Grant Writing Techniques

1. Lloyd D. Brooks, Professor Department of Management Information Systems MIS Research Colloquium September 18, 2009 Grant Writing Techniques

2. Grants Completed Summary • Dissertation Study – Research Coordinating Unit • Mini Grants – Usually Curriculum Related • Outreach Training Grants – USPS, Morgan Keegan, City of Memphis, and Dobbs House • Title III Grant – Federal Act of Congress • Perkins Act Grant – Federal Act of Congress • State of Tennessee Department of Education Grants – Consultation, Curriculum, and Professional Development

3. Typical Professor Activity ExamplesWhere do grants fit into these activities?

4. Why Write a Grant Proposal? • You have a good idea and need extra funds to conduct the study • You want to supplement your academic salary—annual and/or summer • Project results may lead to a journal article • You need funds for travel and other items not fully met by the University • You enjoy developing strategies for solving problems and/or meeting needs of sponsors

5. What are the success rates? • Only one proposal in 5 is turned down because the idea was not good enough • The success rate is higher for proposals submitted a second time • The success rate on a third submission is almost 1:1 • A good grantee track record increases the odds of acceptance • Repeat grants with the same organization have much higher acceptance rates than grants to a totally new funding source

6. Grant Writing Takes Time • Constant practice needed to write a grant. • Best approach is to allocate the same time period each day to grant writing activity and creative thinking • Grants may come from request for proposals, legislative initiatives, recommendations, and grant listings • Completion of one grant may lead to another grant opportunity with the same agency or funding source

7. Types of Grant Funding • Grant – Request for Proposal • purpose is to provide a service or outcome that matches criteria of the grantor as outlined in the RFP • Cooperative Agreement – Another Grantee • cooperatively complete an activity with sponsor who has the grant – a form of outsourcing • Contract – Based on Services Rendered • provide outcome or service in return for payment from grantor as each unit is completed

8. The Process • Develop a good idea • A good institutional fit • Assemble a writing team • Match the idea to a sponsor • Read the Guidelines • Read them again • Contact the sponsor • Develop the budget • Read the guidelines again with narrative in mind • Be persistent - revise and resubmit until the opportunity for funding is lost

9. Idea Origination • You have an idea in your mind for a grant project • You present the idea in a cohesive format that the sponsor clearly understands • Match the idea with a problem the sponsor has in its organization—somethingthe sponsor needs or wantscompleted or accomplished

10. What Questions to Ask • Does the funding agency fund grants related to your idea? • Is the funding agency interested in the same populations that are available for your research? • Has the funding agency funded projects similar to your proposal in the past? • Have they made awards to institutions similar to your university in the past? • Does the agency require matching funds? • What form is required for the proposal?

11. Following the Guidelines • You must follow the guidelines exactly • Respond to all sections of the RFP • Adhere to any format restrictions indicated in the RFP • Topics must be covered in the order presented in the guidelines • Use headings that correspond to the guidelines

12. Technical Issues to Consider Before Writing a Proposal • Conflict of Interest? • Human Subjects? • Due date - received or postmarked • Page limit • Spacing rules • Numbering rules • Margin requirement • Type requirement • Do you need reference letters? • Does the sponsor want your vita?

13. Parts of a Grant Application • Cover Page • Table of Contents • Abstract • Problem Statement • Goals and Objectives • Methodology • Quality of Key Personnel • Evaluation • Dissemination • References Cited • Budget & Narrative • Vitae • Appendices • Forms, Certifications and Assurances

14. Parts of a Grant Proposal

15. Develop The Title Carefully • The title is important. This is the first thing that reviewers see • The title should be concise, but cover the topic of the proposal and relate to the guidelines

16. Abstract • Should be able to stand alone • it may be all the reviewers read • Clear, concise, one page, single space • Never write in first person – Avoid use of “I” entirely • Cover all key grant elements in a logical order

17. Problem Statement is Critical • This problem statement is often poorly written and normally is too long – one sentence only • Convince the funding source that you understand the need and can help them solve the problem • Demonstrate that you have the solution to the problem or need • Demonstrate that the problem can be solved – and that you can do the project to adhere to the guidelines

18. What should be included in a Problem Statement? • State the problem in one sentence. • Follow the problem statement with a few clarifying paragraphs • The problem statement should stand alone, so the paragraphs further explain the problem and related elements

19. Goals and Objectives

20. Goals –Somewhat General • Both the goals and objectives should flow logically from the problem statement • Goals convey what the final project will be after completion • The opening statement of this section should begin with “The goals of this project will be to…” • Itemize the goals, if multiple

21. Goals and Objectives • Goals and Objectives will include: • one or two goals directly related to the grant theme • several objectives related to each of the goals • steps required for achieving each of the objectives • methodology for measuring the objectives

22. Grant Project Methodology • Methodology is usually allocated the most points during the review process • Some grant writers include a poorly written methodology • 2 out of 5 proposals are turned down because the methodologyis unsound

23. Research Project Methodology • How is methodology better and different from previously used methods? • Why did you choose this particular research design? • What are the variables and their descriptions? • Where does the data derive? What is the population size? How will you choose the sample? • What is your detailed plan for completing the project?

24. Key Personnel Quality is Necessary

25. Provide Convincing Evidence • Show that you have some unique talent that is needed for successful completion of the grant • Show how the results will be reported • Show expertise of all key personnel • Show how you have managed previous and similar projects • Will this project serve as a model for similar projects? • Show how this project activity will continue in some form after the project is completed

26. Institution’s Qualifications • Provide good reasons why the grant should be awarded to your institution • The Grants Office can usually provide descriptive material for this section • Highlight the institution’s capabilities, in relation of the project mission

27. Dissemination

28. Results Dissemination Plan • How will the results be reported? • Who will receive the results? • What media will be used for dissemination, such as computer networks, video tapes, conferences, professional journals, or publication of books, chapters, or monographs?

29. The Budget

30. Budget Development • The Grants Office must be involved in budget development • Do not inflate the budget, but include enough to complete the project • The budget must be itemized for each expense category such as supplies, travel, copying, salaries, etc. • There is often an internal and an external budget. The funding agency does not see the internal budget

31. Direct and Indirect Costs

32. What Happens to Indirect Costs? • The Business Office keeps a percentage of the funds for the institution • The Grant Writer without restriction, but within University guidelines for spending is awarded a percentage (10% at U of M) • The PI’s department without restriction is awarded a percentage (5% at U of M)

33. Sample Budget Categories • Salaries • Fringe Benefits • Indirect Costs • Travel • Materials & Supplies • Equipment • Other • Total Direct Costs • + Fringe Benefits 36.4% of Salaries + Indirect Cost Rate (Usually about 28%) • Total Budget

34. Salaries • Your time must be figured in percent of effort devoted to the grant project as it relates to 100%. • You may not work more than 100%. • Example: • Academic yr. = $142,000 x 50% FTE = $71,000 • Include pay for summer pay, if appropriate

35. Fringe Benefits • Varies according to classification of employee and salary • Faculty are generally charged 36.4% of salaries for grants at the University of Memphis

36. Who Signs on the Line? • Can you sign your own application as the “authorizing signatory”? No. • Only Dr. Shirley Raines can sign for The University of Memphis.

37. Review Criteria

38. Review • Application Guidelines contain review criteria • Peer Reviewed • Panel Review • Staff Review • If points are assigned to grant sections, one weak section may limit the chances of an otherwise strong proposal.

39. Place Yourself in the Reviewer’s Place

40. Writing Style • Make sure that all pages are not just solid text – too boring and mundane • Use bulleted or numbered items for lists • Use graphics only where value is added • Use headings and subheadings • Look at each introductory sentence of a paragraph. This might be all the reviewer will read • Use type faces with serifs, like Times, because they are easier to read • Do not justify the right margin in most cases

41. Grant Submission • Watch due date in the guidelines—received by or postmarked by • Make sure you have the correct address and appropriate person to receive the grant • The Grants Office personnel will facilitate copying, mailing, and getting the President’s signature

42. The Final Document • Readable, neat, easy to handle. Use action verbs. Itemize lists • Avoid fancy covers • Be sure sections are easily identifiable and table of contents is accurate and matches the headings in the proposal • Include the required number of copies • Provide necessary signatures in black ink

43. Main Reasons for Proposal Failure • Deadline not met • Guidelines not followed • No interestingangles to project • Did not meet priorities of the grantor • Proposal incomplete • Poor literature review • Appeared beyond capacity of PI • Methodology weak • Unrealistic budget • Cost greater than the benefit • Poorly written

44. The Grant Award • The Grants Office sets up a unique grant account number for the grant • Although the college is legally responsible to the sponsor as the actual recipient of a grant or contract, the PI is held accountable for the proper fiscal management and conduct of the project • All expenditures must be approved while following university procedure • Grant recipient is responsible for meeting all reporting deadlines and writing the report

45. Comments • Do you have ideas for grant proposals? • Do you have a dissertation idea that may also be of interest to a grant sponsor? • What are some of the similarities between the format for a grant proposal and the format for a dissertation proposal?

46. Thanks for your attendance and attention today