Dr. Linda Mason
Oklahoma State Regents for Higher Education
http://www.okhighered.org/grant-opps/
lmason@osrhe.edu
405-225-9486
What you will learn:

Types of NSF Program Grants

Locating Grants

Cyberinfrastructure Grants

Planning a Grant

Writing the Grant

Proposal Review and Follow-up

Grant Management


Monetary award given by a government agency,
foundation, corporation or other entity to fund a
particular project
Generally given to organizations as opposed to
individuals



“If you take any major information technology company
today, from Google to Intel to Qualcomm to Apple to
Microsoft and beyond, you can trace the core technologies to
the rich synergy between federally funded universities and
industry research and development.” (New York Times, 6-2012)
https://beta.congress.gov/bill/113th-congress/housebill/4186 - Frontiers in Innovation, Research, Science, and
Technology Act of 2014 or FIRST Act of 2014 - Strengthens
NSF policy of awarding funds for science.
NSF is moving away from behavioral sciences and political
science, and increasing science research.
Silent partners: Philanthropists
Oklahoma Total contributions - $1.7-billion
Median contribution - $3,116
Median discretionary income - $55,788
Percent of income given - 5.6% (Tulsa 6%, OKC 5.5%)


Individuals 73%

Bequests 8%
$212 billion

$23 billion
Foundations 14%

Corporations 5%
$41 billion

$15 billion




Special Project – new project or project with
limited timeframe: research, solving a problem,
developing something new, recruiting…
Operating – running program to meet
community needs
Capital/Equipment – specified amount for
construction, renovation, expansion, purchase
land or equipment
Endowments - planned gifts, will or trust, use
the interest only, not the grant itself

Government - Federal, State, Local
26 Federal Agencies (900 programs)

Foundations - Second-largest source
238 Oklahoma Foundations;
75,000 private grant making foundations in the US

Direct Corporations or Philanthropists

Cyberinfrastructure
Campus Cyberinfrastructure - Data, Networking, and Innovation
Program (CC*DNI) - 7 awards



Cyberinfrastructure Training, Education, Advancement, and
Mentoring for Our 21st Century Workforce
Cybersecurity Innovation for Cyberinfrastructure (CICI)
NSF Fellowships for Transformative Computational Science using
CyberInfrastructure (CI TraCS)

Software Development for Cyberinfrastructure (SDCI)

Strategic Technologies for CyberInfrastructure (STCI)

2015 NSF Grants Conference
June 1-2, 2015
State University System of Florida
Tampa, FL

NSF is an interactive and responsive
agency. Their active motto is:
“Call
early—call often”
Key Documents



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
Proposal & Award Policies & Procedures Guide www.nsf.gov/publications/pub_summ.jsp?ods_key=papp
Fiscal Year 2015 Budget Request www.nsf.gov/about/budget/fy2015/index.jsp
NSF Strategic Plan for Fiscal Years 2014-2018 www.nsf.gov/publications/pub_summ.jsp?ods_key=nsf1
4043
NSB Report on Merit Review www.nsf.gov/nsb/publications/pub_summ.jsp?ods_key=
nsb1333



Explore NSF award data:
http://dellweb.bfa.nsf.gov/
Look at NSF Transforming Undergraduate
Education in Science, Technology, Engineering and
Math:
http://www.nsf.gov/funding/pgm_summ.jsp?pims_
id=5741
Read grant solicitation


The Proposal & Award Policies & Procedures Guide
(PAPPG) - NSF's proposal and award process
Two parts:
◦ Part I - NSF’s proposal preparation and submission
guidelines – the NSF Grant Proposal Guide (GPG) and the
NSF Grants.gov Application Guide
◦ Part II - NSF’s award and administration guidelines – the
documents used to guide, manage, and monitor the award
and administration of grants and cooperative agreements

Goal of Program
◦ Research
◦ Education

Eligibility
◦ Type of organization
◦ Geographic restrictions
◦ Population target

Special proposal preparation and/or award
requirements
◦ Size of award, number of grants, award size & duration

Better management

Alternative to a call or visit (Investigate
organization to find preference)

Do homework before the letter for previous
funding history, types of projects, amounts

Provide information about your organization

Provide information about your proposed project

Preliminary Proposals – Sometimes required,
sometimes optional
◦ Reduce proposers overall effort
◦ Improve quality of submissions
Proposals that do not contain the following required sections will not be
accepted :

Project Summary
▸ Project Description

References Cited
▸ Biographical Sketch(es) – 2 pages

Budget
▸ Budget Justification

Current and Pending Support
▸ Facilities, Equipment and Other Resources

Data Management Plan
▸ Postdoctoral Mentoring Plan (if applicable)
•If submission instructions do not require one of the above sections to be
provided, proposers must insert text or upload a document in that section of
the proposal that states, “Not Applicable.”


Proposals that do not separately address the
overview and both intellectual merit review criteria
and broader impact review criteria in text boxes
will not be accepted by FastLane.
Project summaries with special characters must be
uploaded as a PDF document (all should be).
Proposers should address:
what they want to do
why they want to do it (Reference information is
required, and proposers must follow accepted scholarly
practices in providing citations for source materials.)
how they plan to do it
how they will know if they succeed
what benefits if the project is successful
A separate section within the narrative must include a
discussion of the broader impacts of the proposed activities.




Start with an innovative idea that addresses a
specific challenge and/or need (purpose).
Start documenting need. Social/economic
costs, beneficiaries, nature of the problem,
impending implications?
Scan and identify grant opportunities.
….Or go backwards: start with a grant
opportunity and develop it into a proposal

Target a grant
o
Make contact with NSF program director!
o
Make sure your focus aligns to the grant criteria
 Review successful and recent awards.
 Identify partners, define roles and build partnerships
as well as community support. It is a BEST PRACTICE
to collaborate with partners for more impact. Many
agencies and foundations require collaboration.

Institutional Support

Letter of Intent

Transmittal Letter

Title Page

Abstract

Table of Contents

Project Description

Data Management Plan

Dissemination Plan

Evaluation Plan

Budget and budget justification

RCR Training Plan

Senior personnel bio statements
◦ Purpose(s)
 Goal(s) or aim(s)
 Objectives or accomplishments
◦ Methodology
 Design and Timeframe

Work charts of activities, responsibilities, dates

Personnel titles and descriptions
◦ Resources
 Partners - Organization/Partner Organization Descriptions
 Personnel – Resumes of all personnel and partners
 Institutional support – Commitment letters, institutional descriptions and
data
 Community support
 Prior funded projects
◦ Data Management Plan

For data, samples, physical collections, curriculum materials and other related
research and education products

Preservation

Documentation

Sharing

Or, assert no need for a data management plan
◦ Evaluation Plan
 Internal and External Evaluators

Quantitative and Qualitative Measures Aligned to Goals

Formative Evaluation Techniques

Summative Evaluation Techniques

Measures
◦ Dissemination plan
 Traditional conference paper and/or article
 Non-traditional website, webinar, blog, class, seminar,
curriculum infusion, bridge program, collaboration

Attachments

Bibliography

Resumes

Letters of commitment
•
Planning a Grant Proposal
Compelling Needs Statement
Heart of your entire case for support!
Capture attention!

Statistics Tell
◦ How much?
◦ How many?
◦ How often?
◦ How severe?
◦ How costly? …but don’t overwhelm! Short!

Sources
◦ US Census Bureau: www.census.gov
◦ Bureau of Labor Statistics: www.bls.gov
◦ Oklahoma Department of Commerce: www.okcommerce.gov
◦ Employment Security Commission: www.oesc.state.ok.us
◦ Local Chambers of Commerce, nonprofits, professional
associations
◦ Oklahoma Regents for Higher Education: www.okhighered.org
◦ Oklahoma Education Information System (OEIS)
http://www.okhighered.org/studies-reports/
◦ National Center for Educational Statistics (NCES) – College & Career
Tables Library, part of DataLab - http://nces.ed.gov/datalab
◦ What Works Clearinghouse; ERIC education database; ten Regional
Educational Laboratories; national Research and Development
Centers - http://ies.ed.gov/
◦ (OK) Education Oversight Board - www.schoolreportcard.org/
◦ Local universities, school districts (less reliable – state and national
data verified)

Statistics
◦ Approximately ___data transmissions from Our University to
our collaborators were sent at xx rate in 2013.

National Need Compared to Local Need
◦ In the US, is estimated that ___percent of data transmissions
are at a rate of xx; this means that at Our University ___ of
our data transmissions are below the national majority….

Leader/Expert Quotes
◦ Harvard researcher shows speed of data transmission
increased 10-fold with the whitchit we propose to use….

Case Statements
◦ Mary Quick, a doctoral student in whitchit research, can do
…..

Write simply http://www.youtube.com/watch?v=GdVd9RXr0Ss&f
eature=relmfu

Plain Language - http://www.plainlanguage.gov/

One subject/one verb/one object.

Do not use acronyms.

Your reviewers will be of mixed expertise.

Use correct science, but simple descriptions.

Write your needs statement.
What you plan to do to
address the need.

What?
◦ Goals and Objectives

Why?
◦ Best Practices/Effectiveness

How?
◦ Tasks/Activities

Who?
◦ Qualified Program Personnel

When?
◦ Time Line

Goals - Broad statements reflecting ultimate results of
accomplishment.
◦ Increase data transmission rate from xx toxxx.

Objectives – Measurement of what the organization will do to
accomplish goal.
◦ Install 54 supportive whitchits for….between Sept. and May

Activities - Specific Tasks or Strategies
◦ Design and develop tutoring model for faculty, doctoral student, masters
student, and undergraduate researchers
◦ Analyze 100 transmissions of….

Outcomes – Measure change as a result of project.
◦ 3 examples of data transmissions for project increased by 100%
Goal:
Primary goal of Our University Whichit Project is to
increase data transmission to collaborative partners by 10 fold
Objective:
Activity
Install 20 new whichits in Our University network.
Date
Responsibility
1. Bids for
whichits
October
2018
Primary Investigator
and senior personnel
2. Install
whichits
August
2019
Doctoral student
technicians
Method
Benchmark
7 largest
manufacturers
Select bid by
12-25-18
Hire
technical
assistants
50% by 4-3018 and 100%
by 7-31-18

Who will manage the project?

Who will be involved in the project?

What are their qualifications?

What are their responsibilities?

What is the management/organizational
structure for the project?

Are you using existing personnel or hiring
someone after the award? If hiring, add a job
description

Assure funding agency you have the qualified staff
to carry out the project.
◦ Job Description
◦ Bio or Resume
◦ Key Responsibilities
◦ Project Experience
◦ Organizational Chart




Are goals/objectives/activities logically derived
from needs statement?
Have you explained why you selected activities or
methods?
Is the timing and order of events clear and
understandable?
Is it clear who will perform specific activities? Are
they fully qualified?

Are proposed activities feasible considering
resources?

Is the proposal easy to read?
www.plainlanguage.gov/

NSF – 2 page limit
If no data management plan, state that in the proposal.
1. Describe the data and formats to be collected
2. Describe physical and cyber resources for storage
3. Describe dissemination methods will be used to
4. Describe the policies for sharing and public access
(including provisions for confidentiality & security)
5. Describe the roles and responsibilities of all parties
after the grant ends
POST-AWARD MANAGEMENT


After an award is made, implementation of the DMP
will be monitored through the annual and final
report process.
Data management must be reported in subsequent
proposals by the PI and Co-PIs under “Results of
prior NSF support”.


How will you share information about the project at
the beginning, during and after the grant is ended?
How will you share information about project
discoveries and resources?

Who will you target?

What communication tools will you use?
Communication Tools
◦ Name the state and national conferences
◦ Publications, i.e. journal articles (name 3 journals)
◦ Newsletters, mailed announcements (name them or make up
your own newsletter and mailing list)
◦ Web Sites (existing ones and your own)
◦ Social media, Pod casts, Wikipedia, Blogs, Webinars (use OK
OneNet)
◦ Interactive Television; Videoconferences (use OK OneNet)
◦ Commercial Television Ads or Public Service Announcements
◦ News Releases – write them, published free
◦ Newspaper Ads - pay
◦ Community Organization Meetings – short presentations
◦ School Classes – guest speaker
◦ Speakers’ Bureaus
◦ Posters, billboards, public bus ads, bus-stop ads
Documenting Results and Impact

Strengthens proposals in eye of reviewers.
◦ What works best.

Learn what is going well and what is not.
◦ Program improvement during the project

Ensures project is operating effectively.
◦ Recipients of public trust.

Create a replicable model for others to use.

What questions will evaluation answer?

What are the specific evaluation plans and time frames?

What data will be collected?

Who will be evaluated/what will be measured?

When will data be collected?

What strategies, tools, or instruments will be used?

Who will conduct the evaluation?

Who will write and receive the report?

How will the information be used to improve the project?

Internal versus external evaluator – or both

Funder requirements
◦ External outside entity

Funding availability – rule of thumb =
approximately 10% of project cost

Qualified candidates

Advisory committee

Quantitative
◦ Number driven
◦ Bottom line
◦ Products

Qualitative
◦ Quality
◦ Perceptions and
experiences of
participants
◦ Adjust programs and
procedures



Formative Evaluation
 Ongoing process of measuring project effectiveness
 Regularly scheduled data collection – monthly, yearly?
 How well completing project activities - timeline
Summative Evaluation
 Final results – each year or at end of total project
 Length of grant
 Goals and Objectives
Instruments - a description of scales to assess attitudes, skills and
other outcomes related to STEM fields http://www.pearweb.org/atis/tools/browse?middle=true

Methods - some simple ways to analyze outcome
data - http://tinyurl.com/Analyzing-Outcome-Data
Budget justifies expenses and
aligns with proposal narrative.

Establish budget period.

Estimate expenses.


Decide whether and how to include indirect costs.
Remember that indirect costs are real! All
subgrantees are eligible for their indirect costs
(UG 2014)
Estimate project revenues.

Consider: Implementation, continuation, and
phase-down costs.
◦ Salaries and increases (no grant personnel can be treated
differently than regular university personnel)
◦ Utilities, insurance, rental space, and equipment
◦ Food, transportation, and telephone
◦ Evaluation systems, audits, accounting systems, and
dissemination activities
◦ Equipment, materials and supplies

Shared by all of the program and entity but difficult to
assign specific amounts to any one program, i.e.:
◦ Liability Insurance
◦ Copier Lease
◦ Financial Management
◦ Security
◦ Utilities
◦ Parking space

Recovery of indirect costs:
◦ Funder’s guidelines
◦ Organization guidelines

Cash match (hard cash)

Work with business manager to explore:
◦ General operating funds
◦ Specialized allocations
◦ Other state or federal grants (allowable)
◦ Private sector grants
◦ Set up a fund internally for matching
1.
2.
3.
4.
5.
6.
7.
0 mistakes! (at least 3 proofers)
Consistent format – numbers, dollar signs, decimals,
commas
Ask for enough, but just enough.
Clearly justify your figures with real estimates, real
travel locations, real mileage, real salaries (no
estimates).
Tell your story. If someone cannot understand your
project from reading your budget, start over.
Include ALL project costs, ALL internal contributions,
ALL partner contributions, and plans for sustaining the
project.
When you do not have a person hired for a position,
include a clear job description.
Present your budget in 4 different ways:




Narrative format (a short summary that refers
to percentages and precedes the standard
format).
Visual format, such as a pie chart that reflects
the percentages mentioned in the narrative.
Standard numerical format.
Budget justification (details about each
numerical item and follows the standard
format).
The overall budget for the Center for SuperOU
Research is projected to be $465,000. Of this amount
53% is for large equipment, 37% is for programs and
services related to collaborative research, and 10% is
for technical assistance.
Item
A.







Annual Expense
Personnel (Salaries, Wages)
Executive Director
Administrative Assistant, .5 FTE
Program Director
Program Assistant
Development Director
Membership Coordinator
Office Assistant
Total Personnel
B.
Benefits Medical/dental coverage
C.
Contractual
 1. Web design and maintenance
 2. Accounting (monthly)
$65,000
$22,000
$38,000
$32,000
$38,000
$32,000
$26,500
$183,500
$22,000
$11,500
$
500

Thoughtful narrative per each item

Summary overview

Discuss any significant increases or decreases
compared with last year's or next year's budget

Important figures (such as a high per unit cost).
For example, if your $250,000 organization has a
$75,000 increase in rent, explain why. If you
hire a manager at ½ the salary, explain why and
how much full salarie would be.
Executive Director, Dr. Joan Smith - The budget request is
for .5 FTE director @ $95,000 annual salary plus fringe
at 28%.
Administrative Assistant, Ms. Mary Smith – The budget
request is for .5 FTE administrative assistant @ $37,500
annual salary plus fringe at 22%. She will be .5 FTE for
the Oklahoma GEAR UP Program at the same time. Office
space is being contributed to the project by the
Oklahoma GEAR UP program.
If you are new to budgeting or want to take a
moment to be sure that you are up-to-speed on
preparing a budget, there are sources available
on-line that have good budget examples.
Work with your budget officer!

Plan required

NSF, NIH and USDA

8 hours minimum

Live methods: not all online

Research faculty involvement

9 topics

Single contact record keeper
◦ conflict of interest – personal, professional, and financial
◦ policies regarding human subjects, live vertebrate animal subjects in
research, and safe laboratory practices
◦ mentor/mentee responsibilities and relationships
◦ collaborative research including collaborations with industry
◦ peer review
◦ data acquisition and laboratory tools; management, sharing and ownership
◦ research misconduct and policies for handling misconduct
◦ responsible authorship and publication
◦ the scientist as a responsible member of society, contemporary ethical issues
in biomedical research, and the environmental and societal impacts of
scientific research

Must have substance!

Avoid duplicate wording

All partners

Major personnel and consultants

Include
◦ Need perspective
◦ Why proposal will solve need
◦ What support will they provide the project?





Donate equipment/funding
Hire graduates
Identify participants
Serve on committees
Sustain after the grant period
 Proposal initiative
◦ Project name, funding competition

Statement of need

Goals

Measurable objectives

Key activities

Impact on problem
◦ What will improve and how many will project impact over
project duration.



Short – 1 paragraph to 2 pages
This is the summary that is posted online after
you are awarded. It is also sent to your local
congressional office, and they use it to send out
news releases. It should have all important
information but no proprietary information.
Usually written first and revised last.

Oklahoma DOES NOT have a central point of contact
requirement except for Homeland Security funds

Read submission requirements early

Individual or Partnership
◦ Drives grant/process
◦ Clearly defined roles
 Lead organization
 Subcontract
 Fiscal sponsor
◦ Plan Ahead (submit at least 1 week early)
◦ Follow Funder Process




Application Instructions
Technical requirements
Checklist
Electronic (Electronic takes TIME, sometimes days or weeks!) or Paper

Create checklist of required items and supplements.
◦ Proposal elements
◦ Criteria
◦ Technical requirements (proof font, tabs, margins, style)
◦ Submittal requirements (hard copy, e-copy)
◦ Budget



Outside readers evaluate.
New pair of eyes to evaluate work. Get three persons to
review: one close, one semi-close, and one cold. Try a
teenager or a grandmother.
Track submission with follow-up note, call, or electronic
verification.

Guidelines vary by entity

Selection criteria and scoring
◦ Published in NSF solicitation
◦ Available from NSF http://www.nsf.gov/publications/pub_summ.jsp?ods_key
=gpg

Peer review






WHY?
Learn to write better
grant proposals
Learn about the funded
grants of the agency
Learn the process and
improve your odds
Network with others like
you
Simplify your writing
Provide a service –
reviewers are needed!




HOW?
Tell the recipient of a grant
Email the funders, program
director, head of agency provide a vitae and short
synopsis of why you may be
of help
Apply online –
http://www.nsf.gov/bfa/dias
/policy/merit_review/review
er.jsp
Need not have grant
experience, just content
expertise

Proposal is Accepted
◦ Yay!!! Plan your project administration.
◦ Negotiated. This is VERY OK, too!!!

Proposal is Rejected
◦ Have 8 hours of depression and regroup.
◦ Obtain reviewer comments.
◦ Make personal visit.
◦ Plan a resubmission with improvements.
◦ All might not be lost...
◦ Write Thank You
to the program director.
In either case, keep writing. BE PERSISTENT!
Consider it planting a seed for future growth.
Daily Oklahoman 5-20-15
Statement from Higher Education Chancellor
Regarding Budget Agreement
Oklahoma State System of Higher Education Chancellor Glen D.
Johnson released the following budget statement in response to the FY
2016 budget agreement:
“We want to thank Governor Fallin and our legislative leaders for
making higher education a budget priority by fully addressing our $8.6
million debt service needs related to the 2005 higher education bond
issue and for limiting the state system of higher education’s budget
cut. We appreciate the leadership provided by the Governor and
Legislature in an extremely difficult budget year. The State Regents
and our 25 public colleges and universities remain committed to
providing Oklahoma students an exceptional higher education
opportunity at a very affordable cost.”
PROFESSIONAL CRITICISMS
Lead to:
CLARITY
A BETTER PLAN
LEARNING

Financial Administration Critical
◦ Determine allowable/unallowable costs
◦ Maintain records
 Financial and staff
 Publicity
◦ Determine cost accounting standards, Uniform Guidance
circular from OMB (Office of Management and Budget)






Accounting
Procurement
Personnel
Property management
Travel
Reporting
Dr. Linda Mason
Oklahoma State Regents for Higher Education
lmason@osrhe.edu
405-225-9486

Mary M. Licklider and The University of Missouri Grant Writer
Network, Grant Seeing in Higher Education: Strategies and Tools
for College Faculty, Jossey-Bass, 2012.

Joseph Barbato and Danielle S. Furlich, Writing for a Good

David Bauer, The “How To” Grants Manual: Successful

Cause: The Complete Guide to Crafting Proposals and Other
Persuasive Pieces for Nonprofits, Simon and Shuster, 2000.
Grantseeking Techniques for Obtaining Public and Private
Grants, 3rd, Oryx Press, Phoenix, AR, 1995.
Alexis Carter Black, Getting Grants: The Complete Manual of
Proposal Development and Administration, Self-Counsel Press,
Bellingham, WA, 2006.

Bev Browning, Grant Writing for Dummies, 2nd., Wiley
Publishing, Hoboken, NJ, 2005.

Mim Carlson, Winning Grants Step by Step, Jossey-Bass
Publishers, San Francisco, 1995.

Arlen Sue Fox and Ellen Karsh, The Only Grant-Writing Book
You’ll Ever Need, Publishers Group West, 2006.

Kenneth Henson, Grant Writing in Higher Education: A Step-byStep Guide, Prentice Hall, 2003.

“Hiring and Working With Grantwriters and Consultants:
Know What You Need and Let Them Do It!” – Linda Hauser,
Wednesday, May 04, 2005, http://charitychannel.com/.

“Positioning Grant Writers For Success” - www.raise-

“The Buck Starts Here” – Karen Markin, The Chronicle of
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“Know the Process, Improve Your Odds” – Brian Cobb and
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“Lessons in Evaluation: How Serving on Grant Panels Could
Make You a Better Writer” – Jennifer Phelps, July 7, 2004,
funds.com/040202forum.html
Higher Education, February 21, 2005.
Stacy Abate, February 22, 2006.
http://charitychannel.com/.
http://charitychannel.com/.
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“Lets Ask for One Million Dollars or Why Successful
Grantsmanship Isn’t Like Buckshot” – Katherine Felts, April
8, 2003, http://charitychannel.com/.
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“Tips for New Grant Writers” – Shelly Uva, March 12, 2002,
http://charitychannel.com/
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Oklahoma State Regents for Higher Education - www.okhighered.org/grantopps/
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NCURA YouTube - http://www.youtube.com/user/NCURA1959
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Training Videos http://www.onenet.net/ops/streaming/brown_bag/brown_bag_index.html
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YouTube - Grant Writing -http://www.youtube.com/
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The Art of Grantsmanship - http://www.hfsp.org/how/ArtofGrants.htm
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The EPA Grant Writing Tutorial http://www.epa.gov/seahome/grants/src/msieopen.htm
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Writing Winning Proposals, the US Department of Energy http://www.leeric.lsu.edu/sample.pdf
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Association of Fundraising Professionals - http://www.afpnet.org/
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National Science Foundation – http://www.nsf.gov
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The Foundation Center - http://fdncenter.org/
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SRA International – Grants Web http://www.srainternational.org/sra03/grantsweb/
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Dr. Steven G. Johnson, Interim Vice President for Research and
Economic Development, University of New Orleans http://orsp.uno.edu/dblog/
Researchers’ Blog: How to Succeed in Academe http://aclinks.wordpress.com/
Wordpress – Blogs about: Grantsmanship http://en.wordpress.com/tag/grantsmanship/
Oregon Health and Science University: Research News http://www.ohsu.edu/blogs/researchnews/
NSF – NFS Update https://service.govdelivery.com/accounts/USNSF/subscriber/new
NIH – Rock Talk - http://nexus.od.nih.gov/all/rock-talk/