Scientific and Academic Grants: A Guide for the Curious

Scientific and Academic Grants

A Guide for the Curious

Deborah A. Cook PhD

The Grant Science Lab

A Snapshot of Science, Academic,

and Other Research Funding in

Georgia: A Few Facts of Note.01

Table of Contents

The Academic Community Meets

the Nonprofit: Common Themes.02The Quest for New Knowledge

and …? Faculty as Grant Writers.03

Language and Terminology: Conceptual

and Critical Differences.04Compliance: More than Fiscal

Affairs.05A Few Conclusions and the

Future: Scary and Unknown.06

Introduction

3

Charitable Higher Education Funding

Number and Finances of Reporting Public Charities : 2010

No. % Revenue Expenses Assets

All 366,086 100 100 100 100

Education 66,769 18.2 16.4 16.6 29.8

Higher Ed 2,179 0.6 10.5 10.7 18.7

Other 64,640 17.7 5.9 5.9 11.1

Giving to higher

education reached

a record high of

$34 billion in

2013.

Introduction

Source: The Nonprofit Sector in Brief 2012: The Urban Institute & Inside Higher Ed February 12, 2014

A Few Facts of NoteAcademic Funding in

Georgia

5

Carnegie Classification

Size and money, along

with number of degree

programs, matter when it

come to R &D funding.

A research university awards at least

20 research doctorate degrees and

has significant R & D funding from

many sources.

Classifications and examples include:

Very High Research Activity

Tech, Emory, UGA, Ga State

High Research Activity

Clemson, University of Alabama -

Tuscaloosa

Doctoral/Research Universities

Clark Atlanta, Ga Southern

Master’s Colleges and

Universities awarded fewer

than 20 research doctorates,

but at least 50 MS degrees

per year. Baccalaureate

Colleges granted 50 or fewer

MS degrees.

A Few Facts of Note

Source: Carnegie Foundation for the Advancement of Teaching 2010

section 01

6

R & D Funding In Georgia Research Universities1

Grand Total for all R & D

funding expenditures in

Georgia for 2012 is $1.9

billion.

A Few Facts of Note

Source: National Center for Science and Engineering Statistics

Institution Total Federal Nonprofit

Georgia Tech 668904 484212 14788

UGA 351395 137710 24487

Emory 552707 361165 40917

Georgia State 91148 34075 6299

Clark Atlanta 10406 8477 1

Georgia Sou. 5719 1359 219

THOUSANDS OF $ FOR FY 2012.

section 01

7

Distribution of R & D Expenditures at UGA in 2012

Source: National Center for Science and Engineering Statistics

A Few Facts of Note

Envir. Sci.

Life Sci.

Math & Comp. Sci.

Phys. Sci.

Psych.

Soc. Sci.

Other Sci.

Engineering

Non Sci. Fields

section 01

8

Federal Non-Science Funding in Georgia

The National Endowment for the Arts

awarded 161 grants in Georgia from 2010

– 2013. Twenty-four awards went to

academic institutions. Award amounts

ranged from $9000 to over $140,000.

Most of these grants fell between $9000

and $20,000.

Similarly, the National Endowment for the

Humanities awarded 65 grants in the state

during the same period. Forty-six grants

went to colleges and universities. These

awards ranged from a low of $2,500 to

over $180,000. With some exceptions,

academic grants were in the low 5 figures.

A Few Facts of Note

Sources: The National Endowment for the Arts and The National Endowment for the Humanitiessection 01

Common ThemesThe Academic Community

Meets the Nonprofit

10

Why the Need? Or Why at all?

It is about the freedom to ask questions. Academics and

nonprofits ask the hard questions about relationships, the natural

world, and societal needs. Questions challenge the status quo,

revealing new problems that require solutions. Problems have

solutions. Needs can be met. Questions have answers. Research

and action strive to solve problems, meet needs, and answer

questions serves a greater good.

Striving toward a GREATER

GOOD of needs met or

knowledge revealed drives

both groups.

Common Themes

The Grant Science Lab – Deborah A. Cook PhD

section 02

11

Sustainability and Accountability

Funding needs are very similar. Large

problems with significant unmet needs,

even when broken into smaller projects,

require long-term solutions. Research

questions are open ended, but separated

into specific projects with experiments.

Both should have long-term visions for

personnel and projects.

• Evaluation Plans

• Statistics

• Surveys

• Measureable Outcomes

• Reports

• Publications

• Presentations

Common Themes


section 02

12

University Administration

College or School A

Department A1

Department A2

College or School B

Department B1

Grants

arise from

any level in

the

university.

Individual Faculty Are Nonprofit Centers


Common Themes

Faculty

initiate

grants as

individuals

or groups.

section 02

13

Collaboration Happens

Scientific and other

academic research is

collaborative by nature.

Interdisciplinary research

in the academy is a rising

trend.

Faculty regularly collaborate with each other within and across

departments, schools, and colleges in their higher education

setting. More importantly faculty collaborate with colleagues at

other national and international institutions of higher education.

These relationships take the following forms:

Co-principal Investigator

Subcontract to a Lead Institution

Consortia, Large and Small

Common Themes

Source: The Grant Science Lab – Deborah A. Cook PhD

section 02

14

The Questions Remain the Same

Defining the Problem

What do you want or

need to do?

Why do you want or

need to do it?

Organizing for Action

Who will do the work?

How will the work get

done?

What will be the likely

results?

Estimating the Cost

What is it going to cost?

Why does it cost that?

Common Themes

The Grant Science Lab –Deborah A. Cook PhD

Honest Evaluation

Were the desired results

attained?

Why or why not were the

desired results

achieved?

section 02

Faculty as Grant WritersThe Quest for New

Knowledge and…?

16

Focus and Variety

Extramural grant funds

support education,

research, outreach, and

economic development.

Grant funds support an almost endless list of academic

and public service activities including scholarships,

research, travel, fellowships, teaching, learning, exhibits,

performances, equipment, and more.

Faculty as Grant Writers

Grant Seeking in Higher Education, Mary M. Licklider, et al., John Wiley & Sons, 2012.

section 03

17

Grants in the Academy: Administration

Faculty are grant writers.

Faculty have some grant

management responsibilities.

Limited roles include:

Personnel

Supplies & Equipment

Reporting

The Office of Research and Sponsored Programs is

responsible for grant administration.

Staff assist with proposal initiation, signature routing, submission,

pre-award matters, compliance, reporting, budgets, purchasing,

award closeout, and other issues according to policies.



section 03

18

Academic Grantsmanship

Grantsmanship is the

ability to write grant

proposals that get

funded.


Source: The Grant Science Lab – Deborah A. Cook PhD.

section 03

Grantsmanship matters because it is tied to long-term

employment for many, personal reputation, and status of

the university.

Funded grant proposals support projects that generate results or

products. Products include:

Books, Research Articles, Scholarly

Works, and More Grants.

19

Academic Writing vs. Storytelling

Academics are

professional writers, but

not always the best

communicators in grant

proposals.

Grant Proposals Tell

Stories.

Stories showing how research

overcomes some challenge.

Stories that show creative

solutions to research

questions.

Stories connecting the

research to a bigger picture.

Great research proposals

have elements of all three

types of stories.



section 03

Conceptual and Critical

Differences

Language and

Terminology

“The goal of a grant writing position is to

support the research, instruction, and public

service endeavors of the faculty.”

Grant Seeking in Higher Education, Mary M. Licklider, et al. John Wiley &

Sons, 2012.

22

Different Words – Same Meaning

While Academics Use These Words –

Hypothesis or Question

Sponsor or Agency

Principal Investigator

Extramural Funding

Development or Advancement

Sponsored Research Office

Direct Costs

Indirect Costs or Facilities and Administration

Curriculum Vitae or Biographical Sketch

Nonprofits Translate Them To Mean These –

Needs Statement

Funders

Project Director

Grant Support

Gifts or Donations

Accounting

Project Costs

Overhead

Resume

Conceptual and Critical Differences

Rick Redfearn PhD., Univ. of AK, 2013 GPA Meeting, Wkshp 408. Grant Seeking in Higher Education, Mary M. Licklider, et al., John Wiley & Sons, 2012.

section 04

23

Basic Proposal Format

Total length is less than 6

pages not including

supplemental documents or

information required by the

funder.


Source: The Foundation Center

Sections & Pages

Executive Summary

Needs Statement

Project Description

Budget

Organizational

Information

Conclusion

section 04

24

National Science Foundation Proposal

Source: The National Science Foundation Proposal and Award Policies and Procedures Guide, NSF 14-1, OMB 3145-0058. The Grant Science Lab


Sections & Page Limits

Cover Sheet Project Summary Table of Contents

Project Description References Cited Biographical Sketch(es)

Budget & Justification Current & Pending Support Facillities & Other Resources

Special Info. Or Supplementary Doc.

section 04

NSF limits

the

narrative to

15 pages

and must

address the

“broader

impacts” of

the work.

“Research with disease-related goals, including

work on the etiology, diagnosis or treatment of

physical or mental disease, abnormality, or

malfunction in human beings or animals, is

normally not supported.”

The National Science FoundationGrant Proposal Guide

February 24, 2014

26

National Institutes of Health Proposal

Source: PHS424 (R&R) Application Guide . The Grant Science Lab –Deborah A. Cook PhD


Sections & Page LimitsCover Page

Project Site Info

Senior/Key Personnel

Other Project Info

Budget & Justification

Cover Page Supplement

Biosketch

Project Summary

Specific Aims

Significance

Innovation

Approach

section 04

Required

Sections – 12 Pages

27

A Few Lessons

A faculty member, a

research scientist, a

laboratory group, or a

larger collaborative effort

are really nonprofit

centers that function

within the huge nonprofit

that is the university.

Research grants are

hybrids of project grants

and operating support

grants.

They are hybrids because

principle investigators can

receive partial salary from

grant awards.

All research grants are

evidence-based.

Evidence arises from:

Previous Studies

Prior Experimental Results

Research grants almost always

include tables, graphs, or pictures in

the narrative to demonstrate prior

results and the credibility of the

proposer.


Source: The Grant Science Lab

section 04

More than Fiscal AffairsCompliance

29

Following All the Rules for Research

Compliance is “Adherence to all applicable federal, state,

and institutional research-related rules and regulations.”

Uniform Administrative Requirements, Cost Principles, and

Audit Requirements for Federal Awards

Certifications: Lobbying, Drug-free Workplace, Conflict of

Interest, … Responsible Conduct of Research

More than Fiscal Affairs

Source: Grant Seeking in Higher Education, Mary M. Licklider, et al., John Wiley & Sons, 2012.

Research Integrity

section 05

30

Research Integrity

“The AOR is required to complete a certification

that the institution has a plan to provide

appropriate training and oversight in the

responsible and ethical conduct of research to

undergraduates, graduate students, and

postdoctoral researchers who will be supported

by NSF to conduct research.”

More than Fiscal Affairs

Source: The National Science Foundation Proposal and Award Policies and Procedures Guide, NSF 14-1, OMB 3145-0058

Human Subjects – Institutional Review

Board (IRB)

Animal Use and Care – Institutional Animal

Use and Care Committee (IACUC)

Biosafety and Biohazards

Radiation Safety

Materials Transfer Agreements

section 05

Scary and UnknownA Few Conclusions

and the Future

32

The Adjunct Crisis

About 70% of all college

and university faculty are

part-time employees.

For the most part, adjunct faculty are not eligible to apply

for extramural research funds.

Except for teaching and some service, part-time faculty are not

contributing to the greater public good that colleges and

universities strive for.

Adjunct faculty frequently have no office space, no access to lab space, and no

access to specialized resources or intramural funds.

Scary and Unknown


section 06

33

Science, the Sequester, and Budget Woes

What does this mean for scientific

research?

Scary and Unknown


The short answer is fewer grants to fewer

investigators.

New investigators likely will be affected the

most. Novel ideas from either new or

established scientists will be set aside in favor of

less risky research. Projects will go unfunded.

Personnel will be let go. Labs will be downsized.

section 06

34

How History Set the Stage for the Public Research University

On July 2, 1862, President Abraham Lincoln signed the Morrill Act, chartering the

Land Grant Universities. Many of our public universities began or received a

boost though this legislation.

Countless faculty share in that vision because they were trained at or are now employed by an

1862 Morrill Act Land Grant University.

Concluding Hope

Source: The Grant Science Lab – Deborah A. Cook PhD.

section 06

35

The “Real” Way to Write a Research Grant

Source: Clay Clark PhD, NCSU Department of Biochemistry

Concluding Humor

section 06

Thank You

Questions? Deborah A. Cook PhD

The Grant Science Lab