Faculty CenterDecember 2012Beginnings

Grantsmanship

GRANTSMANSHIPGrantsmanship 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 year1. 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.

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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?

Planning Questions

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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….

Process Requirements for Academic Grants

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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

Personnel BenefitsPurchased services/subcontracts StipendsMaterials, supplies, equipment TravelCollege/departmental costs Indirect costs

Formal writing and editing plans need to address the following. Research and literature review Project designProject management / personnel Project timelineProject measures and evaluation Project resourcesProject dissemination Support letter templates

Formal budget meetings need to address the following categories.

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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 orOrganization 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.

ProjectDescription:

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 benchmarksMethods, timeline, work plan, management PersonnelEvaluationSustainability

Budget and Budget Narrative:

Financial description of the project with explanatory notes. It is very important that this matches your narrative.

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Faculty CenterDecember 2012

RESEARCHING GRANTS

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I. Researching Grant ProgramsGRANT 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.

3) The Foundation Center – http://fdncenter.org/

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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 Trainingb) Grants Training for Scientists/Researchersc) 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 onlinee) 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.

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6) PIVOT http://pivot.cos.coma) BYU has a subscription available to all facultyb) Access to over 26,000 funding opportunitiesc) Approximately 3 million profiles from around the worldd) 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 webpagesa) National Science Foundationb) National Institute of Healthc) Department of Educationd) Foundation web pagese) Etc.

II. Program and Proposal MatchingHOW TO ESTABLISH A MATCH

1. Key word searches for funders2. Key word searches in the Request For Proposal or Application (RFP)

and (RFA)3. Key word searches for faculty4. Geographical giving5. Purposes and activities6. Limitations7. Type of support8. Eligibility requirements9. Board members or contacts10.Funding amounts11.Previously funded programs12.Timeline

THE SEARCH1. Document your search

a. Random search—Excel spread sheetb. PIVOT—Save and share electronically with Excel backup

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c. Foundation Center—Save and tag electronically with Excel back-up

2. Grants.gova. For advanced searches involving the RFP

i. Keywordsii. Abstract

iii. Full announcementiv. Application

3. Foundation Centera. Key word and type of fundingb. Grant makersc. Grantsd. Funded proposalse. Search categoriesf. 990’sg. Profile

4. Department and Agenciesa. Keyword searchb. Program searchc. Program synopsisd. Funded abstract searche. Award abstracts

ADDITIONAL RESOURCES1. ORCA2. Grant Professionals Association3. Cooperating collection4. National Grant Management Association

Faculty CenterDecember 2012

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More Details

AbstractThis 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

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Organization and its expertiseA brief statement of the history, purpose, and activities of your agency, emphasizing its capacity to carry out this proposal.

ProblemA brief statement of the problem or need your agency has recognized and is prepared to address.

SolutionA 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 requirementsAn 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.

Need StatementPURPOSE: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.

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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.

NarrativeDeveloping 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. 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.

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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

BenchmarksBenchmarks 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.

Goal or research question:

Objective:

Benchmarks:1.

2.

3.

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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?

MethodsBy 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/AdministrationIn 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.

"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.

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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?

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.

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

Sample timeline

Activities J F M A M J J A S O N DNeeds assessment (project director)

X

First set of informational workshops (project manager)

X

Evaluation of learning (project manager)

X

Evaluation of implementation (project manager, evaluator)

X X X X

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SustainabilityA 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

EvaluationAn 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

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.

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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 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

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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.

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

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Faculty CenterDecember 2012

BUDGETS & FORMS

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BUDGETA 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 section2. Provides detail and rationale for all expenditures3. 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.

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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.

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