STRATEGY

When you have identified a potential sponsor for your project, you have in effect determined how you should approach the sponsor. External funding organizations can be classed into two groups:

federal agencies, which include federal, as well as state and local units, and private organizations, such as foundations and corporations.

One of the best ways to improve a proposal is to serve as a field reader or peer reviewer for federal grant programs. The federal government uses a field reader system to review applications for funding under most of its grant programs, though each agency has its own process for selecting field readers. Information on serving as a field reader is available for a number of federal programs.

Federal Agencies

Federal agencies are typically considered either general support agencies or mission-oriented agencies. A general support agency is one which supports basic and applied research that contributes to the body of knowledge in a general subject field. For example, the stated purpose of the National Institute of Health is "to conduct and support biomedical research to improve the health of the nation." Other federal agencies that define their purpose in general terms include the National Science Foundation and the National Endowments for the Humanities and Arts.

Reviews of proposals sent to general support agencies are often conducted by panels of the proposal writer's peers. These reviewers are not agency staff members but university or private researchers in the field. They review the proposal in terms of its scientific merit and send their recommendations to an agency program officer. In some agencies, the program officer ranks the proposal against all other competing proposals and determines whether to fund it. In other agencies, the program officer may only recommend a final disposition to a higher body or official. In either case, the proposal must be recommended by the review panel, or it will not be considered. Thus, a proposal to a general support agency must be written for one's peers.

By contrast, mission-oriented agencies fund only work which directly furthers their specific missions. Examples of such agencies include the Departments of Defense (DOD) and Energy (DOE) and the National Aeronautics and Space Administration (NASA).

Funding procedures in a mission-oriented agency are normally quite different from those in a general support agency. Peer review, where it is used at all, is advisory only. Individual program officers formulate research programs each year and fund research directly related to those programs. Funded research is expected to compliment on-going research in agency laboratories.

A very promising avenue to mission-oriented agency support is through summer laboratory research participation programs. DOE, NASA, and DOD provide a number of positions each summer. Participating faculty receive a stipend (usually for a 10-week period) and travel expenses. Several programs include an automatic "mini-grant" ranging from $10,000-$20,000 to support the summer participant's research during the following academic year. Whether they have a "mini-grant" or not, however, proposals submitted by summer participants have a high success ratio. Applications, consisting of cover sheets, letters of reference, and vitae, are generally due during the middle of January each year. Projects are worked out after individuals are accepted. Contact the Office of Grants and Contract Development for application forms.

State and Local Agencies

State and local government agencies support research and training projects from both federal "pass-through" funds and from their own funds.

Pass-through funds are federal monies given to a state or local government to support specific area programs. These programs operate much like federal programs with specific guidelines, program deadlines, and formal review processes. However, the state or local unit is responsible for administering the projects within the overall federal guidelines. Generally, proposals submitted to such programs are reviewed by agency technical experts or by agency oversight boards. In some cases, review panels are created specifically for the programs.

Projects funded solely from state or local funds are often handled less formally. Rather than developing programs, many agencies simply identify specific needs, then look for individuals to address those needs. Thus, these projects often grow out of conversations between University personnel and agency staff, rather than as the result of a formal proposal solicitation.

In either case, however, a formal proposal must be submitted which includes a statement of work and a budget. This proposal is required for formal approval by appropriate University officials and will form the basis from which a formal agreement can be negotiated and executed with the agency.

Private Organizations

Some private organizations, such as the American Heart Association, fund projects in areas related to their established purpose in much the same way as federal agencies. However, the funding interests of private foundations and corporations - two major sources of private funds - are not always clearly defined and are frequently restricted in some way. As a result, many proposals submitted to these organizations do not meet the organization's guidelines for funding. One foundation official stated that, of the proposals submitted to his foundation in one year, 90 percent did not meet the foundation's funding requirements.

Thus, before you submit a proposal to a private foundation or a corporation, you need to "research" the organization to determine what its funding interests are. The Foundation Directory and foundation and corporation annual reports are available in the Office of Grants and Contract Development. The directories provide information on representative grants, funding levels, areas of interest, and eligibility requirements. Annual reports will also provide information about the funding patterns of various corporations and foundations.