do not cut corners in estimated your staffing needs. • Fringe Benefits. Try to be precise in estimating fringe benefit costs. These include social security (FICA) taxes, unemployment insurance, and workers compensation. If you have paid staff, you will need to decide how large a benefit package to offer. Fringe benefit costs continue to soar as health insurance costs rise at phenomenal rates and other costs increase with inflation. Be prepared to document your current "real" fringe benefit costs and to justify and projected increases based on previous increases or actual new cost data available to you. For small organizations, fringe benefit accounting requirements may be so time consuming that you decide to operate your project relying primarily on volunteer support, with only minimal professional help secured on a consultative basis. Determinations as to how much time and money you want to devote to establishing and offering an employee benefit program need to be made early in the budgeting process. • Travel. Base your estimates for out-of-town staff travel on reasonable costs for discounted airfare. Although you may find that you have under-budgeted travel costs somewhat, planning to obtain discounted fares by doing advanced purchases and, when possible, staying over Saturday nights indicates that you are concerned about costs. Most federal agencies are particularly stingy about travel funds, in part because federal employees can take advantage of steep discounts for federal travel. You should generally plan for no more than one out-of-town trip by a project staff member to do a presentation or other activity in association with a project. One thing that you should do in preparing your travel budget is determine if the project staff person likely to be doing the travel will require a personal assistant. If so, this cost can be easily justified and federal program personnel have a difficult time not approving this cost without appearing discriminatory. Costs for PAS travel are usually equal to those of the staff with whom the assistant is traveling, minus the cost of nightly lodging, assuming that a sleeping room is shared. • Local travel costs should be considered carefully. If the project involves a good deal of community outreach by staff or volunteers who should be reimbursed for their out-of-pocket costs, then a fair estimate of such costs should be included in the budget. This might be done by estimating the number of roundtrips that are likely to be made in a month (e.g., 10) and multiplying that number times the average length of a roundtrip (e.g., 30 miles), resulting in a projection of 300 miles per month of local travel. Based on a rate of $0.25 per mile, the travel budget would include a request for $75 per month in staff travel. Travel for consumers, consultants, and other non-staff persons is usually included under the "Other" budget category in federal grant applications. • Equipment. Equipment needs to be well justified in all budgets. As with travel, federal funding agencies are stingy with equipment money. When asking for equipment, be sure that your figures reflect the low end of current pricing ranges for any equipment requested. Federal agency staff do not like to give the impression that they are providing money to buy Cadillacs if a Ford will do. Indicate why the equipment is needed, and if similar equipment to that being requested is currently available, explain why currently owned or available equipment will not be used for the proposed project. Always indicate if the equipment requested is needed for reasonable accommodation of employees with disabilities, and specify any special features of the equipment that make it suitable for employees with disabilities. For example, if a staff member with visual impairment requires a computer with an oversize monitor to accommodate large sized print, make sure to explain that. • Supplies. Requests for consumable supplies should be reasonable and typically do not require extensive justification. Often, simply a statement saying that these costs are projected based on previous experience in conducting projects of similar scope. An acceptable consumable supply budget for most federally-funded projects is in the $100 to $200 per month range. Some examples of the kinds of supplies mentioned for this category include computer diskettes, printer toner cartridges, and stationery. If the project requires use of a particular item, such as computer diskettes for some reason outside of routine use, that item should be detailed in the budget. For example, if plans for a project require sending out computer diskettes to 10 collaborators on a weekly basis, a budget item for four of five boxes (10 to a box) of diskettes weekly should be detailed. This might increase your monthly budget by $25 to $40 per month, not an insignificant amount. • Construction. If there are construction costs associated with your project, they need to be justified in detail. For many federal projects, construction costs are not allowed. However, it is altogether feasible that survivor and family organizations could propose projects requiring construction for the purpose of reasonable accommodation of staff or consumers with disabilities. Such expenses should be fully explained and accompanied by cost estimates from construction professionals for the type of construction required (e.g., remodeling of space, building of new facilities). • Contractual. All work to be done by an organization or individual with which/whom you plan to enter into a contractual relationship should be itemized on separate budget sheets and justified in the same manner as the main budget. It is advisable that these budget sheets and a separate face sheet be processed through the business office or other administrative entity of the contracting agency. However, if time does not allow for contracts to be approved through the formal administrative structure of the contracting organization, most federal agencies will accept a letter from an authorized representative of the contracting agency indicating approval for participation in the proposed project and stating the contracting agency's intent to enter into a formal contractual arrangement if funding is received. In planning your project budget, it is important to consider both direct and indirect costs that will be paid to any organizations that will be performing work through contractual arrangements. • Other. Other costs can cover a multitude of sins. Since the "Other" category is considered "collapsible" by most federal funding agencies (i.e., money within the "Other" category can be shifted around from one item to another within the category at your discretion), it is a good place to include cost items that are difficult to estimate. Some items that are almost always included in the "Other" category include: --postage, typically projected on a monthly basis, often at $50 to $100 per month, with special mailings (such as those done with surveys) broken out as separate items in this category; --long-distance telephone, also typically projected on a monthly basis, often at $50 to $100 per month for projects budgeted in the range of $100,000 annually, but with higher costs if heavy telephone use is expected; --local telephone if the center will have to expand its telephone capabilities in order to conduct the project, then costs for installation of any new lines and any monthly line charges should be included in the budget, along with a clear explanation of why the expanded service was needed; --routine duplicating should be estimated for the project, usually with a projection of number of copies to be made per month (such as 3,000) at the per copy cost (such as $0.03 per copy); --printing jobs in excess of routine duplicating, such as those needed for survey instruments or curricular materials, should be included, based on a per page cost for smaller printing jobs or a per unit cost (e.g., an instructional manual at $20 per copy for 30 consumers) for larger printing jobs; --consultant costs should be calculated on the basis of the number of days of consultation to be purchased at an agreed-upon cost per day, for example, 10 days of instructional time from an instructional development specialist at $350 per day = $3,500; --consultant travel, whether for out-of-town travel or local travel should be included, along with a clear explanation of how the estimate was arrived at (e.g., $500 for roundtrip airfare, for two trips of five days each, with ten nights lodging at $90 per night, 11 days meals at $30 per day, and $50 each trip for ground transportation = $1,000 + $900 + $330 + $100 = $2,330 in total consultant travel; --office space rental should be charged against grant sources, if you plan to rent space, with the estimate based upon the number of full time equivalent (FTE) staff who are charged against the grant, times the number of square feet per FTE (including common space, ILRU generally calculates this at 200 per FTE, allowing for extra space needed for staff who use wheelchairs), times your annual rental rate per square foot of space (for example, 2.5 FTE x 200 square feet x $14 per square foot = $7,000); --facility maintenance charges if these are not included in your rental cost, as is usually the case, charges for cleaning and routine repairs of facilities should be charged to grant sources; --equipment maintenance charges, if you have maintenance contracts on copiers, computer equipment, or other office equipment, a proportional amount of these costs can be charged to grant sources; --insurance costs, such as general liability insurance, professional errors and omissions insurance, and other insurance not included under fringe benefits can be charged against grant sources, with an explanation as to how the percentage of such costs to be charged against the grant source was calculated; and --reasonable accommodation costs, including charges for sign language interpreters needed for the project, other personal assistance services, special transportation required for staff, consultants, or consumers, and other special arrangements made to allow access by persons with disabilities to the project. All projects developed by disability service organizations should include funding for reasonable accommodation; and it should be made clear to funding agencies that, in most cases, it is difficult if not impossible to predict in advance the precise nature of reasonable accommodation that might be required, since such accommodation is tailored to the needs of participants in the project. Unless you are sure in advance of the project participants and their needs for accommodation, estimates of reasonable accommodation costs are best estimates only. Indirect Costs As indicated previously, indirect costs should only be requested if the funding agency indicates that it will pay a fixed indirect cost rate (as is the case with the eight percent that the Department of Education allows for training projects) or if your organization has a negotiated indirect cost rate with a federal agency. If neither of these situations applies, you will do better to try to recover as much as possible in direct costs and forego indirect costs. Otherwise, you may find yourself engaged in a complicated and time-consuming process of trying to justify the indirect costs that you have requested. Organizations that have very good financial records should probably invest the time in exploring the feasibility of establishing a negotiated indirect cost rate with a federal agency, such as the Department of Education. Centers with mediocre or poor financial record-keeping systems should stay out of this. You can easily become mired in this swamp if you are not well prepared. 3. Matching or Cost Sharing Requirements A number of federal agencies and or specific projects funded by federal agencies, as well as many private foundations and corporate funders, require grantees to put up some portion of project funding as a "match" or as cost sharing. The percentages required for the match vary substantially. In some cases, a dollar for dollar match is required. In other cases, the match my be one dollar of grantee support for every three dollars of federal or private foundation support. In the case of RSA's long-term training grant program, the amount of the match is not specified, but it is clearly stated that a match is required. Determining how and whether your organization can make the match can be quite tricky. In the case of many federal grant requirements, the only caveat regarding matching funds is that they not be federal funds. In other words, if you have one federally-funded project, you cannot count staff time from that project, or other resources funded from that project as part of the match for another project, even if the two projects are closely related and mutually reinforcing. Generally the best match is from "hard" dollars that your organization can commit in support of the project. These dollars may come from fees for services, the proceeds of fund-raising events, or private donations. Such matching requirements are one reason why it is in the best interest of non-profit organizations to do fund raising in addition to grant writing. Non-grant fund raising provides for funds that can be used at your discretion in making the match required for grant-funded projects that you may choose to pursue. However, you need to be creative when determining if you can match grant sources. In some cases, funding provided by private foundations to carry out activities can be used as the match required for federally funded projects. For example, if you have private foundation funding to provide family support services, and you submit a federal grant for a project that involves provision of family support services, it may be possible to count at least a portion of the service time provided by staff paid from private foundation funds in making the match needed to secure the federal funds. However, if you are going to do this, it is advisable that you notify the foundation from which you have funding about your plans. You can present it in terms of using foundation funds to leverage other support for similar services. Many foundations are very pleased to have their funds used for leverage purposes, and you may find that you strengthen your position with private funding sources when you notify them that you want to use their dollars to leverage support from other public or private sources. Also, keep in mind the value of board time spent on projects and other volunteer time committed to projects for which you may be requesting federal funding. Come up with a reasonable estimate of the time and value of board and volunteer time that will be committed to proposed projects and include such contributions in your match. Similarly, if your administrative costs are fully covered from other sources and you can afford to contribute administrative time to the project, then such a contribution can be counted toward the match. This approach should be used cautiously, however. All too often organizations find themselves contributing significant staff time to projects that are simply under-funded. This can produce significant problems for the organization if administrative support is inadequate. In essence, you could end up subsidizing some projects with funding provided for other projects, and the whole organization suffers as a consequence. Be very careful about not recovering actual costs required to conduct projects, and make conscious decisions about subsidizing projects. A project should only be subsidized for a limited period of time if there is some clear benefit to the organization in terms of being able to address better the immediate needs of consumers or getting prepared to obtain more substantial support for planned or current activities. In such cases, the funds obtained for the project that is being subsidized from other sources should be viewed only as short-term seed money. Also, funding sources should be alerted to the fact that the funds they are providing are being used for seed money so that they do not come to expect the organization to continue the service or program indefinitely with inadequate funding. Finally, in making a match, make sure that you count hardware, software and other equipment and maintenance costs that you will bear in conducting the project. This may be difficult to estimate, but it will also be difficult from the funding agency to disprove. This estimate can always be scaled back. Appendix Sample Successfully Funded Federal Grant Reprinted with permission of Resource Center for Independent Living Utica, New York SHELTERED WORKSHOP ALTERNATIVES TEAM ABSTRACT Policy changes on the state and national level have resulted in the establishment of a new paradigm for providing services to people with disabilities. This paradigm emphasizes consumer control, self-direction and community integration. There are now more integrated, competitive work opportunities available to this population. As a result, many people previously referred to and placed in long-term sheltered employment are now benefiting from non-workshop services. Programs must be developed that demonstrate how people with severe disabilities can successfully participate in integrated, competitive employment. The Resource Center for Independent Living (RCIL); the New York State Office of Vocational and Educational Services for Individuals with Disabilities (VESID), the designated state vocational rehabilitation agency; and E.A.R.T.H. Industries, a sheltered workshop operated by the Rome Developmental Disabilities Service Office (DDSO), a part of the New York State Office of Mental Retardation and Developmental Disabilities (OMRDD), will develop a model Sheltered Workshop Alternatives Team (S.W.A.T.) to demonstrate that the provision of intensive supported employment services can be a successful alternative to long term sheltered employment. The goal is to design and implement a community-based program to stimulate the development of innovative approaches for improving and expanding the provision of supported employment services to individuals with disabilities, and to enhance local capacity for providing supported employment services, thus reducing the number of individuals placed in long term sheltered employment. S.W.A.T. will target the following consumers groups: 1. Individuals who have been targeted for placement in long term sheltered employment 2. Individuals recommended for supported employment and temporarily placed in sheltered employment while awaiting a service opening 3. Individuals who are in long term sheltered employment but recommended for supported employment services 4. Individuals who have returned to long term sheltered employment following an unsuccessful supported employment placement Individuals with disabilities who meet the above criteria will be given the option to participate in the S.W.A.T. project. The project will be based upon existing models and incorporate the latest research and trends which have resulted in changes in public policy, bringing about a shift from long term sheltered employment to supported employment in integrated worksites at competitive wages. Research currently indicates that both program participants and employers are more resourceful than was previously thought. An "ecological assessment" approach will be used. The project will build upon the success of new and emerging techniques in the field, provide for an objective and quantifiable evaluation plan, provide information that shows the potential for findings to be effectively utilized within the state vocational rehabilitation system, and make available project information to enable replication in other locations. S W A T: SHELTERED WORKSHOP ALTERNATIVES TEAM Integrated employment is generally seen as the means people use to validate their usefulness, competence and belonging. (Perls, 1972) Employment is the cornerstone upon which our lives and society are based. It helps form the core of our identity and influences how and where we live. It is not only personal, but societal, in that it is our primary connection to the community in which we live. Denied employment, we lose a part of ourselves and our community. This loss of self and community is occurring with thousands of people with disabilities in New York State who continue to have limited or no access to integrated employment opportunities. They have been routinely served by long term sheltered employment and too often, continue to be so, despite the past 100 years of experience that demonstrates that such congregate care approaches limit full realization of valued aspects of their lives. Where traditional policies were defined by paternalism, segregation and dependence, the guiding influences of today, embodied by the independent living movement, emphasize consumerism, individuality, independence, integration and productivity. Establishment institutions are undergoing fundamental change and now actively promote the benefits of integration over segregation for all individuals, even those with the most severe disabilities. This basic human right of contributing to and participating in society as a self-determining individual must extend to all citizens. This is clearly demonstrated by the purpose of the Rehabilitation Act Amendments of 1992: Title III Part B; Title VI Part C; Title VII Purpose, and the New York State Integrated Employment Implementation Plan as required by Chapter 515, the Laws of 1992. The legislative intent of the Federal law was to "expand employment opportunities in integrated settings for persons with severe disabilities....to have in place a coordinated, flexible service delivery system capable of meeting the needs of, and expanding the options for persons with severe disabilities...." While some progress toward integrated employment has been made, the pace has been slow compared to the number of people who can benefit. Placement in a sheltered workshop continues to be the rehabilitation outcome for far too many people with disabilities. In 1984, two thirds of the individuals exiting training programs entered sheltered employment. (Kiernan & Ciborowski, 1986) In 1992, at the Utica District Office of the NYS Office of Vocational and Educational Services for Individuals with Disabilities (VESID), the state vocational rehabilitation agency, 145 of 572 consumers had their cases closed with a status 26 closure, in long term sheltered employment. This is fully 25% of all such closures and is comparable to the percentage of people closed (26) statewide in New York State to sheltered workshops. Once there, placement is usually for life. Evidence demonstrates that achieving integrated competitive employment from the sheltered workshop setting, while possible is not probable. As far back as 1977, the U.S. Department of Labor reported that persons provided employment in sheltered workshops have only a one-in-ten chance of moving into the competitive labor market, while in NY, the figure has been 3%. Clearly, one way to improve this outcome is to increase integrated/supported employment capacity and divert people from sheltered employment in the first place. Such diversion is the purpose of RCIL's proposal. NEED: RCIL identified the need for the innovative approach of this project. The NYS Integrated Employment Integration Plan provides evidence of the need for integrated, supported employment services. The unemployment rate for individuals with disabilities is three times that of the non-disabled population. Fully two-thirds of individuals with disabilities of working age are not in the work force, even though two thirds of this group express a desire to work. This is a personal and economic loss not only for these individuals, but for the community as well. Supported, integrated employment at competitive wages, in community based settings provides these personal and economic benefits and facilitates the inclusion of individuals with disabilities into society. An analysis by the New York State Depart-ments of Education, Social Services, Mental Health and Mental Retardation and Developmental Disabilities has specifically identified 20,000 individuals who could immediately benefit from such opportunities, with an additional 50,000 identified individuals who could benefit from the provision of more comprehensive community supports and services. Approximately 15,000 special education students in New York State are between 16-21 years of age. The Office of Mental Retardation and Developmental Disabilities (OMRDD) has determined that 1,300 of these students annually leaving the school system have severe disabilities requiring coordinated services and assistance to obtain and maintain employment. Through its individual needs assessment process, OMRDD has identified approximately 2,800 individuals currently not receiving a day services program and an additional 1,700 individuals receiving day services in a non-community setting and who are recommended for or requesting integrated employment services. Surveys conducted through VESID's Quality Assurance Unit have clearly identified that at a minimum, 40% of individuals in long-term sheltered employment would choose community based employment and could maintain such employment if the appropriate services and supports were available. This is equivalent to 7,500 of the 18,670 individuals reported as actively working in LTSE who would initially benefit from integrated employment. In New York State, only 600 individuals annually exit long term sheltered employment for competitive employment positions. This is only 3% of sheltered workshop employment and represent primarily those individuals who it is felt can be successful. This illustrates the difficulty of leaving sheltered employment once an individual has become established in a sheltered workshop situation and highlights the group of individuals with the most severe disabilities who remain in sheltered employment by default. The SWAT program is designed to divert people from the initial sheltered workshop placement and goes a step beyond, to reach the next group of people who have the most severe disabilities and require coordinated, comprehensive services to obtain and maintain employment. The need seen above on the state level is reflected in the geographic area to be served by SWAT. In addition to the VESID statistics noted above, local need was also identified by the personal testimonies of consumers who expressed a desire but have been placed on waiting lists for integrated/supported services. A survey of provider agencies taken for this project, verified that there are more than 167 individuals awaiting supported employment services in Oneida County. With the exception of RCIL, the agencies providing services are tied to sheltered workshops. In SWAT planning meetings VESID counselors, E.A.R.T.H. Industries, a sheltered workshop operated by OMRDD, and RCIL staff discussed how they are hampered in their efforts to place individuals in integrated employment by the limitations of current resources. The numbers indicate a clear need for innovative programming designed to divert individuals from long term sheltered employment and increase local integrated, supported employment opportunities. Such opportunities are not fully available to all of the people who could benefit from such services in the geographic area to be served by SWAT. GOALS AND OBJECTIVES: To demonstrate that individuals who have been targeted for long term sheltered employment can, with the provision of comprehensive services and the cooperation of three organizations, be successfully employed in competitive, integrated employment, RCIL in cooperation with VESID, and E.A.R.T.H. Industries, will provide the Sheltered Workshop Alternative Team (SWAT) program. This is a comprehensive, coordinated, consumer-directed, community-based program of intensive services resulting in successful transition to competitive employment in integrated community settings. SWAT will demonstrate that such a program, designed to meet the specific needs of this population, can be a successful replacement for long term sheltered employment. The following objectives have been established to meet identified needs and thus, accomplish this goal: 1.To demonstrate that a program designed to meet the specific needs of individuals with severe disabilities can routinely be a successful alternative to long term sheltered employment. 2. To provide expert staff 3. To provide supported employment services to people with severe disabilities through utilization of a comprehensive continuum of pre-vocational and vocational rehabilitation services including: •Consumer Assessment/Consultation •Vocational Preparation •Job Search Assistance •Job Development Including Work-Site Modification and Skills •Training Using Advanced Learning Technology •Job Placement •On-Site Training •Development of natural supports in the workplace •Transportation Services •Provision of Intensive Job Coaching •Development of Cooperative Agreements for Provision of Extended Services 4. To utilize the resources of the SWAT agencies: RCIL, E.A.R.T.H. Industries and the Utica District VESID office. 5. To provide a consumer-directed program in direct services and policy advisement. 6. To actively coordinate services with community resources including, but not limited to, VESID, OMRDD, the New York State Commission for the Blind and Visually Handicapped (CBVH); the New York State Dept. of Labor, Job Service Office; and the Oneida County Employment and Training Office. 7. To make services available in a holistic manner. 8. To maximize grant funds by utilizing vocational rehabilitation fees for services available through the state vocational rehabilitation agency and Medicaid funds available through the Home and Community Based Services Waiver. 9. To serve 25 individuals on an annual basis. 10. To enhance local capacity for providing supported employment services and supported employment opportunities. 11.To identify the causes of unsuccessful supported employment experiences and implement procedures to eliminate or compensate for the causative factors. 12.To increase the knowledge and skills of area professionals who have a role or potential role in moving the community toward a fully integrated work model. 13. To evaluate the effectiveness of the program. 14. To widely disseminate all project information PLAN OF OPERATION Objective 1. To demonstrate that individuals who have been targeted for long term sheltered employment can be successfully employed in competitive, integrated employment with the provision of comprehensive services and the cooperation of three organizations, SWAT proposes an innovative approach to giving individuals with the most severe disabilities alternatives to long term sheltered employment resulting in opportunities for new careers and career advancement. SWAT was created to enhance the local capacity for providing intensive supported employment services to divert individuals from long term sheltered employment. This will have a significant impact in facilitating the planned conversion of E.A.R.T.H. Industries. The model developed here can be replicated at other sheltered workshops. This fulfills Title III, Part B Special Demonstration Projects (2) which states that funds are authorized for "applying new types or patterns of services .... for individuals with disabilities .... with opportunities for new careers and career advancement." SWAT is a collaborative program of the Resource Center for Independent Living (RCIL), the NYS Office of Vocational and Educational Services for Individuals with Disabilities (VESID), the state vocational rehabilitation agency; and E.A.R.T.H. Industries, a sheltered workshop operated by the Rome Developmental Disabilities Service Office (DDSO) of the NYS Office of Mental Retardation and Developmental Disabilities (OMRDD). The SWAT program will provide intensive, comprehensive, supported employment services to individuals with severe disabilities who are targeted for sheltered employment or currently working in sheltered workshops, to allow them to enter integrated, competitive employment. This meets the purpose of Title VI Part C which authorized allotments to assist "in developing collaborative programs to provide supported employment services for individuals with the most severe disabilities who require supported employment services to enter or retain competitive employment." RCIL will be the lead agency for the SWAT program. By operating under a consumer directed paradigm of services, SWAT will provide a comprehensive collaborative program of intensive, supported employment services that meets the purpose of Title VII to "promote a philosophy of independent living, including a philosophy of consumer control, peer support, self-help, self-determination, equal access, and individual and system advocacy, in order to maximize the leadership empowerment, independence, and productivity of individuals with disabilities and the integration and full inclusion of individuals with disabilities into the mainstream of American society..." SWAT will be housed within the Community Access Network of RCIL. The Project Coordinator will be supervised by the department manager. The project will be directed by the SWAT team composed of representatives of each of the three cooperating agencies. (See Quality of Personnel below) SWAT representatives will meet twice a month. It has been the experience of staff that frequent meetings are necessary to insure the quick response to consumers that is critical to successful integrated employment. At these meetings all aspects of the program will be discussed. VESID and E.A.R.T.H. Industries staff will present comprehensive case histories of consumers who wish to participate in the program. The team will thoroughly review these case histories, discuss options, and develop an individualized plan of services tailored to each consumer. The progress of consumers will be reviewed at team meetings thus providing a monitoring mechanism. Revisions will be made whenever necessary based upon the consumer's needs. Flexibility and quick response to consumer need will be the keys. The team meetings will provide a forum for project staff to discuss challenges and brainstorm creative, innovative solutions. Community job opportunities will be discussed and leads followed up. Suggestions will be made as to possible consumer placement. The exchange of information made possible by team meetings will enable staff to be kept up to date on employment options and provide for project management. Quarterly reports will be made to the Advisory Board by SWAT staff. The SWAT Advisory Board will assist in the development, planning, implementation, and evaluation of the program, and dissemination of program information. The Advisory Board will review and provide advice on assessment and training strategies, outreach strategies, recruitment techniques and plans for project replication. As the Advisory Board will exhibit ethnic diversity, it will be particularly helpful in accessing minority communities. The Advisory Board will meet quarterly. A regular schedule of status reports will be established. Other communication will occur as needed. Materials will be adapted to meet the language and accessibility needs of all Board members (i.e. translations, interpreters, audiotapes, Braille). Objective 2. To provide expert staff QUALITY OF PERSONNEL RCIL has a strong affirmative action policy and complies with all state and federal laws related to such. As an Independent Living Center, RCIL complies with Section 504 of the Rehabilitation Act of 1973, the 1992 Amendments, and the specifications of the Americans with Disabilities Act (ADA) of 1991. RCIL routinely advocates and conducts training in these areas. Strategies for ensuring that recruitment, hiring and consumer services take place without regard to race, color, national origin, gender, age, or handicapping conditions are described in RCIL's Equal Employment Opportunity/ Affirmative Action Policy and Compliance with 1992 Amendments that are appended. A team approach will be used in SWAT. Burt Danovitz, Ph.D., RCIL Executive Director will have ultimate responsibility for insuring that SWAT Project goals and objectives are met. Dr. Danovitz's educational background and experience in both direct service and administration, make him uniquely qualified to lead the SWAT project. The program will be administered within the Community Access Network, headed by Ms. Darrell Jones who will devote .10FTE to SWAT. Ms. Jones has a B.A. in Sociology and a M.A. in Guidance and Counseling from Eastern Michigan University. She is a nationally recognized figure in the field of independent living. Ms. Jones operated her own disability consulting business for a number of years. Her clients included Cornell University, the Rehabilitation Services Administration, the Association of Independent Living Centers in New York State and the NYS Office of Advocate for the Disabled. She has experience as both a direct provider of services and as an administrator. At Monroe Community Hospital, in Rochester, NY, she created and directed a program for severely disabled residents toward the goal of movement out of a chronic care institution into the community. She also established and served as the Executive Director of The Rochester Center for Independent Living, Inc. Her experience and expertise will be invaluable to the success of this project. JoAnn Marshall, Coordinator of Employment Services, will serve as the Project Coordinator and have overall responsibility for overseeing implementation of contract specifications. Forty percent of her time will be devoted to SWAT. Ms. Marshall has been providing Employment Services to people aged 18-65 with all types of disabilities for more than seven years. She has received comprehensive training in the field of supported employment and holds several certifications from Cornell University. Ms. Marshall has worked extensively with people with the most severe disabilities including people with developmental disabilities, cognitive disabilities including traumatic brain injury, and people with multiple disabilities. She is an active member of the Mohawk Valley Supported Employment Council. Her experience and knowledge of the problems faced by the population served will be invaluable in meeting the goals and objectives of this project. The Project Coordinator will have overall responsibility for the completion of the project. Specific tasks to be carried out include: 1. Determine the individual's willingness and eligibility to participate in the program. 2. Represent RCIL at SWAT team meetings and on the Advisory Board 3. Develop procedures for maximum cooperation between VESID, the Office of Mental Retardation and Developmental Disabilities (OMRDD), the Office of Mental Health (OMH), the Commission for the Blind and Visually Handicapped (CBVH.) 4. Coordinate service providers, consumers and family members in the development and implementation of the Individualized Employment Plan (i.e. Consumer, Family Member, VESID Counselor, and RCIL staff directly involved in the case). 5. Provide overall coordination and management of consumer activities. 6. Train and consult with new staff in the provision of services to individuals with severe disabilities. 7. Integrate information and services to ensure the assessment phase is complete and leads to appropriate training. This will include sufficient natural supports for the development of skills to enable the individual to successfully obtain a job in an integrated competitive employment setting. 8. Continue to be actively involved in the coordination of services as individuals progress through the program and into follow-along services. 9. Arrange for provision of extended services for all participants. 10. Maintain linkages with disability organizations (e.g. National Association of the Deaf, National Head Injury Support Group) for services and policy development for individuals with severe disabilities. 11. Legislative liaison at the state and national levels. 12. Individual and systemic advocacy on behalf of consumer. 13. Serve as a liaison to the evaluation system To further assure that the goals of SWAT are reached, three staff will be hired to support the work of the Project Coordinator, a full time Vocational Trainer, Employment Consultant and VocationalTrainer/Employment Consultant. They will report to the Project Coordinator. Job descriptions for these positions are appended. These individuals will possess the following abilities, attitudes and skills: commitment to the philosophy of independent living; familiarity with the medical and psychological aspects of physical and cognitive disabilities; familiarity with the training of individuals with severe physical disabilities and the use of assistive devices; possession of appropriate management skills; and familiarity with the realities of the workplace environments available in the community. RCIL will advertise these positions seeking qualified individuals who also possess the following abilities, perspectives and skills: 1. an understanding of the independent living paradigm of services 2. familiarity with characteristics of severe disabilities 3. familiarity with the training of individuals with severe disabilities and the use of supported employment techniques and skills 4. possession of appropriate management skills 5. familiarity with the realities of the workplace environments available in the community 6. familiarity with functional task analyses and worksite modifications and the Americans with Disabilities Act. (ADA). The Vocational Trainer's responsibilities will focus directly on the consumer. The Vocational Trainer will be responsible for all those activities which involve direct interaction with the consumer including ecological assessment of consumer skills and interests; preparation and implementation of individualized plans; career counseling; skills training, including independent living skills; intensive on-site job coaching, and implementation of on-the-job natural supports. The Employment Consultant will also interact directly with the consumer. However, the focus of this position will be on the activities involved in locating jobs and preparing of worksites. This will include full knowledge of the consumer's individualized employment needs; contact with community employers; assessment of work-sites; preparation of task analyses; provision of in-services for employers and co-workers; and development of natural supports at the work-site. The Employment Consultant will also accompany the consumer to interviews and raise community awareness of the Supported Employment Skill Center and the Americans with Disabilities Act. The Vocational Trainer/Employment Consultant will combine the functions of both positions with .50 FTE devoted to each area of responsibility. The Vocational Trainer, Employment Consultant, and the Vocational Trainer/Employment Consultant will bring together their knowledge of consumers and available jobs to assist consumers in obtaining a position that most closely matches their interests, skills and abilities. Job descriptions for each position are appended. The program will, as is the case with all RCIL openings, actively recruit people with disabilities to fill open staff positions. To ensure that open positions are known to individuals with disabilities and minority populations, RCIL will aggressively recruit following the policies and strategies outlined in the EEO/Affirmative Action Policy and the Compliance with the 1992 Amendments to the Rehabilitation Act which are included with this proposal. In addition, existing RCIL staff who have expertise in career counseling, vocational rehabilitation, employment services, placement, training, technology and independent living skills will be utilized for this program. RCIL currently has on its professional staff people with a variety of disabilities. These staff members will be available to assist all participants in this program. They will provide insight and expertise only available from those who share similar experiences. Consumers, the Advisory Board, SWAT representatives from VESID and E.A.R.T.H. Industries, will further enhance the project's viability. Under the direction of the Project Coordinator, the SWAT team and other personnel involved with consumers will meet regularly to develop individualized rehabilitation plans, evaluate participants' progress, and revise plans as needed. In addition to the Project Coordinator, the team will include representatives from the cooperating agencies, VESID and E.A.R.T.H. Industries; the consumer; the Vocational Trainer; Employment Consultant; staff from RCIL departments including the Community Access Network and Technology Services; the consumer's counselor (VESID, OMRDD, OMH, CBVH); the consumer's family representative; and any appropriate others. VESID representatives on the SWAT project are John Tracy, Senior Vocational Rehabilitation Counselor; Ellen Agin, Vocational Rehabilitation Counselor; and Michelle Barlow, Integrated Employment Specialist. In his position as a Senior Vocational Rehabilitation Counselor, Mr. Tracy provides direct supervision to a professional staff of counselors responsible for the coordination and implementation of vocational service to consumers. He received his B.A. in Social Studies Education from the State University of New York at Albany and a Master's in Rehabilitation Counseling from Syracuse University. He also holds a Certificate in Public Management from the Rockefeller Institute. Mr. Tracy will serve as the liaison between VESID and the SWAT project. Michelle Barlow is an Integrated Employment Specialist and Vocational Rehabilitation Counselor. Ms. Barlow holds a Bachelor of Professional Studies degree from SUNY College of Technology at Utica-Rome, and a Master's Degree in Rehabilitation Counseling from SUNY Albany. Ellen Agin is a Vocational Rehabilitation Counselor currently responsible for implementation of a special supported employment program to serve severely physically involved developmentally disabled adults who are currently in day treatment programs. She holds a BA from the University of Miami and a MA in psychological counseling and Rehabilitation. Representing OMRDD and E.A.R.T.H. Industries are Karen C. Getty and Shannon Tilbe. Ms. Getty is the Integrated Program Service Coordinator. In this position she is responsible for all supported employment services at E.A.R.T.H. Industries. She holds a B.A. in Physical Education with a minor in Special Education and an M.P.S. in Health Services Administration from the New School for Social Research. She will be supported in SWAT by Shannon Tilbe, the Director of Integrated Program Services. In this position Mr. Tilbe has primary responsibility for the conversion of E.A.R.T.H. Industries. He has played a central role in the development of SWAT. Mr. Tilbe holds an undergraduate degree from Sienna College and an M.P.S. in Health Services Administration from the New School for Social Research. Resumes for all personnel are appended. Under the current supported employment model, a single professional is often assigned to a consumer and usually takes that consumer from initial assessment through training, job development, placement and on-site training. The thinking is that the close relationship that develops between staff and consumer will engender the consumer's self-confidence and foster the consumer's independence. However, recent research has shown that rather than facilitating independence, the relationship often fosters the dependence of the consumer on the staff person. This dependent relationship is often a hindrance to the consumer's ability to adjust to new people, situations and environments on the job. In RCIL's experience, consumers and employers are much more resilient than previously thought. Under the model to be implemented for SWAT, consumers will interact with several staff members who are responsible for different components of the program. Consumers progress at their own pace. Building upon the successful mastery of each skill, consumers' confidence builds as they understand that their success is internal, of their own making, and not because of the staff person assigned to them. This makes it easier for the consumer to adjust to the demands of employment and leads to greater success in job retention. Objective 3. To provide supported employment services to unserved or underserved disability populations through utilization of a comprehensive continuum of innovative pre-vocational and vocational services including: A. CONSUMER ASSESSMENT/CONSULTATION OF SKILLS AND VOCATIONAL INTERESTS An assessment and evaluation of skills and interests will be the first activity for consumers referred to SWAT The team will review comprehensive information about the consumer in the areas of vocational interest, competence, work ethic, skills and abilities. Drawing upon the work of Szymanski, Hanley-Maxwell, Parker and Schaller 1989-1990; and Moon, Goodall, Barcus and Brooke 1985, 1990; an individual analysis will be performed. An ecological assessment model will be used. Staff will review information from a variety of sources that are critical to analyzing each consumer's assets. Information will be gathered from interviews with the consumer and significant others such as family and friends, school, medical and rehabilitation records, situational assessment of consumer in actual work settings, and standardized tests. In addition, recent occupational, physical, speech and recreational therapy reports that may already be available will be reviewed. The types of information necessary include consumer history, specific job skill training, work history, current life style, family information, and current work-related skills and behaviors. A copy of the form is appended. The ecological assessment model will provide information necessary to answer the following questions: 1. What has the work history and job performance been? 2. What work environments does consumer have interest in? 3. Does consumer know or has he/she realized full extent of potential? 4. Does consumer consistently indicate the same or similar job preferences? RCIL has the capacity to provide situational assessments, if such is recommended for a consumer. These assessments can occur within the program departments that are described in the Resources Section, beginning on page 16. The consumer will also have opportunities to visit community work sites to observe employees performing various jobs (job shadowing) and to participate in performing job tasks. The GAT-B and/or interest inventories may be administered. The Vocational Trainer will review with the consumer his/her strengths and weaknesses and work with the consumer to come up with viable employment options. B. VOCATIONAL PREPARATION By this time the Vocational Trainer will have a thorough understanding of how this consumer learns and what type of compensations and adaptations are necessary for the individual to be successful in performing specific tasks. For example, the Vocational Trainer will assist with short-term memory loss by verbal and visual cueing, list-making, use of a notebook and improving organizational skills. When appropriate, the Vocational Trainer will provide instruction to the consumer on how to participate in the job seeking process. This will not only speed the process, but will give the consumer the skills to find another job if and when he/she is ready to move on from initial placement. Vocational preparation includes: 1. Job Seeking Skills Training a. Preparing and completing resumes and sample job applications b. Practicing interviewing techniques (videotape is a useful tool) c. Following up on interviews (writing thank you letters to employers, etc.) 2. Job Keeping Skills Training a. Appropriate attitudes and behaviors (cooperation, consistency, follow through, responsibility, etc.) b. Appropriate grooming c. Punctuality d. Meeting production standards e. Becoming part of the team f. Managing stress g. Understanding office politics h. Working for a difficult supervisor i. Advocating for one's self at the work-site. 3. Physical and Medical Status With the consumer's consent, available and relevant information will be reviewed. The information is routinely provided by the state vocational rehabilitation agency. There will be no duplication of effort. Upon completion of the skills and interests assessment, consideration will be given to training and placement options. An individualized rehabilitation plan will be developed by project staff in conjunction with the consumer's state rehabilitation counselor and the SWAT team. It will be revised as appropriate based upon refined goals and skill needs. The Vocational Trainer, along with the Project Coordinator and other staff and consultants as required, will perform the assessment, evaluation, and training necessary to prepare the consumer for entering or re-entering the work force. 4. Independent Living and Job Related Skills Training The Vocational Trainer and other members of the RCIL Independent Living Skills staff will provide these services to the consumer. Skills directly related to successful employment include travel training, budgeting and the structuring and scheduling of daily activities. Other job skills training may include appropriate interaction with co-workers, appropriate behaviors with supervisors, how to take a work break. These skills will be taught by experienced RCIL staff who have personal experience with disabilities and thus are able to create an atmosphere of mutual understanding. Travel training may be performed by a job coach. 5. Technology Consultation and Training Advancements in technology have provided an avenue for people with disabilities to access competitive employment and become independent. RCIL's technology program, Techspress, provides consumers with the availability of existing technology options, the opportunity for development of new tools and applications, the opportunity for development, evaluation and replication of new service delivery models. Consumers with severe disabilities who show an interest in technology will have access to a full technology consultation. This will include customized instruction; training in the use of equipment, adaptive hardware and software, assistive listening and augmentative communication devices; an individualized academic, pre-vocational and vocational curriculum. C. JOB SEARCH ASSISTANCE SWAT job search assistance services will be based upon an "Employment Agency" concept. Employment situations will be sought that fit the individual needs of consumers. Employees will be sought who meet the specialized needs of business. Three staff will be hired: an Employment Consultant, a vocational trainer, and a third person who will devote 50% of their time to placement and 50% of their time to vocational training. In this activity, as in all RCIL services, our policy is to provide the consumer with as many options as possible and to offer employers a source of well-trained, reliable pool of workers. The goal will be to present each consumer with a variety of employment opportunities based upon their choice, from which to choose. Staff will regularly review job openings as listed with the NYS Department of Labor Job Service Office, the Oneida and Herkimer County Employment and Training Offices, U.S. Government mailings regarding federal employment and announcements from area businesses. Area newspapers will be read daily and follow-up calls made regarding advertised open positions. Cold calls made daily to local businesses to explain the program and develop job opportunities are also planned. The agency currently maintains ties with the business community through the Greater Utica Area Chamber of Commerce and the Central New York Personnel Managers Association. Staff regularly call on area employers to request the opportunity to meet and explain RCIL's Supported Employment program. Staff also regularly present the employment program to area employers. For example, presentations were recently made to the Small Business Councils of the Utica Area Chamber of Commerce and the Rome Chamber of Commerce. Targeted mailings to area employers are also part of the service currently provided, as are informational presentations to area service clubs and organizations. With the funding available under this grant, the focus of these services and activities will be highly pro-active. The new services will focus on small employers unable to be reached with current resources; and a regular schedule of contacts/presentations to employers will be implemented resulting in stronger recognition and support for the Supported Employment Skill Center in the community. RCIL will be able to provide critical services to people with the most severe disabilities who have unserved and underserved employment needs. D. JOB DEVELOPMENT Job development will be based on an ecological assessment of potential jobs in the community. It will also include job and work-site modification/ accommodation, and skills training using advanced learning technology. Staff are skilled in the ecological assessment of potential work environments. Staff will perform an analysis of each potential job for all skill requirements. This will include work skills, social skills and communication skills. The Ecological Assessment Job Analysis is appended. The ecological assessments of work environments will include an analysis and recommendations on how modifications of work-sites and skills training using advanced learning technology will make jobs accessible to people with disabilities. RCIL has experience in identifying a variety of site modifications that can make work-sites easily accessible. Examples of the kinds of modifications staff has recommended in the past includes height adjustment of desks, tables and workbenches, phone clamps, speaker phones and computers, to name a few. The use of assistive technology has allowed many individuals with severe disabilities to enter the competitive job market. When computers and assistive technology are recommended, RCIL can provide skills training through its Technology Services program known as Techspress. This program provides access to computer-based technology for vocational, educational and recreational use. Techspress also has a large inventory of state-of-the-art augmentative and alternative communication equipment used to provide consultations and "hands on" tryouts for persons with communication disabilities. All participants in the SWAT program will have full access to Techspress. A full description of Techspress is found beginning on page 17. It has been demonstrated that successful placement is directly related to a detailed matching of personal skills and interests to job requirements. Job development and placement staff working together with the consumer will identify possible matches by a task analysis of specific jobs based on the needs of the consumer, a clear understanding of the consumer's abilities, identification of discrepancies between job requirements and consumer abilities and methods of resolving identified discrepancies E. JOB PLACEMENT The concept of the "Employment Agency" will continue to be utilized in job placement. Job placement will be based upon the completed ecological assessment of the individual, assessment of available jobs, and primarily on consumer choice. This information will enable staff to complete an individualized profile of the consumer which will direct staff in considering potential jobs and training. The profile identifies the consumer's vocational strengths, interests and aspirations; indicates the types of training styles and reinforcers used successfully in the past; indicates the suitability and unsuitability of jobs and work environments; identifies the types of support needed to learn job tasks and related social behaviors; and identifies the types of ancillary support necessary such as travel training, budgeting skills and recreational activities. The profile will present information about the consumer's exposure to, and understanding of, various work environments, and thus how knowledgeable he/she is when participating in the formulation of vocational plans and considering options. Individual assessments are working documents which will be continually refined as staff and consumer work together. In assisting consumers to obtain employment in individualized, supported employment positions, staff will be guided by the following principles. No consumer will be placed in a position until and unless these criteria are met. The job must: • Be, first and foremost, agreeable and satisfactory to the consumer • Promote the independence and autonomy of the consumer; • Promote the consumer's participation in the community and offer him/her the opportunity to contribute to the community; • Provide the opportunity for the consumer to perform tasks and behave at a level that is satisfactory to the employer. F. ON-SITE TRAINING On-site training is a critical component of supported employment. The consumer's success is directly related to the training provided once placement has been made. On-site training is individualized for each consumer and considers the specific abilities of the consumer and the requirements of the job. Task Analysis Based upon the general task analysis, a specific assessment of individual job tasks will be completed. Tasks are broken down into their component parts and sequential order. Naturally occurring cues for each step of the task are identified. Training needs and potential discrepancies between individual skills and job requirements are identified. Understanding of job requirements Staff will work closely with the consumer and others within the consumer's support system to clarify job requirements. This will eliminate misunderstandings and pave the way for everyone to contribute to the consumer's successful employment. Identification of discrepancies Discrepancies between individual abilities and job/task requirements are identified at the general job level and at the specific task level. General job discrepancies may relate to accessibility, appearance, behavioral standards, educational requirements, and other pre-requisite criteria. The need for a ramp or other necessary accommodation may be identified. Site modification may be required such as a change in the level of a work bench or increased lighting at a work station. Specific task discrepancies may relate to naturally occurring cues, to social behaviors related to the task and to task sequencing requirements. Examples might include the lack of discrimination of visual and auditory cues by consumers with visual and hearing impairments, or a slower work rate as compared to other non-disabled workers or the expectations of the employer. Experience has shown that the best indicator of a consumer's job performance is actual experience on that job for an appropriate amount of time with appropriate support services in place. Supervised job try-outs will be a part of this program. As explained above, detailed task analyses based upon direct observation of the consumer performing the job will be made. Discrepancies between the consumer's skills and the requirements of the job will be identified and interventions determined. There are three primary ways in which discrepancies will be resolved. These are modifications of general job requirements, modification of specific task requirements, and modifications of consumers themselves (e.g. a change in appearance). The choice of resolutions will be evaluated against these criteria. Interventions and resolutions should be: •Under the control of the consumer •Designed to facilitate the consumer's autonomy and independence •Unobtrusive •The most natural for the specific work environment Advanced learning technology will be one of the methods by which discrepancies between job requirements and individual skills will be reduced. The availability of the technology program for all program participants is one of the strengths of this application. A full description of Techspress is found on page 20 of this proposal. Restructuring a job may be used to reduce discrepancies. The functions of a position might be shared by two people to capitalize on their strengths and to minimize weaknesses. Flex-time is also a frequently negotiated accommodation. Individuals who can satisfactorily fulfill job requirements when the work environment is calm, often experience difficulty during peak hours when the environment is stressful. Flexible scheduling allows a person with severe disabilities to work around the peak hours and still complete job tasks. Other methodology for resolution of discrepancies may include materials adapted to meet the language and accessibility needs of consumers including translation of materials into languages other than English, Sign language interpreters, audiotapes and Braille. RCIL will make arrangements for the provision of any accommodation that may be appropriate to meet consumer needs. Natural supports Natural supports are the making use of those components of the worksite already in place, that can be used or adapted to support the consumer. The development of natural supports is important to the success of consumers. Supports that are an integral part of the worksite have the advantage of readily available and unobtrusive. They are the means by which consumers are fully integrated into the employment and social atmosphere of the worksite. Each position where a SWAT consumer is hired, will be analyzed in detail to make use of natural supports that will assist in his/her full and seamless integration. An example of such natural supports is the use of a co-worker who does Task A that triggers the consumer to complete Task B. Another is the use of different colored hallways that become an assistive tool to orient a consumer to the worksite. G. PROVISION OF INTENSIVE JOB COACHING Participants in this program are eligible for traditional time-limited, post-employment services. The state vocational rehabilitation agency will pay for an initial 250 hours of job coaching with the possibility of a waiver for 100 more hours. RCIL will work closely with the vocational rehabilitation counselor to access these case service dollars that are available for each consumer. Intensive job coaching services will focus on developing a system of natural supports that will facilitate the autonomy and independ-ence of the consumer and lead to successful job performance. These natural supports will include supervisors and co-workers. A "mentor" or "model" co-worker will be utilized at the worksite to ensure integration of the consumer in the worksite environment. This would ensure that the consumer received the intense support necessary for successful employment. Direct interaction between the consumer and his/her supervisor and employer will be encouraged. All RCIL vocational trainers are required to be familiar with the provisions of the Americans with Disabilities Act, as well as the Rehabilitation Act and relevant state laws. They must be able to answer employer questions and insure that the mandates of the law are followed. H. Provision of extended services Once the consumer masters the job, the extended services phase begins. RCIL will arrange for the provision of extended services for all program participants. This will be done through contractual agreements with VESID, OMRDD and CBVH. Contracts are already in place with VESID and OMRDD. Extended services provides for a minimum of two contacts per month with the consumer and his/her employer to assure continued success on the job through training/re-training; problem solving; reinforcement of appropriate work behavior; and maintenance of employer awareness of disability issues. RCIL will also interact with family members to assist adaptation to lifestyle changes that may affect employment. Objective 4: to utilize resources of the swat agencies: RCIL, E.A.R.T.H. Industries and the district VESID office. Adequacy of Resources RCIL is the largest of 35 Independent Living Centers in New York State and one of some 400 nationally. It is a non-residential, consumer-directed center providing services and advocacy for over 13,000 persons annually. RCIL is physically located in an accessible and spacious building that is considered a model site for accessibility. The building has 13,500 square feet of program space and a large accessible parking area. An additional 10,000 square feel of space will soon be available in a building that RCIL is in the process of purchasing. Renovations are being designed to meet the specific needs of RCIL consumers. RCIL has experience in coordinating appropriate accommodations for consumers with varying disabilities. This includes housing, transportation and 24 hour emergency and crisis services. Six accessible hotels and motels are located within 2 miles of the Center, one within walking distance. All either incorporate or are contiguous to eating facilities and all are on fixed route accessible transportation lines that also covers the entire city and suburban areas making major businesses within reach of the bus system. RCIL will assist consumers in accessing transportation when needed. Transportation can also be provided by the city operated paratransit service. Staff has experience in arranging transportation in areas not served by the bus line and/or for second and third shift hours. This is done by transportation arrangements with co-workers, neighbors, family, and friends. Transportation provided by employers in suburban areas has also been accessed. Staff has been creative in finding transportation for many consumers and will do so for SWAT participants. RCIL staff is affiliated with more than 200 community, state and national organizations, which provide a forum for staff to be influential in policy development that impacts systems and service delivery. This is yet another resource which staff will access to provide the broadest possible flexibility in the development of individualized vocational plans for participants of this program. RCIL has six program departments all of which will be involved with this project in some way. They are as follows: Community Access Network - Independent Living /Employment Services These services comprise the core services of RCIL. They include systemic and individual advocacy services, information on accessible housing and adaptive equipment, counseling on financial benefits, independent living skills develop-ment, support groups and information and referral to other appropriate resources. The Independent Living Skills most directly related to successful employment are travel training, financial benefits counseling, budgeting, basic meal preparation, the structuring and scheduling of daily activities, appropriate socialization skills and use of leisure time. RCIL's Employment Services department has been providing supported employment services for 6 years and has developed skill and expertise in placing people with the most severe disabilities in the competitive job market. The success of the supported employment program is demonstrated by the number of people who have been employed and the variety of positions that these consumers hold. An average of 20 placements were made in 1990 and 1991 each. In 1992, placements totaled 37 and grew to 53 in 1993. All these placements have been individualized, integrated, and competitive, with no cluster placements. Consumers hold positions such as a cost estimator for an electrical firm; metal worker in a factory; grocery store cashiers, food demonstrators and baggers; nutrition aides and housekeepers; receptionist and office clerks; and researcher for a consulting firm. The Community Access Network department currently occupies 1500 sq. feet of office space which will be expanded to an estimated 2000 sq. feet to accommodate additional staff and consumer needs necessitated by this grant. The services of the Technology, Interpreter, and Advocacy Services departments will also be an integral part of this project. These departments occupy 2542 sq. feet. The total area which will comprise the SWAT program area is 4542 sq. feet. There are also common areas within the building, including rest rooms, kitchen and library, an additional 8219 sq. ft., which will be routinely accessed by project consumers. Technology Services RCIL's Technology program, Techspress, will provide access to computer-based technology in the areas of vocation, education and recreation. It is one of four Regional Technology Centers in New York State, through the Technology Related Assistance for Individuals with Disabilities (TRAID). TRAID is funded through the National Institute on Disability and Rehabilitation Research and is designed to establish a consumer-responsive, comprehensive statewide program for technology-related assistance by and for individuals with disabilities. Techspress staff will be part of SWAT by providing technology access for project consumers. This will determine how computers, assistive listening devices, augmentative communication devices, and other assistive technology may be used to allow equal access for individuals with severe disabilities. Each individual referred will receive professional, customized assessment and instruction including equipment use training, individualized pre-vocational and vocational curriculum, recommendations on equipment, modifications and, applications tailored for each individual's abilities. In addition, consumers may borrow devices from the Assistive Device Library in order to use and evaluate equipment in their own environments. Advocacy Services This unit provides systemic and individual advocacy on issues such as health care, integrated employment options and the Americans with Disabilities Act (ADA). It also offers information on accessible designs, adaptive equipment, benefits advisement, and independent living skills development. The program provides support groups, private peer counseling, as well as information and referral to other appropriate resources. This department is responsible for the Client Assistance Program (CAP) which offers vocational services advocacy including legal support; the Deaf Services Program that addresses the special needs of individuals who are deaf; the Mental Health Advocate program that provides peer counseling and advocacy for individuals who are consumers of the mental health system and systemic advocacy; and ADA Consultants and Barrier Free Design Advocates who provide comprehensive information in the area of accessible architectural design, construction standards and guidelines. RCIL complies with the Rehabilitation Act Amendments of 1992 as stated in the Compliance policy included with this proposal. Interpreter Services Sign language interpreters are appropriate whenever the spoken word must be visible or visible words must be heard. This program provides qualified sign language interpreters for accessible communications. Careful attention is given to matching the skills of the interpreter with the needs of the consumer. Staff will provide interpreting services when needed for SWAT participants. Elderly Services The department provides 4 programs for elderly persons with disabilities to facilitate independent living. The on-site social adult day service program, Senior Activities for Independent Living (SAIL) provides services for 25 persons. SAIL offers Employment Services staff the opportunity to do situational assessments for consumers of SWAT. OMRDD: Provides residential, respite, and day services for persons who are mentally retarded or developmentally disabled. Governed by the NYS OMRDD, the Rome DDSO agency provides a full range of services to individuals and their families in Herkimer, Lewis and Oneida counties. Founded in 1894, the DDSO has evolved from an exclusively institutional setting to a fully community-based service delivery system. DDSO staff have pioneered integration activities that have resulted in improved behaviors and changed the way local residents view and interact with consumers. Staff have implemented one-on-one initiatives that move away from large group activities toward experiences that are shared by one consumer and one staff member. Staff reports that "behaviors at the day treatment have improved dramatically." This is attributed in part to the informal nature of the activities. Dr. George Schlotterer, DDSO Lewis County Administrator, states, "Involving consumers in real-life, functional activities is the best way to empower them. We aren't here to protect them from life, but to facilitate their entry into it." At the Rome DDSO, all individuals are regarded as having the potential to learn, change and grow. Using this philosophy as a guide, the Rome DDSO is in the forefront of the conversion now being implemented at sheltered workshops across New York State. (See DDSO DISPATCH, Dec., 1993, included in the appendix.) E.A.R.T.H. Industries the sheltered workshop operated by the Rome DDSO, is an integral part of this project. The staff has long experience and expertise in working with the developmentally disabled population to be served under this proposal that will be invaluable to its success. As a SWAT member, they will provide assistance in the following areas: 1. A service coordinator will participate in the development of the individualized service plans 2. Consumers will be referred to SWAT 3. Technical assistance with waiver eligibility will be provided 4. Technical assistance in task analysis will be provided 5. Occupational therapy, psychological and nursing consultation services will be provided when appropriate. 6. Assistance in job development will be provided (A marketing prospectus prepared by E.A.R.T.H. Industries staff is appended. VESID: VESID's mission is to provide vocational services and coordinate life long educational services to all persons with disabilities, regardless of age, minority status, or disability, to assist in expanding and enhancing their opportunities to live and work independently in their communities. The Utica District Office and its branch office in Johnstown are part of a network of 15 district and 7 satellite offices statewide. Area services are provided to approximately 4,000 consumers annually in Oneida, Herkimer, Hamilton, Lewis, Fulton and Montgomery counties. The Utica office is staffed by 25 Vocational Rehabilitation Counselors and 12 support staff while the Johnstown office maintains a staff of 6 Counselors and 2 support staff. The District office mirrors the state focus on integrated employment and independent living. Their commitment to the SWAT coalition is an innovative method for putting principles into practice. The District Manager, Mr. Anthony Serra, has developed in-house procedures to assure that all consumers considered for long term sheltered employment are provided an opportunity to participate in SWAT. (See appended memorandum.) As a SWAT member VESID will: 1. Participate in all SWAT activities 2. Implement procedures as drafted to assure consumers are informed of their opportunities under SWAT 3. Refer consumers to SWAT 4. Provide technical assistance as required. The commitment of local VESID office and the administration and staff of the DDSO and E.A.R.T.H. Industries to increasing the number of persons provided supported employment opportunities is also attested to by the Memorandum of Agreement between the NYS Department of Education and the NYS Office of Mental Retardation and Developmental Disabilities that was signed in January, 1993. (appended) Objective 5: to provide a consumer-directed program in both direct services and policy advisement Consumers are the driving force behind all of RCIL's programs. People with disabilities are policy makers of the agency in addition to being consumers. The agency is consumer-directed with a minimum of 51% of the Board of Directors composed of persons with disabilities. This approach, mandated in the By-laws, is fundamental to the philosophy of Independent Living, for it ensures that those who set policy are responsive to consumer needs. It also safeguards the principle that consumers control what happens in their lives. Under this program, the service paradigm will involve each consumer controlling his/her employment goal with staff providing the supports necessary to ensure success. With a program designed to build on success, the consumer will have the opportunity to achieve an ever increasing level of independence. To further ensure that this objective will be met, many of the direct services will be provided by staff members with disabilities. They will serve as role models as well as peers for project consumers. RCIL will also make every attempt to hire individuals with disabilities for positions under this grant as is the ongoing policy of the agency. Advisory Board To further ensure that policies reflect the consumer perspective, the Advisory Board that RCIL established for the RSA funded CFDA #84.235F Traumatic Brain Injury and CFDA #84.235N Cognitive Disabilities programs will be expanded to include SWAT consumers and agency representatives. VESID and Rome DDSO are members of this Advisory Board at present. The board has almost two years experience during which time it has gained expertise and skill in assuring that goals and objectives are met. As SWAT consumers and consumers served under these two grant programs share some common disabilities, the experience of the board means that it will be able to immediately fulfill its role as soon as notification of funding is received. This will be greatly beneficial in implementing activities in a timely manner. The role of the Advisory board is to develop policies and provide continuing advisement on progress toward the attainment of program goals and objectives. The Advisory Board membership is composed of representatives from the following sources: •Consumers receiving services through RCIL's federally and state funded projects •Family members of consumers •Employers who currently employ persons with disabilities •Employers who have incorporated the supported work model into their hiring practices •Minority group organizations and service agencies •Mohawk Valley Learning Disabilities Association •NYS Office of Vocational and Educational Services for Individuals with Disabilities (VESID) •NYS Office of Mental Retardation and Developmental Disabilities (OMRDD) •Rome Developmental Disabilities Service Office (DDSO) •NYS Office of Mental Health (OMH) •NYS Commission for the Blind and Visually Handicapped (CBVH) •Head Injury Support Group •Oneida County Office of Employment and Training •Oneida County Office of Mental Health Advisory board members will assist in the development, planning, implementation, evaluation of the program, and dissemination of program information. The Advisory Board will review and provide advice on assessment and training strategies, outreach strategies, recruitment techniques and plans for project replication. As the Advisory Board will exhibit ethnic diversity, it will be particularly helpful in accessing minority communities. The Advisory Board will meet quarterly. A regular schedule of status reports will be established. Other communication will occur as needed. Materials will be adapted to meet the language and accessibility needs of all Board members (i.e. translations, interpreters, audiotapes, Braille). Objective 6: To actively coordinate services with community resources The RCIL Project Coordinator will coordinate all services with community resources. These resources will include VESID and CBVH, the designated state vocational rehabilitation agencies; E.A.R.T.H. Industries; rehabilitation facilities; insurance companies; therapists; departments within RCIL; and consumers and their families. RCIL has had a long-standing close working relationship with VESID which is an integral member of the SWAT coalition. A copy of their Letter of Cooperation is appended. A fee-for-service structure already exists. VESID currently contracts with RCIL for Interpreter Referral, Technology, Independent Living, and Employment Services. Approximately 350-500 consumers are routinely referred each year to RCIL by VESID, further testifying to the collaboration between these two organizations. RCIL is actively providing services to 30 persons through the Supported Employment program at the present time. RCIL 's Employment Services Program is experienced in the placement and support of VESID referred consumers, all of whom are individuals with severe disabilities. The experience gained through these placements is of direct benefit to the proposed initiative. RCIL frequently serves in an advisory capacity to VESID and the district office provides a similar service for RCIL. The two agencies have worked collaboratively in establishing RCIL's Technology, Employment Services and Interpreter Referral programs. Staff from both agencies sit on respective agency committees. RCIL staff sit on the Transition Planning Committee while VESID staff participate in RCIL's Technology Advisory Committee, the Assistive Device Library Advisory Board, and the Advisory Committees for CFDA #84.235G Traumatic Brain Injury grant and CFDA #84.235N Cognitive Disabilities program. In meetings to plan this program, VESID staff voiced their concerns that at present there are no targeted services with a goal to divert individuals with severe disabilities from placement in long term sheltered employment. They also stated that RCIL's philosophy and experience well positions the agency to do this and that this population could be partially covered under our current existing fee-for-services arrangement. This would maximize funding available for services for program participants. With the support of VESID, RCIL can provide these services in a manner which complements the work of the state vocational rehabilitation agency. RCIL has also closely collaborated with the Rome DDSO to provide employment services to people with severe disabilities for nearly five years. The Rome DDSO is the third member of the SWAT coalition. A Letter of Cooperation is appended. The Rome DDSO is fully committed to the conversion of E.A.R.T.H. Industries from a facility-based sheltered workshop to an integrated program service model. The conversion plan that is being implemented will be complemented by the services planned under SWAT. The staff is enthusiastic about the possibilities this program offers to their consumers and staff. The Rome DDSO is one of the funding sources of the Employment Services program, and we have a contract in place to provide extended services to consumers who meet DDSO requirements. RCIL also works closely with DDSO caseworkers to ensure that appropriate housing, benefits, medical and psychological treatment, and independent living training is available to DDSO consumers. Staff from both agencies sit on respective agency committees. DDSO staff sit on the Advisory Board of the Traumatic Brain Injury and Cognitive Disabilities programs, funded under CFDA #84.235G and #84.235N. RCIL staff are members of several DDSO committees including the Oneida County OMRDD Sub-committee, Community Usability Committee, DDSO Crisis Committee, Family Support Services, DDSO-CSEP/ISE Quality Assurance Committee, and Oneida County Community Services Expansion Plan (CSEP). The SWAT program offers a unique local opportunity for cooperation among the leading players in the nationwide move from segregated to fully integrated employment: the designated state vocational rehabilitation agency, a State agency serving the MR/DD population, and an independent living center. What can be learned here has national implications as the downsizing and conversion of sheltered workshops progresses. RCIL has also served consumers on referral from the NYS Commission for the Blind and Visually Handicapped (CBVH). A close working relationship has been established with the staff in the nearby District Office, and a representative also sits on RCIL's Technology Advisory Committee. RCIL has been a member of the Mohawk Valley Supported Employment Council for five years. The Council meets monthly and is composed of providers of employment services to people with disabilities from all over upstate New York. Committee members are out in their communities locating or developing jobs for consumers on a daily basis, and they routinely discuss issues common to all providers of such services, and identify solutions. The progress of activities related to this grant will be presented monthly at the Supported Employment Council meetings, which will not only allow for replication of methods for use by other providers, but will also provide a forum for solving problems that may arise relating to consumers we are working with under this grant. Objective 7: To make services available in a holistic manner The Independent Living Philosophy of RCIL can most effectively be implemented by considering the whole individual and providing services in a holistic manner. To this end, RCIL does not seek to rehabilitate or treat specific deficits but rather to assist a person in maximizing his/her potential by addressing all of the individual's life components. RCIL staff are knowledgeable in the areas of accessible housing, financial benefits, insurance, Social Security, Medicare and Medicaid including the Home and Community Based Services Waiver, Worker's Compensation, family and marital dynamics and general life issues. One of the strengths of providing integrated/supported employment services in an Independent Living Center is the atmosphere that makes consumers feel a strong sense of ownership. The peer counselors on staff can advise, counsel and advocate with consumers of agency services. Through the years, RCIL has earned a reputation as the place where people with disabilities can find assistance with whatever they need to gain access to a full, independent, and integrated life. It is expected that outreach efforts under this program will provide many people, who are not currently acquainted with RCIL, the opportunity to access its services. Objective 8: To maximize grant funds by also utilizing vocational rehabilitation fees for services available through VESID, OMRDD, and CBVH; and Medicaid funds available through the home and community-based services waiver. The funding for the vocational rehabilitation of individuals with severe disabilities is a critical issue that must be addressed if success is to be achieved. Currently, vocational rehabilitation programs funded under the public sector incorporate time and funding constraints while the stream of funds easily flows to programs offering segregated employment. Because the vocational rehabilitation of the population targeted under this proposal is so time-consuming, often far beyond what has been considered average, consumers require continued rehabilitation efforts far beyond current program restrictions. RCIL will work cooperatively with VESID, OMRDD, and CBVH to maximize grant funds by accessing existing fee-for-service dollars and extra funds not commonly used in these areas. This will allow leveraging of dollars for expanded services such as additional hours of job preparation that are tailored to consumer needs and fit within the established framework. See budget for details. Utilization of the Office of Mental Retardation and Developmental Disabilities Home and Community-based Medicaid Waiver Services (HCBW) is a new and innovative method for achieving this objective, which will also provide a continuing funding stream at the termination of the grant period. Available through the NYS Office of Mental Retardation/Developmental Disabilities (OMRDD) and soon the NYS Department of Health (DOH) to assure the repatriation and promote the deinstitutionalization of individuals with developmental disabilities including traumatic brain injury, the HCBS waiver allows states to assemble a package of individualized services to meet the needs of people in a community-based setting. The waiver from OMRDD is available to persons with a developmental disability or a traumatic brain injury received prior to age 22 while the DOH waiver covers those aged 18 - 64 with traumatic brain injury. With the overlap for those ages 18-22, the decision as to which waiver to use for consumers aged 18 - 22 will be determined by the number of open slots, available dollars and the services needed. To be otherwise eligible for waiver services, an individual must have a diagnosis of developmental disability, traumatic brain injury, or related diagnosis, be eligible for nursing facility or intermediate care facility level of care, eligible for Medicaid, given a choice of living in the community or in a nursing/intermediate care facility, find satisfactory living arrangements, and be able to be served with available funds and services. The key to success is person-centered service coordination. A service planner is selected by each consumer and is accountable for being responsive to the individual and assisting the consumer in identifying his/her individual wishes and needs; promoting activities which will increase the consumer's independence and life satisfaction; assisting in the integration of the consumer in the community; helping to increase the consumer's productivity and participation in meaningful activities; and arranging for daily living supports and services to meet the consumer's needs. A comprehensive description of the waiver is appended. RCIL staff have utilized the HCBS waiver for six (6) participants in the RSA funded TBI program here and are in the process of completing waivers for four (4) more consumers. This has already generated $145,775 in complementing grant money. RCIL is the Case Manager under these waivers, but also provides Day & Residential Habilitation Service (staff) to consumers case managed by the DDSO. Objective 9: To serve 25 people with severe disabilities on an annual basis SWAT will serve people who are eligible for supported employment services as defined under the Rehabilitation Act Amendments: ...competitive work in integrated work setting (a) for individuals with severe handicaps; for whom competitive employment has not traditionally occurred, or (b) for individuals for whom competitive employment has been interrupted or intermittent as a result of a severe disability, and who because of their handicap, need ongoing support services to perform such work. Such term includes transitional employment for individuals with chronic mental illness. SWAT will specifically serve the following identified target population: 1. Individuals who have been targeted for placement in long term sheltered employment; 2. Individuals recommended for supported employment and temporarily placed in sheltered employment while awaiting a service opening; 3. Individuals who are in long term sheltered employment but recommended for supported employment services; and 4. Individuals who have returned to long term sheltered employment following an unsuccessful supported employment placement. RCIL expects to annually receive at least 25 referrals from the designated state vocational rehabilitation agencies, E.A.R.T.H. Industries, and other referral sources. E.A.R.T.H. Industries staff have already identified 10 consumers who will be referred to SWAT upon notification of funding. The history of RCIL has shown that the agency has consistently stretched these goals to provide services needed by consumers. RCIL is mandated by Federal and State regulations to serve a cross disability population such as represented by these consumers. RCIL has no vested interest in keeping people in long term sheltered employment and thus presents no real or perceived conflict of interest in the provision of services under this proposal. The VESID District Office has developed an in-house policy to assure that individuals who meet criteria #1 above are referred to SWAT. This policy is appended. Additional VESID referrals will meet criteria #2-4. E.A.R.T.H. Industries is in the midst of conversion. The goal is to move consumers currently in long term sheltered employment into integrated work sites. The conversion has stretched the current integrated/supported employment system that no longer can accommodate the created need. Grant funds will be used to meet this need and will allow people continued access to services. The people referred to SWAT will meet criteria #3 & #4. Currently, vocational rehabilitation of individuals with the most severe disabilities under the public sector incorporate time and funding constraints that can be an impediment to successful integrated employment. Because the vocational rehabilitation of these consumers is so time-consuming, far beyond what has been considered average, these consumers require rehabilitation efforts far beyond current program restrictions. Grant funds will be used to provide the assistance needed for these consumers to achieve integrated employment at competitive wages. Locally, no current discrete funding stream exists to fund community-based functional assessments. Community-based functional assessments are authorized by VESID on a case by case basis. When approved, funds are diverted from intensive job coaching funds, thereby reducing the number of hours available to provide intensive job coaching services. Grant funds will fill this gap. Objective 10. To enhance local capacity for providing supported employment services and increase supported employment opportunities Supported employment services are provided in the local area by several agencies. Services provided by RCIL are unique in that RCIL is the only local agency providing these services that is not connected to a sheltered workshop. Thus RCIL has no vested interest in sheltered employment and no inherent conflict of interest. With E.A.R.T.H. Industries whose conversion goal is to place all their consumers in integrated employment positions, joining in the SWAT program, these will be the only unique supported employment services designed specifically to prevent placement in sheltered workshops and that do not have long term sheltered employment as an option. With grant funding RCIL will hire 1.5 FTE Employment Consultants whose role will be to do intensive job development, provide individualized supported employment services, and conduct community-based functional assessments. The Employment Consultants will work with the Vocational Trainer to assess work history and review physician work orders, and will consider each individual's assets and limitations throughout the job development process. The Employment Consultants will participate in running a support group for consumers at least one day per week, at which they will provide job seeking and job keeping skill training. The Employment Consultants will locate sites for functional assessments in the community. A number of local employers have agreed to perform this service. (See appended letters of support.) The Employment Consultants will perform the intensive job development in the community to meet the needs of consumers and potential employers. It is anticipated that the Employment Consultants will job develop for a small number of consumers at a time, and that they will attempt to find employment that makes use of each consumer's skills and abilities. As many contacts per week as possible will be made for each consumer in job development. Every attempt will be made to place each consumer in the highest functioning job he/she can maintain, and one that has potential for growth. E.A.R.T.H. Industries will share job leads and actual placements with RCIL SWAT Employment Consultants. The Employment Consultants will contact community employers and make them aware of the SWAT program. They will assess the employment needs of each business visited and discuss how the program can provide an available pool of well-trained, motivated, reliable workers. It will be their responsibility to locate both functional assessment sites and permanent work sites. They will assist in performing assessments of work sites and negotiate modifications necessary to meet consumer needs. The specific needs and skills of the consumers will be matched to the specific needs of employers. Employment Consultants will arrange for interviews, accompany the consumer to interviews, follow-up on interviews, and make any other arrangements for the successful placement of the consumer and satisfaction of the employer. A complete job description for these positions is appended. Based upon experience, it is anticipated that the RCIL Employment Consultants in SWAT will be able to contact 15-20 employers per week, obtain 5-7 functional assessment sites, and secure 5 placements. This alone will expand the local sup-ported employment services by 20% over current capacity. Added to this will be the increased capacity resulting from the coordinated, shared activity and job development resources of the two other coalition agencies which is one of the enormous advantages of this proposal. The combined activity is anticipated to increase community capacity by at least half with a goal of doubling local capacity. Objective 11: To identify the causes of unsuccessful supported employment experiences and implement procedures to insure success Staff of E.A.R.T.H. Industries have identified 9 consumers from their facility and another 6 consumers for whom referrals are pending, that have had unsuccessful supported employment experiences. With local services stretched as they are at present, E.A.R.T.H. Industries staff have been unable to provide these consumers the attention needed to identify the reasons for this and implement remediating procedures. The increase in local supported employment services that will be available through this grant will make it possible to provide these consumers with the services they need. SWAT staff will meet individually with these consumers and others who are identified as having had similar experiences, and the employers to discuss the problems they encountered. SWAT staff will implement remediation procedures where possible and also present these situations to the whole SWAT team for discussion and brainstorming solutions. Based on experience, it is anticipated that creative procedures can be implemented for a successful supported employment situation for consumers and employers alike. Objective 12: To increase the knowledge and skills of area professionals who have a role or potential role in moving the community toward a fully integrated work model. The impact of SWAT will be substantially increased when rehabilitation providers and other human service professionals are aware of the possibilities offered by an intensive integrated/supported employment services program such as SWAT. The SWAT agencies and affiliated staff will hold a conference with a dual purpose: to demonstrate that individuals with the most severe disabilities can be successfully integrated into competitive community-based worksites; to provide a plan for this to be accomplished. This conference will be a primary means by which findings will be disseminated to service providers in order to expand and improve the provision of integrated/supported employment services. The conference will be held in the local area during the second year of the project. Holding it here will allow attendees to visit the actual job sites where program participants are employed, speak to many staff people of the three SWAT cooperating agencies and observe the program in action. SWAT will invite a broad range of local, state and national professionals to this conference both as attendees and presenters. The program will focus on integrated/supported employment of individuals with the most severe disabilities. Workshops will include presentations on activities of the SWAT team, consumer outreach, individualized service planning, job development in rural, suburban and urban settings; funding sources including the Home and Community Based Waiver Program and funding strategies such as the Community Services Expansion Plan; strategies for enlisting the support of consumers' families. Staff from each of the three coalition agencies will take part in the conference, thus providing information from three perspectives. Staff from the DDSO will present on the ways in which grant funds have complemented the conversion of E.A.R.T.H. Industries. VESID staff will be able to discuss the results of the first year of a concentrated effort to divert individuals from sheltered employment to integrated/supported employment. Employers that participate in the program will be available to discuss integrated/supported employment from their perspective. Information on the role of the Advisory Board will also be presented. The conference will be in a fully accessible facility with materials available in accessible formats. Ms. Darrell Jones, Director Community Access Network, has served as planner and coordinator of the annual Independent Living Conference in New York State, the largest regional independent living conference in the country. She will serve in this capacity for the SWAT conference. Her knowledge and experience will be invaluable to its success. Objective 13: To evaluate the effectiveness of the program on a continuing basis so that the highest standards will be maintained David Hakken, Ph.D., will be retained as an independent evaluator to assess the implementation and quality of project activities. Dr. Hakken has extensive experience in program evaluation, educational research and disability studies. He has performed evaluations for programs funded by the U.S. Dept. of Health and Human Services; the National Science Foundation; Sheffield City Polytechnic, Sheffield, England; and Purdue and Chicago Universities. Dr. Hakken was the leader of the research team which performed the Oneida-Herkimer Human Needs Assessment. This was a two-year project, completed in 1991, that assessed human service needs in Oneida and Herkimer Counties. As a result of this work, Dr. Hakken is knowledgeable of the entire spectrum of needs and services in the area to be served by this project. A full Professor of Anthropology at SUNY Institute of Technology, Utica, N.Y., Dr. Hakken teaches Applied Anthropology and is associated with the Institute's Technology Policy Center. He received his Ph.D. in Anthropology from American University in Washington, D.C. As indicated above, the Project's basic goal is to demonstrate the effectiveness of an alternative to long term sheltered employment for at least 25 people with severe disabilities. It is believed that, if provided in the proper manner, such an alternative approach will provide greater opportunities for new careers and career advancement. The alternative is intensive supported employment services in community-based jobs, and it will be provided by a team from several agencies lead by staff at the RCIL. Data on the number of individual's services by the project and the character and severity of their disabilities will constitute minimal evaluative markers. Experience on existing RCIL projects suggests that there should be little difficulty meeting the numerical target. Presuming that this is the case, the more specific goals of the alternative include the following: 1. To provide a comprehensive continuum of services; 2. To provide expert services; 3. To provide services in a holistic manner; 4. To provide the program in a consumer-directed manner; 5. To utilize existing resources within RCIL where possible; 6. To coordinate services effectively with a range of other agencies; 7. To maximize effectiveness of funding by supplementing grant funds with funding from Medicaid and state funds; 8. To enhance local capacity to provide opportunity for and support for employment in the community; 9. To identify the causes of unsuccessful supported employment services and implement procedures to address these; 10. To increase the knowledge and skills of professionals who have a role in moving the community toward a fully integrated work model 11. To disseminate project information. Process Evaluation Plan Primary emphasis during the first part of the Project will be on formative or process evaluation. In this type of work, the aim is to gather information on how well the project is implementing the proposed structures and processes and to feed this information back to project management. Dr. Hakken and/or his assistants will use ethnography-participation in a selection of project activities, supplemented by interviews with project staff, clients, and other interested parties-to gather the necessary information, which will be shared in periodic written and oral reports as well as in interviews. This procedure has worked will with the two RCIL projects which Dr. Hakken is evaluating, where his feedback has helped the projects develop more effective instruments for tracking client progress and has contributed to the information base for some project reorganization. Outcome Evaluation Plan Toward the later stages of the project, evaluation will turn to outcome evaluation, the making of summative judgments in regard to the project's goals and other relevant dimensions of project impact which have emerged during the project. The participant observation and interviews begun early on will be continued and will contribute information significant to outcome judgments. This data will be supplemented by additional information from the RCIL's more formal instruments for tracking client progress. Again, the first judgment will be whether the project has met its minimal numerical and severity of disability goals. Among the types of information to be gathered for outcome judgments relative to the more specific project objectives, and the evaluative criteria to be applied to these, will be: 1. In regard to comprehensiveness of the continuum of services, a compendium of all services provided to all clients and their frequency, to be evaluated in terms of breadth, evenness of spread, and coverage; 2. In regard to expertness of services, a survey of staff qualifications and client evaluations, to be evaluated in terms of quality of training and experience and the extent to which clients, both consumers and employers, are satisfied; 3. In regard to holistic quality of services provided, data from client evaluations and interviewers with staff from other agencies, both participating and non-participating, to be evaluated in terms of the extent to which service provision anticipated possible needs, how quickly each need was identified, and whether single needs were addressed in cognizance of other needs; 4. In regard to providing the program in a consumer-directed manner, data on the role of people with disabilities on staff, in RCIL advisory boards, and in policy discussions, to be evaluated in terms of both the numeric presence of people with disabilities and their substantive contribution; 5. In regard to utilizing existing resources within RCIL where possible, data on the extent of integration of the SWAT activities with that of other services, from observation, interviews, and internal RCIL service tracking, to be evaluated in terms of both non-duplication but also avoidance of over burdening existing programs; 6. In regard to coordinating services effectively with a range of other agencies, data from observation, client evaluations, employer evaluations, and interviews with other agencies, to be evaluated in terms of breadth of range and quality of coordination; 7. In regard to maximizing effectiveness of funding by supplementing grant funds with funding from Medicaid and state funds, a survey of the amount and character of such supplementary funds attracted, to be evaluated in terms of total amount and proportion of clients whose service funding is supplemented; 8. In regard to enhancing local capacity to provide opportunity for and support for employment in the community, a comparison of such opportunities and supports at the beginning of the project and near its end, to be evaluated in terms of how much these are extended; 9. In regard to identifying the causes of unsuccessful supported employment services and implementing procedures to address these, an analysis of data gathered by the project and how these data affected project operation, to be evaluated in terms of the project's ability to produce new information relevant to what works and what doesn't; and 10. In regard to increasing the knowledge and skills of professionals who have a role in moving the community toward a fully integrated work model, to be evaluated through an evaluation instrument distributed to conference participants and through participant observation in the third year of the project. 11. In regard to disseminating project information, an analysis of project activities based on observation and interviews, to be evaluated in terms of breadth and effectiveness. A final evaluation report will be completed by the end of the project and submitted with the final project report. Objective 14: To widely disseminate project information The project findings will be disseminated to service providers in order to expand and improve the provision of supported employment services. • In order to derive the maximum benefit and usefulness from the project, RCIL will assemble a comprehensive package of information. This will include a descriptive narrative of the project, all materials used including copies of any forms and a program implementation schedule. This package will also include lists of reference materials and agency resources. This will allow other agencies to avoid duplication of effort and thus establish a similar program at minimum cost. • In the first year of the project, RCIL will provide progress reports on the program to the VESID and DDSO offices statewide, Supported Employment Council, Small Business Council of the Chamber of Commerce and all referral agencies. At the end of the first year, a summary of the year's activities will be sent to these agencies and also their appropriate NYS central offices. To disseminate this information throughout New York State, the summary report will also be provided to each NYS Independent Living Center, the NYS Association of Independent Living Centers, and the New York State Regional Technology Centers. Information will also be provided to other state and privately operated sheltered workshops. • Project staff will present information about SWAT at the National Brain Injury Conference to be held on November 9-1, 1994, in Chicago, Illinois. The conference is sponsored by the Office of Special Education and Rehabilitation Services, U.S. Department of Education. Staff from RCIL's Traumatic Brain Injury program are members of the conference Planning Committee. They have also been invited to present a program on the TBI program. • A brochure will be developed that describes the project and the materials that will be available to interested agencies. The brochure will be mailed to: all grantees under the Special Projects and Demonstrations for Providing Supported Employment Services to Individuals With Severe Handicaps-Community Based Projects, each state's designated vocational rehabilitation unit, and the Alliance for Technology Access sites. • Information will also be distributed via the AppleLink, SERIES and JAN nationwide computer networks. AppleLink is the only international on-line service that enables communication with people in over 55 countries. This will ensure that project information is distributed nation-wide and internationally. Interested parties will be able to write or call for complete information. Staff will be available to discuss the project and to provide technical assistance. • Articles describing the project will be submitted to appropriate journals, magazines and newsletters. These will include the Journal of Applied Rehabilitation Counseling, the Journal of Rehabilitation, Rehab USA, the Journal of the Association for Persons with Severe Handicaps, the Rehabilitation Counseling Bulletin, and American Rehabilitation • Project staff will also present the program model at various regional, state and national conferences, e.g. the National Council on Independent Living, the National Rehabilitation Association, RESNA, California State University at Northridge • Experience staff will be available to provide technical assistance to others in replicating project activities. • RCIL will welcome visitors to the agency. Where possible and appropriate, provision will be made for visitors to observe components of the program in action. • Information will be posted to disability computer bulletin boards. MANAGEMENT PLAN Management of the SWAT program is discussed under Plan of Operation Objectives 1, 2, and 4. INTERNAL MANAGEMENT AND FISCAL PROCEDURES The enclosed organizational chart outlines the administrative structure of RCIL and indicates the lines of responsibility for this project. The Project Coordinator (Coordinator of Employment Services), Executive Director and Fiscal Manager will be responsible for the financial management of the project. The cornerstone of the RCIL fiscal system is the Great Plains accounting software. The system currently tracks over 47 cost centers which relate to different grants and fees-for-service. General Ledger, Sales Journal, Accounts Receivable Journal, Accounts Payable and Payroll are all prepared through the Great Plains software system. Financial reports are issued monthly to the Board of Directors. An external audit is performed annually. All internal fiscal mechanisms comply with generally accepted accounting standards. The audit is conducted in accordance with generally accepted auditing standards, Government Auditing Standards, issued by the Comptroller General of the United States, and the Office of Management and Budget (OMB) Circular A-133, "Audits of Institutions of Higher Education and Other Non-profit Institutions." RCIL also complies with all appropriate Education Department General Administrative Regulation (EDGAR). NON-DISCRIMINATORY PRACTICES The agency has a strong affirmative action policy and complies with all state and federal laws related to such. Strategies for ensuring that recruitment, hiring and consumer services take place without regard to race, color, national origin, gender, age, or handicapping condition are described in RCIL's Equal Employment Opportunity/Affirmative Action Policy and RCIL's statement of Compliance with the Rehabilitation Amendments of 1992 are appended. RELEVANCE TO STATE-FEDERAL REHABILITATION SERVICE PROGRAMS SWAT relates to the mission of the New York State and Federal rehabilitation programs. Services to be provided under SWAT are consistent with those services and priorities outlined in the New York State Plan as submitted to RSA by the New York State Department of Education's vocational rehabilitation program (VESID). This proposal specifically related to priorities concerning increasing the number of people placed in integrated employment, consumer empowerment and informed choice, increasing coordination and delivery of supports, improving consumer services, and fostering independent living. Additional relevancy specific to cooperative efforts to improve access and delivery of service to persons with developmental disabilities is shown by the Memorandum of Understanding between the NYS Departments of Education and OMRDD. On the local level, there is a Memo of Understanding between the Rome DDSO, area BOCES, NYS School for the Deaf, and the area VESID office. RCIL has current operating agreements with all these agencies. SWAT is designed primarily for individuals with the most severe disabilities being provided vocational rehabilitation services by the NYS vocational rehabilitation unit, VESID and the Office of Mental Retardation and Developmental Disabilities OMRDD. Staff of both offices will be actively involved in carrying out project activities. The cooperating agreements between these RCIL and these agencies are adequate to ensure appropriate outreach and client referral. (See Objective 6 appended. Further relevancy is demonstrated on page 1 of this proposal. INNOVATIVENESS The SWAT project is innovative because it builds upon current model practices and research findings: * SWAT builds upon RCIL's six years of experience in providing integrated, supported employment services to people with the most severe disabilities * SWAT is founded upon the latest research which is demonstrated in the Plan of Operation and referenced in the extensive Bibliography. * SWAT builds upon the changes in policy and procedures currently being implemented at VESID and OMRDD * SWAT implements programming in an Independent Living Center where programs are structured on the IL model * SWAT is a consumer-directed program in both direct services and policy development The SWAT project is innovative because it uses unique strategies and approaches that can be incorporated into effective service delivery models: * SWAT services will be provided to individuals with the most severe disabilities as a replacement to long term sheltered employment * SWAT is the coalition of an independent living center, RCIL; the state vocational rehabilitation agency, VESID; and a state supported sheltered workshop E.A.R.T.H. Industries, operated by OMRDD. These are the primary agencies providing integrated employment services to individuals with the most severe disabilities * SWAT uses ecological assessments and natural supports in the workplace as the model for delivery of services * SWAT accesses funding sources such as the Home and Community Based Waiver * SWAT uses an "Employment Agency" concept that serves the needs of consumers and business * SWAT uses funding strategies such as the Community Services Expansion Plan * SWAT is able to deliver a comprehensive program of services * SWAT services are provided by the high quality staff of coalition agencies The SWAT project is innovative because it demonstrates how unique strategies and approaches address important service delivery problems: * SWAT provides comprehensive, intensive, community based integrated/supported employment services designed to divert individuals with the most severe disabilities from placement in long term sheltered employment * SWAT delivers services to individuals targeted for long term sheltered employment or currently in sheltered employment. * * SWAT coordinates area job development efforts to maximize efficiency for increased employment opportunities. * SWAT coordinates current supported employment programs in order to maximize efficiency and thus serve more consumers. * SWAT will hold a conference to increase the knowledge and skills of professionals who have a role in moving the community toward a fully integrated work model * SWAT offers a broad range of in-house resources available at RCIL, VESID and the DDSO * RCIL and SWAT are able to deliver services to minority consumers * RCIL and SWAT are able to coordinate community resources * RCIL and SWAT are able to disseminate all project information * SWAT builds upon existing current written inter-agency agreements between local community agencies which can support programs like this UTILIZATION OF PROJECT FINDINGS This project is consistent with the activities of the NYS rehabilitation agency in the Interagency Council. Cooperating agreements have been developed with agencies listed elsewhere in the grant proposal. What is proposed here is consistent with existing agreements and is a model for what those agreements are attempting to implement. It is reasonable to expect that what is learned and demonstrated will receive the full support of the cooperating agencies and be utilized by them. To further assure utilization of program information, RCIL staff will provide on-site technical assistance to other agencies seeking to establish similar programs. Materials will be developed that can be used in these efforts. RCIL will also provide assistance to other IL centers aimed at improvements in administration and program development. This is consistent with an RSA audit recommendation: "Develop a public relations packet that advises other centers on the 'how to' "become such a pure consumer directed, progressive and fiscally sound center for independent living!" Improving the administrative and program capacity of other centers will lead to an expansion of excellence and greater utilization of programs such as SWAT. Plans for dissemination of project findings are discussed under Objective 13. LIKELIHOOD OF SUSTAINING PROGRAM RCIL has a proven history of its ability to sustain programs following initial supportive funding periods. How to sustain programs is always part of the pre-planning process. The coalition of agencies providing services under SWAT and the long-term resources available is one of the most innovative features of the project. Due to the innovative features embodies in this proposal, the dissemination plan and the quality of RCIL staff, this program will be able to be replicated by other providers. RCIL and the SWAT agencies will provide technical assistance to any other service provider establishing a similar program. RCIL will continue to operate this program following termination of the project. A fee-for-service structure already exists between RCIL, VESID and OMRDD. The project will also access funding sources such as the Home and Community Based Waiver Program and funding strategies such as the Community Services Expansion Plan. These will provide a vehicle for future funding. PART II - BUDGET INFORMATION Budget Narrative 1. Salaries and Wages Title % F.T.E. Charge to Project Director, Community Access Network .10 $ 3,500 Employment Coordinator .40 11,000 Vocational Trainer 1.00 20,000 Employment Consultant 1.00 18,000 Employment Consultant/ Vocational Trainer 1.00 19,000 Total $71,500 The project will hire three new staff to be charged as well as charging a portion of existing staff time. Salaries are competitive for the local economy and will ensure the retention of qualified personnel. Additional staff not charged to the program will also be highly active. The Director of Community Access Network is Darrell Jones. The Employment Coordinator is Joann Marshall The Vocational Trainer, Employment Consultant, and Employment Consultant/Vocational Trainer are to be hired. Their names and resumes will be submitted for approval. 2. Fringe Benefits Fringe benefits of $17,000 charged to the project equal 25% of gross salary. Benefits as outlined in RCIL personnel policies include: FICA, unemployment, workers compensation, disability, life and health insurance, optical dental and retirement. 3. Equipment One of the enormous benefits of locating the project at RCIL is the sizable equipment inventory especially related to the technology program. The $300,000 inventory of adaptive equipment will be made available upon need to all project participants. The only equipment needed to be purchased and charged to this grant is computer equipment costing $3,500. This is for 3 computers and a printer. The computers to be purchased are a one time expense and will provide staff and consumers of this project access to the agency wide communications network. Staff will use computers for writing letters, reports, compiling statistical information and communications directly related to project activities. Consumer access to the computers will allow RCIL to accommodate individuals with the wide variety of disabilities anticipated to be served under this grant. Consumers will use the computers for project activities such as improving writing skills and independent living and job skill training purposes. 4. Supplies Charged to the project is $1500 for supplies. This is for the following: Computer paper $120 Notebooks 40 File Folders 75 Computer ribbons 40 Calendars 40 Computer diskettes 40 Computer tape cartridges 100 Binders 45 Telephones (3) 900 Pens, pencils, white-out, staples, paper clips, tape 100 The telephone charge is a flat fee that includes the phone and all installation charges. These telephones are required for the 3 positions to be hired under this grant. RCIL competitively bid its phone system and the Meridian system chosen was the low bid. The system is such that phones other than Meridian are not compatible. The system accommodates the in-house computer network. The purchase of these telephones is a one-time expense. 5. Contractual Charged to the project is $2500 of contractual costs for the services of the evaluator, David Hakken, Ph.D. Evaluation services will be paid at $50 per hour for 50 hours of service. 6. Other Item Amount Travel Telephone $2,000 1,000 Reasonable Accommodation 1,200 Postage 500 Staff training 1,500 Printing 500 Membership 400 Books, Subscriptions 397 Rent 2,800 Total $10,297 Travel The budget amount of $2000 is proposed for travel in the amount of 5,535 miles at 28 cents per mile for a total of $1550. This is the amount reimbursed to employees at RCIL. $400 is included for overnight accommodations and meals at staff training conferences. $50 is included for tolls. Funds in this category will be used primarily for travel to worksites for the purpose of placement and job coaching activities for the Vocational Trainer, Placement Specialist and the Placement Specialist/Voc. Trainer. Routine local travel will also include mileage reimbursement for the attendance of meetings. These costs have been based upon the geographic area this project will cover. Telephone costs will cover expenses of coordinating all project activities, figured at $83.33 per month. Reasonable accommodation expenses cover the costs of Sign language interpreters, personal attendants and the Brailling and/or enlarging of all print material for those consumers who may require these services. Costs have been figured on an estimated 26 hours of interpreter services, the first hour at $65 and the remaining 25 hours at $27 ($740); 30 hours of personal attendant services at $15 per hour ($450) and 20 pages of Brailled materials at $.50 per page ($10) Postage expenses are for 500 pieces of mail concerning consumer activities at $.29 each ($145) and 2 bulk mailings related to project outreach and job development activities at $177.50 each ($355). Staff Training Charged to the project is $1500 for attendance at 6 training conferences by the Vocational Trainer, Employment Consultant, and Employment Consultant/Vocational Trainer. Each will attend 2 events, the annual meeting of the New York State Association of Independent Living Centers and one other appropriate employment and training conference. Funds are for registration and materials figured at $225 for each of 6 conferences. Also included is $150 for a portion of the costs for attendance at 2 conferences each by the Director and Project Coordinator. These conferences are relevant for both training purposes and project dissemination as detailed in the narrative section. Printing costs are $60 for routine copying figured at 2000 copies at $.03 each and $440 for printing brochures used in project outreach and dissemination activities. Rent/Occupancy RCIL owns the building in which this program will be housed. Rental/Occupancy costs of $2,800 charged to this grant are for direct program functions. Rent is calculated at $7/foot. This is determined by total occupancy costs of $89,729 divided by total square footage of 13,195. Occupancy costs are from the 7/92-6/93 audit. RCIL has allocated 4 office spaces at approximately 100 sq. ft. each to provide these direct program services. Total Direct Charges $106,297 Indirect Charges $ 23,704 Total $130,000 Indirect charges are calculated at 22.3% of direct project costs which is RCIL's negotiated indirect cost rate of record with the Department of Education. This was established by the Indirect Cost Rate Agreement of October 13, 1993, a copy of which is attached. Indirect costs include but are not limited to the allocated portions of salary for the Executive Director; Associate Director; Fiscal Manager and other accounting functions; public relations; administrative secretarial staff; office manager; maintenance staff, and related fringe; administrative occupancy, administrative supplies, administrative telephone, administrative printing, audits, and insurance. Applicant: In-kind contributions from RCIL will include consumer support, donated interpreter services, technology equipment usage, and support staff. Additionally, the RCIL Independent Living consultants will provide financial benefits counseling, information on accessible housing, independent living skills development, advocacy, support groups, and information and referral to community resources. In-kind contributions from OMRDD will include the donated time of E.A.R.T.H. Industries staff participating in all project activities described in the proposal. In-kind contributions from VESID will include the donated time of the Rehabilitation Counselors who will participate in all project activities as described in the proposal. It is estimated that these contributions will be equal to $31,750. Sheltered Workshop Alternatives Team Timeline Timeline Year 1 Year 2 Year 3 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Objective 1 Obj. 2 Staff hired and trained Objective 3 Obj. 4 Develop referral procedures Bi-monthly meeting of SWAT Team Obj. 5 Assemble Advisory Board Advisory Board Meeting Provide consumer directed services Obj. 6 Plan for service coordination Objective 7 Objective 8 Objective 9 Begin Services Individuals Entering Program 7 7 7 6 6 6 7 6 6 6 7 Obj. 10 Community presentations Job development in community Objective 11 Obj. 12 Conference Obj. 13 Program Evaluation Annual Report Annual Performance Report Ob. 14 Project Dissemination Sample "Roadmap for Reviewers" Reprinted with Permission of the Resource Center for Independent Living Utica, New York Roadmap for Reviewers [A tool to be included with federal proposals or other lengthy proposals to assist reviewers to quickly find required items. This does not relate to the previous federal grant proposal.] (A) Significance pg. 9-13 (i) National significance of the proposed project; pg. 9 (ii) Potential contribution of the proposed project to increase knowledge or understanding of educational problems, issues, or effective strategies; pg. 9 (iii) The extent to which the proposed project is likely to yield finding that may be utilized by other appropriate agencies and organizations; pg. 10 (iv) The extent to which the proposed project involves the development or demonstration of promising new strategies that build on, or are alternatives to, existing strategies; pg. 11 (v) The likely utility of the products (information, materials, processes or techniques that will result from the project, including the potential for their being used effectively in a variety of other settings; pg. 12 (vi) The extent to which the results are to be disseminated in ways that will enable others to use the information or strategies; pg. 13 (vii) The potential replicability of the proposed project or strategies including the potential for implementation in a variety of settings; pg. 13 (viii) The importance or magnitude of the results or outcomes likely to be attained by the project; pg. 14 (B) Quality of project design; pg. 14-34 (i) The extent to which the goals, objectives and outcomes are clearly specified and measurable; pg. 14 (ii) The extent to which the design of the project is appropriate to and will successfully address the needs of the target population or other identified needs; pg. 15 (iii) The extent to which there is a conceptual framework underlying the demonstration activities and the quality of the framework; pg. 29 (iv) The extent to which the design of the project includes a thorough high-quality review of the relevant literature, a high-quality plan for project implementation, and the use of appropriate methodological tools to ensure successful achievement of project objectives; pg. 30 (v) The extent to which the project is designed to build capacity and yield results that will extend beyond the period of Federal financial assistance; pg. 31 (vi) The extent to which the design of the proposed project reflects up-to-date knowledge from research and effective practice; pg. 32 (vii) The extent to which the project will be coordinated with similar or related efforts, and with other appropriate community, State and Federal resources; pg. 32 (viii) The extent to which the proposed project encourages parental involvement; pg. 4, 5, 8, 13, 21-22, 33, 43 (ix) The extent to which the proposed project encourages consumer involvement; pg. 17-20, 33, 34, 43 (x) The extent to which performance feedback and continuous improvement are integral to the design of the project; pg. 34, 42, 43 (C) Quality of project personnel (1) The Secretary considers the quality of the personnel who will carry out the proposed project. pg. 34 (2) In determining the quality of project personnel, the Secretary considers the extent to which the applicant encourages applications for employment from persons who are members of groups that have traditionally been underrepresented based on race, color, national origin, gender, age, or disability. pg. 35 and Appendix (3) In addition, the Secretary considers the following factors: (i) The qualifications, including relevant training and experience of key project personnel; pg. 35 (ii) The qualifications, including relevant training and experience of project consultants or subcontractors. pg. 39 (D) Quality of management plan; pg. 40 (i) The adequacy of the management plan to achieve the objectives of the proposed project on time and within budget, including clearly defined re-sponsibilities, timelines, and milestones for accomplishing project tasks; pg. 41 (ii) The adequacy of procedures for ensuring feedback and continuous improvement in the operation of the proposed project; pg. 42 (iii) The adequacy of mechanisms for ensuring high-quality products and services; pg. 42-43 (iv) The extent to which the time commitments of the project director and other key project personnel are appropriate and adequate to meet the objectives; pg. 43 (v) How ensure that a diversity of perspectives are included in the operation of the project; pg. 43 (E) Adequacy of resources; pg. 44 (i) The adequacy of support, facilities, equipment, supplies and other resources from the applicant; pg. 44 (ii) The relevance and demonstrated commitment of each partner; pg. 46 (iii) The budget is adequate to support the project; pg. 48 (iv) The costs are reasonable in relation to objectives, design and significance; pg. 48 (F) Quality of project evaluation; pg. 48 (i) The methods of evaluation are thorough, feasible, and appropriate to the goals, objectives and outcomes; pg. 48-50 (ii) The methods of evaluation are appropriate to the context within which the project operates; pg. 48-50 (iii) The methods of evaluation provide for examining the effectiveness of project implementation strategies; pg. 48-50 (iv) The methods of evaluation include the use of objective performance measures that are clearly related to the intended outcomes of the project and will produce quantitative and qualitative data to the extent possible; pg. 48-50 (v) The evaluation will provide guidance about effective strategies suitable for replication or testing in other settings; pg. 48-50 Competitive Preferences Up to ten (10) points based on the effectiveness of the applicant's strategies for employing and advancing in employment qualified individuals with disabilities in project activities as required under paragraph (a) of the "General Requirements" section of this notice. In determining the effectiveness of those strategies, we may consider the applicant's past success in pursuit of this goal; pg. 35, 41, 43, see Budget Narrative, Compliance 1992 Amendments, Equal Employment Opportunity Affirmative Action Statement Requirements (a) Projects funded under this notice must make positive efforts to employ and advance in employment qualified individuals with disabilities in project activities. (See Section 606 of IDEA); pg. 35, 41, 43, see Budget Narrative, Compliance 1992 Amendments, Equal Employment Opportunity Affirmative Action Statement (b) Applicants and grant recipients funded under this notice must involve individuals with disabilities or parents of individuals with disabilities in planning, implementing, and evaluating the projects. (See Section 661(f)(1)(A) of IDEA); pg. 4, 5, 8, 14, 17-20, 21-22, 22-29, 32-34, 35, 43 (c) Projects funded under these priorities must budget for a two-day Project's Directors' meeting in Washington, D.C. during each year of the project. See Budget Narrative Sample Successfully Funded Foundation Grant Reprinted with permission of Liberty Resources, Inc. Philadelphia, Pennsylvania LIBERTY RESOURCES' MANAGED CARE COALITION: A VOICE FOR CONSUMERS OF STATE MEDICAL ASSISTANCE A proposal to the LOUIS N. CASSETT FOUNDATION Submitted 7 November 2000 by LIBERTY RESOURCES, INC. SUMMARY Liberty Resources, Inc., requests a grant of $2,000 from the Louis N. Cassett Foundation in support of the Managed Care Coalition, a consortium of consumers, advocates, and providers concerned with the access of people with disabilities to appropriate healthcare under Pennsylvania's privatized Medical Assistance Program, HealthChoices. Despite statutory progress of the past decade, people with disabilities remain seriously underemployed and undereducated, therefore sustaining a high poverty rate, and, consequently, disproportionately represented in Medical Assistance rolls. For the past two years, Liberty Resources' Managed Care Coalition has provided a critical informational link between consumers, providers and other stakeholders as HealthChoices has evolved. During those two years, the Cassett Foundation has responded to this clear need, and has supported the Coalition's work. AGENCY INFORMATION The Center for Independent Living for Philadelphia, Liberty Resources is recognized as a national leader in the movement for Independent Living, which champions the civil rights of people with disabilities. Founded by a group of consumers in a storefront in West Philadelphia in 1980, Liberty Resources was among the first Independent Living centers in Pennsylvania. From an initial staff of seven, serving 200 individuals that first year, it has grown to a staff of over 70, serving over 3,200 people annually. Liberty Resources' mission is to advocate for and work with persons with disabilities to ensure their civil rights and equal access to all aspects of life in the community. Liberty Resources is consumer-run; over 65% of its Board and staff are people with disabilities. The principal activities of Liberty Resources include Individual and Systems Advocacy, Information and Referral, Community Education, Personal Assistance Services, Skills Training, Transitioning Services, and Peer Support. (Please refer to the attachment "About Liberty Resources" for more detailed information about these programs, or visit our web site at http://www.libertyresources.org.) These services are offered free, regardless of disability type or severity. PROJECT REQUEST In early 1998, Liberty Resources convened the Managed Care Coalition, creating a much-needed resource for consumers and advocates concerned with the responsiveness and adequacy of care provided by Pennsylvania's privatized Medical Assistance program, HealthChoices. Repeatedly, consumers reported miscommunications; unexplained denials of treatment, durable equipment, or medications; and confusion regarding the appeals process. Systemic problems were not found to be limited to consumers; medical practitioners, hospitals, pharmacies, and other types of providers were also confused and increasingly concerned about insufficient or tardy reimbursement for services rendered. Further, communications with the state Department of Public Welfare, which is responsible for this healthcare system for low-income individuals, were cumbersome. The goals of this Coalition have been to reach out to consumers, to gather and to share information among disability advocates, to define and initiate unified strategies for addressing systemic problems, and to encourage linkages between different types of advocates. Currently, over seventy consumers and organizational representatives comprise the Managed Care Coalition network, with approximately 20 attending each monthly meeting. Over the past year, the Managed Care Coalition has: * Worked with the Pennsylvania Society for the Advancement of the Deaf and Disabilities Law Project to clarify the ADA obligation of doctors to provide interpreters for the hearing impaired during medical visits. The Pennsylvania Department of Public Welfare has agreed to pay for this service - a victory for our Coalition! * Composed and tested a uniform complaint form. Consumers who encounter difficulties with their HealthChoices HMOs are currently confronted with an intimidating complaint process. Working together, member organizations of the Managed Care Coalition will standardize complaints to improve communications with the HMOs, and to track patterns of systemic flaws. * Worked with the US Department of Justice to better utilize information from consumers regarding problems and inconsistencies they encounter in dealing with HealthChoices. * Worked with the Mayors Commission on People with Disabilities to design a curriculum to train medical professionals about the needs of people with disabilities. * Reached out to consumers and advocates who are working on managed care issues from within the community of people with HIV/AIDS. * Began meeting with HealthChoices representatives. Personnel from all four of the HealthChoices HMOs now attend Managed Care Coalition meetings regularly, and are often able to address advocates' and consumers' concerns at the meetings themselves. Internally, the past year saw liberty Resources hiring a part-time coordinator for its managed care advocacy program, in addition to the Independent Living Specialist who had been coordinating meetings. In addition to maintaining communications with Coalition members, this coordinator answers consumers' calls to the Managed Care Hotline, adding a key element of information and referral to consumer relations. In this way, Liberty Resources is often able to directly solve a consumer's problem. These are significant accomplishments, most importantly because they demonstrate the necessity of the consumers' voice in the transition to privatized Medical Assistance. It must be understood, however, that HealthChoices is evolving rapidly, and all stakeholders in this system - consumers in particular - must be vigilant to protect their interests. In response to consumer input, the Managed Care Coalition will focus on two issues over the coming year: * Oppose changes in the definition of "medically necessary" as proposed by the Department of Public Welfare. DPW would change this wording, which guides all four HealthChoices HMOs in determining claim support, to "reasonable," a much more vague term which could bring more denials. * Advocate with both state Medicaid and federal Medicare systems for more clarity, and an expansion of coverage of durable medical equipment. EVALUATION The coming year will be a critical one in healthcare advocacy for people with disabilities. Medical Assistance in Pennsylvania continues to evolve; HealthChoices has been the subject of reform legislation, and the economic stability of its four HMOs remains unstable. Also, federal legislation, such as the "patient bill of rights," and court actions regarding the Americans with Disabilities Act could have an enormous impact on states' responsibilities toward their populations of persons with disabilities. Reciprocally, the Managed Care Coalition recognizes its own need to grow. It must develop more communication links with state and federal agencies. It must continue to diversify and increase its membership, while consolidating its advocacy efforts. While these goals are difficult to quantify, it is possible to apply the following evaluative criteria for the coming year: * The constituency of the Managed Care Coalition will become increasingly diverse. Outreach to the community of people with HIV/AIDS is under way, and representatives from drug firms, hospitals, and the HMOs themselves have begun attending meetings. Success will be measured, however, in the amount of direct consumer involvement in the process. It is the Coalition's goal to see this segment of the community represent at least one third of its membership. * Liberty Resources' managed Care Hotline must be marketed in order to increase consumer access to this service. The Hotline will be evaluated according to the increase in calls. Managed care for low income people in Pennsylvania is in a state of flux. HealthChoices is four years old in the Philadelphia area, and confusion and miscommunication continue. Many subscribers - particularly those with disabilities - are not receiving the care they need. The Managed Care Coalition intends to give these consumers a voice in this critical discussion. We are proud to have received support for the Managed Care Coalition from the Cassett Foundation, and hope that that support will be renewed. Pennsylvania law requires the following: The official registration and financial information of Liberty Resources, Inc. may be obtained from the Pennsylvania Department of State by calling toll free, within Pennsylvania, 1-800-732-0999. Registration does not imply endorsement. LIBERTY RESOURCES MANAGED CARE COALITION BUDGET FOR 2000/01 EXPENSES Personnel Project Manager $2,900. Project Assistant 3,100. Fringe Benefits @ 37% 2,200. Total Personnel $8,200. Operations Space $ 300. Cost of Meetings 720. Telecommunications 900. Sign Language Interpreter 1,220. Project Coordinator 2,400. Postage 1,350. Supplies & Materials 350. Travel Reimbursement 450. Total Operations $7,690. TOTAL EXPENSES $15,890. INCOME Arcadia Foundation $5,000. Joseph Kennard Skilling Foundation 3,000. LOUIS N. CASSETT FOUNDATION 2,000. Fourjay Foundation 2,000. Bray Family Foundation 2,000. Liberty Resources Board and Consumers 1,890. TOTAL INCOME $15,890 Foundation Profile Sheet FOUNDATION PROFILES NAME OF FUNDER ADDRESS PHONE CONTACT PERSON/TITLE AREA(S) OF INTEREST TYPES OF SUPPORT FUNDED TYPES NOT FUNDED NUMBER OF GIFTS RANGE OF GIFTS AVERAGE GIFT INITIAL APPROACH DEADLINES PROPOSAL DETAILS SAMPLE GIFTS OFFICERS & DIRECTORS OTHER DATE "Who Do You Know?" Worksheet "Who Do You Know?" This organization is beginning a resource development program and would like to establish connections in the community with people who have a role in making contributions to not-for-profit organizations. Sometimes we don't realize whom we know, until we stop to think about it. Your answers will help us to put together an effective plan. We will not use your name without your permission first. Please list any individuals you know who are connected to foundations, corporations, businesses, or are influential members of the community. NAME:_____________________________TITLE:_______________________ ORGANIZATION/AGENCY:_________________________________________ HOW YOU KNOW THEM:___________________________________________ NAME:_____________________________TITLE:_______________________ ORGANIZATION/AGENCY:_________________________________________ HOW YOU KNOW THEM:___________________________________________ NAME:_____________________________TITLE:_______________________ ORGANIZATION/AGENCY:_________________________________________ HOW YOU KNOW THEM:___________________________________________ NAME:_____________________________TITLE:_______________________ ORGANIZATION/AGENCY:_________________________________________ HOW YOU KNOW THEM:___________________________________________ Your Name:______________________________ Phone:__________________ Building Relationships with Private Funding Sources Slide Presentation "The rich are different from you and me." --F. Scott Fitzgerald The Great Gatsby Private Funding Sources * Foundations * Corporations and Businesses * Religious Institutions * Federated Fund Raising Organizations * Associations of Individuals Foundations * A partnership between you and them * Established to support "charitable" efforts * Types: family community corporate public charities "It is foolish to wait for your ship to come in unless you have sent one out." --Alfred A. Montapert Foundation Grants * General Support * Program or Project grants * Capital grants * Seed money * Challenge or matching Grantmaking Decisions * Usually by Board of Trustees * Sometimes by Staff Research, research, research * General Priorities * Annual Priorities * Board of Trustees/Staff * Range of gifts * Average gifts * Other recipients * Preferred approach Develop a Relationship * Try to Get an Appointment * Phone Conversation * Hold an Open House * Put Them on Mailing List * Letter of Inquiry Develop a Relationship continued * Follow Up Proposals * Submit Proposals (over and over) * Send Update Memos * Go Back Next Year "I must say I hate money, but it's the lack of it I hate most." --Katherine Mansfield Corporations & Businesses * NOT established to support "charitable" efforts * Giving sometimes related to corporate profits * Priorities are less clear and more changeable than foundations * Give grants to 1. Create Good Will 2. Support Organizations Where They Have a Strong Relationship 3. Support Their Employees 4. "Enlightened" self-interest "It is in our self-interest to have good health, social welfare, and education institutions in areas in which our employees live and in which our offices and plants are located." --Anonymous CEO Types of Support * Cash Gifts * Grants * Contributions * Loaned Executives * Donated Printing, Furniture, Food, Advertisement, etc. * Benefit Sales Cautions * Any Values Conflicts? * Sole Public Identification * How Much Corporate Involvement Required? * Small Grants Pluses * Repeat Funding * Other Kinds of Donations * Attract Other Corporations and Businesses Approaching Corporations & Businesses * Research Interests and Activities * Determine Any Existing Contacts * Decide Which Project or Program Would Be of Most Interest * Decide Whether Best to Approach Only One Corporation or Several * Ask Inside Contacts How They Can Facilitate Your Request * Call the Person in Charge of Contributions * Send Letter of Interest * Itemize Various Types of Support * Apply for Alternative Type of Support if Cash Not Awarded Approaching Corporations & Businesses Continued * Make Follow-up Call if No Response (Request a meeting) * If Meeting Granted, Listen to Their Concerns * Send Follow-up Letter If Yes * Find Out What Public Acknowledgement They Want * Honor Your Proposal and Consult with Them if Changes are Needed * Involve Them in Your Program If No * Find Out How You Could Have Made the Project More Attractive to Them * Explore In-kind Services * Maintain Cordial Relations * Try Again Another Time Religious Institutions * Many are Non-sectarian in Services & Advocacy * Range from Local Parishes or Churches to National Grantmaking Institutions * Are Very Interested in Self-help, Social Justice, Civil Rights, and Advocacy Types of Support * Access to Office Equipment, Meeting Space * Expertise of Professional Clergy in Writing, Proposal Development, Speaking * Support for Political Agenda with Elected Officials * Volunteers * Cash Grants & Contributions How to Get Support * Involve Church/Synagogue Members as Staff, Volunteers, Board Members or Constituents * Propose Projects Consistent With Their Areas of Interest Advantages * Often Quick Assistance * Community Participation * Organizational Expertise * Volunteers Disadvantages * Limited Size of Grants * Limited Information * Possible Religious Involvement Federated Fund Raising Organizations "I Gave at the Office" Types * United Ways * Religiously Affiliated * Alternative Funds * Local, State, Federal Government Campaigns Advantages * Steady Income * Savings in Own Fundraising * High Public Profile * Enhanced Reputation * Networking and Technical Assistance Disadvantages * Restrictions on your Fundraising * Long Waiting Period * Fluctuating Dollars * Required Volunteer Effort * Pressure to Conform Approaching Federated Organizations * Check Them Out Thoroughly * Become a Member Agency * Get Letters of Support * Apply for a Grant * Get Staff Involved in Donor Options Program Associations of Individuals * Rotary Club * Kiwanis * Lions * Junior League * Alumni Associations * Parent Associations * And on and on and on..... Advantages * Quick Source of Money * Source of Volunteers * Useful Contacts * Advocate Partners * Evidence of Community Support Disadvantages * Limited Dollars * Time Involved * Potential Disappointment Approaching Associations * Do Your Homework * Call Them * Meet With Them * Address the Membership * Follow-up with a Specific Request if Nothing Offered Conclusion * Know Thy Funder * Know Thy Funder * Know Thy Funder.... Readiness to Raise Money: Is Your House in Order? Readiness to Raise Money: Is Your House in Order? Planning Your Programs * Sets Priorities * Answers Basic Questions * Creates a Blueprint * Improves Communication * Develops Teamwork * Defines Specific Staff/Volunteer Roles * Gives a Way to Measure Effectiveness And.... * Helps Secure Funding * Helps in Writing Promotional Materials * Shows Supporters the Value of Their Assistance * Why it Often Doesn't Happen * Fear of Change * Time Consuming * Management By Fire Drill Parts of a Plan * Vision * Mission * Goals & Objectives * Strategies * Actions or Tactics Avoid: "Paralysis By Analysis" Planning Process * Involve People from all Levels * Monitor/Update Mission Statement When Necessary * Develop Mission Statement Into Specifics * Do Organizational Analysis * Start From Your Strengths & Performance in Setting Program Goals * Include Resource Development in the Plan How much $ needed? Who's going to do it? What are the funding options? Program Plan * Review Mission Statement * Do Needs Assessment * Set Program Objectives * Design Program * Seek Funding * Implement Program * Monitor & Evaluate