Faculty Center
December 2012
Beginnings
Grantsmanship
GRANTSMANSHIP
Grantsmanship is a process that begins with an idea, continues through development
and collaboration, and culminates in a project that is funded and successfully
implemented. Following this sequence will build a strong foundation that results in
sustainable change. Grant writers understand and respect each step in a program’s
progression. This course will focus on the practical steps of the grantwriting process.
The funding process
PHASE I – PROPOSAL PREPARATION AND SUBMISSION –90 days- 1 year
1. Opportunity Announced.
2. Proposal Submitted.
3. Proposal Received.
PHASE II – PROPOSAL REVIEW AND PROCESSING – 6 MONTHS
1. Reviewers Selected.
2. Peer Review. Proposals reviewed by 3-6 or more peer reviewers
3. Program Officer Recommendation. fund or not fund
4. Director Review.
PHASE III – AWARD PROCESSING – 30 DAYS
1. Business Review. The business office conducts a review of business, financial, and
policy implications. Generally, awards are made within 30 days after the program
office makes its recommendation.
2. Award Finalized.
Page 2 of 23
In order to write a successful grant, you must
understand the foundation, process, and purpose
of grants.
1. What is a grant?
2. What a grant is not?
3. Do you know the pieces for preparing, writing, submitting, and implementing a grant?
4. If the answer is no, do you know where to obtain good information?
Page 3 of 23
Planning Questions
1. What is your research question or the need?
2. What is the scope of the project or populations to be served?
3. What evidence do you have that this need is documented in
literature?
4. What are the expected outcomes of your research/plan?
5. How are you uniquely qualified to run a project?
6. Can you design an evaluation plan that will determine when you have
successfully achieved your goal? Or, is an outside evaluator needed?
7. What equipment and personnel will be needed? How will these
resources be managed? By Who?
8. What is your research timeline? Career timeline?
9. How will you continue to sustain your research after funding ends?
10. Who in your organization will help you write the grant? Are there
outside consultants or specialists you will need to bring in?
11. What partnerships or collaborations exist or could be formed to
strengthen your proposal?
12. How will you involve key stakeholders and document collaboration?
Now—let’s play in a sandbox….
Page 4 of 23
Process Requirements for Academic Grants
Obtain endorsement from the appropriate chair and deans office:

Conference with and obtain proper support from your department chair

Work with the Dean’s office to ensure financial and facility support

Work with the ORCA staff to meet timelines and requirements for submission
Personnel involved in program development should:

Develop a writing team

Collect team contact Information

Evaluate key concepts of the project against the RFP requirements

Assign forms and assurances

Define collaborative partners

Follow and adhere to partners’ processes for review and approval

Contact each partner with a concept design

Schedule for needed signatures
Formal writing and editing plans need to address the following.
Research and literature review
Project management / personnel
Project measures and evaluation
Project dissemination
Project design
Project timeline
Project resources
Support letter templates
Formal budget meetings need to address the following categories.
Personnel
Purchased services/subcontracts
Materials, supplies, equipment
College/departmental costs
Benefits
Stipends
Travel
Indirect costs
Page 5 of 23
Components of a Proposal
Funders create applications that will provide them with the information they have
decided they want to receive. Read the application (RFP/RFA) carefully and reflect its
structure in your document. Additionally, reflect the RFA’s language in your proposal,
especially in your purpose and goals.
Basic sections of an application:
Abstract or
Summary:
This is an umbrella statement and summary of
the entire proposal. I write it last.
Applicant Statement or
Organization Information:
History and governing structure of the
applicant; its primary activities, audiences, and
services.
Statement of Need or
Problem Statement:
This is where the writer describes why this
project is necessary using pieces of literature
review. It is usually shorter than the nuts and
bolts section.
Project
Description:
This is where the nuts and bolts of how the
project will be implemented and evaluated are
included. This section generally includes:
Goals, objectives, and benchmarks
Methods, timeline, work plan, management
Personnel
Evaluation
Sustainability
Budget and Budget
Narrative:
Financial description of the project with
explanatory notes. It is very important that
this matches your narrative.
Page 6 of 23
Faculty Center
December 2012
RESEARCHING
GRANTS
Page 7 of 23
I.
Researching Grant Programs
GRANT RESOURCE INFORMATION
1) Grants.gov – http://grants.gov/
a) Grants.gov allows organizations to electronically find and apply for
competitive grant opportunities from all Federal grant-making
agencies. Grants.gov is the single access point for over 1000 grants
programs offered by the 26 Federal grant-making agencies. To
subscribe for email alerts, from the home page, click on Find Grant
Opportunities and choose from grant subscription opportunities
listed. Subscribing is as easy as typing in an email and preferences.
b) If individuals click on Applicant Resources (left side) it takes them to a
grant tutorial site that contains information ranging from grant
vocabulary to submission checklists.
2) Federal Register – http://www.gpoaccess.gov/fr/
a) The Federal Register is published by the Office of the Federal
Register, through the National Archives and Records Administration
(NARA). The Federal Register is the official daily publication for rules,
proposed rules, and notices of Federal agencies and organizations, as
well as executive orders, other presidential documents, and grant
notices. It is updated daily by 6 a.m. and is published Monday
through Friday.
b) Individuals can receive daily Federal Register Table of Contents. They
can also subscribe, unsubscribe, or change subscription options for
individual lists.
Page 8 of 23
3) The Foundation Center – http://fdncenter.org/
a) BYU has a subscription to the Foundation Directory Online, which has
various searchable databases of both government and foundation
funders.
b) User name: Byuacadvp Password: Cougars2002
c) The Foundation Center Directory also includes 990’s. These are
nonprofit tax return forms. They include the following useful
information: grant guidelines, board member names, giving history.
Additionally, the Foundation Center website contains a variety of
writing resources for the grant seeker. However, the language in
these resources is geared toward foundation grants.
4) The Grantsmanship Center – http://www.tgci.com/
a) Customized Training
b) Grants Training for Scientists/Researchers
c) A Grant Domain that includes a comprehensive list of government
and foundation grant opportunities.
d) More than 900 successful grant proposals abstracts that can be
viewed for free. The full proposal can also be purchased online
e) Daily Federal Register Announcements
5) IRIS – http://www.library.uiuc.edu/iris/
a) The IRIS Alert Service
b) BYU is a member of IRIS, which means that BYU faculty can search
the IRIS Database for funding opportunities in fields ranging from
agriculture to zoology, or view upcoming deadlines in 25 subject
areas. The IRIS Alert Service allows users to create their own IRIS
search profile. Search profile run automatically at specified intervals
and will alert users to upcoming funding opportunities in their areas
of interest. Click on IRIS Alert Service on their main page for more
details.
Page 9 of 23
6) PIVOT http://pivot.cos.com
a) BYU has a subscription available to all faculty
b) Access to over 26,000 funding opportunities
c) Approximately 3 million profiles from around the world
d) Suggests potential funding opportunities for you based on your Pivot
profile (harvested and maintained by COS Pivot editors)
e) Gives you one place to manage and track funding of interest
7) Department or Agency webpages
a)
b)
c)
d)
e)
II.
National Science Foundation
National Institute of Health
Department of Education
Foundation web pages
Etc.
Program and Proposal Matching
HOW TO ESTABLISH A MATCH
1. Key word searches for funders
2. Key word searches in the Request For Proposal or Application (RFP)
and (RFA)
3. Key word searches for faculty
4. Geographical giving
5. Purposes and activities
6. Limitations
7. Type of support
8. Eligibility requirements
9. Board members or contacts
10.Funding amounts
11.Previously funded programs
12.Timeline
THE SEARCH
1. Document your search
Page 10 of 23
a. Random search—Excel spread sheet
b. PIVOT—Save and share electronically with Excel backup
c. Foundation Center—Save and tag electronically with Excel
back-up
2. Grants.gov
a. For advanced searches involving the RFP
i. Keywords
ii. Abstract
iii. Full announcement
iv. Application
3. Foundation Center
a. Key word and type of funding
b. Grant makers
c. Grants
d. Funded proposals
e. Search categories
f. 990’s
g. Profile
4. Department and Agencies
a. Keyword search
b. Program search
c. Program synopsis
d. Funded abstract search
e. Award abstracts
ADDITIONAL RESOURCES
1. ORCA
2. Grant Professionals Association
3. Cooperating collection
4. National Grant Management Association
Page 11 of 23
Faculty Center
December 2012
More Details
Page 12 of 23
Abstract
This first page of the proposal is the most important section of the entire document.
Here you will provide the reader with a snapshot of what is to follow. Specifically, it
summarizes all of the key information and is a sales document designed to convince the
reader that this project should be considered for support.
Below is a common outline for foundation/small grant abstracts
Organization and its expertise
A brief statement of the history, purpose, and activities of your agency, emphasizing its
capacity to carry out this proposal.
Problem
A brief statement of the problem or need your agency has recognized and is prepared to
address.
Solution
A short description of the project, including what will take place and how many people
will benefit from the program, how and where it will operate, for how long, and who will
staff it. Evaluation is usually briefly covered as well.
Funding requirements
An explanation of the amount of grant money required for the project and what your
plans are for funding it in the future.
Government Agencies often include an abstract template. The following is an overview
of the abstract/summary directions from a Request For Proposal from the Institute of
Educational Sciences.
1) Title of the program and institution affiliation.
2) The CFDA number and program
3) A brief description of the research partnership and how it will be maintained
4) A brief description of the education issue to be examined by the partnership
5) A brief description of the setting in which the research will be conducted
6) A brief description of the population being addressed and/or the sample
7) A brief description of the initial analysis to be done
8) A brief description of any other data collections or analyses considered
Note: Ask what is the purpose of an abstract/summary. Know your audience.
Page 13 of 23
Need Statement
PURPOSE:
The Need Statement presents facts and evidence to support the need for the project
(program) you are proposing. It also establishes your organization as being capable of
addressing the need.
When identifying problem and writing the Need Statement, you must convince the
funding source that the issue(s) you want to address are important to your organization
and to the funding source.
The following steps are to be taken when writing your Need Statement:

Define the problem, its causes and symptoms

Gather data to support the existence of the problem and extent of your need

Write the Need Statement(stated as the current situation)
An Effective Need Statement. . . .

Describes the target populations to be served

Defines the community problem to be addressed

Is related to the purposes and goals of your organization

Includes quantitative and qualitative documentation and supporting information

Does not make any unsupported assumptions

Describes the situation in terms that are both factual and of human interest
You want the need section to be succinct, yet persuasive. Like a good debater, you must
assemble all the arguments, then present them in a logical sequence that will readily
convince the reader of their importance. As you marshal your arguments, consider the
following points.




Decide which facts or statistics best support the project.
Second, give the reader a reason to find and fund solutions
Decide how to demonstrate that your program/project addresses the need
differently or better than other projects that preceded it.
Avoid circular reasoning.
Narrative
Developing Your Goals and or Research Questions
The description of your program should describe and discuss the potential benefits to
the population/community being served. Your program will serve as a means to an end.
Page 14 of 23
As you develop your program is essential that you keep your goals/research questions
clearly in mind during your planning process
Goals are general non-measurable statements that describe desired results of your
program/research. Your goals must address the intent of the funding source.
Do not over-commit. Program goals should be high enough to produce some worthwhile
benefits but low enough to be manageable.
The importance of setting realistic goals is not to be over estimated.
Program Evaluation Objectives
Objectives are the measurable outcomes of your program. They define your methods.
Your objectives must be tangible, specific, concrete, measurable, and achievable in a
specified time period. There are several types of objectives:
Objectives or research questions:




Deal with one issue
Must be understandable
Must be realistic
Represent a desired result
Process objectives look at how a program functions:
 Helpful for internal analyses
Effect Objectives:
 Measure what the program did for participants in terms of increases or
decreases
Objective Development
 Deal directly with what your project does
 Clearly identify and label the actions to be performed—makes outcome
development easier
 Simple—direct actions only
 Single actions only
Benchmarks
Benchmarks are signposts that give ongoing markers for when small parts of the
objectives should be finished. They are the method by which you track your formative
progress throughout the grant.
Sometimes the benchmarks may be displayed in a timeline or Gantt chart. Mapping the
connections between goals, objectives, and benchmarks may be helpful in proposal
development.
Page 15 of 23
Goal or research question:
Objective:
Benchmarks:
1.
2.
3.
Methods
By means of the objectives, you have explained to the funder what will be achieved by
the project. The methods section describes the specific activities that will take place to
achieve the objectives.
The methods section enables the reader to visualize the implementation of the project.
It should convince the reader that your agency knows what it is doing, thereby
establishing its credibility.
One of the most important things to remember about the methods section is that it
must tie to the budget. There shouldn’t be anything in one section that isn’t in both.
How: This is the detailed description of what will occur from the time the project begins
until it is completed. Your methods should match the previously stated objectives.
This section may also include a diagram if your delivery methods are complex or your
organization/partnership is difficult to understand.
When: The methods section should present the order and timing for the tasks. It might
make sense to provide a timetable so that the grants decision-maker does not have to
map out the sequencing on his or her own. The timetable tells the reader "when" and
provides another summary of the project that supports the rest of the methods section.
Why: You may need to defend your chosen methods, especially if they are new or
unorthodox. Why will the planned work most effectively lead to the outcomes you
anticipate? You can answer this question in a number of ways, including using expert
testimony and examples of other projects that work.
Staffing/Administration
In describing the methods, you will have mentioned staffing for the project. You now
need to devote a few sentences to discussing the number of staff, their qualifications,
and specific assignments. Details about individual staff members involved in the project
can be included either as part of this section or in the appendix, depending on the
length and importance of this information.
Page 16 of 23
"Staffing" may refer to volunteers, consultants, or
paid staff. For a project with paid staff, be certain to
describe which staff will work full time and which will
work part time on the project. Identify staff already
employed by your organization and those to be
recruited specifically for the project.
Salary and project costs are affected by the
qualifications of the staff. Delineate the practical
experience you require for key staff, as well as level
of expertise and educational background. If an
individual has already been selected to direct the
program, summarize his or her credentials and
include a brief biographical sketch in the appendix. A
strong project director can help influence a grant
decision.
Questions to ask about staffing:
 How will you free up the time
of an already fully deployed
individual?
 Is the number and time
allocation of staff sufficient to
complete the project?
 If you will be hiring a new
position, have you created a
description that explains the
professional or academic
background of that person?
 Have you credited any
volunteers appropriately?
Describe for the reader your plans for administering the project. This is especially
important in a large operation, if more than one agency is collaborating on the project,
or if you are using a fiscal agent. It needs to be crystal clear who is responsible for
financial management, project outcomes, and reporting.
Sample management chart
Activities
Person(s) Responsible
Timeline
Page 17 of 23
Sample timeline
Activities
Needs assessment
(project director)
First set of
informational
workshops (project
manager)
Evaluation of
learning (project
manager)
Evaluation of
implementation
(project manager,
evaluator)
J
X
F
M
A
M
J
J
A
S
O
N
D
X
X
X
X
X
X
Sustainability
A clear message from grantmakers today is that you will be expected to demonstrate in
very concrete ways the long-term financial viability of the project to be funded.
Characteristics of the Sustainability section:




Presents a long-term plan
Discusses diversified fundraising strategies
Is specific
Instills confidence that your project isn’t a sinkhole
Evaluation
An evaluation plan should be built into the project as it’s conceived. It should include
two basic components: How you will measure whether the objectives have been met,
and how you will assess whether the methods were followed (implementation).
Characteristics of the Evaluation:
 States specific criteria that indicate success
 Identifies who will be doing the evaluation and their qualifications
 Describes how data will be collected, when, and by whom
 Explains the evaluation instruments that will be used and why they were
chosen
 Describes data analysis process
 Identifies the evaluation reports that will be produced
Page 18 of 23
When you write, please note……





Evaluation is a critical element of any proposal
The RFP often gives criteria for choosing an evaluator
Evaluators should help to write the proposal
Evaluators should help to define research questions
Evaluation costs need to be included into the budget
Including an evaluation plan in your proposal indicates that you take your objectives
seriously and want to know how well you have achieved them. Evaluation is also a
sound management tool. Like strategic planning, it helps you refine and improve your
program. An evaluation can often be the best means for others to learn from your
experience in conducting the project.
There are several types of formal evaluation. One measures the product; others analyze
the process and/or strategies you've adopted. Most seek to determine the impact on
the audiences you serve and the measurable outcomes of your grant project. Either or
both might be appropriate to your project. The approach you choose will depend on the
nature of the project and its objectives. Whatever form your evaluation takes, you will
need to describe the manner in which evaluation information will be collected and how
the data will be analyzed.
Formative vs. summative data:
Evaluation scoring language examples:
1. Evaluation of quality and impact (10 points).
 How well the applicant will collect and analyze data on the quality and impact of
the proposed project activities, including the extent to which the availability of,
the access to, and the use of up-to-date school library media resources in the
elementary schools and secondary schools served by the applicant were
increased; and the impact on improving the reading skills of s
2. Research supported under the Exploration goal identifies (1) malleable factors
that are associated with student academic outcomes and (2) factors and
conditions that may mediate or moderate the relations between malleable
factors and student outcomes. This identification is to be done through the
analysis of data (collected by the project and/or using a secondary data set). By
malleable factors, the Institute means factors that can be changed by the
education system. Projects under the Exploration goal are to (a) generate
hypotheses regarding the potential causal relations between malleable factors
Page 19 of 23
and education outcomes, (b) contribute to theories of change for education
interventions, (c) contribute to the development of interventions that can
improve student outcomes or to identify the conditions that are associated with
better implementation of interventions, and (d) identify potentially beneficial
interventions.
3. Under the Social/Behavioral special education research program, applicants
must address:
 Malleable factors that are associated with social, emotional, or behavioral
competencies that support learning from kindergarten through Grade 12 for
students with disabilities or at risk for disabilities for the purpose of identifying
potential targets for intervention
 Mediators or moderators of the relations between malleable factors and child
outcomes for the purpose of identifying potential targets for intervention
 Assessments of social, emotional, or behavioral outcomes that are strongly
associated with learning outcomes for students with disabilities or at risk for
disabilities from kindergarten through Grade 12 for students.
4. Under the Social/Behavioral program:
 All applicants must include measures of students' education outcomes. By
education outcomes, the Institute means those measures of learning and
achievement that are important to parents, teachers, and school administrators
(e.g., grades, achievement test scores, graduation rates, percentage of time
spent in the general education environment).
5. Assessment and evaluation of NSF funded projects should be based on
appropriate metrics, keeping in mind the likely correlation between the effect of
broader impacts and the resources provided to implement projects. If the size of
the activity is limited, evaluation of that activity in isolation is not likely to be
meaningful. Thus, assessing the effectiveness of these activities may best be
done at a higher more aggregated level than the individual project.
Page 20 of 23
Information for about Institutional Review Board (IRB):
The IRB (Institutional Review Board for the Protection of Human Subjects) is a Federally
mandated body charged with protecting the rights and safety of participants in
biomedical, social and behavioral research. The IRB requires compliance with basic
ethical principles of research articulated in the Belmont Report and the U.S. Department
of Health and Human Services. BYU maintains an IRB that reviews, approves and
certifies that researchers are indeed protecting their human subjects.



Information is available on the ORCA website
ORCA requires faculty to complete a tutorial https://irbtutorial.byu.edu/
Overview of BYU IRB process
Page 21 of 23
Faculty Center
December 2012
BUDGETS & FORMS
Page 22 of 23
BUDGET
A budget cannot be prepared until the agency's policies, priorities, and plans have been
clarified. The budget is derived from the objectives, tasks, and activities expressed in
your proposal/program. However, it should be developed right along side of the
methods section.
Characteristics of a strong Budget:
1. Reflects the Methods section
2. Provides detail and rationale for all expenditures
3. Contains NO surprises
Points To Remember:






If there is a specified fund limit, DON'T EXCEED IT.
Describe the need for budget totals/items in a narrative to assist the reviewer to
determine the reasonableness of proposed budget.
Budget should be realistic and not extravagant. Leave some room to negotiate.
Identify your agency's contribution for match/in-kind and identify other local funds
available for project.
For multi-year grants, decrease the amount of government support and build up
local support.
The amount of your request should be reasonable in relation to the anticipated
results and work necessary to obtain results.
Indirect or Facilities and Administrative Costs
What goes into F&A at BYU?
 Operations and Maintenance
 Building and Equipment Depreciation
 General Administration
 Department Administration
 Sponsored Projects Administration
 Library
 Student Services
A thorough review is done every five years and adjustments are made as needed. The
rates are audited, negotiated and approved by the Department of Health and Human
Services (DHHS). For more info about this process, contact Kathleen Rugg or Preston
Back in Grants and Contracts Accounting, (801) 422-5990.
Some proposals require a copy of the most current rate agreement. If yours does, it is
posted on http://orca.byu.edu under “Forms” or contact ORCA.
Page 23 of 23