Rajamangala University of Technology Lanna “Developing Competitive International Grant Applications” Guidelines Goal: To improve its reputation, Rajamangala University of Technology Lanna (RMUTL), a hands-on university, has started a program to publish more in journals in English and attract more international funding than other universities in Thailand. Objective: “Developing Competitive International Grant Applications” manual is a tool to give researchers of RMUTL the knowledge and practice to prepare competitive, well-developed documents. The manual will help them plan, write, and prepare competitive grant applications from international sources. Learning Objectives This manual will help the RMUTL researcher to: Review corporate, foundation and government grant announcements, decide if a particular grant opportunity fits their research, and plan a funding application strategy. Examine eligibility and screening criteria to meet organizational and formatting requirements. Engineer resources and assemble the writing team. Write grant applications that respond to the required outline and the grant evaluation criteria, and anticipate in peer-review response. Assemble and maintain data for planning new ideas. In all cases, the project’s mission should match the funder’s priorities, needs, and funding opportunities. Learning Responsibilities RMUTL researchers should: Use the Research Office of International Communications resources and contacts to get help. Take time and understand how to use the complete grant application kit 1
supplied by the funder.  Achieve the highest possible score by following the required steps, processes, timelines, and requirements. Many funders today prefer a brief letter proposal; others require the completion of an application form. In either case we advise you work through the proposal components as provided in this manual to be sure that you have included all the elements of your case. The scale of the project will often determine whether it requires a letter or the longer proposal format. Keep in mind that the ultimate guide is the guidelines and policies of individual funders. Letter Proposal For the most part, the elements of a letter request should follow the format of a full proposal, except with regard to length which should be very close to three pages. When writing a letter request, keep in mind that you are writing a letter to another person. It should therefore be more informal in style than a longer proposal. It may be necessary to change the sequence of the text to achieve the correct tone and the right flow of information. Here are the elements of a letter proposal: Ask for the gift: State why you are writing and how much funding is required from the particular foundation. If there has been a prior contact with the founder, start with this reference. What is the need: Concretely tell the funder what it is, who needs it, why do they need it, and who are you to see the problem and create the solution. Be sure to include the competition. Explain what you will do: Describe precisely what will take place as a result of the grant. Provide RMUTL data: Help the funder know more about RMUTL by including its mission statement, brief description of programs offered, number of people served, and, if appropriate staff, volunteer and board data. State how the funds will be spent: Even a letter request may have a budget that is a half-page long. Decide if this information should be incorporated into the letter or in a separate attachment. Whichever course you choose, be sure to indicate the total cost of the project. Discuss future funding only if the absence of this information will raise questions. Close: As with the longer proposal, a letter proposal needs a strong concluding statement. Offer to provide more details or meet with the funder. Attach any additional information required: The funder may need much of the same information to back up a small request as a large one. Refer to the Attachment section below. It takes as much thought and data gathering, and sometimes more, to write a good 2
letter request as it does to prepare a full proposal. Don't assume that because it is only a letter, it is not a time-consuming and challenging task. Every document you put in front of a funder says something about RMUTL. Every step you take with a funder should build a relationship for the future. Writing your proposal A proposal starts with an idea. Like a product, service, project, book, script, or yourself, an idea is a Solution to a problem. An idea •needs to be developed, •is good or bad depending on how well it address the problem, and •needs to be communicated. Good ideas address the following things: the customer, the problem, the pain the problem causes, the solution, the competition, the parts, the benefits, the team, the objectives, and lastly the technology. The funder controls what projects to fund. Therefore, the problem lies within the funder’s domain and the idea gets funded when it solves the funder’s problem. The solution needs to be sold to the funder. Good sales techniques are essential. Initially you need background documentation in three areas: idea, program, and expenses
Idea: The idea needs to be very clear in your mind and you need to be able to explain it to a student in matthayom 3. It is important that you write down how the idea fits with the philosophy and mission of both RMUTL and the funder because this information will be part of the document. Collect this background data on RMUTL and the funder organization and on the pain the problem causes, literature references or your own work, to document your arguments. Funders want to know how a project reinforces the overall direction of an organization and they may need to be convinced that the case for your project is compelling. Program: Here is a checklist of the program information you need:
The nature of the project and how it will be conducted; The timetable for the project; The anticipated outcomes and how best to evaluate the results; and Staffing and volunteer needs, existing staff and new hires.
Expenses To be sure that the costs are in reasonable proportion to the outcomes you anticipate, sketch out the broad outlines of the budget. If it appears that the costs will be too high, even with a grant, you should scale back your plans or adjust them to remove the least cost-effective expenses.
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The Elements of a Proposal The elements of a proposal and the recommended length are the following. 1. The Executive Summary (one page) This first page of the proposal is the most important section of the entire document. It is a one-page overview of what is in the full application. It is the first page a very busy reviewer will read and is a sales document designed to convince that this project should be considered for support. Write this after you have written the entire proposal The first sentence needs to be the summary sentence for the entire proposal. The Executive Summary summarizes all of the key information. It needs to be concise, clear, compelling, credible, conceptual, concrete, consistent, customized, and conversational. Conversational because the funder will WANT to read on, and it needs to include: Problem: A brief statement of the problem and need you have recognized (what is it?) and are prepared to address (why is it a problem?). - (One or two paragraphs). Solution: A short description of the project (goals), including what will take place and how many people will benefit from the program (who will benefit from the grant money), how, where and for how long it will operate (objectives and performance targets), and who will staff it. Keep the technical information (methods) to a bare minimum. Briefly state how the objectives and performance targets will be reached (plan of action). - (One or two paragraphs). Funding requirements: An explanation of the amount of grant money required for the project and what your plans are for funding it in the future (one paragraph). Organization and its expertise:
 WhoRU? What is special about you to see the solution. A brief statement of the history, purpose, and activities of RMUTL, emphasizing its capacity to carry out this proposal - (one paragraph). 2. The Statement of Need (Who needs it and why do they need it? 2 pages) A well-written Executive Summary will provoke the reviewer to read more. Your next task is to help the funder to understand the problem that the project will remedy. The statement of need provides this. It presents the facts and evidence of 4
what it is, who needs it and why, and who are you to see the need and create the solution. It also establishes that RMUTL understands the problem and therefore can address it. The information used to support the case can come from authorities in the field, as well as from RMUTL’s own experience. It needs to give you and RMUTL credibility and does not have to be long and involved. You want the need section to be succinct, yet persuasive. Like a good debater, you must assemble all the arguments. You need to let the funder know who the competition is and then present arguments in a logical sequence that will readily convince them. To do this, consider:
Be sure the data you present are accurate. The data need to point to your solution. Be positive. Avoid overstatement and a strong emotional appeal. If you advance your solution as a model for other communities, document how the problem you are addressing occurs in other communities. Be sure to explain how your solution could also be a solution for others. Be careful in stating the need as acute. You are asking the funder to pay more attention to your proposal because either the problem you address is worse than others or the solution you propose makes more sense than others. Be careful with the competition. Being critical of other solutions will not be well received by the funder. The funder may have invested in these other projects, or may begin to consider them now that you have brought them to the funder's attention. Make it clear that you know of and are on good terms with others doing work in your field. Keep in mind that today's funders are very interested in collaboration. Therefore you need to describe how your work complements, but does not duplicate, the work of others, and why you are not partnering with them. Avoid circular reasoning. In circular reasoning, you present the absence of your solution as the actual problem. Then your solution is offered as the way to solve the problem, a solution looking for a problem. "The problem is that RMUTL does not have a X-ray diffraction machine. Buying a X-ray diffraction machine will solve the problem.” Instead state what benefits this instrument has had for CMU, and show how the cost of purchase to RMUTL is small in comparison to the cost of giving the work to CMU for a price.
3. The Project Description (three pages) This section of your proposal should have five subsections: goals and objectives, methods, management plan, evaluation, and sustainability. Together objectives and methods dictate the management plan. Staffing and administrative requirements, then become the focus of evaluating the results of the project. The project's sustainability flows directly from its success, and shows its ability to attract other support. Taken together, the five subsections present an interlocking picture of the total project. 5
Goals (are conceptual and abstract): To improve its reputation, Rajamangala University of Technology Lanna (RMUTL), a hands-on university, has started a program to publish more in journals in English and attract more international funding than other universities in Thailand Objectives (are SMART: S=specific, M=measurable, A=attainable, R=realistic and T=time bound): To improve its reputation, RMUTL, a hands-on university, has started a program to submit this year 20 manuscripts to journals in English and attract five internationally funded projects. The difference between goals and objectives for the first year of the program in the examples is: The goal in this case is abstract, “more and more than� while the objective is more specific, 20 manuscript and 5 proposals. It is achievable in a term of time (this year) and measurable (20 manuscripts and 5 proposals). Whether the objectives are realistic and attainable depends on the outcome measurement after the first year. For the second year of the program, a comparison of the objectives before the program starts with the outcomes after the program ends will give what is attainable and realistic. It is important to include these milestones in your discussion of objectives. Be certain to present the objectives very clearly. Make sure that they do not become lost and that they stand out on the page. Above all, be realistic in setting objectives. Don't promise what you can't deliver. Remember, the funder will want to be told in the final report that the project actually accomplished these objectives, and you may want future funding. With competition for funding so great, well-articulated objectives are critical to a proposal's success.
4. Methods (three pages) The objectives explain to the funder what will be achieved by the project. The methods section describes the specific activities that will get you to the objectives. It might be helpful to divide your discussion of methods into the following sections: How: Is a detailed description of what will occur from the time the project begins to when it is completed. Your methods should match your objectives. Keep the technical information at a low level, and only include the essentials. When: The methods section should give the order and timing for the tasks. This is best done by a timetable. A timetable tells the grants decision maker "when" and provides a summary of the project that supports the rest of the methods section. Why: You may need to defend your choice, especially if the methods are new or unorthodox. Why will the planned work produce the outcomes you anticipate? You 6
can answer this question in a number of ways, including using expert testimony and examples of other projects that worked. The methods section enables the reader to visualize the implementation of the project. It should convince the reader that you and RMUTL know why you are best suited to propose the solution to the problem. It establishes corporate and individual credibility. 5. The Management Plan (one page) In describing the methods, you will have mentioned staffing for the project. The management plan is best presented in the form of a table with the following headings,
position name, full time equivalent (FTE) allocation, accountability - who reports to whom, and how will the position be funded.
"Staffing" may refer to volunteers or to consultants. Describing tasks that volunteers will undertake can be helpful to the proposal reader. Such information underscores the value added by the volunteers as well as the cost-effectiveness of the project. Specify which staff will work full time and which will work part time on the project. Identify staff already employed by RMUTL and those to be hired specifically for the project. Explain how will a very busy individual free up the time for the project. Salary and project costs are affected by the qualifications of the staff. Show the practical experience you require for key staff, as well as level of expertise and educational background. If an individual has already been selected to direct the program, summarize his or her credentials and include a brief biographical sketch in the appendix. A strong project director can help influence a grant decision. Describe the plans for administering the project. This is especially important in a large operation, if more than one agency is collaborating on the project. Who is responsible for financial management, project outcomes, and reporting needs to be crystal clear.
6. Evaluation (one page) The evaluation plan belongs to the end of the project, but it should be written into the project proposal. “Good evaluation reflects clear thinking and responsible project management” (W.K. Kellogg Foundation). It indicates that you take your objectives seriously and want to know how well you have achieved them. Evaluation is also a sound management tool. Like strategic planning, it helps RMUTL refine and 7
improve its programs. An evaluation can often teach others your experience in conducting the project. There are several types of formal evaluation. One measures the product; others analyze the process and/or strategies. Most seek to determine the impact on the audiences you serve and the measurable outcomes of your grant project. Either or both might be appropriate to your project. The approach you choose will depend on the nature of the project and its objectives. Whatever form your evaluation takes, you will need to describe the manner in which evaluation information will be collected and how the data will be analyzed. One such evaluation is a graphic blueprint of the key elements of the project, called the logic model. It is popular and many funders may require it in the application. It is a “systematic and visual way to present and share your understanding of the relationships among the resources you have to operate your program, the activities you plan and the changes or results you hope to achieve” (Logic Model Development Guide, W.K. Kellogg Foundation, 2004, www.wkkf.org). The model is very powerful because it is very graphic. It uses pictures or words to show how the planned work fits together:
Resources/Inputs – human, financial, organizational, community and physical resources for the grant-funded project and
Activities – What the project uses to organize the input, processes, tools, events, technology, actions,
relates to the intended results of
Outputs – direct results of the project,
Outcomes – measurements before and after the project, and
Long-Term impact – what are the consequences of the project.
Most sound evaluation plans include both qualitative and quantitative data. You should also present your plan for how the evaluation and its results will be reported and the audience to which it will be directed. For example, it might be used internally or be shared with the funder, or it might deserve a wider audience. A funder might even have an opinion about the scope of this dissemination. Many funders also have suggestions about who should conduct the evaluation, whether it is your own program staff or outside consultants. Some funders allow for the inclusion of the cost of evaluation as part of the project budget. 7. Sustainability (one page) A successful grant proposal presents evidence of fiscal sustainability. Grant seekers today need to show grant makers in very concrete ways the long-term finances of 8
the project and of RMUTL itself. You need to prove that the project is finite (with start-up and ending dates), that it is capacity building (that it will contribute to the future self-sufficiency of RMUTL or the targeted community, and/or enable it to expand services that might generate revenue), or that it will make RMUTL attractive to other funders in the future. Be very specific about current and projected funding sources, both earned income and fundraising, and about the base of financial support for RMUTL. Some grant makers will want to know who else will be receiving a copy of the proposal. This information needs to be shared with the funder Here is an area where it is important to have backup figures and projected situations at the ready, in case a prospective funder asks for these, even though you are unlikely to include this information in the actual grant proposal 8. The Budget (one page) The budget for the proposal may be as simple as a one-page statement of projected income and expenses, but it may also require a more complex presentation, perhaps including a page on projected support and notes explaining various items of expense or of revenue. Expense Budget
 On a worksheet place each budget item and the calculations for a dollar figure for each item. This is a reminder of how each budget item was determined. These worksheets are useful for the continued development of the proposal and later for discussions with the funders. They are valuable tools also for monitoring the project once it is under way and for reporting after the completion of the grant. To assemble the worksheets, go back through the proposal plan and make a list of all personnel and non-personnel items related to the operation of the project. Be sure to list not only new costs of the project if it is funded, but also any ongoing expenses for items that will be assigned to the project. Then get the relevant costs from the person in your department who is responsible for keeping the books. You may need to estimate the proportions of your ongoing expenses that should be charged to the project and any new costs, such as salaries for project personnel not yet hired. Put the costs you have identified next to each item on your list. The worksheets are used to prepare the expense budget. For most projects, costs should be grouped into subcategories to reflect the critical areas of expense. All significant costs should be broken out within the subcategories, but small costs can be combined on one line. Divide your expense budget into personnel and no personnel costs with a dollar figure attached to each line. Personnel cost subcategories include salaries, benefits, and consultants. No personnel cost subcategories include travel, equipment, and printing. Because projects do not exist in isolation, include overhead, or indirect costs in this category, although some funders may have policies on the percentage of overhead they will allow in a project 9
budget. An alternative is to indicate this cost as an “in kind” class contributed by RMUTL. 9. Support and Revenue Statement (one paragraph) Most proposal do not require this section. If grant support has already been awarded to the project, or if the project activities generate income, a support and revenue statement is the place to provide this information. In itemizing the grant support, make a note of any earmarked grants; this will suggest how new grants may be allocated. The total grant support already committed should then be deducted from the "Total Expenses" line on the expense budget to give you the "Amount to Be Raised" or the "Balance Requested." Any earned income anticipated should be estimated on the support and revenue statement. For instance, if you expect 500 farmers to attend a regional fair where the new chili seed the grant helped to develop is offered. Each farmer buys on the average 10 g of seed at a cost of 19.000 Baht per kg. The budget would show a revenue line of “ Seed Sales” of $3,200.00 that is deducted from the “Balance Requested.” Again, keep backup worksheets for the support and revenue statement as a reminder of the assumptions made. Budget Narrative If costs are straightforward and the numbers tell the story clearly, explanations are not needed. Use a narrative portion of the budget to explain any unusual line items in the budget. The best way to handle this is in the form of footnote-style numbers on the line items in the budget keyed to numbered explanations.
10. Organizational Information (one page) Tie all of the information about you and RMUTL together. Cite your and RMUTL’s expertise, especially as it relates to the subject of your proposal. It is ok to repeat this information. The end of the proposal is where the resume of RMUTL should be placed because it is usually better to sell the need for your project and RMUTL’s ability to carry out the proposal was stated in the Statement of Need. Therefore, it is not necessary to overwhelm the reader with facts about RMUTL. This information can be conveyed easily by attaching a brochure or other prepared statement. This statement tells the reader when RMUTL came into existence, its mission and repeats how the subject of the proposal fits within or extends that mission, and describes the organization's structure, programs, leadership, and special expertise. 10
Discuss the size of the University Council, how its members are recruited, and their level of participation. Give the reader a feel for the makeup of the board (include the full board list in an appendix). If your agency is composed of volunteers or has an active volunteer group, describe the function that the volunteers perform. Describe what the staff does. Explain briefly the assistance you provide. Describe the audience you serve, any special or unusual needs they face, and why they rely on your RMUTL. Cite the number of people who are reached through your programs.
10. Conclusion (one paragraph) Every proposal should have a concluding paragraph. This is a good place to call attention to the future, after the grant is completed. If appropriate, you should outline some of the follow-up activities that might be undertaken to begin to prepare your funder for your next request. Alternatively, you should state how the project might carry on without further grant support. This section is also the place to make a final appeal for your project. Briefly restate what RMUTL wants to do and why it is important. Underscore why RMUTL needs funding to accomplish it. If the proposal is for nongovernmental funds, don't be afraid at this stage to use a bit of emotion to solidify your case. If it requests governmental funds stay away from emotional appeals.
11. Attachments Only attach a document if the funder asks for it. Some of the things funders ask for are:
Budget summary/cost summary
Budget detail/budget narrative/cost justification
Up-to-date financial statement
Proof of tax-exempt-status
University Council members with affiliations
Letters of commitment
Resumes of key people involved in the project 11
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Memoranda of Agreement or Memoranda of Understanding
What Happens Next? Submitting the proposal does not finish the grant seeking process. Grant review procedures vary widely, and the decision-making process can take anywhere from a few weeks to six months or more. During the review process, the funder may ask for additional information either directly from outside consultants or professional references. This is a difficult time for the grant seeker: Patience is of the essence here. Some grant makers outline their review procedures in annual reports or application guidelines. If you are unclear about the process, don't hesitate to ask. If your hard work results in a grant, take a few moments to acknowledge the funder's support with a letter of thanks. Clarifying your responsibilities as a grantee at the outset, particularly with respect to financial reporting, will prevent misunderstandings and more serious problems later. You also need to find out whether the funder has specific forms, procedures, and deadlines for reporting on the progress of your project. A rejection is not necessarily the end of the process. If you're unsure why your proposal was turned down, ask. Did the funder need additional information? Would they be interested in considering the proposal at a future date? Now might also be the time to begin cultivation of a prospective funder. Put them on your mailing list so that they can become further acquainted with your organization. Remember, there's always next year. Some Websites http://www.trf.or.th/ http://www.nrct.go.th/ http://www.nstda.or.th/eng/ http://www.sciencepark.or.th/ http://.cordis.europa.eu/fp http://www.foresight.gov.uk http://www.grants.gov http://www.nsf.gov/ http://www.unido.org/index.php?id=o5216 12
http://www.dummies.com/how-to/content www.wkkf.org http://unites.org/html/resource/knowledge/07grants.htm
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