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Resource Mobilization Module Facilitators Guide

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Resource Mobilization Module Facilitators Guide

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Resource Mobilization Module

Facilitators’ Guide

New Partners Initiative Technical Assistance (NuPITA) Project

2010
The New Partners Initiative Technical Assistance (NuPITA) project is funded by the United States Agency
for International Development (USAID) and implemented by John Snow, Inc. and Initiatives Inc., contract
GHS-I-00-07-00002-00.

This document is made possible by the generous support of the American people through USAID. The
contents are the responsibility of John Snow, Inc. and do not necessarily reflect the views of USAID or
the United States Government.
© 2010 John Snow, Inc.

NuPITA
John Snow, Inc.
44 Farnsworth Street
Boston, MA 02210-1211
Phone: 617.482.9485
www.jsi.com
Contents
Pre-workshop Questionnaire................................................................................................................. 1

Introduction ............................................................................................................................................... 5

Session 1: Developing the Road Map................................................................................................... 7

Agenda ......................................................................................................................................................... 8

Donor Grid ................................................................................................................................................. 16

Criteria for Donor Assessment .................................................................................................................. 20

Internet Research Sites ............................................................................................................................... 21

Donor Screen Shots ................................................................................................................................... 23

Donor Expectations .................................................................................................................................... 30

Donor Cultivation Guidelines..................................................................................................................... 31

Strategic Networking Guidelines ................................................................................................................ 32

Session 2: Strengthening the Building Blocks .................................................................................. 33

Agenda ....................................................................................................................................................... 34

Prime/Sub/Grantee Matrix .......................................................................................................................... 41

Positioning Your Organization with USAID ............................................................................................... 42

Preparing Your Organization to Act as a USAID Sub-contractor ............................................................. 45

USAID Documentation Checklist............................................................................................................... 47

Recent RFA Announcement Role Play ....................................................................................................... 49

Proposal Components Checklist ................................................................................................................ 50

Effective Corporate Capabilities Statements .............................................................................................. 51

Resource Mobilization Checklist ................................................................................................................ 55

Resource Mobilization Systems Checklist .................................................................................................. 56

Session 3: Developing Effective Proposals ....................................................................................... 58

Agenda ........................................................................................................................................................ 59

Positioning Your Organization for an RFA ................................................................................................. 65

Session 4: Putting it All Together: Resource Mobilization Plan Development....................... 66

Agenda ........................................................................................................................................................ 67

Session Recap Questions ............................................................................................................................ 70

Table of Contents: ...................................................................................................................................... 72

Resource Mobilization Plan......................................................................................................................... 72

Resource Mobilization Action Plan Guidelines ........................................................................................... 73

Resource Mobilization Action Plan: Sample ............................................................................................... 75

Resource Mobilization Action Plan: Blank .................................................................................................. 81

Overall Evaluation (of Days 1-3)................................................................................................................. 83

Daily Evaluation ...................................................................................................................................... 85

Pre-workshop Questionnaire

The purpose of this pre-workshop questionnaire is to ensure that your facilitators have the information
they need to tailor the resource mobilization workshop to the specific needs of your organization. Using
a series of tailored, hands-on, and interactive exercises, the goal is for participants to leave the
workshop with a clear action plan that can serve as a road map for achieving your resource
development goals.

Your responses will be enormously helpful as we plan the upcoming workshop. All responses will be
kept confidential. The survey should take about 30 minutes to complete.

1. Does your organization have a strategic plan? If so, would you be willing to share it in
advance of the workshop, even if it is in draft?

Have strategic plan: Yes No

Willing to share document: Yes No

2. Does your organization have a resource mobilization (development) plan? If so, would
you be willing to share it with us? Even if the plan is informal, this information would be
very useful.

Have resource mobilization (development) plan: Yes No

Willing to share document: Yes No

3. Please name your organization’s top five donor prospects (e.g. USAID, DFID, Global
Fund, the Bill & Melinda Gates Foundation, etc.), and tell us why you are targeting these
donors.

1. _______________________________________________________________

2. _______________________________________________________________

3. _______________________________________________________________

4. ______________________________________________________________

5. _______________________________________________________________

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4. What are the primary hurdles you face in securing funding from these donors?

1. ________________________________________

2. _________________________________________

3. _________________________________________

4. _________________________________________

5. _________________________________________

5. Who do you currently consider as part of your resource mobilization network? (People
in your organization, on your board, or within the network of relationships who can
introduce or link you to priority donors.)

Name Role

1.__________________________ 1.__________________

2.__________________________ 2.___________________

3.__________________________ 3.___________________

4.__________________________ 4.____________________

5.__________________________ 5.____________________

6.__________________________ 6._____________________

7.__________________________ 7._____________________

8.__________________________ 8._____________________

9.__________________________ 9._____________________

10._________________________ 10.____________________

6. Please list your top six donors, approximate funding levels, and annual budget.

Name Funding level Annual budget

1.______________ 1._ 1.__

2._______________ 2._ 2.___

2
3._________________________ 3.____________________ 3. _____________

4.________________ 4._ 4.___

5.______________ 5._ 5. ___

6._____________ 6._ 6. _____

7. Please check the top 5 topics that will be of most value in helping you to achieve your
resource mobilization goals. Order from 1-5, with 1 as the top priority.

___Understanding the donor environment

___Donor assessment criteria
___Understanding donor characteristics and Internet research tools
___Donor expectations
___Strategic networking and marketing
___Elements of a resource mobilization plan
___Roles and responsibilities of prime, subs, and grantees for USG-funded projects
___Positioning your organization for a proposal (RFA)
___Negotiating as a prime or sub
___Proposal components
___Developing effective corporate capabilities statements
___Resource mobilization systems
___Proposal development
___Developing a resource mobilization action plan

8. Who in your organization is currently responsible for resource mobilization and what
are their key responsibilities?

Name/Title Responsibilities

1.______________________ ______________________

2.______________________ ______________________

3.______________________ ______________________

4.______________________ ______________________

5.______________________ ______________________

Will all these people attend the planned RM consultancy? If not, who will not be able to attend?

3
9. How is resource mobilization progress measured in your organization?

10. What kinds of fundraising systems do you have in place to support your resource
mobilization activities? (please check all that apply)

1. Clear staff and board roles and responsibilities for resource mobilization____
2. System for organizing, managing, and updating new donor contacts ____
3. Updated templates for proposals
a. Budget and budget notes____
b. Updated CVs____
c. Corporate capabilities statement ____
4. Supporting documentation
a. Board list with affiliations/job titles____
b. Tax exempt letter ____
c. Latest financial statement ____
d. Annual operating budget ____
e. Latest audit letter/findings____
f. Resumes for key staff ____
g. Letter of support ____
h. Recent evaluations ____
i. Press clippings ____
j. Marketing materials____
k. Central location to house above documents____
5. Resource mobilization plan
a. List of strategic priorities ____
b. Articulated goals/objectives ____
c. List of donor prospect targets ____
d. List of people who can provide introductions to prospects____
e. List of priority networking events/meetings ____

11. What are your three top goals for the resource mobilization workshop?

1. ___________________

2. ___________________

3. ___________________

12. What else should we know about your organization or the people who will be attending
the resource mobilization workshop to make it as effective as possible?

4
INTRODUCTION
Who is this manual for?
This manual is designed to build the skills of facilitators and trainers working with a range of
organizations to develop practical resource mobilization plans. Organizations may include international
non-governmental organizations (INGOs); national NGOS; national and international faith-based
organizations (FBOs); and, smaller, grassroots community-based organizations (CBOs) that provide
services to communities, families, and children who have been affected by HIV and AIDS.

These materials can be used as a package or as separate sessions depending on the needs of the
organization; however, the goal is for all participants to leave the sessions with a draft resource
mobilization plan. The module consists of four sessions. Sessions 1 and 2 are 8 hours each; Sessions 3
and 4 will take between 4-5 hours each. Organizations may choose to focus on specific topics as
opposed to an entire session. Resource mobilization sessions are not designed as one-time workshops
but as steps on a continuum that includes specific, follow-up technical support identified in the draft
resource mobilization action plan. The resource mobilization action plan will help organizations
prioritize activities that are realistic, specific, measurable, achievable, and time-bound. This process will
enable each organization to assess progress and make adjustments as they implement their plan.

Resource mobilization module learning approach

Using small group interactive exercises, large group discussions, role plays, and examples from
organizations, facilitators will draw upon participants’ own experience, knowledge, and ideas to help
them identify the people, networks, tools, strategies, and systems they need to develop and implement a
successful resource mobilization strategy. The modules build upon the NPI Resource Development
Training held in Washington, DC from June 16-18, 2010, and are designed to be flexible and responsive
to the specific needs of organizations across a continuum of development stages.

The components of this module are designed to reinforce each other, and are participatory and
purposefully interactive to enable participants to grapple with the inherent challenges of organizing
priorities, assigning responsibilities, and uniting the organization and its board in common goals and
objectives. The exercises are also designed to reflect and reinforce the adult learning cycle.

Best results can be expected from trainers and facilitators with knowledge and experience in: a) working
with adult learners; b) mobilizing resources from a range of donors; c) building the capacity of a range of
organizations; and d) experiential and participatory learning techniques.

5
Who should attend the workshops?
Workshop participants should include: a) resource mobilization leadership teams; b) all organizational
staff involved in resource mobilization, including finance staff; and c) board members involved in
resource mobilization.

Pre-workshop preparation for facilitators

• Send out pre-workshop questionnaire to organizational leadership at least two weeks before the
workshop.

• Meet with organizational leadership at least a week in advance to determine, in detail, the goals,
expectations, staff attendance, and roles and responsibilities for facilitators and participants during
the workshop.

• Ensure that all participants have hard and soft copies of the June 2010 “NPI Resource Development
Training” materials.

• Ensure that facilitators and participants have a clear understanding of why they are attending the
workshop.

• Send agendas and copies of all handouts in soft copy to all participants at least five days before the
workshop.

• Assemble hard copy packets including agendas, handouts, and evaluations for facilitators and
participants to distribute on the day of the workshop.

• Ensure that all materials are compiled in advance — flipchart paper, flipchart stands, markers,
masking tape, facilitator laptop, LCD projector and screen, PowerPoint presentations, and BLANK
and SAMPLE resource mobilization action plan templates.

• Ensure facilitators have adequately researched the range of donors currently funding in the focus
country (or countries) in advance of the Understanding the Donor Environment exercise in Session
1.

• Notify participants of any documents/materials to bring in advance for a given day’s activity.

• Have a sign-in sheet prepared and secure extra extension cords for participant laptops.

Facilitator tips
• Optimally, two facilitators should co-facilitate each session.

• Ensure that someone is assigned administrative and logistical tasks.

• Ensure that time for breaks and lunch is coordinated with hosts.

• Use daily evaluations and ‘eyes and ears’ exercise to capture key learnings and observations for the
purposes of session improvement.
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Session 1: Developing the Road Map

Facilitators for Session 1 should be familiar with donor research websites and characteristics of
the range of donors explored in this session. It is strongly suggested that facilitators conduct
research in advance to determine the range of donors currently operating in the participants’
focus country.

Session Objectives
At the end of this session participants will have:

• Identified and articulated organizational legacy

• Identified, articulated, and understood the importance of linking strategic priorities to resource
mobilization goals and objectives
• Understood and mapped the donor environment
• Understood donor characteristics and developed criteria for assessing donors
• Learned how to use the internet for donor research
• Understood the value of strategic networking and marketing and have practiced interacting with
donors
• Identified and understood the specific elements of a resource mobilization plan

Materials
• Name tags for donor role plays
• Donor research screen shots (in the event that internet access in not available)

Handouts
• Donor grid
• Criteria for donor assessment
• Internet research sites
• Donor screen shots
• Donor expectations
• Donor cultivation guidelines
• Strategic networking guidelines
• Evaluation

7
Session 1 Agenda

I. Introductions & Workshop Expectations 60 minutes

II. Strategic Priorities 30 minutes

III. Understanding the Donor Environment 30 minutes

IV. Break 15 minutes

V. Focusing Priorities 30 minutes

VI. Criteria for Donor Assessment 15 minutes

VII. Understanding Donor Characteristics and Research Tools 45 minutes

VIII. Lunch 60 minutes

IX. Networking with Donors 90 minutes

X. Break 15 minutes

XI. Importance of Strategic Networking & Marketing 30 minutes

XII. Elements of a Resource Mobilization Plan 30 minutes

XIII Wrap-up & Day 1 Evaluation 30 minutes

8
NuPITA Resource Mobilization Modules 2010
Session 1

I. Introduction and Workshop Expectations 60 minutes

Welcome and facilitator introduction (5 minutes)

• Facilitators or organizational host welcomes the group to the workshop, sets tone, and
reiterates the purpose and intention of the workshop. Facilitators introduce themselves
or are introduced by the hosts.
• Facilitators present an overview of the workshop design (e.g. pre-workshop
questionnaire; individual consultation with organizational leadership; lessons learned
from previous workshops); overall approach of the workshop (sessions build upon one
another and combine knowledge and hands-on practice with reflection and evaluation
[adult learning cycle]); remind participants that they are expected to leave the workshop
with a draft resource mobilization plan in hand; and review the agenda for the day.
• Throughout the day, one facilitator will lead the session while the other makes notes on
a flipchart or laptop.

Review of the workshop agenda, objectives, and norms (20 minutes)

• Facilitator 1 reviews and agenda and objectives and asks participants to add to the list of
objectives, as needed. Facilitator 1 also asks participants if there are any outstanding
questions regarding the agenda. Facilitator 2 tapes the list of workshop objectives to the
wall.
• Facilitator 1 asks participants if they have any norms/agreements for the workshop (e.g.
turn off cell phones; arrive on time; etc.) and Facilitator 2 captures the norms on the
flipchart paper and tapes to the wall for reference during the workshop, as needed.

Selection of volunteers for the day (“eyes and ears”) and wrap-up moderator
• Facilitator 1 asks for two volunteers to act as the ‘eyes’ and ‘ears’ of the day. The two
volunteers are instructed to act as observers and report what they saw (eyes) and what
they heard (ears). The feedback acts as an informal mechanism for understanding
participants’ engagement, behavior, and general observations of the activities. An
additional participant should be identified to serve as wrap-up moderator at the close of
day.

Introductions and Legacy Exercise 30 minutes

Overview: At various stages of growth, it is helpful for organizations to articulate what they
want to be remembered for as part of the process of identifying strategic priorities and to build
a unifying foundation among staff and board for resource mobilization. This exercise is the first
step in the process that ties legacy and strategic priorities to resource mobilization.

9
• Facilitator 1 asks participants why it is important for organizations to articulate what
they want to be remembered for. Facilitator 1 encourages full participation; Facilitator 2
captures answers on a flipchart and tapes to the wall for later reference.
• Facilitator 1 asks participants to talk to their neighbors and ask them the following:
name, role in the organization, and answer to the question “What do you want your
organization to be known for?” Allow five minutes for each pair.
• Participants introduce their neighbors to the large group and Facilitator 2 captures their
answers to the legacy question on a flipchart.

II. Strategic Priorities 30 minutes

Overview: Resource mobilization efforts are most effective when RM teams have a clear sense
of their goals and objectives. Establishing common understanding of: 1) organizational priorities
among staff responsible for RM; and 2) the purpose and value of linking RM activities with
strategic priorities helps to focus RM teams and gives organizations a lens through which to
determine whether and how to invest time and resources in RM activities/opportunities. This
exercise is a starting point for helping participants assess which donors to target based upon
their strategic priorities.

Operational definition: Strategic priorities

Strategic priorities for the resource mobilization refer to the areas of programmatic growth that
are most critical to the vision and mission of the organization. Programmatic strategic priorities
could include: 1) deepening an area of technical expertise; 2) broadening a geographic area; 3)
developing expertise in a new program area; and 4) replicating or expanding a promising model
or approach.

• Facilitator 1 asks participants “What do I mean by strategic priorities?” The purpose of

this exercise is for the group to come up with an operational definition of strategic
priorities that is commonly understood by each participant.
• Facilitator 2 captures participants’ answers and Facilitator 1 helps the group arrive at
consensus for a definition.
• Facilitator 1 then asks the group “What is the relationship between strategic priorities
and resource mobilization and why it is important?” Facilitator 2 captures answers on a
flipchart and Facilitator 1 helps the group arrive at a consensus. Answers are taped to
the wall for reference during the resource mobilization plan development exercises
outlined in Session 4.

10
III.Understanding the Donor Environment 30 minutes
Overview: Organizations are best equipped to make strategic decisions about investing time
and resources in approaching and cultivating donors or responding to RFA opportunities when
they have a clear sense of which donors fund at what level, level of effort needed to cultivate
donors and submit proposals, level of effort needed to manage grants, and time frame for
support. This exercise is designed to help participates assess the current donor environment
with respect to these key elements.

Facilitator Note: Facilitator 1 may want to remind participants that they will always be
faced with competing priorities regarding donor opportunities. The purpose of this
exercise is to provide organizations with a road map or criteria for assessing whether
and how to respond to a donor opportunity or proactively seek out new sources of
funding from a range of donors. The exercise can also provide a unifying framework for
staff and board members charged with resource mobilization responsibilities.

• Using the Donor Grid handout, Facilitator 1 explains that an important step in the
development of a resource mobilization plan is understanding the range of donors
funding in your sector and/or country and their: 1) underlying interests and priorities; 2)
deliverable expectations; 3) level of effort required to submit a proposal and/or manage
a program; and 4) length of time and range of funding amounts. This information can be
used by organizations to assess opportunities and to determine the feasibility of
investing time and resources in cultivating specific donors or responding to
opportunities based upon donors’ interests, expectations, and funding capacity.
Facilitators may also want to refer participants to the NPI Session 1, Corporate and
Foundation Giving.
• Facilitator 1 walks participants through each category of donor including: bilateral
governments (including the USG); host government/ministries; the Global Fund; UN
agencies; private foundations; and corporate foundations. Facilitator 1 leads participants
in a discussion about their experience with each type of donor and asks participants to
articulate their understanding of the underlying interest of each donor.
• Participants then populate the grid with information that they can use as reference
during the resource mobilization action plan exercise in Session 4.

11
IV. BREAK 15 minutes

V. Focusing Priorities 30 minutes

Overview: This small group exercise enables participants to immediately apply their learning
by asking them to critically assess and provide a rationale for targeting their priority donors
using the information gathered in the grid. This exercise also allows participants to identify
specific donors for further research and can be included as an action step in their resource
mobilization action plan.
• Facilitator 1 divides the large group into small groups of not more than five participants
and asks each group to identify their priority donors based upon their list of strategic
priorities. Participants should also provide a rationale for their donor selection. Allow
15 minutes for discussion.
• Small groups then share their donor priorities and their rationales with the large group.
Facilitators encourage participants to ask clarifying questions.

VI. Criteria for Donor Assessment 15 minutes

Overview: This exercise is designed to build participant skills in resource mobilization decision-making
processes to enable organizations to quickly and effectively assess the value/potential of donor
opportunities.

• Building upon the donor grid and small group exercise, Facilitator 1 asks participants in a
large group format to develop a list of the kinds of information they need when
considering whether or not to pursue or respond to a specific donor opportunity. See
the criteria for donor assessment handout for reference.
• Facilitator 2 captures the participant-identified criteria list on a flipchart and asks
participants to make any necessary additions to the donor assessment handout for their
personal use. The assessment handout will be used again later in this session.

VII. Understanding Donor Characteristics and Internet Research

Tools 45 minutes
Overview: Hands-on experience and practice finding and using donor research tools on the
internet will enable participants to find critical information that they can use to: 1) track
opportunities from a range of donors; 2) assess the feasibility and level of effort necessary to
secure donor support; and 3) conduct the necessary background research as part of overall
preparation process.

Activity
• Facilitator 1 asks for a participant volunteer to work with him/her to identify and walk
through donor research websites, using the laptop and LCD projector for full view by all
participants.
12
• The facilitator and participant volunteer walk through the donor research websites
located in the internet research handout and identify and review key areas of
information on each site.
• Using donors identified from the donor grid exercise and the internet research handout,
the participant volunteer repeats this exercise on 2-3 websites of different donors. 1
Facilitators ask participants to identify the kinds on information they would need to
know to assess a donor opportunity. Participants may use the donor assessment
handout for guidance. Donor websites representing government, private, and corporate
foundations should be reviewed.
• Facilitators respond to questions from participants and clarify outstanding concerns.
Facilitators can also refer participants to the donor expectations grid for additional
reference.

VIII. Lunch 60 minutes

IX. Networking with Donors 90 minutes

Overview: Role play exercises allow participants to apply concepts and new skills to real-life
scenarios in ways that stretch their thinking and build their understanding and capacity. The
networking role plays give participants hands-on experience acting in roles of both NGOs and
donors enabling them to observe, reflect upon, and share experiences of the different roles.

Role play scenario: Meeting and donor

• Facilitators divide participants into groups of donors (government, private foundation,
corporate, and other, depending on relevance for each organization) and NGO
representatives. The group may be divided equally or facilitators may choose to assign
fewer donor roles and larger numbers of NGO representative roles to enhance the
competitive environment.
• Facilitators describe the following scenario: NGO representatives and donors are
attending either: 1) a social gathering; 2) a launch event for a new program; or 3) an
interactive conference with donors. NGO representatives are charged with identifying
the priority donor(s) they want to meet at the event and are given 5 minutes to think
about how they will introduce themselves and their organizations and what impression
they want to leave with the donor. Facilitators and participants develop a list of key
points that NGO representatives should communicate to donors, including a plan for
follow-up. Facilitators ask donor representatives to be prepared to offer feedback to the
NGO representatives about their impressions. NGO representatives then have 10
minutes to meet and introduce their organizations to their priority donors.
• At the end of the role play, all donors and NGO representatives are asked to report
their experiences in their roles. Donor participants offer their impression of the NGO
representatives and NGOs reflect on the difficulty, ease, or insights gained from their

1
Please see the attached screen shots for use in cases when internet access is not available.

13
experience. Following the close of the exercise and participant feedback sessions, the
roles are reversed and the role play and feedback session is repeated.
• Facilitators should guide a debrief discussion among participants to learn new insights
and clarify questions. Questions may include: What was most surprising to you about
the experience? What was most difficult about it? What was most useful to you? What
else do you want to know?
• Facilitators should also refer participants to the donor cultivation guidelines and the
strategic networking guidelines handouts.

X. Break 15 minutes

XI. Importance of Strategic Networking & Marketing 30 minutes

The value of strategic networking and marketing

Networking and marketing are strategic when the value, purpose, and importance of
organizational presence or leadership at a particular event or meeting are clearly tied to resource
mobilization goals. This exercise is intended to build the skills of organizations to think
strategically, prepare and plan for events and meetings that can be used to build relationships
with donors or those who are linked to donors, and, in general, raise the visibility of their
organizations among the donor community.

Overview: An organization’s reputation should speak for itself. However, credible

organizations that are known to donor representatives and others with ties to donors
(implementing partners, government officials, etc.) are more likely to generate donor interest
than those with unknown reputations. The purpose of this activity is to challenge participants to
identify strategic networking and marketing opportunities—those opportunities where they can
increase their visibility and promote the good work of their organizations directly to priority
donors—in the next 3-6 months.

• In the large group, Facilitator 1 ask participants to define strategic networking and
marketing to ensure that participants are clear about the importance of linking
networking and marketing opportunities directly to resource mobilization goals. The
purpose of this discussion is to help participants think critically about where, why, and
how their organization should be visible at a particular event or meeting.
• Facilitators ask participants to break into groups of no more than five and come up with
a list of at least four events or activities at which their organizations should be present
in the next 3-6 months. Facilitators also ask participants to clearly explain their rationale
for choosing these activities and to decide who should represent their organization. The

14
answers to these questions can be used by participants during the resource mobilization
plan development exercise in Session 4.

XII. Elements of a Resource Mobilization Plan 30 minutes

Overview: Most organizations have a general idea about the importance of resource
mobilization and what it means, but few can articulate how to sequentially and effectively
develop a plan. The purpose of this exercise is to: 1) encourage participants to reflect upon and
apply their learning from Session 1 with regard to the core elements that may go into a plan;
and 2) clarify questions regarding the development of a plan.

In the large group, Facilitator 1 asks participants:

• What is a resource mobilization plan?
• What are the key elements of a resource mobilization plan?
• Why are they important?

Facilitator 1 then reviews the following elements with participants:

What are you raising funds for (linking legacy and strategic priorities to resource mobilization)?
Who in your organization is responsible for resource mobilization and are they clear about
their roles and expectations?
Who are your priority donors (refer to donor grid exercise, donor characteristics)?
How will you identify, approach, and cultivate your priority donors (refer to strategic
networking and marketing exercise and donor role plays) and who will do it?
When will you execute your action steps?
Systems what kinds of practical systems do you need in place to support your RM efforts?
Facilitator 1 can introduce the resource mobilization systems checklist (Session 2) as
preparation for a more detailed assessment during Session 2.

Facilitator 2 should capture specific elements on the flipchart and clarify questions with the
participants.

XIII. Wrap-up and Day 1 Evaluation 30 minutes

The wrap-up moderator asks the “eyes and ears” volunteers to share their observations of the day with
the large group and encourages the entire group to respond/participate. Facilitators can capture any
salient observations/points on a flipchart or in electronic notes to assist with their own debrief.
Participants then fill out a brief evaluation.

15
Donor Grid
(Session 1)

Donor Category Underlying Funding Range Flexibility LOE Required LOE Required Your Org’s
Interests/Priorities (Estimated) (to win) (to manage) Priority
H M L Y N H M L H M L
Governments
USAID

DFID

JICA

AUSAID

GTZ

Belgium
Government

16
Donor Category Underlying Funding Range Flexibility LOE Required LOE Required Your Org’s
Interests/Priorities (Estimated) (to win) (to manage) Priority
H M L Y N H M L H M L
Dutch
Government

Other

UN Agencies
UNICEF

UNIFEM

UNDP

Private Foundations
Bill & Melinda Gates
Foundation
Elton John AIDS
Foundation

Firelight Foundation

17
Donor Category Underlying Funding Range Flexibility LOE Required LOE Required Your Org’s
Interests/Priorities (Estimated) (to win) (to manage) Priority
H M L Y N H M L H M L

Other

Corporations (Country-
specific)

Individuals

18
Donor Category Underlying Funding Range Flexibility LOE Required LOE Required Your Org’s
Interests/Priorities (Estimated) (to win) (to manage) Priority
H M L Y N H M L H M L

19
Criteria for Donor Assessment
(Session I)

The following questions may be useful for your organization in considering funding from a range of
donors:

1. What are the donor’s priorities? If I need more information, how will I find it?

2. How will this donor support my organization’s strategic priorities (why should my organization
target this donor)?

3. What is the level or range of funding and for how long (e.g. one year; two years; five years)?

4. What is the level of effort required by my organization to submit a proposal and how will this
affect or dilute other critical efforts or activities?

5. What is the process for submitting a proposal (concept paper submission; letter of interest; full
proposal) and which staff person will be responsible for submission and follow up?

6. What does this donor expect in terms of programmatic and financial reporting requirements
and does my organization have the capacity to fulfill donor requirements?

7. How is my organization perceived or known by this donor and/or what is my organization’s

reputation with this donor?

8. How do my organization’s strengths fit into the donor’s goals and objectives; how will my
organization ‘add value’ to the donor?

9. What is the donor’s reputation in the NGO community (e.g. flexible; very strict; collaborative
vs. top down; etc.)?

10. Who is my competition and what unique contributions and innovations does my organization
have to differentiate itself?

20
Internet Research Sites
(Session 1)

A vast amount of donor information exists on the internet. The list below includes URLs that may be
useful for organizations looking for specific information about donors that fund directly in your
geographic area. This list is a sampling of international government donors.

Government Donors

USAID http://www.grants.gov You may also want to search specific strategic priorities of your focus
country on the country-specific USAID website.

The Global Fund to Fight AIDS, TB and Malaria

http://www.theglobalfund.org/en/ (this website is also available in other languages)

DFID http://www.dfid.gov.uk/

European Union (EU) http://ec.europa.eu/contracts_grants/index_en.htm

Japan International Cooperation Agency (JICA) http://www.jica.go.jp/english/

GIZ http://www.giz.de/en/

Private Foundations

Foundation Center (US) http://foundationcenter.org/

• Map of International Grants (for national NGOs) http://fconline.foundationcenter.org/maps/

• Foundation Directory Online (based in the US) http://fconline.foundationcenter.org/

Association of Charitable Foundations (UK)

http://www.acf.org.uk/seekingfunding/index.aspx?id=70

Specific Foundations: use donor assessment guidelines for help with navigating each website. This is a
sample list only.

Bill & Melinda Gates Foundation http://www.gatesfoundation.org/Pages/home.aspx

Elton John AIDS Foundation UK http://www.ejaf.com/Home

Bernard Van Leer Foundation http://www.bernardvanleer.org/

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Corporate Foundations

Corporate giving is very specific to focus countries. You may want to consider the following for further
research:

• Does your focus country have a chamber of commerce? The chamber will be a good place
to find out which companies operate in your focus country.
• The Foundation Directory (US-based companies) will also have information about corporate
foundations.
• Use Google for basic searches including: “Companies operating in XX”; “corporate giving in
XX”, “corporate social responsibility in XX”, etc.

22
Donor Screen Shots
(Session 1)

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25
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27
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29
Donor Expectations
(Session 1)

Donors vary in their expectations and interest, but all donors

generally want the funding and resources they provide to your What Do Your Donors Want to Know?
organization to reflect well on them and appeal to their
constituency. All donors expect organizations to: Donors need to be able to report back to
their own stakeholders—public authorities,
Understand donor needs and interests. Investing adequate time individual donors, trustees, stockholders,
to research the interests of your donor is a critical step in donor US Congress, parliaments of donor
countries—what they accomplished with the
research and cultivation. Donors expect you to know their
resources they make available to
programmatic priorities and be able to tell them how your
organizations like yours.
organization will help them meet their objectives.
Submit timely, accurate reports. You can
Do what you say you will do. Use the support provided enhance your value to donors by providing
efficiently and effectively. Donors look for organizations with a track additional information that they can give
record that demonstrates an ability to marshal the technical and their constituents.
operational expertise needed to deliver high-quality services
efficiently. It is it perfectly acceptable to ask donors
how else your organization can supply them
Address shared programmatic objectives. Adopt approaches with information they want to know. In doing
and produce outcomes that are compatible with their values, so, you make your organization a valued
objectives, and interests and with those of their constituency. The and trusted resource to your donor.
organization they support is, in effect, their agent and they want to
be confident that their support to your organization will help them
achieve their goals and objectives.

Demonstrate that your approach works. Government donors commonly prefer to fund programs
with proof or evidence that their approach works. Donors funding new programs also expect
organizations to demonstrate why they want to try the new approach proposed (evidenced from other
programs, a literature search, etc.).

Bring community credibility. Donors may fund your organization, in part, because of your
organization’s unique relationships with the communities that you support. Local and traditional leaders,
local and district government officials, or other credible voices and leaders in the community you serve
can help increase your visibility and strengthen the credibility necessary to attract donors.

Demonstrate willingness to collaborate and partner with other institutions or

organizations. Donors usually prefer to fund organizations that are willing to and/or have a history of
partnerships with a variety of institutions. Demonstrating your history or collaboration and partnership
will enhance your attractiveness to donors.

Be responsive and accessible. Donors expect organizations to be responsive and accessible from
proposal development, start up, contract negotiations, reporting agreements, to the end of the project.

Acknowledge support. Donors expect to be acknowledged. Use multiple, creative ways to

acknowledge donors’ support such as reports, success stories, community or other public events.

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Donor Cultivation Guidelines
(Session 1)

Every organization hopes to acquire long-term support from a range of donors. Strong relationships
based upon mutual respect and trust with the people working for donor institutions whose influence,
confidence in your organization, and connections to other donors and people of influence (government,
business leaders, prime organizations) can help an organization achieve its resource mobilization goals.
Below are simple ways that organizations can strengthen relationships with priority donors.

Find out what matters to your donors. Whether you have already received funding or you are just
starting to build a relationship with a donor, find out what matters to the donor and assess how your
organization can address their priorities.

Find out what the donor wants. Look at the donor’s website. What topic areas matter to the
donor? Talk to your NGO colleagues. What do they know about a particular donor and what it does?
At face-to-face meetings or other networking opportunities, ask the donor what kind of information
would be most useful. Donors generally want information that:

a. Builds their confidence an organization’s ability to deliver and manage funds well.
b. Increases their understanding about how their support is making a difference in the real
lives of individuals, families, and communities.
c. Explains how an organization is leveraging their funding (i.e. attracting other funding
sources, including community contributions).

Invite your donors to visit your programs and organizational events. Community events or
open houses hosted by your organization are great opportunities to recognize and strengthen your
relationships with your key donors. Use these opportunities to demonstrate how your organization is
making a difference in the lives of the people that you serve.

Give your donors proper visibility. What are some ways that your organization can highlight the
contributions of your donor? If your organization is holding an event, you may ask your donors to speak;
you may want to credit your donors during a media interview; you may want to thank your donors at a
community event; etc.

Write a handwritten note to thank your donors. In the age of technology, we are all
overwhelmed with electronic information. Donors remember handwritten notes. Notes are particularly
effective when they are written by an organizational leader, or an individual or family impacted by your
program.

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Strategic Networking Guidelines
(Session 1)

• Begin with the end in mind. If you set basic goals and objectives before any important
meeting or event and ensure that the right people are attending the event and that they are
adequately prepared, you are more likely to feel confident, motivated, and equipped to
accomplish your goals.

• Know your audience. Do your homework. Target individual people. Who will be at the event
or meeting and what do you need to know about these individuals in advance? Is there anyone
in your current professional, business, or personal network who may be able to make an
introduction for you? Is there any way to reach out to the individuals you are targeting before
the meeting to arrange a time to meet during or after the event?

• Keep the interests of the donor in mind. Starting a conversation with someone you don’t
know can be intimidating. Equally, donors and other high profile people are constantly
bombarded with requests for funding or other ways to help. Build rapport first; ask later. You
might open your conversation by talking about the event itself, mentioning anything that you
have in common (through your research), particular relationships, etc.

• Listen. Be prepared to explain the critical elements of your organization to donor

representatives, but also be prepared to ask that person questions that will give you more
information about: 1) the donors’ interests/challenges; and 2) the person his/herself. LISTEN to
what s/he has to say and follow up with additional questions like: what are the biggest challenges
you face working with NGOs? What could we do better to make your job easier? What kinds
of information about programs, projects, and communities would be most useful to you?

• Prepare your talking points in advance. How will you start the conversation? What do you
want to communicate? What is most important that s/he understand about you and your
organization?

• Leave critical information behind. Individuals are inundated with information every day and
are not interested in nor have the time to read through long descriptions of your work. Make
sure that your organizational materials are clear, short, read well, grammatically correct,
and include all organizational contact information.

• Follow up, follow up, follow up. Effective networking means continuously nourishing the
cycle of communication between your organization and the donor you are cultivating. How will
you follow up with this person following your meeting, event, etc.?

• Say THANK YOU. Thanking the person you meet is a critical and is often an overlooked part
of the strategic networking process. Quick, handwritten notes are most welcome—and
remembered.

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Session 2: Strengthening the Building Blocks

Session Objectives
At the end of this session, participants will have:

• Understood the difference in roles and responsibilities of a prime, sub, and grantee under USG-
funded programs
• Understood how to position their organization for a proposal
• Developed and practiced practical decision-making when responding to an RFA
• Identified critical proposal components and the templates that must be developed in advance of
a proposal
• Strengthened their ability to improve and critically assess the effectiveness of corporate
capabilities statements
• Identified practical, simple systems for resource mobilization

Materials
• Flipchart, markers and tape
• Copies of draft participant corporate capabilities statements

Handouts
• Prime/Sub/Grantee Matrix and PowerPoint presentation
• Positioning Your Organization as a Prime Contractor
• Preparing Your Organization to Act as a Sub-Contractor
• USAID Documentation checklist
• Recent RFA announcement
• Proposal Components checklist
• Effective Corporate Capabilities Statements
• Proposal Coordinator template
• Resource Mobilization checklist
• Resource Mobilization Systems checklist
• Evaluation

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Session 2: Agenda

I. Review of Agenda & Volunteers 15 minutes

II. Understanding the Roles of Prime, Sub, and Grantee 45 minutes

III. Positioning Your Organization for a Proposal 30 minutes

IV. Break 15 minutes

V. Responding to an RFA Part I 45 minutes

VI. Responding to an RFA Part II 75 minutes

VII. Lunch 60 minutes

VIII. Review of Proposal Components 45 minutes

IX. Exercise on Corporate Capabilities 60 minutes

X. Break 15 minutes

XI. Practical, Simple Systems Resource Mobilization 45 minutes

XII. Wrap-up & Session 2 Evaluation 30 minutes

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I. Review of Agenda & Volunteers 15 minutes
Overview: Session 2 is focused on helping organizations position themselves to act as prime
or subs to USG-funded programs under the premise that: 1) the USG is and will remain a
significant funder for organizations interested in expanding their programs; and 2) organizations
that are prepared to competitively respond to USG opportunities will be well prepared to
respond to or seek other donor funding.

Recap of Session 1
• Facilitators will review Session 1 and ask participants if there are outstanding questions or
specific insights/new learnings they can share with the large group.
• Facilitators review the agenda with participants and remind the group that the focus on
preparing organizations to position themselves for USG funding opportunities is not to the
exclusion of other funders, but will take them through a process that can be applied to
other donors.
• Facilitators choose volunteers to act as the “eyes and ears” of the day using the same
guidelines as the previous day.

II. Understanding the Roles and Responsibilities of Prime, Sub, and

Grantees 45 minutes

Overview: Nearly every NGO involved in international development will name the USG as a
priority donor because of its size, scope, and range of funding available. This exercise is
designed to equip participants with the knowledge and skills they need to effectively negotiate
as a sub, or with subs as a prime.

Facilitators guiding this exercise should be familiar with and understand the distinctions
between prime, sub, and grantee roles. It is critical to use real project examples to
illustrate the differences and issues that naturally arise among organizations acting in
these capacities.

• Facilitator 1 begins by asking participants why it’s important to understand the differences in
roles and responsibilities between a prime, sub, or grantee to assess their current level of
understanding.
• Facilitator 1 then uses the PowerPoint presentation (PPT) to review the differences
between the roles and responsibilities of each. Facilitators will draw upon participants’
experiences in any of these roles and ask them to share their experiences with the group.
• The facilitator uses the discussion to emphasize the importance of organizations’ full
understanding of the range of expectations and requirements when acting in each position,

35
including what primes expect from subs during the proposal development/exploration
process.
• Using the PPT and the prime, sub, grantee matrix handout, the facilitators take the
participants through the differences in roles and responsibilities and answer outstanding
questions about the differences in roles and responsibilities and expectations of each.

III. Positioning Your Organization for a Proposal 30 minutes

Overview: Now that participants have an understanding of the differences in roles and
responsibilities and the strategic importance of such knowledge when considering how to
respond to an RFA or other USG opportunity, facilitators can deepen organizations’
understanding about what they can do in advance of an RFA or other funding opportunity to
prepare themselves.

Handouts: Facilitators may want to reference and refer participants to the following handouts
during this session: Positioning Your Organization with USAID; USAID Documentation
checklist; and Preparing Your Organization to Act as a USAID Sub-Contractor.

• Facilitator 1 begins by asking participants what “positioning” your organization means.

Facilitator 1 guides the participants in this discussion to deepen their understanding of: a)
how staff can proactively build relationships with donors, prime contractor organizations and
other important stakeholders connected to donors (e.g. ministry officials, INGOs, etc.); and
b) what they need to be able to document and or/communicate verbally to donors about
their technical and organizational capacities.

• Facilitator 1 also asks participants what kinds of strategic questions organizations should ask
themselves when deciding whether or not to prime or sub. These may include:
o Is my organization eligible?
o How large is the RFA and is my organization able to manage this?
o What is the RFA asking for and how does my organization fit in?
o Does my organization have the staff to submit a proposal?
o Does my organization have the staff to manage the project?
Facilitators can refer participants to the positioning as a prime contractor handout for further
reference.

• Facilitator 1 guides the discussion with participants and develops a list of capacities
organizations need to be able to demonstrate to manage funding and meet donor
expectations (e.g. documented results; documented innovations/approaches; successful
history managing programs with a range of donors; deep knowledge and credibility in
communities where they work; etc.). Facilitator 2 captures answers on a flipchart.
Facilitators should refer participants to positioning their organization with USAID and
preparing their organization as a USAID sub-contractor/sub-partner.

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IV. BREAK 15 minutes

V. Responding to an RFA Part 1 45 minutes

Overview: Now that participants have discussed and understood the differences in roles and
responsibilities between primes, subs, and grantees and considered how they can more
effectively position their organization with donors, they will apply what they have learned in a
simulated hands-on role play.

• Facilitator 1 directs participants to the RFA summary handout and divides them into small
groups to discuss with colleagues: a) recommendations for a response; and b) the rationale
behind their choice to prime or sub, keeping in mind the strategic priorities identified in
Session 1. Allow 15 minutes for this small group exercise.
• One spokesperson from each small group will report the decision and the underlying
rationale behind that decision back to the large group.
• Facilitators guide the overall discussion and encourage participants to ask clarifying
questions.

VI. Responding to an RFA Part II 75 minutes

Overview: Organizations decide to act in the position of a prime or a sub depending on the
size, range, etc. of the RFA or other funding opportunity. Therefore, it will be helpful for
organizations to practice each role to get a full understanding of the necessary flexibility,
nuance, specificity, and strategies needed in each role, and in some cases, submitting a proposal
as both a prime and sub (with another prime in different region, for example). Hands-on
experience and practice presenting and negotiating in both roles helps organizations experience
the different responses and strategies required of each.

Scenario 1: Presenting and negotiating as a sub

• Facilitators select two participants to act in the role of a prime organization. Selected
volunteers should be reasonably strong in character and familiar with project management
responsibilities to effectively act in this role. Facilitators then ask the group to select NGO
representatives who will meet with the prime. Volunteers representing their NGO sub
organization are given 10 minutes to prepare for the meeting with the prime.
• While the participants prepare, facilitators set up a table and chair in the middle of the
room and ask remaining participants to observe the role play and prepare notes for
constructive feedback regarding: 1) the strength of the presentation, particularly with
regards to meeting/understanding the needs of the prime; and 2) negotiating capabilities,
particularly with regards to competitive advantage, other primes they may be speaking
with, what they want/expect in terms of their scope of work; etc. The role play should last
for 15 minutes. Observers can use the following questions as guidelines for their feedback:
a. Based upon what you know about the expectations of the prime, how
specifically did the subs meet the prime’s expectations and in which ways?

37
b. How convinced were you of the sub’s ability to deliver and why?
c. How well did the sub negotiate or present a strong case for itself? How could
the volunteers improve their presentation?
d. What overall impression of the sub were you left with and why?
• Observers should then share their feedback with the volunteers regarding what went well
along with suggestions for improvement, and the prime and sub volunteers should share
their experiences and insights with the group.
• Facilitators can capture particular highlights or insights on the flipchart for reference during
the resource mobilization action plan development.
• Facilitators and participants wrap up the session with a brief discussion about key learnings
and insights.

Scenario 2: Presenting and negotiating as a prime

• Using the same scenario as above, the roles are reversed and facilitators select volunteers
to act in the role of their own organization as a prime. Participants will select volunteers to
act in the role of another known organization pitching their organization as a sub. The
remaining participants will act as observers and can use the above questions as a guide for
their feedback.
• Volunteers share their experiences with the large group.
• Facilitators solicit remaining questions and key highlights before closing the session.

VII. LUNCH 60 minutes

VIII. Review of Proposal Components 45 minutes

Overview: Organizations commonly complain that chaotic, rapid proposal development
processes hinder their competitiveness and significantly stress staff resources and time. This
session focuses on proposal components with specific attention to the kinds of proposal
templates organizations can develop in advance to enhance the efficiency and effectiveness of
the overall process.

• Facilitator 1 begins the discussion with the large group by asking participants the following:
“What are the critical elements of a proposal 2 and why is it important to consider this in
advance?” Facilitator 2 captures the answers on the flipchart. Facilitators should direct
participants to the proposal template checklist as a guide for identifying and discussing
critical proposal elements.
• Facilitators discuss each element with participants, clarify where organizations are in the
stage of template development and suggest that they may want to consider how template
development might fit into their resource mobilization action plan.
• Facilitators can reinforce how templates can enhance organizational readiness, particularly
when under stress to respond to short deadlines.

2
Proposal elements described here follow the typical sequence for a USG proposal but each element can be easily
adapted to meet the requirements of other donors.

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IX. Exercise on Corporate Capabilities 60 minutes
Overview: A corporate capabilities statement is a foundational document for the development
of proposals and marketing materials for a range of donors. This exercise lets participants write
and critique corporate capabilities statements and is the first step in finalizing this important
proposal template.

• Facilitator 1 begins by reminding participants of the value of developing proposal templates

in advance and reinforces the multiple ways that information from corporate capabilities
statements can be extrapolated for other purposes (e.g. marketing brochure, etc.).
• Facilitator I uses the effective corporate capabilities statements handout as a guide and asks
participants to identify the critical elements of a corporate capabilities statement. Facilitator
2 captures the answers on the flipchart.

Improving draft corporate capabilities exercise: If an organizational capabilities

document exists and is available for this exercise, the facilitator will continue as follows:

• Divide participants into groups of four or five and refer to the corporate capabilities
checklist. Ensure that the following questions are used during the critiquing exercise:

• How does the statement highlight organizational history and purpose in a short,
concise, and compelling way?
• How does the statement highlight programmatic/population/management
experience and expertise?
• How does the statement highlight innovation/methodology?
• How does the statement highlight financial management capacity, support from a
range of donors, and partnerships?
• How does the statement highlight key results?
• Groups should spend 20 minutes on the exercise and reconvene to share their suggestions
for improvement.
• Suggestions can be captured by participants and follow-up revisions included as part of the
draft resource mobilization action plan.

Developing a corporate capabilities statement exercise: This scenario should be used

for organizations that do not have a draft of a corporate capabilities statement.
• Divide participants into small groups and ask them to spend 10 minutes brainstorming
information that should be included in a corporate capabilities statement.
• Groups spend 10–15 minutes developing a series of bullet points detailing specific
information that they will include in the corporate capabilities statement.
• Groups spend the final 15-20 minutes writing two paragraphs that they will share with
the large group for feedback.
• Following the close of the writing exercise, participants will choose a group member to
assemble the writing samples as preparation for finalizing the draft after the workshop.
The resource mobilization action plan should include specific staff assignments and
deadlines.

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X. BREAK 15 minutes

XI. Practical, simple systems for resource mobilization 45

minutes
Overview: Organizations that develop practical, simple systems for organizing, managing, and
tracking resource mobilization activities are more likely to achieve their goals. Facilitators may
also want to reference and refer participants the “NPI Resource Development Training Session
2: Fundraising Systems and Procedures” during this exercise.

• Facilitator 1 begins by asking participants to define the kinds of systems their organizations
use to support resource mobilization. Facilitator 1 can also explain that simple systems
should ensure that: a) all resource mobilization staff know who is responsible for which
activities; b) all tools and resources can be easily and commonly accessed by resource
mobilization staff; and c) notes and information about existing and new donor prospects and
contacts that should kept up to date by those responsible for identifying and cultivating
those donors.
• Facilitators and participants review each component of the resource mobilization systems
handout to: a) assess what their organizations already have in place; and b) reach consensus
on the value of putting these kinds of practical systems in place.
• Facilitators remind participants that the development of these kinds of practical systems
should be part of their overall resource mobilization plan.

XII. Wrap-up & Session 2 Evaluation 30 minutes

Facilitators ask a participant volunteer to facilitate the wrap up “eyes and ears” session and daily
evaluation.

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Prime/Sub/Grantee Matrix
(Session 2)

Roles and PRIME SUB-CONTRACTOR GRANTEE

Responsibilities
Relationship Sole relationship with Directly responsible to the Responsible for a discrete piece of
and accountability to the prime. No relationship with work. Usually reports directly to the
donor. donor. prime but may report to the sub.
Proposal Sole responsibilities for Responsible for developing No proposal development
Development developing and and submitting portions of responsibilities. Grantee scope of work
submitting the entire the proposal as determined may be included in the proposal but
proposal. by prime and sub. will be done by the prime.
Program Primes are solely Responsible for the scope Responsible for the scope of work
Implementation responsible for all of work (SOW) detailed in detailed in the grantee agreement,
program and financial the agreement with the usually with direct responsibilities to
deliverables. prime. the prime.

Financial Solely accountable for Responsible for managing Responsible for managing the budget
Management financial management of the budget detailed in the detailed in the agreement.
and all project partners. agreement with the prime.
Accountability The sub reports to the
prime.
Reporting Responsible for Responsible for submitting Responsible for submitting reports to
reporting on all reports to the prime on whomever signed the grant agreement
deliverables. work established in the sub (usually the prime).
agreement with the prime.
Close-out: Responsible for all close- Responsible for close-out Generally no close-out activities
Activities out activities (property activities as detailed in the associated with grantees except closing
Associated with disposition; preparing for sub agreement with the their own grants.
Finishing the audit; conducting exit prime.
Project interviews with staff;
closing out sub
agreements; compiling
final report).

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Positioning Your Organization with USAID
(Session 2)

In-country (US) missions look for dependable, innovative NGOs that can manage and track donor funds
and understand, are responsive to, and are capable of meeting the complex needs and expectations of
the donor.

It is perfectly acceptable for the president of your organization to call or email (and generally both) the
mission director, deputy mission director, or technical or program officers and invite them to lunch or
coffee. They are terrific sources of information and are also interested in building relationships with
organizations that can help them get the kinds of information they need to report to their stakeholders
(i.e. specific situation in the country, etc.).

Preparation for the meeting

o Understand the United States Government (USG) and USAID’s programmatic

strategy for your country. These documents are public and can be found on the internet.

o Understand the role of the person you are meeting with and how s/he fits into the
decision-making process at the mission. Ultimately, your goal is to meet with the mission
director or deputy mission director. However, there are plenty of other mission staff who are
important to the overall relationship-building process. They may include the following:
o Director of the technical office (DTO) of your specialty area that is responsible for
key technical areas.

o Program officers (POs) stretch across the mission office and help develop programs
and work specifically with the technical offices. They are responsible for tracking the
mission budget. POs work in tandem with the deputy mission director.

o Director of communication and outreach (DOC) will have a holistic view of what
is going on, including the itinerary of the mission director, the mission deputy director
and US Ambassador. Find out if anyone from USAID will be in your area and consider
inviting him/her to visit your program.

o What can you offer as value to the mission? Missions often struggle with getting
good/helpful information about what is happening in the country. As an NGO, you may be
uniquely positioned to share information that will make your organization valuable to USAID.

o Write down your goals for the meeting. What information do you want to leave with? A
referral to speak with someone else either at the mission, the US Embassy, or the community?

o Plan your follow-up in advance. Think about how you will follow up before you head to the
meeting. What makes sense for follow-up will likely emerge with the conversation, but thinking
ahead will help you feel more confident, relaxed, and focused.
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During the meeting

o Introduce yourself and set the goals for the meeting. “Thank you so much for agreeing
to meet with me. I’ve done some research about your programmatic goals, and would love to
learn more. I’d also like to tell you a bit about my organization and what we do. I know it can be
difficult for you and other mission staff to get into the field and, and wonder if there’s
information I have from our work in the field that may be helpful to you.” Then ask an open-
ended question. Remember, this is an exchange. You create value by bringing useful information
to your donor.

o Respect the person’s time and keep to the meeting agenda. It often helps to confirm at
the start of the meeting how much time you have to speak. It also allows you to set the frame
for the conversation (see above item).

o Listen. Write questions that will help draw out your prospect, help him/her understand that
you understand their interests, and, ultimately give you helpful information about funding
priorities, processes, and timing. (e.g. “I see that USAID’s five-year strategy includes significant
emphasis on HIV prevention for adolescents. What do think are the most difficult obstacles to
achieving your goals?” This kind of question could start a discussion for you to describe how
your organization may be part of the solution).

o Develop talking points that reflect how your organization fits into the overall
priorities/strategies of the donor. Be prepared to clearly convey how your organization
may be uniquely positioned to help them fulfil their needs.

• Biodata sheets for named personnel (usually only key staff).

• Budget and budget narrative.
• Articles of organization and by-laws. Prove company’s validity.
• Audit and financial reports and financial statements. Completed every year.
• Cognizant audit agency/accounting system review. Standard statement explaining a
company’s audit history. Provides the name and address of an organization’s cognizant government
audit agency and the name and telephone number of the cognizant auditor.
• Cost-share statement. Documentation indicating portion of total budget which will be
contributed by the organization and/or other resources and not reimbursed to the donor. Only
applies to cooperative agreements.
• Ceiling on fixed fee. Statement of the maximum fee percentage an organization will charge to the
proposed contract. Not-for-profit organizations typically do not charge, although they can.
• Ceiling on indirect cost rates. Statement of the maximum overhead rate an organization will
charge to the proposed contract.
• Ceiling on salary increases. Statement of the maximum salary increases an organization will
charge to the proposed contract.
• Certificate of current cost or pricing data. Statement confirming that an organization’s costs
and prices are accurate and current.
• Certification regarding the Foreign Corrupt Practices Act. Statement confirming that the
organization is in compliance with this act.
• Certification regarding anti-trafficking activities. Statement confirming that an organization is
not funding, supporting, or advocating prostitution.
• Certification regarding terrorist financing. Statement confirming that an organization is not
funding or supporting terrorists.
• Cost-management plan. Sample cost management plan, detailing how an organization will
manage the finances of the project.
• CVs for named staff (usually only key staff).
• Disclosure of lobbying activities (SF LLL). Statement certifying that an organization does not
participate in any lobbying activities.
• Drug certification form. Statement that must be signed by each named key staff in the proposal.
• DUNS Number. Required number assigned to US government contractors and grantees by the
federal government.
• Equal Opportunity Employer statement. Statement confirming the organization is an equal

47
opportunity employer.
• Evidence of responsibility statement.
• HSV statement. Statement clarifying an organization’s policy to recover holiday, sickness, and
vacation.
• Identification of negotiators. Statement confirming who is authorized to negotiate on behalf of
an organization. This is typically included in the certifications and representations.
• Key individual certification narcotics offenses and drug trafficking. These are required if
they are included in the certifications, assurances, and other statements of applicant in an RFA or
the Representations, Certifications, and Other Statements of Offerors (Section K) in an RFP. Signed
forms are only required for key staff.
• Letters of commitment. Demonstrates that key personnel named in the proposal are committed
to your organization.
• Level of effort (LOE) chart. Breaks down a proposal’s labor by category and
monthly/daily/hourly rate and sometimes by technical area.
• Negotiated indirect cost rate agreement (NICRA). Organization’s federally-approved
overhead rate letter. Typically only US-based organizations have a NICRA. For local organizations, if
charges are not solely based on direct costs, should either secure a NICRA or obtain an equivalent
audited indirect cost statement.
• Organizational chart.
• Past performance references (PPRs). Details previous grants, contracts, etc., especially with
USAID-funded programs.
• Technical pieces, especially scope of work (SOW).
• TIN (Tax Identification Number). US-based organization’s tax identification number.
• Type of organization. Information on an organization’s status as a non-government organization
(NGO), private voluntary organization (PVO), etc.
• Workweek policy simple. Explains an organization’s work policies but not a detailed explanation
of HSV.
• Workweek policy w/ HSV explanation. This is an explanation of an organization’s work policies
with a more detailed explanation of HSV. It includes information concerning calculation of paid
absences and indicates the number of hours in a normal work-day and work-week, both
domestically and overseas, for employees and consultants. Only use this version if detail on HSV is
requested.

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Recent RFA Announcement Roleplay
(Session 2)

Your organization has recently learned about an RFA, the details of which are summarized as follows:

• 5-year RFA for $10 million (US)

• HIV prevention, care, treatment, and support services with a national focus
• Priority given to high HIV-prevalence regions in the country
• Target population includes: Out-of-school youth; orphans and vulnerable children (OVC); most-
at-risk populations (MARPs)
• Strong focus on family-based livelihoods interventions targeting HIV-affected families and
PMTCT
• Preference for innovative, evidence-based approaches with potential for scale-up
• Preference for local organizations with strong community linkages
• Donor recognizes that no single entity with be able to address all of the components;
partnerships are highly encouraged

You may want to consider the following reporting requirements when considering acting
as a prime.

The prime applicant must provide the donor with an original and two hard copies of the following
reports:

• Interim progress report, due no less than 90 days before the end of the budget period. The
progress report will serve as the non-competing continuation application, and must contain the
following elements:
o Activities and objectives for the current budget period
o Financial progress for the current budget period
o Proposed activity and objectives for the new budget period program
o Budget
o Measures of effectiveness, including progress against the numerical goals of the
President's Emergency Plan for AIDS Relief
o Additional requested information
• Annual progress report, due 90 days after the end of the budget period. Reports should include
progress against the numerical goals of the President's Emergency Plan for AIDS Relief
• Financial status report, due no more than 90 days after the end of the budget period
• Final financial status and progress reports, due no more than 90 days after the end of the
project period

In your group, ask yourselves the following questions:

• As an organization, what are your options for responding?

• Does it make more sense for your organization to consider a role as a sub or a prime? Why or
why not?

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Proposal Components Checklist
(Session 2)

Creating templates or drafts of certain documents in advance of a proposal will reduce the stress
associated with the proposal development process. Your organization should have the following
boilerplate documents in place.

Corporate capabilities statement. Effectively and concisely articulates your mission, organizational
background and history, technical capacity, range and size of donor support, organizational
achievements, and organizational partnerships.

Budget template with budget notes. All organizations should have a basic budget template on file
that can be adapted to the specific needs of a range of donors. Budget notes are a critical part of the
template. Budget notes are necessary to: 1) describe in detail line-item costs; and 2) help remind you
how costs are linked to line-item activities.

Updated key staff CVs. USAID has a specific format for CVs that your organization can use and adapt
for other donors.

Statement of context in which you are working. A couple of paragraphs describing the specific
details where you work, the populations that you serve, prevalence of issues (such as HIV; poverty; and
school drop-out).

Monitoring and evaluation (M&E) plan. A draft M&E template will enable you to quickly adapt a
plan for a proposal.

Management plan (if you are a prime on a USG-proposal). An organogram of your

organizational management structure is a necessary part of any proposal submission to USG as a prime.

Past performance recommendations. List of past donors and organizations that can vouch for your
performance.

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Effective Corporate Capabilities Statements
(Session 2)

Describes past experience and current capacities in a concise, connected, and compelling manner,
including:

• Brief history and purpose of organization (i.e. ‘has a 15-year track record of community-
based, family-centered integrated programming to give young people skills to… in seven districts
with high HIV prevalence in [country where the organization works]’).

• Scope of programmatic experience and expertise (adapted to highlight or link to donor

area of interest for specific proposals) that include dates, scope of program, reach, and results.

• Organizational strengths and areas of particular expertise. Sets your organization apart
from others.

• Methodology. What evidence-based approaches does your organization use that makes it
unique, innovative, and effective?

• Population expertise or experience (e.g. youth, OVC, MARPs).

• Financial management capacity with a range of donors (government, private, corporate)

including range of funding received, date or project or program, and summary of results.

• Partnership experience. With other NGOs, governments, universities, etc.

• Results. Include but go beyond counting numbers. For example, results from a survey, baseline
and follow-up study, success stories; anecdotal evidence that demonstrates your success.

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PROPOSAL COORDINATOR TEMPLATE
(ADAPT TO YOUR ORGANIZATION’S NEEDS)
(Session 2)

PROPOSAL NAME

FIRST WEEK Notes

1. Obtain copy of RFA/RFP

2. Distribute RFA to team

4. Set up team contact list

5. Set up calendar

6. Read RFP/RFA

• Due date, place and time for proposal Date:

Time:

By mail:

• Number of copies due Eng Tech:

• Note other language requirements USAID
Budget:

Organization 1 original + 1 copy

• Page number restrictions (excluding charts/figures)

• Font size restrictions

• Margin restrictions

• CV restrictions

• Past performance

• Special paper requirements

7. Arrange partners/team meeting

• Set internal draft and final deadlines

• Address key issues for each section

• Notify team of any writing restrictions

• Establish formatting standards and procedures

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• Remind team to keep a list of acronyms used

8. Send email to proposal team

• Number of copies for tech & budget

• Project title and acronym

• Titles & acronym list

• Page and font formats

• Other relevant information

ONGOING TASKS Notes

1. Organize team meetings/conf. calls as needed

2. Update contact list and calendar as necessary

3. Back-up proposal directory onto flash drive

4. File all items properly

5. Photocopy any final documents e.g., dividers, etc.

6. Send written to pieces to editor (if applicable)

7. Handle consultant paperwork (if applicable)

8. Send written pieces to translator (if applicable)

EARLY TASKS Notes

1. Send and collect teaming agreements (if necessary)

2. Collect letters of commitment and collaboration

3. Cover pages and copyright pages

4. Letter of transmittal and amendment receipt

5. Guide to evaluation criteria

6. Draft table of contents and list of figures

• Include all necessary pieces

• Determine structure of proposal

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7. Find people who are willing to help with CVs, etc.

8. Research and hire translation company (if applicable)

FINAL WEEK TASKS Notes

1. Organize/notify team for production

2. Begin layout of proposal, starting with cover

• Keep track of two originals

3. Formatting

• Proofread (ask for help if necessary)

• Establish margins

• Font type and size

• Headers/footers

• Eliminate widows and orphans

• Spell check

4. Collect/assist in completion of charts, figures, etc.

5. Collect and finalize acronym list

PRODUCTION

1. Check text flow/readability and content

2. Check for typos, spelling, page limit, and orphans

3. Print/photocopy final documents

4. Finish laying out proposal and collate

5. Before binding conduct quality check with team members and other project coordinators

POST-PRODUCTION

1. Confirm receipt of proposal at destination office

2. File necessary documents in common use area, including fully updated back-up disks/CDs.

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Resource Mobilization Checklist
(Session 2)

The following guidelines will assist your organization in preparing for effective resource mobilization.
How does your organization demonstrate the following?

• Clear sense and commitment to your vision and mission—who you are, where you are going,
and how your mission relates to the communities served.

• Innovative approach and programs that yield results.

• Evidence of past accomplishments.

• Effective management and leadership by your board members and staff who will ensure the
accountability and transparency of the organization.

• Financial systems that will safeguard the resources, including adequate financial controls that
demonstrate good management and builds trust.

• Solid reputation, credibility, and ability to add value to donors’ or prime contractor objectives.

• Mutual respect and knowledge sharing between the organization and the community it benefits,
as well as other stakeholders.

• The ability to attract, create, and sustain new resources, especially those based in the local
community.

• Cost effectiveness and cost competitiveness.

Additional resources for practical information, tools, and guidance on support:

-NGO and community-based organizations, see the NGO support toolkit on the International HIV/AIDS
Alliance website: www.ngosupport.net.

-For information on foundations and tips on grant proposal writing and budgeting, see the Foundation
Center website: www.foundationcenter.org

-For information on mobilizing funds and resources, see the Resource Alliance website:
www.resourcealliance.org.

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Resource Mobilization Systems Checklist
(Session 2)

Does your organization have the following in place?

Clear system or basic database for organizing, managing, and updating new donor contacts and
relationships ___yes ___no

Clear system for organizing, managing, and updating current donor relationships and reporting deadlines
____yes ___no

Updated key boilerplate documents

(Corporate capabilities statement, etc.) _ yes _no

Budget template with budget notes _yes _no

Updated staff CVs _yes _no

Past performance

recommendations _yes _no

Letters of support _yes _no

Copy of financial statements _yes _no

Audited financial statements _yes _no

Basic brochure _yes _no

Copies of success stories _yes _no

Documented evidence of _yes _no

program effectiveness

(evaluation; case studies)

Is there a clear understanding in your organization about who is responsible for the following tasks?
Please rate the importance of each of these task for your organization from 1-5, with 1 being the most
important priority.

Identifying and researching new donors _yes _no

Managing reporting deadline calendar _yes _no

Building relationships with existing donors _yes _no

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Scheduling key networking activities ___yes ___no

Managing and updating boilerplate

templates for proposals _yes _no

Tracking and updating resource _yes _no

mobilization plan

What else do you need?

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Session 3: Developing Effective Proposals

Session Objectives
At the end of the workshop, participants will have:

• Improved skills in structuring and managing a proposal writing process in response to an RFA
• Improved skills in assessing proposal strengths and weaknesses

Materials
• Copies of an RFA relevant to the organization’s strategic priorities and within a funding range
reasonable enough for the organization to act in the role of a prime. An annual program
statement (APS) could also be adapted for this purpose. Copies of the RFA should be given to
participants the night before with explicit directions for review.
• The focus is likely to include a review of the program description and a review of the selection
criteria. The exercises will be focused on these two sections and will be used to help
participants identify, understand, and consider the strategic implications of weighted criteria and
how best to position their organizational strengths. Please also share the Positioning Your
Organization for an RFA handout with participants as a guide for this exercise.
• Decisions for organizations to act in the role of the prime or the sub should be made in advance
of this exercise.
• Copies of an unfunded proposal (to any donor) and proposal guidelines. Facilitators need to
review the proposal prior to the session in preparation for the afternoon proposal critique
exercise.

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Session 3: Agenda

I. Review of Agenda and Volunteers for Session 3 10 minutes

II. Proposal Development Process 120 minutes

a. Assessment
b. Partner meetings: Brainstorming the approach
c. Debrief

III. BREAK 15 minutes

IV. Reviewing the RFA 75 minutes

a. Cost application
b. Form and format
c. Developing a table of contents

V. LUNCH 60 minutes

VI. Critiquing a Proposal 75 minutes

a. What makes a proposal competitive?

b. Proposal critique exercise

VII. Wrap-up and Evaluation 30 minutes

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1. Review of Agenda and Volunteers for Session 3 10 minutes
Overview: Facilitators explain that the purpose of this session is two-fold: during the first half of the
day, participants’ will deepen decision-making and proposal development process skills when responding
to an RFA as a prime. Using a sample RFA that is within range of the organizations’ capabilities to act in
the role of a prime (or sub, if prime is not realistic for smaller, national NGOs), the participants will
walk through a simplified proposal development exercise that will simulate the experience by focusing
on key process and decision-making points. These include RFA assessment, partner meeting facilitation,
and an RFA review. With some modification, the same scenario can be adapted for organizations acting
as a sub.

During the second half of the day, participants will review and critique an unfunded proposal (preferably
from their organization) in an exercise that will build their proposal development and writing skills.

II. Proposal Development Process 120 minutes

a. Assessment (60 minutes)

Facilitators ask participants for feedback from their review of the previous evening (program description
and selection criteria) and clarify questions that arose during the review process. Please refer to the
Positioning Your Organization for an RFA handout during this exercise.

• After questions are clarified, divide participants into small groups and ask them to discuss their
notes and questions from the RFA review in more detail. Groups should share their ideas and
answers to the questions posed in the handout and be prepared to make specific suggestions in the
large group following the close of their discussion. Allow 30 minutes for this exercise.
• Small groups select a spokesperson to present their ideas/strategies with the large group. Collected
ideas and strategies will be documented by facilitators and used for reference during the
brainstorming approach exercise. Facilitators should encourage discussion and focus on the strategy
underpinning decision-making by participants AND the kinds of partners and scope of work for
partnering organizations as preparation for the partners meeting exercise.

b. Partner Meetings: Brainstorming the Approach (50 minutes)

The partners meeting serves as an introduction point for all proposal partners. This should be a “get to
know you” meeting, serving as the foundational meeting for establishing the programmatic approach
used by the prime proposal development team, and will give participants an idea of what it takes to
facilitate a brainstorming meeting.

• Facilitators ask participants to select 3-5 volunteers to act as the proposal development team for the
organization and, of those volunteers, one to act as a facilitator—preferably a staff member who
would normally assume this role. Participants also choose volunteers to act in the role of partnering
organizations.
• Remaining participants will observer the interaction and offer constructive feedback at the end of
the session.

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Brainstorming the approach exercise: The volunteer facilitator introduces the goals for the
meeting and uses the following questions as guidelines for brainstorming the approach.

• What is the RFA asking for?

• What are the current activities on the ground?
• What are the government priorities in this area?
• Who is currently known in this arena and what are they doing?
• Is there something that we could pilot?
• What experiences do our organizations have?
• What does the evidence say about how we should approach the problem?
• Where would we work and why?

Other relevant questions may be included as needed. The volunteer facilitator should take as much time
as necessary to arrive at consensus about the next step. Facilitators may want to intervene for learning
purposes; however, the facilitator’s role should be established at the beginning of the exercise.

Determining how the partnership will work

• Following the brainstorming exercise, the facilitator moves the conversation to a discussion about
how the partnership will work. This may include discussion of who will be assigned to what tasks
and the timeline for assignments.
• Allow 15 minutes for this exercise and then bring the participants back together in the large group
for the debriefing session.

c. Debrief (10 minutes)

The debriefing session of a role play offers volunteer participants the opportunity to share experiences
and learning and hear constructive feedback from the observing participants. During the debrief session,
facilitators will ask participant volunteers to share their experiences. The following questions may serve
as useful guidelines:

• What was the most unusual or least expected aspect of the experience for you and why?
• What was most helpful and why?
• What was most stressful and why?
• How could the process have been more effective?
• What can you apply from this experience to your organization?

Facilitators then ask participant observers to provide constructive feedback to participants. Comments
and key learning should be captured on a flipchart.

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III. BREAK 15 minutes

IV. Reviewing the RFA 75 minutes

Overview: The morning exercise focused on two specific elements of the RFA. This session asks two
groups of participants to familiarize themselves with the other core elements, including: 1) cost
application; and 2) the format and form. At the close of the exercise, participants will be asked to
develop an outline or table of contents that can be used as a guide for writing the proposal.

a. Cost application: The facilitator asks the first small group to review the cost application section of
the RFA and start the conversation with the finance staff about how best to manage the budget
development for the proposal. Given the tension and challenges that typically arise between program
and finance staff during the budget development process, participants should take the opportunity during
this exercise to discuss not only key elements of the cost application, but strategies for improving
coordination between the finance and program staff during the proposal development/writing process.

Participants can also discuss the key elements of the cost application and consider where these details
should be included in the proposal coordinator handout and take the opportunity for any discussion
with finance staff.

b. Form and format: Facilitators will ask the participants in the second small group to review the
grant format and highlight the critical details contained therein (e.g. page limits, font and size, submission
dates and details of submission, etc.). These details can be included in the proposal coordinator template
as part of the proposal outline development exercise.

The groups reconvene and share results from of their assigned tasks. Facilitators can clarify questions
and one facilitator should capture the highlights on a flipchart.

c. Developing a table of contents: Facilitator 1 will lead the process of setting up an outline or will
draft a table of contents that can be used to guide the development of the proposal. This will help
participants understand how to sequence proposal development activities and understand the level of
effort involved in assembling an RFA as a prime. This exercise assumes the outline for the proposal is
not clear from the RFA. Facilitator 1 will guide the discussion using lessons learned and decisions and
guidelines from the assessment and partner brainstorming activities, and Facilitator 2 will capture key
elements of the discussion on a flipchart.

Facilitators may want to use the following question as a guide for the process:

• What are the essential elements to include in this proposal?

• How are the elements related to one another?
• What do the writers need to include in each section to ensure all important points
documented in the evaluation criteria are addresses?
• In detail, identify at least 3 points that should be highlighted in each section (e.g. three M&E
indicators, etc.)
• What are the most difficult sections of the proposal? What strategies will the team use to
address them (e.g. additional technical expertise, etc.)

After a basic TOC has been developed, ask participants to consider who will be responsible for each
task and remind participants of the importance of assigning a proposal coordinator who acts as the

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central point person during the process. Facilitators may want to reference and refer participants to the
proposal coordinator checklist.

After the outline is completed, facilitators will guide a debriefing discussion with the entire team.
Encourage participants to share their general experiences of the exercises and ask the following:

• What surprised you the most about the exercise?

• What did you find most valuable?
• What was the most difficult part of the exercise?
• What can you apply to a future process of responding to an RFA?

V. LUNCH 60 minutes

VI. Critiquing a proposal 75 minutes

Overview: Now that participants have deepened their knowledge and skills in building more effective
proposal development processes, they will improve their skills in critically assessing the weaknesses and
strengths of one of their own unfunded proposals (from any donor as long as the guidelines are also
available).

Facilitator 1 asks participants what makes a proposal competitive. Facilitator 2 captures the answers on
a flipchart and ensures that the following essential elements are included:

• Respond directly to what the donor is asking for

• Concise, compelling articulation of innovative program approach
• Concise description of organizational background, experience, and results
• Concise executive summary description (as appropriate)
• Clear, logical articulation of measurable goals and objectives
• Clear, sequential description of evaluation approach

Remind participants that proposals must/be:

• Grammatically correct
• Free of typos and errors
• Written within the proposal page limit
• Follow specific formatting guidelines
• Include all areas outlined in the guidelines

These criteria will be used as guidance for the proposal critique exercise.

Next, facilitator divides the participants into groups of 3-5 and assigns each group a particular section to
assess (executive summary, program description, evaluation, approach, etc.)

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Facilitators should offer additional guidance to participants as needed, and ask each group to be
prepared to share the strengths and weaknesses of each section. Allow 30 minutes for this exercise and
another 5 minutes per group to share with the large group. Facilitators should debrief with the entire
group using the same questions used during the RFA reviewing exercise.

VII. Wrap-up and evaluation 30 minutes

The wrap-up volunteer calls on the “eyes and ears” volunteers to share their observations of
the day with the large group and encourages participation by the entire group. Facilitators can
capture any salient observations/points on a flipchart or in electronic notes to assist with their
own debrief. Participants then fill out a brief evaluation on participation by the day’s activities.

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Positioning Your Organization for an RFA

Reviewing and assessing a USG RFA or APS is a critical first step in the process of determining whether
your organization should submit a proposal and which role (sub or prime) your organization may want
to consider. While all sections of the RFA are critical to review in detail, the following questions
specifically relate to two key areas: the program description and the selection criteria. The following
questions may be useful to your organization during preparation for Session 3: Developing Effective
Proposals. These questions are not exhaustive but will give you a sense of what you should be looking
for. Please add your own ideas.

Program description

1. What are the key problems this RFA is trying to address?

2. What are the key programmatic priorities in the RFA?
3. What are the key objectives and approaches?
4. What are the key background issues that your proposal will need to address?
5. What are the current activities on the ground, who is implementing them and what is their
reputation with the donor and other key stakeholders?
6. What does the evidence say regarding the best approach?
7. What are the specific policy issues associated with problems and what are the government
priorities?
8. What are the key challenges laid out in the RFA to addressing the central issue?
9. What is the geographic coverage?

For your organization specifically

1. What is your competitive advantage and who else will you be competing with as a prime?
2. As a prime (sub), which pieces of the program will your organization take on and why?
3. Who will you partner with and what do you want them to do? (i.e. how do they complement your
skills; how will they make your bid more competitive?)
4. How will you find the people to fill the key personnel positions?

Selection criteria

1. Which sections are weighted most heavily?

2. What can you infer about what USAID is looking for from the weight of the rankings?
3. Given the weight of the rankings, how can you position the strengths of your organization in a
proposal?
4. Based on the rankings, what strengths do your partners need to bring to make your proposal
competitive?

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Session 4: Putting it All Together: Resource
Mobilization Plan Development

Session Objectives
By the end of this session, participants will have:
• Understood and linked learning from previous sessions to the resource mobilization
plan development process.
• Understood the process for developing a step-by-step resource mobilization plan.
• Developed a draft resource mobilization action plan that details priority activities, staff
responsibilities, timelines, and necessary follow-up technical assistance.

Materials
• At least one laptop per participant group
• Laptop, LCD projector and large screen for draft RM action plan consolidation by
facilitators
• List of session recap questions from Sessions 1, 2, and 3 cut up and placed in a bowl
(please review questions and add others as appropriate)

Handouts
• Resource mobilization action plan outline (soft and hard copies for participants and
facilitators)
• Resource mobilization plan action plan templates (SAMPLE and BLANK – hard and soft
copies)
• Final evaluation

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Session 4 Agenda

I. Review of Agenda & Volunteers for Session 4 15 minutes

II. Recap of Sessions 1, 2, and 3 30 minutes

III. Drafting the RM Plan & Action Steps 50 minutes

IV. Break 15 minutes

VI. Drafting the RM Plan & Action Steps (cont’d) 90 minutes

VII. Wrap-up & Evaluation 30 minutes

VIII. Lunch

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I. Review of Agenda & Volunteers for Session 4 15 minutes
Facilitators review the agenda for the day with participants and remind them that the goal is for
them to leave with a draft resource mobilization action plan that they will finalize over the next
few weeks. Participants will determine deadlines and technical assistance necessary for follow-
up.

Facilitators choose two volunteers for the day to serve as “eyes and ears” and one volunteer
who will facilitate the wrap-up session for the day.

II. Recap of Sessions 1, 2, 3 30 minutes

Overview: The recap exercises for Sessions 1, 2, and 3 is a creative, interactive exercise
designed to remind participants about topics covered during the previous sessions as part of
the preparation process for the resource mobilization action plan development exercise.
Suggest that participants take notes on issues/topics that they may want to include in their
plans.

• Facilitator 1 chooses participants to select and answer recap questions, encouraging

participation by all.
• After all questions have been answered, facilitators ask participants if they have further
questions or comments regarding any of the previous session topics. If there are no
questions, facilitators can proceed to the RM plan development exercise.

III. Drafting the RM Plan Guidelines & Action Steps 50 minutes

Overview: Explain to participants that the resource mobilization plan and action steps exercise
is designed to enable them to develop a draft resource mobilization plan that highlights and
addresses the key elements necessary for effective resource mobilization over the next year.

• Ask participants to reference the resource mobilization plan guidelines handout and the
SAMPLE and BLANK action plans. The purpose of the guidelines document exercise is to
stimulate participants’ thinking and to document what to include as part of the plan.
• Facilitators review the guidelines handout with participants and then divide them into small
groups of five, giving them 45 minutes to fill out the document.
• Facilitators should periodically check to ensure that participants are on track and answer
any outstanding questions.
• Ensure that all groups have completed their guideline document before moving on the
resource mobilization action plan exercise.

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IV. BREAK 15 minutes

V. Drafting the RM Plan & Action Steps (continued) 90 minutes

• Following this exercise, facilitators will ask groups to begin working on the RM action plan.
The action plan serves will serve as the RM work plan and is designed to help participants
identify activities, assign the person responsible, the kind of technical support needed, the
priority level and the deadline.
• Using the SAMPLE RM action plan as a reference, facilitators review the process and
purpose of the exercise and reiterate that the SAMPLE document is only for guidance.
Participants should use the guidelines document for reference for populating their own RM
action plan.
• Facilitators should check with groups to ensure that participants have a clear understanding
of the exercise and stay focused on the task. Allow up to 60 minutes for this task.
• At the close of this exercise, facilitators bring participants back together in a large group.
Using a laptop and LCD projector visible to the entire group, Facilitator 2 will directly
populate the action plan after consensus is reached for each item. Each small group shares
goals, objectives, and key activities, and the facilitator steers the group to consensus for
each item. (i.e. facilitator asks group to make additions only to what has not been already
identified by a previous group.)
• Facilitators should spend a considerable amount of time ensuring that the action plan and
guidelines outline is sufficiently populated to ensure that the organization has an adequate
draft from which to work during the finalization process. Deadlines for the process and final
action plan development should be determined before the session is closed.
• After the draft action plan consolidation has been completed, the facilitator will send soft
copies to key staff responsible for resource mobilization.

VI. Wrap-up & Evaluation 30 minutes

Overview: The wrap-up volunteer calls on the volunteers acting as “eyes and ears” to review
the day and encourages participation by all. Facilitators will take note of comments that are
particularly helpful to assessing value.

Following the close of the wrap-up session, facilitators will hand out formal evaluations to all
participants and remind participants that evaluations are anonymous.

Before the close of the workshop, facilitators may want to share their workshop
thoughts/experiences with participants and should offer participants the same opportunity.

Facilitators may also want to reiterate deadlines or other deliverables following the close of the
workshop.

VII. LUNCH 60 minutes

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Session Recap Questions
(Session 4)

What is the link between an organization’s legacy and resource mobilization?

Why is it important for an organization to have strategic priorities?

What concrete information does an organization need to understand the donor environment?

What are some criteria used in assessing which donors you wish to pursue?

What is networking and strategic marketing and why is it important?

How can strategic networking and marketing assist an organization in resource mobilization?

Name some responsibilities of a prime organization.

What questions should organizations ask themselves when considering whether to respond to an
RFA as a sub or a prime?

Name the key proposal components.

What makes proposals effective?

Identify two elements of a proposal that you can have ready in advance.

Why is it important to have notes with a budget?

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What preparation steps do you need to take before meeting with a prime?

What criteria should you use to select your priority donors?

What kinds of information are available on donor websites?

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Table of Contents:
Resource Mobilization Plan
(Session 4)

I. Legacy Statement: What do you want your organization to be remembered for?

II. Strategic Priorities: What are your organization’s strategic priorities?

III. Resource Mobilization Goal & Objectives:

• Which donors will you target to reach your objectives and why?
• How will you identify, track, solicit, and cultivate these donors?
• Who will undertake and be accountable for these efforts?
• What are the specific roles and responsibilities of each RM team member?
• What is the time frame for implementation?

IV. Fundraising Documents and Systems

• Which documents, templates, and simple systems will you create to support
your resource mobilization efforts?
• What kinds of resource mobilization resources do you have/need?
• Where will this information be located?
• Who will be responsible for managing and updating this information?

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Resource Mobilization Action Plan Guidelines
(Session 4)

I. Components of an RM plan

1. What do you want your organization to be remembered for?

2. What are your organizations’ strategic priorities?

3. What are your resource development objectives to support your strategic priorities? EXAMPLES:
• Increase support from at least XX non-USG donors in the next 12 months
• Secure support from USG donors by winning at least XX projects as a sub or a prime
• Develop all support documents for proposals and keep them in a location accessible to
all RM team members
• Develop at least XX documents that highlight the benefit of your work on vulnerable
households and share/disseminate at XX events or with XX donors

4. Which donors will your organization target? Provide specific examples of donors and how you will
get the information you need to determine whether and how these donors will help you achieve
your objectives. EXAMPLES:
• Conduct internet research
• Attend networking events
• Meet with specific NGO colleagues/primes

5. In what specific ways will these donors support your resource development objectives?

6. For donors that invite solicitations through RFPs 3, how will your organization routinely identify RFP
opportunities in a timely manner?

7. Who in your organization will undertake the overall resource mobilization effort?

8. Who else will be a part of the resource mobilization team?

9. What specific roles will each team member play?

10. What is the time frame for implementing this plan?

II. Fundraising documents & systems to support the RM plan

1. Which templates and necessary documents will your organization maintain to support resource

3
For the purposes of these exercises, RFP and RFA are used synonymously.

73
mobilization and proposal development? Examples:
• Corporate capabilities statement
• Updated staff CVs
• Budget templates with budget notes
• Past performance references
• Statement describing the context in which you are working
• Monitoring and evaluation plan
• Management plan

2. Where will these templates be located?

3. Who will be responsible for updating the templates?

4. What kinds of templates will be developed to track and update donor contacts and research
information?
• List of current donor prospects, contact and background information, and notes
• List of resources for donor research
• List of contacts who can introduce you to donors
• List of current donors, donor contact information, communications with donors, and notes

5. Where will this donor information be located?

6. What kinds of supporting documentation will be developed to present to potential donors and who
will be responsible for developing?
• Basic brochure
• Success stories
• Description of organization’s activities and results
• Case study
• Evaluation report
• Other

74
Resource Mobilization Action Plan: Sample
(Session 4)

Legacy Statement

Strategic Priorities (sample)

1.
2.
3.
4.

Goal (sample)
1. Example: To sustain and increase organizational capacity to support our strategic
priorities.

Objectives (sample)
1. Expand support by xx number of non-USG donors
2. Expand support by USG donors acting as either a prime or a sub
3. Develop and/or compile all necessary templates
4. Develop fundraising systems to support resource mobilization
5. Develop at least xx documents for resource mobilization
6. Determine roles and responsibilities of resource mobilization staff

75
Item Action Steps Person TA/Support Desired Priority Deadline
(samples) Responsible Level
Objectives SAMPLES

1. Expand support 1. Determine steps

by xx non-USG for researching
donors information on non-
USG donors:
a. internet
b. meeting with
other NGOs
c. meeting with
primes
d. meeting with
others who have
linkages to non-
USG donors

2. Submit at least xx
proposals to non-
USG donors
a. coordinate
concept or
proposal
b. submit concept
or proposal
c. follow-up process

76
2. Expand support 1. Determine steps
by USG donors for researching
acting as either a information on
prime or a sub USG donors:
a. internet
b. talking with other
NGOs or talking
with primes
c. talking with
existing donors
d. attending xx
events
e. setting up
meetings with
primes and/or
USAID mission

2. Submit at least xx
proposals or
concept papers
3. Identify 1. Upcoming
expected funding
opportunities opportunities
a. what currently
exists
b. positioning
strategy
c. staff responsible
for tracking
opportunities
4. Develop and/or 1. Update
compile all corporate
template capabilities
documents for statement
developing
proposals

77
2. Develop CV
template; update
CVs
3. Develop past
performance
references template
4. Develop budget
and budget note
template
a. secure biodata
forms
b. update audit
reports
5. Develop
management plan
organogram
6. M&E: develop
template; document
approach
7. Update SOPs;
service standards,
etc.
8. Update by-laws;
update board of
directors list
5. Develop 1. Develop
fundraising systems prospective donor
to support list with contact and
resource background info,
mobilization communication,
websites, and notes
2. Develop list of
online donor
research resources

78
3. Secure soft and
hard copies of all
NuPITA resource
mobilization
handouts and tools
and ensure RM
team has full access
4. Secure soft and
hard copies of all
NPI resource
mobilization
documents and
tools and ensure
RM team has full
access
5. Order business
cards for RM team
6. Assign roles and
responsibilities for
cultivation of
existing donors
7. Develop process
for assigning
proposal
development
coordinator role
8. Establish a list of
possible editors for
proposals or
documentation
9. Create and
manage a list of key
donor prospects
6. Documentation 1. Develop and
for resource disseminate a basic

79
mobilization brochure

2. Develop and
disseminate at least
xx success stories
3. Develop and
disseminate at least
xx case studies
4. Develop and
disseminate at least
xx documents
highlighting
program results
7. Assign roles and 1. Develop a
responsibilities for process for
resource proposal
mobilization staff coordination and
follow-up

2. Assign
responsibilities for
current donor
cultivation
3. Assign
responsibilities for
new donor
research

80
Resource Mobilization Action Plan: Blank
(Session 4)

Legacy Statement

Strategic Priorities

1.
2.
3.
4.

Goal:

Objectives

1.
2.
3.
4.
5.
6.

81
Item Action Person TA/Support Priority Deadline
Steps Responsible Desired Level

Objectives

82
Overall Evaluation (of Days 1-3)
(Session 4)

1. Please score each session in terms of its importance to you in understanding RM

Topics Very Important Somewhat Not
important important important
Organizational legacy
Organizational strategic priorities
Elements of an RM plan
Understanding donor expectations
Criteria for donor assessment
Understanding donor characteristics
Strategic marketing & networking
Understanding role of prime, subs, grantees
Positioning your organization for a proposal
Review of proposal components
Developing effective proposals
Reviewing an RFA
Critiquing a proposal
Understanding fundraising systems

2. Please score each session in terms of your satisfaction with the level of knowledge gained
Topics Very Satisfied Somewhat Not satisfied
satisfied satisfied
Organization’s legacy
Organization’s strategic priorities
Elements of an RM plan
Understanding donor expectations
Criteria for donor assessment
Understanding donor characteristics
Strategic marketing & networking
Understanding role of prime, subs, grantees
Positioning your organization for a proposal
Review of proposal components
Understanding fundraising systems

83
3. How valuable did you find each of the following teaching methods used in the workshop?

Method used Very valuable Valuable Somewhat Not

valuable valuable
Role play
Small group exercise
Small group discussion
Large group discussion
Written exercise

4. a. What were you expecting to learn at this workshop?

b. Were your expectations met? In what ways did the workshop fail to meet your expectations?

5. Which sessions/exercised did you find particularly valuable, and why? Please describe at least
two sessions/exercises in some detail.

6. If this workshop were given again, what would you like us to change? Please be specific.

7. Anything else you’d like to tell us?

84
Daily Evaluation

Which sessions did you find most useful and why?

1._______________________________________________________________

2._______________________________________________________________

3._______________________________________________________________

Which sessions did you find least useful and why?

1._______________________________________________________________

2._______________________________________________________________

3._______________________________________________________________

Do you have lingering questions on any of the topics?

1._______________________________________________________________

2._______________________________________________________________

3._______________________________________________________________

Suggestions for improving the sessions:

1._______________________________________________________________

2._______________________________________________________________

3._______________________________________________________________

Anything else you would like the facilitators to know?

____________________________________________________________

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Resource Mobilization Module Facilitators Guide

Uploaded by

Resource Mobilization Module Facilitators Guide

Uploaded by

Resource Mobilization Module

New Partners Initiative Technical Assistance (NuPITA) Project

Session 1: Developing the Road Map................................................................................................... 7

Donor Grid ................................................................................................................................................. 16

Criteria for Donor Assessment .................................................................................................................. 20

Internet Research Sites ............................................................................................................................... 21

Donor Screen Shots ................................................................................................................................... 23

Donor Expectations .................................................................................................................................... 30

Donor Cultivation Guidelines..................................................................................................................... 31

Strategic Networking Guidelines ................................................................................................................ 32

Session 2: Strengthening the Building Blocks .................................................................................. 33

Prime/Sub/Grantee Matrix .......................................................................................................................... 41

Positioning Your Organization with USAID ............................................................................................... 42

Preparing Your Organization to Act as a USAID Sub-contractor ............................................................. 45

USAID Documentation Checklist............................................................................................................... 47

Recent RFA Announcement Role Play ....................................................................................................... 49

Proposal Components Checklist ................................................................................................................ 50

Effective Corporate Capabilities Statements .............................................................................................. 51

Resource Mobilization Checklist ................................................................................................................ 55

Resource Mobilization Systems Checklist .................................................................................................. 56

Session 3: Developing Effective Proposals ....................................................................................... 58

Positioning Your Organization for an RFA ................................................................................................. 65

Session Recap Questions ............................................................................................................................ 70

Table of Contents: ...................................................................................................................................... 72

Resource Mobilization Plan......................................................................................................................... 72

Resource Mobilization Action Plan Guidelines ........................................................................................... 73

Resource Mobilization Action Plan: Sample ............................................................................................... 75

Resource Mobilization Action Plan: Blank .................................................................................................. 81

Overall Evaluation (of Days 1-3)................................................................................................................. 83

Daily Evaluation ...................................................................................................................................... 85

Have strategic plan: Yes No

Willing to share document: Yes No

Have resource mobilization (development) plan: Yes No

Willing to share document: Yes No

Name Funding level Annual budget

1.________________________ 1._____________________ 1.____________

2._________________________ 2._____________________ 2._____________

4.__________________________ 4._____________________ 4._____________

5.________________________ 5._____________________ 5. _____________

6._______________________ 6.___________________ 6. _____________

___Understanding the donor environment

Resource mobilization module learning approach

Pre-workshop preparation for facilitators

• Ensure that someone is assigned administrative and logistical tasks.

• Identified and articulated organizational legacy

I. Introductions & Workshop Expectations 60 minutes

II. Strategic Priorities 30 minutes

III. Understanding the Donor Environment 30 minutes

IV. Break 15 minutes

V. Focusing Priorities 30 minutes

VI. Criteria for Donor Assessment 15 minutes

VII. Understanding Donor Characteristics and Research Tools 45 minutes

VIII. Lunch 60 minutes

IX. Networking with Donors 90 minutes

XI. Importance of Strategic Networking & Marketing 30 minutes

XII. Elements of a Resource Mobilization Plan 30 minutes

XIII Wrap-up & Day 1 Evaluation 30 minutes

I. Introduction and Workshop Expectations 60 minutes

Welcome and facilitator introduction (5 minutes)

Review of the workshop agenda, objectives, and norms (20 minutes)

Introductions and Legacy Exercise 30 minutes

II. Strategic Priorities 30 minutes

Operational definition: Strategic priorities

• Facilitator 1 asks participants “What do I mean by strategic priorities?” The purpose of

V. Focusing Priorities 30 minutes

VI. Criteria for Donor Assessment 15 minutes

VII. Understanding Donor Characteristics and Internet Research

VIII. Lunch 60 minutes

IX. Networking with Donors 90 minutes

Role play scenario: Meeting and donor

XI. Importance of Strategic Networking & Marketing 30 minutes

The value of strategic networking and marketing

Overview: An organization’s reputation should speak for itself. However, credible

XII. Elements of a Resource Mobilization Plan 30 minutes

In the large group, Facilitator 1 asks participants:

Facilitator 1 then reviews the following elements with participants:

1.______________ 1._ 1.__

2._______________ 2._ 2.___

4.________________ 4._ 4.___

5.______________ 5._ 5. ___

6._____________ 6._ 6. _____