Grant Proposal Preparation Guidelines

The following paragraphs introduce the general routine at Sul Ross State University for preparing and submitting a proposal for external funding. These steps should be used as a guideline, as the sequence can be completed in succession or in random order. However, a preliminary budget is usually needed to identify potential funding sources.

All external funding requests need to be presented in a professional and organized manner. This application may be the only contact external reviewers, program officers and business entities have with the university. The funding request gives an overall impression of SRSU. The goal of the grants office is to ensure the enhancement of the university's image while securing funds to support scholarly and research endeavors.

Step 1: Get Early Administrative Concurrence

One of the last steps in the proposal process is getting various academic administrators to sign the approval form attesting that the proposed project has the approval of the department and of the university.

However, major headaches, delays and disappointments can be avoided if the department chair and the academic dean are informed of proposal ideas before any intensive proposal efforts are begun. These colleagues may be in a better position to know how the proposed project may dovetail -- or interfere -- with that of ongoing or proposed grants or with the goals and policies of the department and of the university.

The principal investigator/project manager needs to obtain written preliminary approval from the appropriate department head and dean before developing a full proposal. (E-mail notification is sufficient.) Please forward approval documentation to the grants office.

Step 2: Planning and Strategy

Start early! Depending on the length and complexity of the project, it can take several months or more to prepare a proposal. Sometimes six months may elapse before notification is received from the funding agency after the proposal is submitted. Devising an appropriate development strategy for a proposal can facilitate achieving deadlines.

One of the first decisions made, and often the most critical, is that of which funding path to pursue. Applying to a governmental agency like the National Science Foundation or the U.S. Department of Education might provide the best chance of success. A corporate foundation, a charitable trust, a private foundation or non-governmental funding organizations provide other options. If requested, the grants office will help with research for potential donors.

Step 3: Do a Budget

Project cost is a prime factor in selecting a funding source. A $100,000, one-year project won't be funded by a foundation whose largest grant over the last few years was $50,000. Work on a preliminary budget while trying to match the project with a funding source.

Project costs are spelled out within the budget. Most budgets are divided into various categories such as personnel, equipment and materials, travel, consultants and indirect costs. Any cost sharing or cost matching amounts should be included. After detailing each of these elements, review the budget in order to be sure that the overall plan is logical and consistent.

The principal investigator consults the office of the vice president of business affairs prior to the submission of the grant through the approval procedure track to ensure all financial data meets university policy and procedures. Special attention should be paid to any cost matching or cost sharing provisions.

Per SRSU policy, the following PI incentives can be written into a proposal: faculty release time if appropriate staffing is added through the grant, possible full-time summer salary and faculty development leave. Principal investigators can also benefit from successful grants with resume building, research recognition and publication.

Step 4: Decide on a Sponsor and Obtain Guidelines

Foundations, most of them at least, have varied but very specific and inflexible application cycles. Some foundation boards meet annually, some constantly. Quarterly is most common. It is not unusual for the board of a foundation that awards grants in March to meet the previous December to select from proposals that were due in September to allow staff enough time to pre-screen them.

Unfortunately, when researching sponsors sometimes the submission date has passed for the current review cycle of the sponsor most likely to fund the project. When this happens, flag your calendar for the next cycle and go to the next best opportunity.

A sponsor's grant application guidelines must drive every aspect of proposal form, content and style. Study the guidelines closely and follow them without exception.

Guidelines and forms (if required by the sponsor) are commonly available on the appropriate web site, but sometimes come only by regular mail once requested. A large number of foundations and trusts require contact for an invitation to apply before providing an application or guidelines.

Step 5: Develop the Proposal Narrative

There is no secret formula guaranteed to produce a perfect proposal. A more effective document can be prepared, however, if certain general principles are kept in mind.

First, the proposal document is the primary basis for evaluating the project and for determining whether financial support is justified. The proposal must represent the need for action and include all the information necessary to accurately evaluate the proposed activity and the principle investigator/project manager's ability to complete the project.

Second, the document will be read by people facing time constraints. Reviewers often read large numbers of similar proposals in a relatively short meeting. The proposal must be well-organized and concise in order to stand out from the crowd.

Third, think of who will be reviewing the proposal. Federal funding agencies like the National Science Foundation and the National Institutes of Health use proposal reviewers who are themselves researchers. When dealing with most foundations, however, the technical terms, jargon and even the tone common to many fields in the sciences and humanities can confuse and even intimidate lay reviewers, threatening chances for an award. If at all possible, use "shirt-sleeve English" for most proposals.

When developing a proposal, keep these ideas in mind:

• State the objectives clearly.
• Design objectives to conform to the interests and guidelines of the sponsoring agency.
• Demonstrate a convincing need for the proposed activity, either by showing that it fills an important gap in existing knowledge or that it serves the needs of a specific clientele of concern to the funding source.
• Indicate project management skills by including devices such as time lines, organization charts, or task charts.
• Clearly describe the research or program design.
• Demonstrate the project manager's competence as an investigator by having an updated curriculum vitae and good capsule biographies of professional staff. (Keep in mind that most agencies limit vitae to two pages.)

Step 6: Get Thorough Reviews

When the proposal draft is sufficiently mature in development, distribute it to a few knowledgeable peers and administrators for technical reviews, and to your department's support staff for style, grammar and uniformity reviews. Plan to be receptive to suggestions or comments. Remember, the goal is a funded proposal. If requested, the grants office will review the proposal.

Step 7: Get Administrative Approval

Now is the time to get the signatures on the SRSU External Funding Approval Form for Inquiries and Proposals. The principal investigator/project manager will deliver the approval form and five copies of the proposal to the department chair for approval 10 days prior to the deadline specified by the sponsor. The approval form and the approved proposal will then be forwarded through the appropriate channels (department chair, dean of the college, vice president for academic affairs, grants coordinator and president).

Step 8: Finalize and Submit

During the final days and hours of a proposal effort there will inevitably be snags, revisions, and omissions that will require us to work closely together. To alleviate some of these problems, all documentation must be forwarded through the appropriate channels to reach the grants office four days before the deadline of the funding agency.

If requested, the grants office will copy and mail the proposal, normally accompanied by a letter of introduction/support from the president, and affix any requested attachments. If electronic submission is required, the grants coordinator will assist the principal investigator with submission if requested.