Foundation Funding for Entomological Research1

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to qualify for Internal Revenue Service exemptions as foundations, they must award annually. 5% of the market value of their investment assets, There are.
Foundation Funding for Entomological Research1 GUY J. HALLMAN2

AND

DONALD L. CLARK3

Texas A & M University, College Station, Texas 77843

sources is obvious (Anonymous 1980). There are several sources of information to help grant seekers sift through the thousands of foundations and find those that would be most receptive to their needs. Foundations are a heterogeneous group, and as many as one-fourth of them may not award unsolicited grants (Lewis 1979). The Foundation Center, established and supported by foundations, collects and disseminates information on foundations to the public. The Center publishes The Foundation Directory, which lists all U.S. foundations with assets of at least $1 million or yearly awards totalling at least $100,000. These represent over 90% of all U,S. foundation assets and grants. The Directory lists information on the interests of the foundations, limitations, guidelines for proposals, and who to contact. The Foundation Center compiles and crossindexes information about grants over $5,000 made by U.S. private or community foundations and publishes them as Foundation Grants Index in the periodical Foundation News. This serves as an indicator of current major foundation interests. A separate, comprehensive volume of the Index is published annually. Besides serving as courier to Foundation Grants Index, Foundation News also presents information on legislation affecting foundations, new developments, and articles of general interest. It is published bimonthly by the Council on Foundations, Inc., an organization made up of foundations which provides coordinating and consulting services to its members and to the grant-making field in general. A source of information about 'small as well as large foundations is the Foundation Center's National Data Book. It provides brief financial profiles of 22,000 foundations in the United States, including addresses and names of principal officers. The Annual Register of Grant Support, similar to the Foundation Directory, gives details of grant support programs of government agencies as well as private and public foundations. It is published by Marquis Academic Media. The Directory of Research Grants, published every 2 years by Oryx Press, presents a brief account on funding organizations, alphabetically by discipline, Deadlines for proposals to the foundations are also included, There are numerous regional sources of information. For example, the Directory of Texas Foundations provides essential data on foundations in that state. Regional directories include many small foundations that are not mentioned in national directories. For the grant seeker who is not associated with a nonprofit institution, the Foundation Center's

A review of past issues of the Bulletin has demonstrated the lack of information dealing with the essential matter of contracts and grants. As budget constraints on traditional (governmental) sources increase, it will become increasingly important for project leaders to identify other funding sources. Private foundations are one promising possibility. The number of requests for funding to private foundations has increased lately in response to the decreased amount of aid available at the federal level. Even with this increased competition for private grants, many recipients have been pleased with the response and effectiveness of private foundation giving. The odds of successful grant seeking may not be any greater with private foundations than with federal sources, due to the stiff competition, but the money generally comes with less red tape. Characteristics of Priyate Foundations

Private foundations are nonprofit, nongovernmental organizations with funds and programs managed by their own trustees. They are established to aid activities serving the "common good," primarily through financial grants. Under current tax laws, to qualify for Internal Revenue Service exemptions as foundations, they must award annually. 5% of the market value of their investment assets, There are about 26,000 foundations in the United States, with total assets between $25 and $28 billion. In 1980 they granted an estimated $3 billion (Anonymous 1980). With the present governmental emphasis on private growth, it might be expected that they will grant substantially more in the future. Foundations range in assets from a few thousand to billions of dollars, and may award grants from less than $100 to hundreds of thousands of dollars. Large foundations often have professional staff members who review grant applications and award grants to those most attuned to the interests of the foundation, Small foundations usually have no professional staff. Grants are awarded in specific areas of interest. Grant seekers must be familiar with those foundations which are attuned to their areas. Legally, foundations can only make project grants to tax-exempt institutions or individuals who have an exemption from the Internal Revenue Service; most prefer to award grants to the former. Sources of Information

about Foundations

When one considers that 80% of inquiries to foundations are considered misdirected or inappropriate, the importance of identifying potential funding lReceived for publication 21 September 198!. 2Department of Entomology. 3College of Education.

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Foundation Grants to Individuals lists about 950 foundations that have awarded grants to individuals. More than half of these awards, however, are for educational assistance (Kurzig 1980). It might be more advantageous for the individual researcher to become affiliated with a nonprofit organization. For international interests, the International Foundation Directory provides useful information on foreign foundations. However, it lists only a fraction of the total that exist. The Foundation Center publishes a comparable International Philanthropy. Regional directories, such as the Directory of European Foundations and Philanthropic Foundations in Latin America, offer more detailed listings of foundations by geographical areas. Computer searches of funding sources are available. For example, Comsearch Printouts are based on information in the Foundation Grants Index, and allow for searches of over 60 popular subject categories of grant making. A current list of the categories can be obtained through the Foundation Center's toll-free number: (800) 424-9836. Another example is the Lockheed/DIALOG Information Retrieval Service, which can access the information indexed in the Foundation Directory and Foundation Grants Index. Foundation Reports consist of the Internal Revenue Service fiscal report of each foundation and short biographies of officers and trustees. These helpful documents are available through the Foundation Research Service. In addition to Foundation News, other periodicals deal with the subject of foundations and grants, such as The Grantsmanship Center News, published bimonthly by the Grantsmanship Center, and the quarterly Grants Magazine. Once a problem is identified and a method of solving it proposed, the source of funds must be sought. A grant seeker should first refer to the sources of information and note foundations that have expressed interest in this type of problem. It may be helpful if the problem is flexible enough to qualify as a tangential interest; i.e., the applicant may emphasize a related problem in which the foundation is interested that might be dealt with while solving the researcher's particular problem. For example, experimentation on urban pests can usually qualify as enhancing the emotional well-being of people, and research on medically important insects might fit the scope of interest of foundations that sponsor medical inquiry. The most promising foundations will be contacted first. Note what projects they have funded in the past and if they have any restrictions, such as geographical area, use, or recipient. The proposed budget should be in accordance with the size of grants they have given earlier. Knowing when the board or review panel meets enables one to have the proposal submitted before then. Submitting the proposal when the fiscal years are changing may be rewarding. Many foundations may award the majority

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of funds at the beginning of the fiscal year. If a single funding source large enough to finance the project cannot be obtained, it is possible to amass the needed funds from more than one foundation. In this case, it is prudent to keep each foundation aware of the multiple submissions and their relationship. Initial Contact Obtaining prior approval of the administration within the institution where the experimentation will be conducted is of more significance than only letting them know what is happening in their domain. It clarifies crucial points as to whether or not the research is in accord with the goals of the institution, what might be expected of the institution, and how the finances will be handled. Continued coordination with the administration during the proposal and post-award phases is advised. Initial contact with a prospective sponsor is usually by letter. This provides a written summary of the problems and needs of the investigators. The letter should be short-{)ne page if possible. Foundations receive many requests; thus, a one-page letter will be more carefully re.ad than a multipage one. It should be addressed directly to the person in charge of funding activities, and worded as if one were talking to this individual. In the first paragraph the grant seekers should identify their role, their organization, and the problem. The proposed research plan should be outlined in another paragraph. The significance and value of the study should then be summarized. It should be mentioned why the researchers and their institution are capable of carrying out the project. An estimation of the amount of funds needed and an explanation of why the foundation should sponsor the project are also required. Additional information should be offered if the foundation so desires, and formal proposal guidelines should be requested. In the closing part of the letter, the applicants should offer to discuss the proposed research with the foundation personnel at the latter's convenience. In some instances, usually with large (over $80,000) requests, the foundation may require a personal interview. In other cases, telephone discussion will suffice. In still other instances, especially with small (less than $5,000) grants, all negotiations might be completed by letter The Interview If an interview is required, be organized. In preparation, the proposal should be reviewed critically by one or more qualified colleagues. A draft of the proposal, budget, and timetable should be prepared for the interview, with copies to be left for the foundation. It is advisable that an administrator as well as a proposed project person represent the t:ecipient institution during the interview. In the desire to obtain funding, one must avoid the all too common

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errors of making promises that cannot be kept or changing the research goals to fit the desires of the foundation. The Formal Proposal Proposal requirements vary between foundations; however, it is important to adhere strictly to any provided guidelines. A well-written abstract is the most important part, because it may sometimes be the only section read by the reviewers! Technical jargon should be held to an absolute minimum. Complete answers should be provided to the following questions. What is the problem? Why is it important? What is to be done to solve the problem? How will it be accomplished (procedure)? Who will do it and what are their qualifications (researchers' and institution's)? Where will it take place? When will it take place (initiation and termination dates)? What will become of the results? How much will it cost (budget)? What will happen to this project when the funding period ends? A paragraph or two for each question is often enough. The budget should be itemized in a separate section. Cost sharing by the institution, such as salaries or indirect costs, and amount requested from the foundation are itemized in separate columns. Many foundations do not pay indirect costs, but require that these be paid by the institution. A separate sheet listing the relevant qualifications of the principal investigators (publications and previous grants held in the area of interest) should be provided. In the formal submission of the proposal, it is important that it be endorsed by an administrator who can commit the institution to accept the grant. The Post-Award Phase If an award is granted, the recipients should fol-

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low the l!;uidelinesof the foundation on submission of technical and financial reports. Sponsor support should be acknowledged in all publications. If an award is not made, one can request the reviewers' comments and ask why the proposal was rejected. This will help in future proposals and allow the researchers and administrators to know the foundation personnel and their evaluation procedure better. Regardless of the decision about funding, acknowledge and thank the foundation representatives for all consideration received. Sources of Information on Foundations The Foundation Center 888 Seventh Avenue New York, NY 10019 (212) 975-1120 Foundation Research Service 39 E. 51st Street New York, NY 10022 (212) 759-5660 The Grantsmanship Center 1031 S. Grand Avenue Los Angeles, CA 90015 (213) 749-4721 Council on Foundations, Inc. 1828 L. Street NW Washington, D.C. 20036 (202) 466-6512 REFERENCES CITED Anonymous 1980. Annual register of grant support 198081. Marquis Academic Media, Chicago. 751 pp. Kurzig, C.M. 1980. Foundation fundamentals: a guide for grantseekers. The Foundation Center, New York. 148 pp. Lewis, J.O. [ed.]. 1979. The foundation directory, 7th ed. The Foundation Center, New York. 594 pp.

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