SIUC SPONSORED PROJECT GUIDE

Section 2: Project Planning

2.1 Initial Project Development
2.2 Internal Funding Programs
2.3 External Funding Sources
2.4 Industry Sponsorship: Special Considerations
2.5 Before You Write the Grant Proposal
2.6 Release Time and Cost Sharing

2.1 Initial Project Development

As a potential applicant for external funding, your first steps are to develop preliminary ideas for your project and to identify sponsors whose interests and priorities are compatible with your research goals.

Before you can target the most appropriate funding agencies, you must know what you hope to accomplish and what institutional capabilities are in place to make the project possible. You may already have preliminary data to build upon, or you may need to do some pilot work (perhaps with University support; see Internal Funding, below). If your idea involves a partnership with colleagues, other universities, or the private sector, you need to begin laying the groundwork early on.

Many factors will influence the type of proposal you write and the agency to which you submit the proposal. At the project planning stage, it is vital to think carefully about:

The need for the project. You will be in a better position at the proposal-writing stage if you have done a thorough job of reviewing the literature, gathering data, and assessing other studies in the same area. This knowledge will help you define your approach to the project and point out its uniqueness and potential contribution to the field.
The degree of training and experience that you have had in the proposed research area. This will help you determine whether to submit the proposal alone or perhaps seek collaboration with a more experienced researcher. Make sure you are eligible to serve as a principal investigator (PI).
The funds, facilities, equipment, and personnel needed to carry out the project. These are key considerations in planning the project and identifying funding sources. Different agencies fund different types of projects. Some disallow certain types of expenditures, such as equipment. The availability of needed research expertise or resources is critical to a project and a strong selling point for a proposal.

Advice at the planning stage from colleagues, department chairs, and associate deans for research can prove invaluable in obtaining grant funding. We also urge you, particularly if you are new to grant writing, to meet with the ORDA research project specialist assigned to your college to discuss your research interests and possible funding sources.

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2.2 Internal Funding Programs

Obtaining an internal (SIUC-funded) grant often is the first step toward external funding, particularly for new faculty. ORDA administers a competitive seed grant program (see below). Some SIUC research centers and colleges also offer small grant programs in specific areas.

Non-grant funding programs that can improve your chances of landing an external grant or contract include matching funds for proposals and travel funds.

Faculty Seed Grants

Full-time faculty members on continuing appointment may apply to the Faculty Seed Grant Program, administered by ORDA. Seed grants are competitive, peer-reviewed awards that fund a variety of research, scholarly, and creative activities in order to allow faculty to better compete for external funding. They enable faculty to run a pilot study, analyze preliminary data, do background research on an issue, complete a key stage in a larger scientific, scholarly, or artistic project, or otherwise lay the groundwork for an externally funded project. Proposals are reviewed annually by designated faculty committees. Grants are made for a period of one year. For details, see the program guidelines and application form on the Faculty Seed Grant Program main page.

Interdisciplinary Research Seed Grants

Full-time faculty members on continuing appointment may apply to the Interdisciplinary Research Seed Grant Program, administered by ORDA. This competitive, peer-reviewed program provides initial support for new, long-term programs of collaborative interdisciplinary research that will have strong potential to attract external funding. Grants are made for one or two years in priority areas that may change from year to year. For details, see the program guidelines and application form on the Interdisciplinary Research Seed Grant Program main page.

Matching Funds

The Matching Funds Program, administered by the Office of the Vice Chancellor for Research and Graduate Dean, assists faculty or staff who are pursuing external grants that require a match, or for which a match would be highly advantageous. Proposals with a partial match from the department or college are more likely to gain a matching funds commitment from the Vice Chancellor. Proposals to competitive federal programs that require a match are given highest priority. See the program guidelines for the application procedures and request form (fillable PDF format).

Note that any cash match from this program or from other SIUC units either must appear in the budget or must be cited in the proposal narrative or budget justification. It also must be indicated on the Proposal/Award Checklist. If you don't meet these requirements, the grant's matching funds could be rescinded. Match must be identified in the proposal in order for the University to recoup the allowable amount from a state program that reimburses matching funds.

Travel Support

The Travel Support Program, administered by ORDA, provides funds to (1) attend national or international conferences in order to give presentations; (2) travel to sites for special one-time research opportunities or collaborations (note that most research travel is supported under the Faculty Seed Grant Program); and (3) visit program officers to help secure funding for a major project, such as a research center. Applicants must also have support from some other source (dept., college, etc.). Preference is given to tenure-track/tenured faculty and to faculty or staff with regular graduate faculty status. Some funds also are available for students for the same purposes. See the program guidelines for more details, application procedures, and request form (fillable PDF format).

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2.3 External Funding Sources

Since agency grant programs and program priorities change from year to year, it is important that you have up-to-date knowledge about funding sources. The best place to start is right here, with ORDA's web site. Most funding searches these days are done via the Internet, and many funding agencies now release information only electronically.

From ORDA's home page, you can access the Community of Science (COS) grant program database, which makes searching for funding sources convenient. You can access a wealth of material from COS by keyword, program type, or academic qualifications, and you can arrange for funding alerts to be e-mailed to you automatically. Our web site's External Funding menu leads to pages containing links to public and private funding agencies and agency application forms. ORDA also publishes print and electronic versions of Research Matters a monthly newsletter containing grant program descriptions and deadlines, listings of grant/contract awards, and other research-related information.

In reviewing funding sources, you should look for the following:

compatibility of your proposed research and agency interests;
number of grants awarded annually by the agency and average award amount;
typical number of proposals received for a particular program or solicitation;
eligibility requirements: geographical restrictions (if any), types of institutions and investigators funded, etc.;
types of support given (e.g., research, general operating, equipment, etc.);
application deadlines for grant programs (most programs have review cycles, but some accept proposals at any time); and
method of application.

Government Agencies

Federal, state, and local government agencies constitute by far the largest source of external funding for grants and contracts at SIUC. Most federal and state agencies that award grants and contracts issue formal Requests for Proposals (RFPs) or Requests for Applications (RFAs) within clearly defined programs. Local public sponsors include cities and school districts; the awards they make are often small contracts. In addition, federal or state funds sometimes are subcontracted through these local sponsors or through other universities or agencies to SIUC ("flowthrough" funds).

Business and Industry

Most industry sponsors of research do not run formal grants programs or issue Requests for Proposals. Instead, projects tend to evolve through informal networking or prior contacts such as consulting relationships. Awards frequently are grants-in-aid or contracts. (Corporate foundations and nonprofit industry associations often do make grants through organized research programs; see the information on foundations below.)

Faculty also work with business and industry partners through the federal Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) programs, which allow University researchers and small businesses to work together. A small percentage of each federal agency's research money is set aside for SBIR and STTR initiatives to increase the commercialization of innovations from federally funded research.

Foundations

Grantmaking foundations are nonprofit organizations whose funds usually come from a single source—an individual, family, or corporation. Some, such as the Ford Foundation and the Rockefeller Foundation, administer highly competitive, nationwide grants programs. Others are restricted geographically and usually make small grants. Special-interest foundations restrict their grants to programs within a single field. Foundations can be an excellent source of funding, but applicants must have innovative ideas and must carefully target those foundations most likely to be interested in the project topic. It's essential to get current information from the Internet about foundation grant programs, since many foundations change program emphases from year to year. See the list of foundation links on ORDA's web site.

Important: If the foundation you're interested in does not offer specific grant programs but invites letters of inquiry for grants, check first with Jeff Lorber (453-7174, jlorber@siu.edu) at the SIU Foundation to see if the University is already working with the foundation. Many foundations prefer to have only one contact at an institution and expect all funding requests to be coordinated through that person; Jeff can assist your efforts. If a foundation only makes gifts rather than grants, you must work through the SIU Foundation.

Other Nonprofits

Other nonprofit funding agencies include professional societies, fundraising/research organizations, and associations for industrial or other special groups. Some of these organizations run formal grants programs and issue Requests for Proposals; others operate informally. SIUC faculty and staff have obtained grants from groups ranging from the American Heart Association to The Nature Conservancy to Arts Midwest.

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2.4 Industry Sponsorship: Special Considerations

Although grants-in-aid from industry require no formal proposal, they still are institutional research awards that must be processed through ORDA. In the case of other grants and contracts, discussions with the industry representative will clarify expectations and lay the groundwork for submission of a proposal through ORDA to the prospective sponsor. Such discussions do not create binding commitments between sponsors and the University. Only the authorized institutional official (the ORDA director for the SIUC chancellor) can legally bind the University to grant/contract agreements.

Although proposals for industry-sponsored projects often are shorter and less formal than those submitted to federal agencies, the accompanying legal agreement can be quite elaborate. Besides addressing the planned research and its costs, discussions with industry sponsors should cover matters such as publication rights, intellectual property ownership, confidentiality issues, and other potential contract clauses that must be consistent with University policies. For more information, see section 10, Research-Related Policies and Compliances.

Proposals for industry-sponsored projects should detail the specific nature and scope of the work to be done, time frames, budget (including all direct and indirect costs), and any other conditions, such as negotiated agreements concerning patentable discoveries and copyrightable materials that might result from the research, nondisclosure of proprietary information, etc.

SIUC has drawn up a model agreement as a framework for negotiating such provisions with industry sponsors. In some cases, certain provisions are negotiated at the award stage. Where special conditions are likely to be involved, check with ORDA before writing a detailed proposal or entering into negotiations with the sponsor. ORDA staff can negotiate research agreements and should be consulted to ensure that the provisions are compatible with University policy. Some agreements must also be reviewed by University Legal Counsel.

In working with industry sponsors, researchers should be sensitive to the need to avoid potential or apparent conflicts of interest.

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2.5 Before You Write the Grant Proposal

Early on, you should obtain the current guidelines or Request for Proposals (RFP) for the program you want to apply to. Guidelines are available electronically from agencies via ORDA's web site (see External Funding). Review the guidelines thoroughly. They will detail current funding priorities and the types of projects the agency or program will fund, including project period and monetary range of awards. Make sure that you're eligible to apply and that the planned project is compatible with the emphases of the agency/program.

Limited (restricted) proposal submissions: When a grant program limits the number of proposals or letters of intent it will accept from an institution, researchers wanting to apply to the program are required to submit a Notification of Intent to Apply to a Grant Program form to ORDA 30 calendar days in advance of the deadline. See the policy on Limited Proposal Submissions for details. If notifications exceed the proposal limit, the Office of the Vice Chancellor for Research will appoint a committee to review the submissions and determine which will go forward to the agency. Check the grant program guidelines carefully for any such agency limits.

Use the resources available to you. As you prepare to write the grant proposal, it's helpful to talk with colleagues who have had grants, especially those who have obtained funding from the same agency or program. Department chairs and associate deans for research may have valuable advice. ORDA's project specialists have grants experience and keep current on agency programmatic emphases. Reading successful proposals submitted to the same agency you have targeted, or in the same area of endeavor, can be enlightening. ORDA maintains a file of proposals that researchers may review on-site.

Also contact the appropriate program officer at the funding agency. Program officers represent a particular program or division in an agency; they coordinate proposal review and oversee funded projects in their area. Most agencies encourage prospective applicants to discuss ideas with a program officer before they submit a proposal. An e-mail or phone call is best, unless the agency or program guidelines specify formal written communications only. Check the guidelines or the agency web site for the names and phone numbers of program officers, or contact your ORDA project specialist if you have trouble finding this information.

If your idea is not within the current scope of the agency, the program officer will tell you that. He or she may suggest another agency, discuss ways of reformulating the project, or recommend another program or division within the agency whose goals are more in line with your interests.

By following this process, you'll save time for yourself and for the program officer who will coordinate the proposal review. And, if the program officer advises you to proceed with the proposal, you will have someone in the agency who knows something about the proposal and can answer colleagues' questions about it.

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2.6 Release Time and Cost Sharing

Early in the proposal process, you'll need to determine the level of financial and other support available from your department and college. Find out how much release time, if any, your department will allow you and others involved in the project. If the grant has cost-sharing requirements—i.e., if the funding agency requires the grantee or outside organizations to donate certain resources, contribute a certain dollar amount (common in equipment grants), or match the agency award—you must line up that commitment in advance. Read the cost-sharing guidelines in section 10 of this guide. Cost-sharing requirements vary from agency to agency. ORDA's project specialists can help you identify possible sources of matching funds, and the Office of the Vice Chancellor for Research and Graduate Dean offers a Matching Funds Program.

Note that if there is an SIUC contribution for the project, the fiscal officer making that contribution must sign the Proposal/Award Checklist before the proposal can be submitted. The only exception is for matching funds; to expedite matters, the Vice Chancellor for Research signs the Matching Funds Request Form but not the Proposal Checklist. See section 5, Proposal Submission.

Any SIUC cash match (e.g., from the Matching Funds Program) either must appear in the budget or must be cited in the proposal narrative or budget justification. It also must be indicated on the Proposal/Award Checklist. Match must be identified somewhere in the proposal in order for the University to recoup the allowable amount from a state program that reimburses matching funds.

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Questions/comments about the Sponsored Project Guide? Contact Marilyn Davis
Office of Research Development and Administration
Southern Illinois University Carbondale

last updated 1/11/08