Introduction
The effects of economic turmoil have not spared many institutions.
Tough economic times call for prudence in reducing costs, as well as
creativity in increasing revenues. An organization's ability to
move direct costs, such as faculty salaries, to sponsored projects, as
well as to increase recovery of indirect costs, is critically dependent
upon a principal investigator's intentional deliberate behavior to
write and submit funding proposals. Senior officials in education,
industry, and government
represent the group of research administrators most often charged
to develop policies and devise strategies for the increase of funding
proposals.
Ajzen's Theory of Planned Behavior (TPB) is a powerful model
with practical application to a variety of situations to predict and
influence human intentions to perform a range of desirable behaviors
(Ajzen, 1991). Evidence from narrative and meta-analytic reviews support
its efficacy as a predictor of intentions and behavior capable of
explaining 20 percent or more of the variance in prospective measures of
actual behavior (Armitage & Conner, 2001). This theoretical model is
particularly applicable to a variety of intentional human behaviors that
are of importance to research management.
Theoretical Model
The Theory of Planned Behavior is a derivative of Ajzen and
Fishbein's earlier Theory of Reasoned Action, in which they tried
to estimate
discrepancy between a person's attitude toward a behavior and
the actual performance of that behavior (Ajzen & Fishbein, 1980).
Subsequent research indicates that behavior may not be voluntary or
under control. Recognizing that human behavior can be both deliberative
and planned, the initial theoretical model was refined to include the
element of perceived behavioral control and published as the Theory of
Planned Behavior (Ajzen, 1991).
[FIGURE 1 OMITTED]
The theory explains that the best predictor or immediate
determinant of a behavior (i.e., whether a faculty member will prepare
and submit a funding proposal) is the intention to act or not to act.
This critical decision point of intending to act is influenced by three
factors:
1. Attitude toward the behavior, which reflects the
individual's evaluation of the behavior, its personal value and
desirability, and the perceived benefits or rewards for performing the
behavior.
2. Perception of subjective norm: Intentionality is also influenced
by the individual's perception of the social pressure to execute,
or not to execute, the behavior.
3. Perceived control over the behavior, which is a person's
perceptions of his or her ability to perform the behavior. An
individual's perceived control is influenced by experiences with
the behavior and ability to overcome associated obstacles.
TPB predicts that a potential principal investigator (PI) is more
likely to intend to pursue external funding for projects, and will
actually follow through to write and submit a funding proposal, when
that person:
a. believes that submitting funding proposals is a desirable and
valued behavior:
b. sees other similar people successfully writing and submitting
proposals: and
c. perceives they are able to write and submit proposals, that
obstacles can be overcome.
Case Context
The University
The University of Alaska Fairbanks (UAF) is located in the interior
of Alaska, approximately 75 miles from the Arctic Circle. UAF is the
main campus, and the research university, of the statewide University of
Alaska system; UAF is the only doctoral-granting institution in the
State of Alaska. UAF was originally founded in 1917 as the Agricultural
College and School of Mines. Today, UAF is America's northernmost
Land, Sea, and Space-grant institution, and in 2009 was named as one of
the West's best colleges by the Princeton Review. UAF holds an RU/H
Carnegie classification, and research expenditures at UAF have increased
substantially from $56.4 million in FY97 to over $107 million in FY09.
UAF ranks first out of 50 universities in the amount of research funds
awarded from the National Science Foundation (websites of UAF and NSF).
The College
This context differs dramatically at UAF's College of Liberal
Arts (CLA), whose faculty tend to view the College as a predominantly
undergraduate teaching institution. This derives from the tact that the
College provides a broad liberal arts undergraduate education with
strengths in circumpolar teaching and research emphasizing Alaska Native
peoples and languages; the College also bears a heavy general education
service mission to provide over 68 percent of courses that meet core
curriculum requirements for all UAF baccalaureate degrees. However, the
College of Liberal Arts is one of the largest colleges in the University
of Alaska statewide system, and is comprised of nearly 400 employees
that include over 150 potential principal investigators, who are also
all members of the faculty union, United Academics. The College's
28 academic units offer 20 undergraduate degree programs, 11
master's degree programs, and 4 doctoral programs.
Problem Statement
Given the College's self-concept as a teaching college, and
institutional identity as a service provider to the other degree
programs, there was very little sponsored project activity occurring
prior to the year 2000, as can be seen in TabLe 1.
In the Spring of 1999 the Dean of CLA realized that the College
needed "to get this turned around." To meet that challenge, he
implemented a plan to launch an Office for Research Development that
included assigning one unrepresented faculty (this author) to serve as
director, with two years to "prove up" by showing positive
change and momentum. There was no provision for additional staff or
budget beyond the director's salary and benefits. Two initial goals
were set: increase recovered indirect costs to the College and increase
sponsored project activity to 10% of College-wide overall faculty
capacity.
Methods and Measures
Measures
The situation was approached from a cognitive psychological
perspective, since this was a well-defined problem. All the necessary
information was spelled out in the problem statement and there were
clear criteria to determine when the goal had been achieved. As shown in
Figure 2, a working-backwards heuristic via means-end analysis was used
to break down the difference between the initial state and the goal
state, to identify the most important differences, and then to find an
operator that would tend to reduce that difference (Solso, MacLin, &
MacLin, 1998).
[FIGURE 2 OMITTED]
Indirect costs are enumerated as the total dollars distributed to
the College of Liberal Arts in each fiscal year as the unit's
proportional share of the institution's facilities and
administration cost recovery and distribution procedures for
UAF-sponsored programs (UAF OSP website).
Numbers of new awards are counted in the fiscal year in which they
are awarded regardless of fiscal year in which the project is proposed.
Depending on timing of submission relative to federal review cycles, and
the number of revisions and resubmissions that may be requested, the
award event may lag the initial proposal event by up to 3 years.
New dollars awarded reflects the total dollar value of the new
award that is enumerated in the fiscal year of the initial award.
Number of new proposals/submissions is the number of external
funding proposals submitted in each fiscal year. In this particular
case, external is broadly interpreted to mean external to the College of
Liberal Arts, and includes university and statewide system internal
competitions, many of which have federal sponsors such as Alaska
EPSCoR/NSF and Alaska INBrE/NIH.
New proposals are written by eligible principal investigators, who
are most often faculty, but may also be graduate students or staff,
depending on the sponsor's eligibility guidelines. The most
critical assets for the conduct of research and sponsored projects are
the time and effort expended by faculty, whose expertise and interests
match the sponsor's program requirements (Ebong, 2001).
Universities and colleges typically identify teaching, research, and
service as the components of their mission and the prime responsibility
of the faculty (Darling & Hensley, 1992). Since a university's
most important asset to achieve the mission is its faculty, the number
of faculty represents the capacity available to achieve the mission. How
the primary objectives of the institution are met is significantly
dependent upon how faculty effort is allocated among the tripartite
mission components. Since most other resources are fixed, particularly
at a publicly funded institution, faculty and staff time are the only
resources that can be changed significantly to improve performance
(Plater, 1995; Sink, 1985).
Developing sponsored projects in a primarily academic unit requires
understanding the distribution of faculty resource capacity. In this
case, while the total number of faculty is tallied, the total number of
faculty workload units available for allocation was a more useful
measure of resource allocation (see Table 2).
Methods
Within the constraints of a one-person office and no additional
budget, interventions were designed and implemented to deliberately
target the three factors that most influence the critical decision
point:
1. To change attitude toward the behavior using public and private
rewards: Since attitude toward a behavior reflects the individual's
evaluation of the behavior, its personal value and desirability, and the
perceived benefits or rewards for performing the behavior, the following
interventions were implemented.
a. Monthly research newsletter
A monthly, one page, double-sided, black & white research
newsletter was launched that listed every proposal submitted by PI name,
and every new award. This was distributed to the College, and at the
monthly Chairs' Council, the proposing departments and faculty were
individually and publicly thanked for making the effort and
congratulated for their success.
sample proposal entry: PSYCHOLOGY (named person) NSF First Annual
Televideo Conference of the Arctic: Sex and Culture Behavioral Science
Research
sample award entry: ALASKA NATIVE LANG CTR $ (named person)
$397,328 National Science Foundation Alor-Pantar Languages: Origins and
Theoretical Impact (Euro-BABEL)
b. "Spiritual bouquets"
Successful leadership involves encouraging the hearts of others
(Custer, 2009). To send a message to the PI that would speak to the
human spirit, saying that "you are valued and your efforts are
appreciated," floral note cards were obtained suitable for either
gender. At the end of every month, faculty who prepared and submitted a
proposal of any size and to any sponsor received a personalized
handwritten note card thanking them for their efforts and wishing them
continued success in their research and scholarship.
Similarly, when a proposal was funded, another handwritten card,
including a note from the Dean, was sent to the PI. Academic life can be
busy, tough, and often just plain draining, so when something good
happens, like a proposal being funded, it's something to get
excited about and to celebrate. The intent of the notes was to let the
faculty member know that the institution, and the Dean, have heard the
good news, care about the success however large or small, and are
celebrating along with the faculty PI.
Similarly, when a project was not funded, the disappointment was
shared. The focus is on rewarding the desired intentional behavior
(prepare and submit proposals) not necessarily on the outcome (grant
funded or not). This is particularly important when a faculty has
invested considerable time and effort to write a proposal. A follow up
note of encouragement was sent out to let faculty know their effort was
appreciated, that there is confidence that an appropriate sponsor will
be found for their important work, and that their project will be kept
in mind as new opportunities become apparent.
c. Public recognition via public display
A large wall-mounted locked display board is in the main hall at
the entrance to the Dean's suite. This is an area of high foot
traffic by all UAF students, parents, guests, and donors. From the end
of May until the beginning of September, the display showcases College
of Liberal Arts sponsored projects for that year. The display includes a
note of thanks and praise from the Dean, as well as graphical
presentation of progress on key metrics. Each year the display is
organized around a theme, such as gardening. At the time of this
writing, the grants manager had a proposal funded that would convert
this bulletin board to an electronic bulletin board, allowing for
substantial additional content, including audio and visual.
d. Dean's public recognition (reception and certificate)
After a change of college administration, the new Dean became aware
of a small pot of Dean's discretionary private money and was
convinced to hold a faculty appreciation reception during Academic
Excellence Week in the Spring. Initially, the faculty were invited to a
recognition tea with home-baked cookies in a large classroom. Their
behavior was revealing, and included tentative peeking in the doorways
and asking each other what this was all about. As faculty awareness and
productivity grew, receptions were moved to the campus pub on a Friday
afternoon with high-end hors d'oeuvres paid for with private monies
and a no-host bar (total cost less than $300). Among the various
recognitions for teaching excellence and scholarship, such as publishing
a book, the Dean also gave out a certificate of recognition to each
faculty member who had received a new grant during the previous 12
months. The bulletin board display also includes an encouraging word
from the Dean.
2. To change perception of subjective norm
Since intentionality is also influenced by the individual's
perception of the social pressure to execute or not to execute the
behavior, the following interventions were implemented:
a. Welcome letter for new faculty and new department chairs, with
tips for encouraging faculty to prepare and submit funding proposals.
Faculty Senate policies specify that academic department chairs
will be elected from the faculty. The College has 28 elected department
chairs, of whom approximately one-third in any given year are new to the
role. Each newly elected chair receives a congratulatory letter that
includes:
--welcome to the new role and where to find description of
department chair duties
--a brief paragraph on what the department chair signature means
when signing a sponsored project proposal transmittal form
--articulation that sponsored projects are a vital component of the
discipline, of developing junior faculty, growing the program, and
providing another revenue source
--"attached are a few articles that previous chairs have found
helpful"
This letter also functions as the cover letter to a packet of
helpful articles assembled for this purpose (Boyer, 2001; Gordon, 2004;
Sterner, 1999).
b. College-wide statistics regularly published in the newsletter
Each monthly issue of the college research newsletter also features
year-to-date statistics in one column on the front page. Under the image
of an enthusiastic and encouraging screen bean, the data report number
of new proposals submitted, new dollars sought, new awards received, new
dollars awarded, and the College's recovered indirect costs. The
data also include the number of sponsored projects on which the college
is a collaborator, as well as that total dollar effort to the
university. Lastly, the data include the quarterly summary of the
College's restricted funds: number and type of contracts, as well
as total revenue.
c. Faculty workload allocation profile
Near the beginning of the Spring semester, at a College-wide
meeting of the Chairs' Council, each department chair is presented
with a graphic depiction of the College's overall faculty workload
allocation trend for the previous six academic years (such as enumerated
in Table 3), as well as their own individual departmental trend for the
same period. These serve as a point of discussion between the Dean, who
assigns the faculty workloads, and the chair, who recommends a faculty
member's proposed workload to the Dean. In the past 10 years, four
different deans have lead this discussion: however, the consistent
message has emphasized the goals of preserving teaching capacity while
simultaneously converting more scholarly work to sponsored projects.
3. To change perceived control over the behavior
Since perceived behavioral control is the person's perceptions
of his or her ability to perform the behavior, and with knowledge that
an individual's perceived control is influenced by experiences with
the behavior and belief in an ability to overcome associated obstacles,
the following interventions were implemented.
a. Wrote Grants for faculty development efforts
To avoid deserved criticism of "do as I say but not as I
do," the Director wrote a successful President's Special
Projects fund grant to support the College of Liberal Arts'
Academic Researchers Maximizing Yields (A.R.M.Y.) project. In addition
to supporting a local daylong grantsmanship workshop, the grant
supported the purchase of over 100 copies of a how-to grants manual
(Bauer, 2001: 2003). Each participant at the workshop received a copy of
the manual, as did each department. A second successful funding proposal
permitted two substantial orders, and consequently each newly hired
faculty has received a personal "Welcome!" copy of the manual.
Tucked into the new faculty's copy is a bookmark from the Office of
Research Integrity (IRB/IACUC contacts), and business cards of the
college proposal development specialist, as well as the Associate Dean
to contact for assistance in getting started or to answer additional
questions about the process.
b. Resources for individualized study
The CLA Research News contains at least four current websites for
individualized study or online tutorials. The basic ones include:
UAF's Office of Sponsored Programs page for "How to Write a
Proposal" (UAF OSP website); the National Science Foundation's
link to "How to Prepare Your Proposal" (NSF website); the U.S.
Department of Health & Human Services link to helpful tips for
"Writing Your Application" (US DHHS website); and various
online tutorials, such as The Foundation Center's. "Proposal
Writing Short Course" (The Foundation Center website). Each site is
prescreened for relevancy of content to liberal arts faculty before
being published.
c. Administrative support
The number of new proposals and new awards gradually increased to
the point where the faculty's need for administrative support
exceeded the capacity of a one-person office. At this same time, the
University of Alaska successfully competed for a third-phase NSF/EPSCoR
(Experimental Program to Stimulate Competitive Research) award that
included a focus on building capacity in social science research (Alaska
EPSCoR, EPS-0701898). Since the majority of the social sciences at UAF
are housed within the College of Liberal Arts, so too would be the
administrative burden resulting from this capacity-building effort. NSF
Award #EPS-0701898 included partial support for a Grants Management
Assistant, based centrally in the UAF College of Liberal Arts
Dean's office, to support the growth in social science research.
The additional full-time technical support has been integral to the
successes reported here.
Concomitant with the NSF/EPSCoR award, the fourth International
Polar Year (IPY) launched a massive international research effort
estimated at over $1.5-billion and involving 63 nations. In the U.S.,
the National Science Foundation alone awarded 389 IPY research grants
for nearly $160 million. Of those, 122 projects involved activities in
Alaska, many of which were led by faculty from the University of Alaska.
Of these, five awards totaling over $1.5-million were based in the UAF
College of Liberal Arts. Moreover, in 2009, UAF faculty successfully
competed for four federal stimulus awards (ARRA funding). The increasing
volume of proposals and awards, and the increasing complexity of large
international collaborative projects, necessitated upgrading the
assistant position to Grants Manager.
Results
One serendipitous benefit is improved timeliness of award letter
receipt. Faculty began bringing in their award letters almost as soon as
they receive them because they wanted to be on the list to be recognized
at the Spring reception, the monthly newsletter, and the Summer public
bulletin board.
As can be seen in a comparison between Table 1 and Table 3, the
average annual number of new proposals increased by 10 percent; however,
faculty were now pursuing much larger funding proposals, and the average
annual number of new awards has nearly doubled; indirect cost recovery
to the College has reached historic highs.
As seen in Table 2, the goal of increasing the overall College
capacity allocated to sponsored projects to 10 percent or greater took
several years to achieve and was finally realized in academic year
2008-2009. As also seen in Table 2, teaching capacity was not only
preserved but actual teaching effort increased from an overall 46
percent faculty effort allocation to an overall 55 percent. The
leadership of a strong dean contributed to the increase in teaching
capacity alongside an emphasis on research mission and necessary
reduction in faculty service obligations.
Discussion
As predicted by the theory of planned behavior, management
interventions deliberately targeted to address the critical factors that
influence intentional behavior have been successful. The goal of
increased indirect cost recovery to the College continues to be
achieved, necessitating modifications to the annual targets. The goal of
increasing overall College capacity allocated to sponsored projects was
achieved more slowly and is being sustained at a productive level. The
goal of preserving teaching capacity has been reached, and overall
teaching capacity has increased.
Conclusion
In the current economic climate, many colleges and universities
face similar challenges. All need to increase external sponsorship and
to benefit from additional indirect cost recovery. The theory of planned
behavior readily lends itself to management methods and techniques that
target the critical factors that influence intentional behavior. Such
methods may be implemented readily in a wide variety of research
settings; however, the particular interventions developed will differ
according to the resources and opportunities of the institution and the
particular needs of its researchers. As has been found by others who
study researcher behavior (Cole, 2007), this case illustrates that
understanding the research faculty's intentional behaviors is
critical to the success of institutions that want to achieve university
research missions, to support research and new faculty, and to expand
the knowledge in all disciplines in society.
Author's Note
Portions of this work were supported through funding from the
National Science Foundation (NSF), Award #EPS-0701898: the University of
Alaska Foundation Award, University of Alaska President's Special
Projects fund: a BP and ConocoPhillips grant, supporting University
Research and Instructional projects: and the State of Alaska.
References
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predicting social behavior. Englewood Cliffs, NJ: Prentice-Hall.
Alaska EPSCOR Experimental Program to Stimulate Competitive
Research. Social Science Component
http://www.alaska.edu/epscor/focus/social/ NSF Award #EPS-0701898.
Armitage, C., & Conner, M. (2001). Efficacy of the theory of
planned behavior: A meta-analytic review. British Journal of Social
Psychology, 40(4), 471-499.
Bauer, D. G. (2001). The "How-To" grants manual:
Succesful grantseeking techniques for obtaining public and private
grants, 4e. Westport, CT: American Council on Education/Praeger series.
Bauer, D. G. (2003). The "How-To" grants manual:
Successful grantseeking techniques for obtaining public and private
grants, 5e. Westport, CT: American Council on Education/Praeger series.
Boyer, P. G. (2001). Grant performance of junior faculty across
disciplines: motivators and barriers. The Journal of Research
Administration, II(1), 19-23.
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obtaining grant funding: A model for success. Research Management
Review, 15(2), 16-32.
Custer, T. J. (2009). Encouraging the heart: Being a positive
leader during stressful times. NCURA Magazine, July/August, 36.
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process for university research. In Hensley (Ed.) Strategic Planning for
University Research. Texas Tech University Press.
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development. The Journal of Research Administration, II(1), 11-18.
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submitting National Institutes of Health grant applications. The Journal
of Research Administration, XXXV(I), 12-16.
National Science Foundation. Funding-How to prepare your proposal,
http://www.nsf.gov/funding/preparing/ Page updated 22-Dec-2009; accessed
30-March-2011.
National Science Foundation. Funding Rate by State and Organization
from FY2009 to 2010. Retrieved March 30, 2011 from
http://dellweb.bfa.nsf.gov/awdfr3/default.asp
Plater, W. M. (1995). Future work: Faculty time in the 21st
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The Foundation Center (2011) Proposal Writing Short Course.
http://foundationcenter.org/getstarted/tutorials/shortcourse/ This
online short course in proposal writing was adapted from The Foundation
Center's Guide to Proposal Writing, 5th ed. (New York: The
Foundation Center, 2007), by Jane C. Geever, chairman of the development
consulting firm, J. C. Geever, Inc. Accessed 30-March-2011.
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Anita Hartmann, PhD, CRA
Associate Dean College of Liberal Arts
University of Alaska Fairbanks
314 Cooper Dr., Suite 404
Fairbanks, AK 99775-6280 USA
Tel: (907) 474-7231
Fax: (907) 474-5817
Email: amhartmann@alaska.edu
Table 1. Summary of sponsored project effort and success prior to
applying interventions based on the Theory of Planned Behavior.
A five-year average was calculated using Microsoft Office Excel
2007 averaging function: p (average number of proposals) = 50;
p (dollars sought) = $4,435,416.67; p (new awards) = 14.8
(rounded down to 14 whole awards), p (new dollars awarded)
= $698,958.33; p (ICR to college) = $39,204.
Fiscal New Dollars New Dollars ICR
Year Proposals Sought Awards Awarded to college
FY96 64 $3,600,000 19 $ 120,000 $36,100
FY97 57 $4,100,000 16 $ 140,000 $33,520
FY98 60 $6,750,000 16 $1,600,000 $24,638
FY99 21 $2,200,000 5 $ 95,000 $46,620
FY00 48 $5,800,000 19 $1,750,000 $59,128
Table 2. Summary of the allocation of the college's faculty
resource capacity to the tripartite mission components. Note that
the increase in sponsored activities did not reduce teaching
efforts; teaching allocation actually increased. The goal was to
preserve teaching capacity, reduce service commitments, and to
increase sponsored projects by converting unsponsored research
activities into sponsored projects.
Academic Capacity Capacity Effort
Year # Faculty # WLUs % research
1999-2000 111 2855.5 22.19%
2000-2001 111 3248.5 23.21%
2001-2002 111 2858.5 22.25%
2002-2003 139 3732.5 21.09%
2003-2004 141 4097.0 16.0%
2004-2005 143 4250.0 18.0%
2005-2006 136 4026.0 19.0%
2006-2007 121 3722.0 23.0%
2007-2008 121 3722.0 23.0%
2008-2009 136 4213.2 27.0%
2009-2010 130 3602.0 28.0%
Academic Effort Teaching Service
Year % sponsored % WLUs % WLUs
1999-2000 3.41% -- --
2000-2001 5.61% -- --
2001-2002 4.44% -- --
2002-2003 5.32% -- --
2003-2004 5.0% 46.0% 27.0%
2004-2005 4.0% 50.0% 25.0%
2005-2006 7.0% 47.0% 26.0%
2006-2007 6.0% 47.0% 24.0%
2007-2008 6.0% 47.0% 24.0%
2008-2009 11.0% 54.0% 19.0%
2009-2010 8.0% 55.0% 18.0%
WLUs = faculty workload units
Effort = % WLUs allocated to the activity
Table 3. Summary of sponsored project effort and success after applying
interventions based on the Theory of Planned Behavior. A ten-year
average was calculated using Microsoft Office Excel 2007 averaging
function: [Mu] (average number of new proposals) =_ 56 (56.2 rounded
down to 56 whole proposals); [Mu] (new dollars sought)
= $12,638,678.90; [Mu] (new awards) = 26 (26.6 rounded down to 26
whole awards); [Mu] (new dollars awarded) = $1,861,198.10;
[Mu] (ICR to college) $147,491.96.
Fiscal New Dollars New Dollars ICR
Year Proposals Sought Awards Awarded to college
FY01 39 $ 8,225,000 19 $7,100,000 $ 96,431
FY02 37 $ 3,800,000 28 $2,800,000 $110,954
FY03 59 $ 9,300,000 23 $ 387,793 $105,831
FY04 56 $36,800,242 27 $ 789,226 $147,929
FY05 78 $30,296,876 32 $ 422,254 $178,512
FY06 74 $ 8,248,992 49 $2,252,243 $141,720
FY07 66 $10,243,324 14 $1,153,541 $ 86,936
FY08 57 $ 5,308,933 34 $1,797,568 $170,876
FY09 40 $ 8,354,417 17 $ 732,455 $227,770
FY10 56 $ 5,809,005 23 $1,176,901 $207,958