Making it Happen: The Basics of Grantwriting

Claire Howard

Grantwriting Solutions, Inc.

Phone: 203-624-4552

Email: clairehoward@aya.yale.edu

Website: www.grant-writers.org

Introductions

Name Organization What are you hoping to get out of workshop? Something fun you’ve done the last six

months

Overview

Federal and Foundation Applications NIH Grants Writing Goals and Objectives Lunch Break Practice Being a Grant Reviewer Building Relationships with Funders

General Funder Concerns

Why should we fund you? What is unique about your project?

How will you spend our money? How do we know that you won’t come back for

more money?

How can you prove that your project is effective?

Matching up NIH and Foundation Applications

Abstract Background Background and Significance Needs

Statement Specific Aims Goals, Objectives,

Outcomes Research Plan Evaluation Plan and

Project Design

Federal Grants

Highly competitive Time Consuming Very difficult to get the first time around

A Word to the Wise

Read and follow the instructions Misspellings, grammatical errors and incorrect

references reflect badly on your judgment Never assume the reviewer knows what you mean Collaborate, collaborate, collaborate Be Unique

NIH Grant Sections

1. Abstract

2. Specific Aims

3. Background and Significance

4. Preliminary Studies/Progress Report

5. Research Design

The Writing Order

1. Specific Aims2. Research Design3. Preliminary Studies/Progress Report4. Background and Significance5. Abstract

In the beginning

A critical idea is the single most important element of the grant application

The idea must be: Original Nontrivial Add significant new knowledge or fill an

existing knowledge gap

Abstract

Concise Plain English – No Jargon A general outline of what to expect in your

narrative Easier to write once the entire application is

completed

Abstract: Main Content

Hypothesis Aims Objectives What makes your application unique Any other required information

Abstract: Important Considerations

The first section reviewers read Used for public information and press

releases Needs to fit in the pre-allocated space – less

than a page

Research Plan

Main section in a NIH grant application Outlines proposed research, why it is

important, and how it will be conducted Contains four sub-sections: specific aims,

background and significance, preliminary studies and progress report, and research design and methods.

Research Plan: Tips

Only promise what you can do Be clear on a timetable Create an outline first to stay organized

Specific Aims

A road map of your grant Essentially objectives and milestones for

your work Write your aims again and again and again…

Specific Aims: Structure

Short introductory paragraph Brief overview of project Significance Central hypothesis or goal

Specific aims Descriptive one line title (key preliminary data supporting hypothesis) Hypothesis/goal Experimental approach (how you will test the hypothesis) Summary sentence (why this experiment is important)

Specific Aims: Potential Problem Areas

How many specific aims Integration of specific aims Relationship of specific aims to central hypothesis Goals vs hypotheses Depth vs breadth Novelty Lack of hypotheses Alternative hypotheses Organization Physiological/biological/clinical relevance

Background and Significance

Opportunity to demonstrate knowledge of the field

K.I.S.S. Try to leave out jargon and technical terms Limit to 2-3 pages

Background and Significance: What to include

References to current scientific literature How does that previous work fall short? Emphasize the importance of your work, not the

importance of the disease or the problem (i.e. the importance of diabetes screening, not how bad diabetes is)

The connection between your work and eventual cures

How does your work fit into NIH’s mission to improve health through science

Preliminary Studies

Make sure to include data from other reports Assess it critically Look at where the data has fallen short in the past Use all explanations of a data to show how further

exploration is needed and your work will fill that gap

Focus mainly on whatever preliminary data you have developed

Research Design and Methods

Main Criteria: Significance Approach Innovation Investigators Environment

1. Significance

Does this study address an important problem?

If the aims are achieved, how will scientific knowledge be advanced?

What will be the effect of these studies on the concepts, methods, technologies, treatments, services, or preventions that drive this field?

2. Approach

Are the conceptual or clinical design, and analyses adequately developed, well integrated, well reasoned, and appropriate to the aims of the project?

Does the applicant acknowledge potential problem areas and consider alternative tactics?

3. Innovation

Is the project original? Does it challenge existing paradigms or

address an innovative hypothesis in the field? Does the project develop or use novel

concepts, approaches, methods, tools, or technologies?

4. Investigators

Are the investigators 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?

Does the investigative team bring complementary and integrated expertise to the project (if applicable)?

5. Environment

Does the scientific environment contribute to the probability of success?

Do the studies benefit from unique features of the scientific environment or subject populations or use useful collaborative arrangements?

Is there evidence of institutional support?

Budget and Justification

Try to be as accurate with forecasting expenses and salaries

Take into consideration any rules around percentage of overhead expenses

Allow enough time for edits of the budget in a spreadsheet program

Process of Reading Grant Applications

1. Sections to read to ensure a fit

2. Read carefully through the entire application with a highlighter and a pencil

3. Use checklist and grading sheet to formulate an outline and plan of action

1. Important Sections

Matching requirements During the period of the grant, 25% has to be

matched from other sources Becoming more popular with some federal

departments. Called leveraging in some foundations

Collaboration requirements Funding Priority areas

1. Other Important Sections

Types of agencies funded Non-profit organizations only or county/city

agencies Submission Deadline Ways to Submit Application

Internet Mail In person/Delivery

2. Read Carefully

Read it to get a full and complete understanding of what they want

Take about 30 minutes in a quiet room alone Jot down important items in the margins or

on a separate notebook

3. Grading Sheet

Headers on a grading sheet/priorities list become headers for a checklist

Have a list of deadlines on the other side of the sheet

Establishing Clear Goals and Objectives

They are the backbone of the evaluation component

Tells a funder where their money is going Helps you to make a compelling argument

for the importance of your project to the public, funders, and others

What is a Goal?

A broad statement of general outcomes that do not include specific performance levels

Different Goals: Outcome Activity Bridging

Outcome Goals

The final intended consequence of a program for its clients and/or society. Example: Increased access to information on

STD prevention.

Activity Goals

The internal mechanics of a program and the desired substance and level of clients a program hopes to serve. Example: To provide free asthma screening to

young adults.

Bridging Goals

Connect activities to outcomes by routing the activities to the consequences, rather than being final ends. Example: Increased awareness of the risks of

smoking

What makes a good goal

Only one idea (i.e. “lower the rate of diabetes among African-american children through education” needs to be broken into “lower the rate of diabetes among African-american children” and “emphasize education”)

Distinct from each goal (i.e. Goal 1: Determine developmental needs of young children in Westchester, NY and Goal 2: Distribute needs survey to parents of young children in Westchester county, NY)

Poorly Worded Goal

ORIGINAL

Have medically underserved access routine mammography and health education.

REWORDED

Increase access to mammograms among medically underserved women.

What is an Objective?

A specific, measurable statement of the desired immediate or direct outcomes of the program

Objectives are the outcomes of your activities – not the actual activities Activities = means Objectives = ends

Good Objectives

Begin with: To increase… To decrease… To reduce… To achieve… To insure…

Objectives should answer

Who… Is going to be doing what… When… How much … How we will measure …

Example

Provide culturally sensitive breast health education to 200 medically underserved women.

Who….medically underserved women Is going to be doing what… ? When….? How much …. 200 more than what? How we will measure it….?

Rewritten Objective

To increase, by September 2006, access to mammograms among women without health coverage in Westchester county, NY by 10% as measured by the NY Health Department.

Going through the questions

Who… women without health coverage Is going to be doing what… increase their

access to mammograms When… by September 2006 How much… 10% increase How we will measure it… state Department

of Health count of number of mammograms

Exercise

Formulate a Goal and Objective for your Agency/Program within your Agency

Break into groups of three and take turns sharing and editing each others goals and objectives

When writing a grant application

Don’t use lots of jargon Be concise Be specific Start with an outline Answer the question(s) written

When Editing the Application

Length requirements Present a clear compelling case Grammar Make sure everything is very logically laid

out Don’t reference sections that don’t exist

Mindset of a Reviewer

Compares grant applications to the ideal standard not to each other

The 12-12-12 rule Pulled a 12 hour workday Its now 12 midnight 12th Proposal in a large stack

Creating a Scoring Sheet: Federal Grants

Points explicitly stated on some agency applications

Guidelines and Priorities also explicitly stated

Easy to translate into an outline and a grading sheet

Creating a Scoring Sheet: Foundation Grants

Priority areas can be less clear Need to read in between the lines and jargon Not just application, but explicit foundation giving

preferences Annual reports or any public information on prior

grantees Sometimes graded by peer reviewers, mostly by a

program officer Remember the 12-12-12 rule

Process of Relationship Building

Acknowledgement

Research

Introduction

Build Relationship

The Ask

Step One: Research

Get Organized

Develop Note Keeping Methods Microsoft word file Hand written file/notes

Make a decision on the most convenient method and stick to it

What do you know?

Write down everything you know about the individual/foundation and organize into sections.

Read all information Identify gaps in your information What questions are not answered?

Questions on the Foundation

What kind of foundation is it? Community, Family, Corporate?

What is the foundations geographic range? National, Regional, State, Local?

What’s their strategic focus? What are their affiliations?

Conservative, Humanitarian, Liberate, Moderate

Finding Information: Foundations

Foundations Website Press Releases Annual Reports

Memberships in other coalitions and efforts Collaborations with other foundations

Review Information

Re-read all gathered information Look for connections:

Membership in Similar Community Organizations Similar issues of concern Attendance at same church or church affiliation Children attend same school, little league, drill team,

basketball etc Political affiliations Neighbors, co-workers, board members know them

Step Two: The Introduction

Planning an Introduction

Make a list of possible ways of obtaining an introduction from list of connections/threads.

When Where By whom

Preparing

Decide on the 2 best methods of obtaining an introduction

Refine and define each method Rehearse each method Decide on which method is the best one

(prioritize) Stick to the method that you decide on

What to do

Cheerful and positive Dress appropriately Show interest Have appropriate questions Light and friendly exchanges Professional behavior Exchange business cards Keep it brief

What to not do

Ask for money Ask personal questions Make negative comments Talk excessively about agency Stalker-like behavior Press for commitment

Role-playing Exercise

Roles:1. Foundation Program Officer2. Colleague3. Agency staff member

A colleague knows the program officer of the foundation and has agreed to introduce the Agency staff to the program officer at a conference co-sponsored by the foundation.

After the Introduction

Document the first introduction Analyze the introduction Did you accomplish your goal? What did you learn that you did not know? Develop more connections/threads

Step Three: Building a Relationship

Planning your Approach

Based on research, figure out what you have in common with the person (committees, etc)

Based on that information, decide events, etc that are of common interest that you can approach the person at for short conversations

Make sure that these are events, things that are already of interest to you or that you are already involved in (to avoid stalker-like behavior)

Things to Do

Go up and re-introduce yourself Have business cards with a brochure to exchange Converse on a topic of interest to the person Ask questions that are of mutual interest Be friendly and cheerful but informative Leave with something definite you will do or the

individual will do Whatever you ask of them, it should be simple and easy

to do.

Things not to Do

Talk excessively about the agency or yourself Be negative about issues she likes or about the

foundation Angry and argumentative Not dressed appropriately. Ask for a monetary commitment

Document the Contact

Jot down notes and observations Analyze the meeting Ask yourself:

Did you accomplish your goal? What would you do different?

Things to do: Foundation

Send the newsletter and agency brochure with a personal note attached

Call in two weeks to follow up on information sent and request a meeting

Be flexible and allow them to set the date, time, and location

Preparation for the Meeting: Foundation

Be prepared to discuss your agency and the program

Ask for feedback on the program idea and take notes.

Ask if it is something that the foundation would have an interest in funding. If you have completed your homework you know

what the funding priorities are. Make sure to thank them at the end of the

meeting.

Step Four: The Ask

Foundation: The Meeting

Discuss your agency and have a packet of information

Present program idea/concept Ask for feedback Take notes Ask if program fits into foundations mission

and giving strategy

Step Five: Acknowledgement/Thank You

Acknowledgement and Thank You: Foundation

Put their name on the agency’s mailing list. Follow their guide lines for record keeping Attend foundation’s functions Invite to agency’s top events and send

tickets (be there to greet them personally) Keep abreast of their funding priorities. Do another ask within a year depending on

guidelines .

Keep the Relationship Going

Include their name on the agency’s mailing list. Be sure to send birthday and holiday cards Invite to important agency events and always be

there to greet them personally Get the person involved in the agency as a

volunteer if possible. Ask for names of friends to contact. Do not forget them – maintain the relationship and

do another ask

General Federal Grant Resources

Websites outlined on handout Most important thing to do is allow yourself

a lot of time Get a fresh set of eyes to read and edit the

applications Use a peer review network Professional firms

General Foundation Resources

Foundation Center Classes and Books Regional/Local United Ways NY or Regional Association of Non-Profits

Important Presentation“Take Aways”

1. Central Funder Concerns2. Lead with strong goals and objectives3. Develop relationships with potential

foundations4. Writing tips5. Establish systems to review and edit your

application

General Funder Concerns

Why should we fund you? What is unique about your project?

How will you spend our money? How do we know that you won’t come back for

more money?

How can you prove that your project is effective?

Lead with strong goals and objectives

Goals: A broad statement of general outcomes that do not include specific performance levels

Objectives: the outcomes of your activities – not the actual activities Who… Is going to be doing what… When… How much … How we will measure …

Process of Relationship Building

Acknowledgement

Research

Introduction

Build Relationship

The Ask

Writing Tips

Grammar Be concise Start with an outline Length Requirements Don’t rely on grammar

Reviewing Systems

Create a score sheet Have a colleague or friend review and score

application

Give verbal overview of project to foundation staff if possible

Remember the 12-12-12 rule