module 6 grant writing kathleen burnett, fsu linda smith, uiuc harry bruce, uw

Module 6Grant Writing

Kathleen Burnett, FSU

Linda Smith, UIUC

Harry Bruce, UW

Outline

• Administrivia

• Pre-Proposal Activities

- Funding Sources

- Request for Proposals

• Proposal Format

- DEMO

Outline

• Steps to Successful Proposal Writing

- Shortcomings

• Proposal Review Criteria

• Class Discussion

Before Writing the Proposal

• Define your project:

- Sketch a research “mission statement”

- Define the scope of work

- Determine the broad project goals & then identify the specific objectives

that define to accomplish those goals

Before Writing the Proposal

- Decide which target population you will study, and how they will benefit

- Draft expected project outcomes in measurable terms

- Draft a realistic timeline that includes planning, searching for funds,

researching, & starting the project

Funding Sources

• In most universities, faculty, graduate students, and professional staff are encouraged to seek outside funding for:

- Research projects

- Training grants, and

- Other sponsored activities

Funding Sources

• Graduate students can benefit through:

- Assistantship support

- Help with dissertation expenses

- Post-doctoral opportunities

Funding Sources

• The overall rewards from outside funding can be almost immediate through:

- breakthroughs in basic and applied research

- enhancement of teaching

- services provided to the public

Funding Sources

• The University environment encourages the close integration of research and instruction, including the employment of students on projects and the use of research facilities for classroom instruction

External Sources of Support

• Sources of sponsored research:

- Federal Government Agencies

- State & Local Governments

- Private foundations

- Industry

Where to Find External Funds• SPIN.Plus consists of three interrelated

components: SPIN, GENIUS, and SMARTS

1) SPIN (Sponsored Programs Information Network) is a funding opportunities database that provides an up-to-date listing of inter/national governmental & private sources

Where to Find External Funds

2) GENIUS (Global Expertise Network for Industry, Universities and Scholars) is a

web-searchable database of scientific and scholarly expertise.

3) SMARTS (SPIN Matching and Researcher Transmittal System) is an e-mail notification service

Where to Find External Funds

4) Listservs – set up by the various funding agencies / foundations

Internal Sources of Support

• Limited funds are available within a University to support research and scholarly investigation

• Funds vary depending upon the total moneys available and competing needs

Where to Find Internal Funds

• Possible sources include:- Department chairs and deans- Awards (e.g., First-Year Assistant Professor Awards, Planning Grants, and Developing Scholars Awards, etc.)- Cornerstone Programs (e.g., Centers of Excellence; Program Enhancement

Grants; etc.)

Other Sources for Funds

• Network with colleagues

• Think Interdisciplinary

• Find and study previous grant proposals of colleagues that have been successful

• Attend conferences and seminars

Contacting the Funding Source

• Consider the sponsor as a resource and contact the research grant/project officer

• Request the proposal guidelines, a list of funded projects, and an annual report

• Determine how the sponsor's funding parameters meet your project's budgetary needs: What’s covered/not covered?

Contacting the Funding Source

• Inquire if the sponsor will review a pre-proposal or accept a letter of inquiry

• Determine and understand the review and evaluation criteria

• Determine who are the members of the review committee and focus accordingly

Responsibility for Proposals

• Who may submit proposals:

- A principal investigator (PI) or co-principal investigator (Co-PI) must have the rank of professor, associate professor, assistant professor, research scientist, associate research scientist, or assistant research scientist

Responsibility for Proposals

- Visiting, adjunct, and courtesy appointments do not satisfy eligibility requirements

- Exceptions to the above policy may be made for research associates masters & doctoral candidates with the approval of the Chair/Dean/VP Research

Sponsored Research Services (SRS)

• Early contact is recommended with SRS to discuss the viability of a prospective proposal; forms to be filled out, deadlines, and budget issues such as fringe benefits, indirect costs and cost sharing

Successful Grant Proposals

• Project goals and objectives of the grantee and those of the granter are in agreement

• Plus, the recipient has convinced the provider that the proposed plan described for bringing about the goals is reasonable and will be successful

What’s In an RFP• Submission deadline(s)• Eligibility criteria• Proposal format• Proposal review timetable• Budgets and what's covered and what's

excluded• Evaluation process and criteria• Whom to contact

Proposal Format

• Most funding sources require essentially the same type of information, usually in the following basic categories, although the order may differ:- Title Page- Abstract- Table of Contents (and List of Illustrations/Tables)

Proposal Format- Introduction, Statement of Need, Problem

Statement, or Justification

- Objectives

- Procedures

- Evaluation

- Dissemination

- Facilities and Equipment

Proposal Format

- Personnel

- Time Frame

- Budget

- References

- Bibliography

- Appendices

Proposal Format

• It is of critical importance that proposal developers follow exactly the guidelines provided by the sponsoring agency

• Remember to include all required forms, representations, certifications and assurances

Format: Title Page

The title of the projectThe PI’s name and affiliationThe agency to which the proposal is being

presentedThe duration of the project, the funds

required from the agency

Format: Title Page

The signatures of the PI and a University official authorized to sign for the University (Vice President for Research)

The date submitted

Format: Abstract

Should be a condensed version of the project (~ 200-250 words)

Written for the well informed laypersonState concisely the significance of the

research, what is hoped to be accomplished and how

The time span of the project

Format: Abstract / TOC

Remember that the title page and abstract are extremely important in creating a favorable first impression of the proposal

Format: Table of Contents (TOC)

If the proposal contains more than three sections, a TOC should be included after the abstract page

A breakdown beyond a first subheading is not usually necessary

Note: the abstract is not listed in the TOCMay also need a listing of illustrations,

tables, or charts

Format: Introduction

The introduction sets forth the major focus of the proposal

It presents the statement of need (what is to be done and why) and states the importance of the project, both locally and nationally

Format: Introduction

Summarize previous research in the field, including your own, that supports the statement of need

The relationship of the project to the interest of the funding agency may be tactfully stressed

Format: Objectives

• An objective should match every major need stated in the introduction

• Include as much technical detail as necessary to explain what is intended to be done and how it will be accomplished

Format: Objectives• The objectives may be broken down into

general and specific categories

• Proposed objectives should be measurable and related to the stated problems

• Indicate what measurement indicators will be used to determine if the objectives have been achieved

Format: Procedures• The procedures section gives details of

how the objectives will be achieved

• May begin with an overall design or approach for the project, followed by descriptions of specific activities

• The procedures may be written in several different ways: by activities; by functional categories; or by major time blocks

Format: Procedures

• If the procedures section is too long, it can be reduced through judicious use of appendices, tables, and illustrations

• The reviewers will normally scrutinize the procedures section more carefully than other section

Format: Evaluation• Most projects require an evaluation of

accomplishments

• The evaluation should indicate the type of evaluation information to be collected, how this will be analyzed, and provide a pattern for its dissemination and use

• Evaluation criteria should be provided for each objective

Format: Dissemination• Most projects result in published papers

• Some agencies require additional dissemination of the results

• Dissemination of the results may take the form of a conference or workshop, project newsletter, production of audio-visual material, meeting to report results to potential users, or other means

Format: Facilities & Equipment

• This section discusses the equipment and facilities required for the project (e.g., computers, libraries, laboratories, etc.)

• These may be items requested in the budget or provided by the University

• Justification for the purchase of equipment should be stated

Format: Personnel

• Includes all professional staff, together with a list of support staff

• It is important to state the estimated time each person will spend on the project.

• Describe the education and experience of key personnel to make evident their abilities and professional accomplishments

Format: Personnel

• A complete vita, including all articles and publications is normally incorporated into the proposal for the PI and any Co-PI(s)

• Do not list persons without their permission and the permission of their supervisor

Format: Time Frame

• A time frame may be included as part of the procedures section or it may be presented separately

• Set forth clearly the sequence and timing of each part of the project

• Leave time at the end of the project for the preparation of the final report

Milestones• URL: www.kidasa.com

• There are a number of software packages available that you can use to create a Timelines aka Gantt charts (no dependencies) PERT charts (with dependencies

Milestones Interface w/

ToolBox

Sample Timeline using Milestones

Format: Budget

• A strong relationship must be demon-strated between the project's objectives and its budget

• Proposal budgets frequently contain errors (which cause delays) in the categories of indirect costs, cost sharing, and fringe benefits

Facilities & Administrative (F&A) aka Indirect Costs

• It is the policy of most universities to charge the maximum federally negotiated F&A rate on all sponsored projects regardless of funding source unless a sponsoring agency's written policy will not allow full or partial recovery of F&A costs

Facilities & Administrative (F&A) aka Indirect Costs

• F&A costs represent the costs of the University which are not readily identifiable with a particular project (e.g., the costs of operating & maintaining buildings/grounds; space & equipment usage; general & departmental administrative salaries, library costs, etc.

Cost Sharing• Costing sharing or matching is that portion

of project costs not borne by the sponsor

• Most institutions make a cost sharing commitment only when required by the sponsor or by the competitive nature of the award and then to cost share only to the extent necessary to meet the specific requirements of the sponsored project

Format: References• If agency instructions do not stipulate the

format for references, the following guidelines may be used. If there are three or fewer references, they should be indicated as footnotes

• If there are more than three references, or if they are repeated, make a list of references and refer to them by number

Format: Bibliography

• If there is material which has served as source material but which is not referred to directly in the text, list it separately in this section

Format: Appendices

• Should be used to present extensive and detailed calculations or explanations

• They can also be used for other related material complementing the general presentation

• Charts and/or tables

Preparing the Budget

• The PI is responsible for the preparation of a proposal budget that is an accurate appraisal of costs necessary to perform the proposed scope of work

• The proposal budget should be as detailed and complete as possible

• All costs of the project should be included

Preparing the Budget - Estimates should be prepared for the

total cost of the project & costs/year

- Allowances for cost increases in future years (personnel, other costs, etc.)

- Contributions from other sources, if required by the sponsoring agency, should be listed in similar categories

Preparing the Budget - Indirect cost rate agreement(s)

- Fringe benefit rates

- Budget Components:

a. Salaries and wages

b. Fringe benefits

c. Consultants

d. Travel


e. Materials and supplies

f. Publication costs

g. Subcontracts

h. Training costs

i. Other direct costs

j. Permanent equipment


k. Off campus space

l. Indirect costs

m. Cost sharing

Human Subjects in Research• Responsibility of the University to

safeguard the rights and welfare of human subjects involved in research and teaching

• No award will be made unless the project is given initial and continuing review and approval by the Human Subjects Committee in accordance with applicable federal regulations

Human Subjects in Research

• Approval is dependent upon:

- Risks to subjects are reasonable in relation to anticipated benefits

- Selection of subjects is equitable

- Informed consent

- Documentation is provided

Human Subjects in Research

- The research plan makes adequate provision for monitoring the data

collected to insure the safety of allsubjects

- There are adequate provisions to protect the privacy of subjects & to maintain the confidentiality of data

Patents and Copyrights

• The Office of the Vice President for Research is responsible for all matters relating to inventions, patents, trademarks (except institutional trademarks and names), and copyrights

• Represents the University in all matters of patent policy


• Unless otherwise specified in a federal contract or grant, the University has a right of first refusal to title in inventions or copyrights created during federally funded research

• Each University has policies governing patents


• Some agencies may include restrictive clauses or prohibit the copyrighting of research results without agency approval

• The release of materials to the public without a copyright notice may place the materials in the public domain and bar future establishment of a copyright


• The following types of materials may be subject to copyright:

- Books, journal articles, glossaries, bibliographies, study guides, laboratory manuals, syllabi, tests, and proposals

- Lectures, musical or dramatic compositions, and unpublished scripts


- Films, filmstrips, charts, transparencies, and other visual aids

- Video and audio tapes and cassettes

- Instructional materials

- Computer programs

Site Visits• Funding agencies and agencies consider-

ing proposals may conduct site visits or program reviews

• A typical agenda for a site visit may in-clude a presentation & discussion of the project with the visitors

• A well planned and executed site visit will enhance the project's chance of approval

Steps to Successful Proposal Writing

1) Read in detail the Request for Proposals (RFP)

- Note: The RFP is the primary source of information needed for writing a request for money from a granting agency


• Determine the granters' reasons for funding:

- What is the perspective of the granting agency?

- What are the agency's specific goals?

- Do your needs fit these goals?


• Check on specifics concerning the available money:- How much is available; how many and what size grants are expected to be

awarded?- What can the money be used for?

a) People? (salaries & benefits, stipends)


b) Capital expenses? (equipment, computer hardware)

c) Supplies and materials? (consumables, non-consumables, S/W

d) Acceptable activities &/or purchased services? (travel, conference expenses, release time, consultants)


• Examine the "Criteria for Review and Approval"

2) Develop a proposal which will sell your plan


• Develop a sound plan and promote its value

- Establish a need for the implementation of the plan you are proposing

- Explain general goals of the plan, specific objectives to meet the goals/activities & include a timeline


- Describe why you are convinced that this plan will be effective

- Establish a budget for the implementation of the activities

- Describe how you will evaluate the effectiveness of the project


• Write the Proposal

- Follow the suggested format exactly (including the number of pages!)

- One of the first things the evaluators will look for is how completely you

followed the instructions


- Use a straight-forward, simple, writing style

- Proposals that are hard to understand will be rejected

- Look for TERMS that are used in the RFP and repeat them, if appropriate,

in the proposal


• Follow required procedures for submitting the proposal

- Be sure to have all the signatures required

- Be sure to have the requested number of copies &/or electronic submission

- Meet the deadline!

Typical Shortcomings of Proposals

• The proposal is not well organized:

- Inadequate documentation of the significance of the project or program is presented

- Objectives are incomplete and/or vague

- Target group is not clearly identified


- Plans or description of plans for evaluating the effectiveness of the project or program and/or its utilization are inadequate

- The continuation of the program is not explained

- Program guidelines, priorities, and literature have not been thoroughly reviewed


• The budget is incorrect or incomplete:

- The budget is not summed correctly

- Salary rates, fringe benefits, cost sharing or indirect costs are incorrectly calculated

- Budget items are not adequately explained or referenced in the narrative


- The budget does not show the institutional commitment, if required

• The proposal lacks a professional appearance

- Application forms and items requested are incomplete or missing


- Excessive jargon is used

- Appendices are excessive

- The proposal is bulky and difficult to handle

Proposal Review Criteria

1) Significance: Does this study address an important problem? If the aims of the application are achieved, how will scientific knowledge be advanced? What will be the effect of these studies on the concepts or methods that drive this field?


2) Approach: Are the conceptual frame-work, design, methods, and analyses adequately developed, well-integrated, and appropriate to the aims of the project? Does the applicant acknow-ledge potential problem areas and consider alternative tactics?


3) Innovation: Does the project employ novel concepts, approaches or method? Are the aims original and innovative? Does the project challenge existing paradigms or develop new methodologies or technologies?


4) Investigator: Is the investigator appropriately trained and well suited to carry out this work? Is the work proposed appropriate to the experience level of the principal investigator and other researchers (if any)?


5) Environment: Does the environment in which the work will be done contribute to the probability of success? Does the proposed research take advantage of unique features of the academic environment or employ useful collaborative arrangements? Is there evidence of institutional support?


• Miscellaneous: In addition to the above criteria, most government agencies review grant proposals with respect to: (i) the adequacy of plans to include both genders, minorities, and their subgroups; (ii) the reasonableness of the proposed budget and duration in relation to the proposed research; and


(iii) the adequacy of the proposed protection for humans, animals or the environment, to the extent they may be adversely affected by the project proposed in the application

Why Funding Agencies Turn Down Proposals

• The application is outside the purview of the funding agency

• The methodology appears to be flawed

• The applicant has not included measurable outcome indicators in the proposal


• The funding agency is not the most appropriate source of funds for the proposed project

• The funding agency has already funded a similar project in the past

• The funding agency's priorities and interests may have changed


• The proposed project does not allow for the highest and best use of the agency's funds

• The applicant has failed to demonstrate fiscal accountability

• The applicant has used the "shotgun" approach

Proposal Evaluation

• Once the proposal has been written, it should answer all of the following questions:- What will be done?- Why should it be done?- How will it be done?- Who will be the key personnel involved?

Proposal Evaluation

- Where and what facilities or equipment are needed?

- How will the effectiveness be measured?

- How much will the project cost?

- How feasible is the project?

Proposal Evaluation

- How much staff time is needed?

- How many new resources are required?

Syllabus Presentations

module 6 grant writing kathleen burnett, fsu linda smith, uiuc harry bruce, uw

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