Module 6
Grant 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 preproposal 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 coprincipal 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 project
The PI’s name and affiliation
The agency to which the proposal is being
presented
The 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 layperson
State 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 TOC
May 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
DEMO
Format: Budget
• A strong relationship must be demonstrated 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
Preparing the Budget
e. Materials and supplies
f. Publication costs
g. Subcontracts
h. Training costs
i. Other direct costs
j. Permanent equipment
Preparing the Budget
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 all
subjects
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
Patents and Copyrights
• 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
Patents and Copyrights
• 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
Patents and Copyrights
• 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
Patents and Copyrights
-
Films, filmstrips, charts, transparencies,
and other visual aids
Video and audio tapes and cassettes
Instructional materials
Computer programs
Site Visits
• Funding agencies and agencies considering proposals may conduct site visits or
program reviews
• A typical agenda for a site visit may include 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
Steps to Successful
Proposal Writing
• 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?
Steps to Successful
Proposal Writing
• 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)
Steps to Successful
Proposal Writing
b)
c)
d)
Capital expenses? (equipment,
computer hardware)
Supplies and materials? (consumables, non-consumables, S/W
Acceptable activities &/or
purchased services? (travel,
conference expenses, release
time, consultants)
Steps to Successful
Proposal Writing
•
Examine the "Criteria for Review and
Approval"
2) Develop a proposal which will sell your
plan
Steps to Successful
Proposal Writing
• 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
Steps to Successful
Proposal Writing
-
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
Steps to Successful
Proposal Writing
• 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
Steps to Successful
Proposal Writing
-
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
Steps to Successful
Proposal Writing
• 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
Typical Shortcomings of
Proposals
- 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
Typical Shortcomings of
Proposals
• 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
Typical Shortcomings of
Proposals
-
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
Typical Shortcomings of
Proposals
-
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?
Proposal Review Criteria
2) Approach: Are the conceptual framework, design, methods, and analyses
adequately developed, well-integrated,
and appropriate to the aims of the
project? Does the applicant acknowledge potential problem areas and
consider alternative tactics?
Proposal Review Criteria
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?
Proposal Review Criteria
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)?
Proposal Review Criteria
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?
Proposal Review Criteria
• 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
Proposal Review Criteria
(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
Why Funding Agencies Turn
Down Proposals
• 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
Why Funding Agencies Turn
Down Proposals
• 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