RIM Programs. Bruce W. Dearstyne, Ph.D.

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1 Securing Grants for RIM Programs With creative planning and careful research, RIM professionals may be successful in finding grant funding for a new project or initiative Bruce W. Dearstyne, Ph.D. Securing a grant for a records and information management (RIM) project is a challenge because records are usually regarded as an institution s own responsibility, and programs offering records management grants and funding sources are limited. Archival project grants may be only slightly easier to identify because there are a few more sources for these. In either case, securing a grant often requires imagination and creativity. There are four categories of potential sources for RIM program grants: 1. Funding programs specifically intended to support records management or archives projects, such as the state programs for local government records, noted in sidebar. 2. Programs with interest in information management issues where there are records management dimensions, for example, the Department of Defense, discussed in sidebar. 3. Programs that are interested in a particular topical or geographical area that do not have a specific category for records management or archives but might be convinced to consider a proposal if they understand how records issues are related to their main interests. Many foundations have potential for support in this category. But success requires initiative, imagination, cultivation of and consultation with program officers, and tailoring of proposals. Examples include: A state or federal funding agency charged with improving educational performance in the public schools might be interested in a project to develop a new student tracking, evaluation, and reporting system. Interest in national security might be cultivated toward support for projects to create model programs for electronic information sharing among local police and security agencies. An interest in developing better strategies for handling digital information might be capitalized on to secure support for a model project to improve management. Rising interest in electronic data discovery in the legal sector At the Core This article Outlines the potential sources for RIM-related grants Details a strategic approach to seeking and securing grant funds Gives tips for preparing a strong proposal for grant funds could be used as a basis for seeking grant funds to develop, apply, or test policies to ensure appropriate records management. A funding source for archival projects might be persuaded to support survey work, schedule development and other records management as a necessary precondition of sound archival work. A state humanities council, interested in promoting the humanities in public life, might be approached for support to preserve or digitize and distribute some particularly strong, relevant subject-area collections. 36 The Information Management Journal January/February 2007

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3 A local corporation, not interested in starting a grants program, might nevertheless be convinced to fund an internship in archives or records management at a local university. A dramatic national tragedy such as 9/11 or Hurricane Katrina might lead to funding becoming available for improved records management, e.g., for detecting and thwarting terrorists and for disaster preparedness. 4. Programs that might be interested in initiatives to strengthen the capacity of the RIM program, including possible donations of in-kind support. Foundations have the most potential in this category. There are four major potential sources for grants: national government programs; state archives/records management program grants for local governments; foundations; and corporations. (See sidebar article for a descrip- Potential Sources for Grants This list of potential sources of grants is by no means exhaustive; rather, it is indicative of potentially available resources. Funders areas of interest change periodically and need to be tracked. Matching and cost-sharing expectations also vary; check websites for current information. National Government Programs The following list identifies a number of Canadian and U.S. federal programs, some of which fit in Category 1 and others in Category 2 noted in the beginning of this article. Some are accustomed to providing research grants, so applications would have to be tailored that way. Some require matching or cost-sharing. The amount available varies according to annual budgetary appropriations. The best approach is to monitor via the federal grants portal, and particular agencies with topical interests that align with your program. In addition, as noted above, some government agencies issue contracts that may support records/information management work. Canadian Council on Archives/National Archival Development Program, Funded by Library and Archives Canada; administered through the Council. Funding is available for arrangement and description, documenting under-represented groups, raising awareness, disseminating descriptive information, preservation work, and other initiatives to increase the capacity of archival institutions. The Council itself is also eligible to receive funding. Library and Archives Canada/Archival Community Digitization Program, Funded and administered by Library and Archives Canada with advice and support from the Canadian Council on Archives. Supports projects for digitization of archival records: unique, digitized online cultural content, available free of charge via the Internet. U.S. Department of Defense (DoD), DoD supports initiatives to improve the military s capability to manage intelligence and information for defense and warfighting purposes. Of particular interest is the Defense Advanced Research Projects Agency (DARPA), which sponsors technology research, including information processing technology and information exploitation. DARPA projects are usually large in scale, often are located at universities, and need to have some military applicability, but some of the research they support centers on areas of interest to records and information managers. U.S. Federal Emergency Management Administration (FEMA), FEMA does not give records grants, but it is very interested in the information management aspects of emergency preparedness and response. It is partnering with the Council of State Archivists (CoSA) in the 38 The Information Management Journal January/February 2007

4 tion of potential sources.) One of the best sources for learning about potential grants is the professional community. Professional organizations, through their newsletters, meetings, local chapters, and in other ways, provide a natural network for people to discuss grant strategy, sources, and administration issues. The records management listserv, the archives listserv, and more specialized lists, websites, and blogs, are also good sources for information. Identifying and Using Grants for Strategic Program Development Approach grants planning by considering four strategic questions: 1. Is there a high degree of alignment between what the available funding is likely to support and what the program needs? 2. Will a grant support enhancement and strengthening of the program in a priority area? Emergency Preparedness Initiative, developing preparedness procedures for archives and records in each of the states. Some FEMA grant programs have potential for a RIM or training component, including funding for Emergency Management Institutes, the National Dam Safety Program/Dam Safety Research, Pre-Disaster Mitigation Program, and the Cooperating Technical Partners Program (flood mitigation). U.S. Department of Health and Human Services (HHS)/Office of National Coordinator for Health Information Technology Services, The HHS is leading the federal government s efforts to foster adoption and use of digital health and medical records. As part of this effort, HHS issues requests for proposals and awards contracts to organizations to develop and test electronic health information systems that will provide medical professionals and patients with affordable, secure, effective access to patient records, diagnostic information, and billing information. U.S. Department of Homeland Security/Office of Grants and Training, Homeland Security s Security Grant Program (HSGP) provides support to states, territories, and urban areas to prepare for, prevent, and respond to terrorist attacks and other major disasters. HSGP funds can be used for preparedness planning, equipment acquisition, training, exercises, management, and administration. Funding is available for a broad range of initiatives, including building capacity to prevent and respond to terrorist attacks and other catastrophic events (an area with RIM implications) and improving law enforcement, including such activities as intelligence gathering and information sharing. U.S. Institute for Museum and Library Services, The Institute, with a broad mandate to promote a nation of learners, makes grants to museums, libraries, and other organizations, including some for collections management, community engagement, conservation, and leadership. U.S. Library of Congress/National Digital Information Infrastructure and Preservation Program, The Library of Congress is leading a multi-year program to develop national strategies and approaches to the collection and preservation of digital information of continuing value. As part of this effort, the program makes grants for digital preservation and for research projects designed to provide new tools and strategies. U.S. National Endowment for the Humanities, NEH provides grants for projects that preserve collections and create intellectual access to collections that, because of their intellectual content and value as cultural artifacts, are considered highly important for research, education, and public programming in the humanities. It also provides support for creation of databases and for digital preservation projects. U.S. National Historical Publications and Records Commission (NHPRC), Administered by the National Archives and Records Administration, this key federal program provides grants to programs for preserving and making accessible archival records and support for State Historical Records Advisory Boards. NHPRC may consider supporting records management projects such as surveys and electronic records projects, provided they have an archival element and outcome. But, given the NHPRC s limited resources, competition for these grants is very intense, and only the very strongest proposals merit consideration. Even they sometimes fail because of other funding priorities. U.S. National Science Foundation (NSF)/Directorate for Computer and Information Science and Engineering, The NSF makes grants in the computer science area, broadly defined, mainly to research universities. But some of their grants in the area of computer science have potential RIM applications. This year, for instance, topics eligible for funding in the Division of Information and Intelligent Systems include Information and Data Management (design, implementation, development, management, and use of databases, information retrieval, and knowledge-based systems) and Digital Government (including projects to support computer and information science research on the application of information/computer technologies to government operations). State Archives/Records Management Program Grant for Local Governments Fourteen U.S. states have active records grants programs according to a survey conducted by the Council of State Archivists in 2006: Connecticut, Georgia, Iowa, Kentucky, Maine, Missouri, Nebraska, New Jersey, New York, Pennsylvania, Rhode Island, Tennessee, Virginia, and Washington. Several use the proceeds from a special records filing surcharge for competitive grants for records management and archives. Some have staff to help local governments prepare for and administer their projects. Archives, as well as records management, may be eligible. Priorities change from year to year, January/February 2007 The Information Management Journal 39

5 3. Can the program leverage an awarded grant to secure more resources or other support after the grant funding runs out? 4. Are the benefits of the grant likely to outweigh the time and resources required to obtain, administer, and report on it? Some strategic approaches to consider: Use grant development as an occasion for program planning. RIM programs need a plan that defines mission, vision, goals, objectives, and strategies to operate successfully. If there is no plan, or if it is outdated, the prospect of seeking a grant may prompt development or revision, a necessary precondition to grantseeking in any case since it will need to be very clear to the funder how the grant-funded project will dovetail with other program work. Use grant-seeking to build collaboration and partnerships. RIM programs but these are good sources for Category 1 grants. New Jersey s Public Archives and Records Infrastructure Support Grants Program (PARIS) and Records Disaster Recovery Triage (Records DIRECT), html. Launched in 2005, these grant programs, administered through the Department of Archives and Records Management, awarded more than $25 million to local governments in their first year. PARIS grants supported needs assessment/strategic planning; imaging services, electronic records management systems; and archival preservation. DIRECT grants are available for emergency management assistance. Washington s Local Records Grant Program, gov/archives/news/grants.aspx. Competitive grants in amounts up to $20,000 for larger local governments; up to $7,500 for smaller ones. Administered by the State Archives. Grants fund inventory and planning; needs assessments; microfilming archival records; conservation; finding aids; and improved storage. New York State Archives Local Government Records Management and Documentary Heritage Program (DHP), Competitive grants are made to local governments for inventory/planning, storage/retrieval, microfilming, access systems, inactive records, disaster planning and response, imaging, and management of archival records. The program has also begun supporting grants for records management aspects of e- government. Under the DHP program, grants are available to historical records repositories such as libraries and historical societies for work on their holdings. Foundations Foundations are probably the best prospects for support in Categories 3 and 4. The Foundation Directory lists more than 10,000 substantial foundations; the Foundation Directory 2 describes smaller ones. Foundations are grouped in four categories: 1. Independent grant-making organizations established to support social, educational, religious, or other activities. The purposes are spelled out, but, within those goals, the administrators frequently have considerable leeway on what is funded. 2. Company-sponsored foundations, independent of the companies but with close ties; giving tends to be related to the company s interests or to the community where it is located 3. Community foundations, providing support in a particular community or region 4. Operating foundations, which often conduct research in specified areas but which may sometimes welcome cooperating partners or sites for testing ideas The ARMA International Educational Foundation, foundation.org, provides limited grants for research and educational development in RIM. Beyond that, RIM managers need to be imaginative in seeking out sources. Many foundations have an expansive and enlightened view of how to support their subject areas and might be interested in records or archives initiatives. Look for foundations that are interested in your topical area or geographical region and that are not bound by narrow, formulaic grant guidelines. The Foundation Directory s Type of Support Index includes several categories that might be worth exploring: Conferences and seminars grants to cover expenses Consulting services support to nonprofit organizations to hire someone to evaluate services Donated equipment, in-kind gifts, or donated services Loaned talent and technical assistance loaned professional staff who help a nonprofit agency in an area involving their particular skills; examples include strategic planning, personnel policies, legal advice, and fundraising Management development management training, strategic planning Program development, special projects, and program evaluation Corporations Corporations that make grants usually restrict them to nonprofit organizations and use a number of mechanisms, according to The How To Grants Manual: corporate contributions in the form of gifts and grants; designating a portion of their profits to a company-sponsored foundation (which makes grants); and support of research programs at universities and non-profits to further the development of new technologies, patents, and breakthroughs in their fields of interest. There may be promising opportunities here in Categories 2, 3, and 4. The National Directory of Corporate Giving is a good place to begin the search. Editor s Note: See Sources of Information about Finding and Securing Grants at for more information. 40 The Information Management Journal January/February 2007

6 may use the prospect of a grant as a launch point to build or strengthen cooperative relationships. Stephanie Gerding and Pam Mackellar, in their article Wishing Won t Work, point out that joint initiatives appeal to funding sources because they allow them to stretch their resources and increase their impact. Joint projects combine expertise and resources, and increase the chances of success and sustainability for grant projects. Find an appropriate source. Focus on funding sources with a track record of giving (or an interest, at least) in information, records, or archives management or in a topical area where there is a plausible connection to the current records program. Is the scope of available grants sufficient for the work under consideration? Is there a pattern of seeking new funding opportunities or, by contrast, one of repeated grants to the same recipients? Are program officers willing to discuss new ideas? Make the grant fit your program, not vice versa. Grants are almost always for limited duration, so they should not be considered as a substitute for basic operating budgetary resources. Grant-funded projects should fit in some discernible way with the program s priorities, add a new dimension, strengthen capacity, solve a problem, or address a defined cache of records. Grants are usually one-time events, so RIM program managers need to devote them to defined, finite projects or else make provision for continuing the work with other resources after the grant funding ends. Consider dividing the project among two or more funding sources. In some cases, an identified initiative might be divisible into two or more projects which, taken together, add up to what the RIM manager wants to achieve. That argues for approaching two or more sources. Consider bidding for contracts or serving as a subcontractor rather than seeking grants. In a recent to the author, Tim Sprehe, president of Sprehe Information Management Associates Inc., pointed out that federal agencies may not give grants but may issue contracts for Grants are usually one-time events, so RIM program managers need to devote them to defined, finite projects or else make provision for continuing the work with other resources after the grant funding ends. work involving records or information management areas. RIM researchers, then, may also wish to consider serving as sub-contractors. Consider seeking in-kind contributions rather than money. The Center for Nonprofit Management s Grant Seeker s Handbook points out that corporations may not be willing to give cash grants but may, instead, be willing to provide in-kind contributions, e.g., volunteers, surplus equipment, help with publicity/public relations, computer services, consulting on administrative and management issues, even legal assistance. Sometimes, donated expertise may well be more valuable than money. Competing for Grants Individual funding programs generally provide extensive guidance about how to apply for their grants, and that is often available on their websites. Following are some guidelines that apply to all grant applications: Read and heed the grant material. A particular program s material is certain to be the best description of that program. And yet, an all-too-common lament from reviewers and grants officers is that the applicants either did not read or they ignored the program s guidelines. Follow the funding priorities. Most programs lack sufficient funds for all meritorious applications and therefore announce their priorities and evaluation criteria. The Washington State Archives local government records grant guidelines, for instance, identify such criteria as the urgency of the problem, significance and age of records, soundness of methods, and local commitment, including adequate storage space, proper environmental controls, and designation of a knowledgeable person or persons responsible for maintaining the records after the grant funding ends. Study the source. Read the source s funding guidelines, review reports on grant-funded projects, and peruse annual reports. Meet with funding officers and/or submit a draft proposal for informal review, if possible. Talk with grant recipients to learn more about how they crafted their arguments, the review process, and the best approaches to working with the funding agency. January/February 2007 The Information Management Journal 41

7 Make an upbeat, credible case that shows enthusiasm, commitment, and mastery. Be passionate in supporting your organization or cause, says the Center for Nonprofit Management s The Grants Seekers Handbook. If you aren t, there isn t a grantmaker or gift-giver in the world who won t see through you. No passion, no money. Emphasize your track record, capacity, plans, and momentum. Funders give priority to applicants that can demonstrate success in the past, show evidence of careful planning, and demonstrate the capacity to successfully carry out the proposed project. Focus on results and outcomes advises David Bauer in the How to Grants Manual. Describe the gap between what exists now, what should exist, and how the grant-funded project will fill the gap. The main issue is credibility, say Norton Kiritz and Jerry Mundel in Program Planning and Proposal Writing, an essay in the Annual Register of Grant Support. Information that will enhance credibility might include How the program got started, its purposes and goals How long the program has existed, how it has grown, the depth and breadth of its existing financial support Unique aspects of the agency or program, what makes it distinct Significant accomplishments Success with related projects The support the program has received in the past and what has been accomplished with it Present an imaginative case. Explain what records management is (some funders won t know). Show clearly the relationship of the intended project to the funding program s priorities. If records/ information management is not a stated category, how will improved records management contribute in a meaningful way to the categories that are announced? Construct the budget economically and carefully. All funding sources have limited funds; their officers are responsible to their own boards, trustees, or commissioners for how those funds are allocated. They give preference to applications that have carefully developed budgets, explain how the figures were derived, and ask for appropriate (not excessive) resources to carry out the work. Include a concise executive summary (even if one is not required). Funding programs receive many applications. Program officers and reviewers are busy, time is limited, and, therefore, they may focus on the executive summary and read the remainder more cursorily. Making the case succinctly there also impresses reviewers that you have a clear, focused approach. The executive summary is the most important section of the entire document, says The Foundation Center s Guide to Proposal Writing. It states the problem, describes 42 The Information Management Journal January/February 2007

8 the solution, sets forth funding requirements, and highlights the organization and its expertise. It summarizes all of the key information and is a sales document designed to convince the reader that the project should be considered for support. Making the Connection Securing a grant or contract from those interested in a particular topical or geographical area but who don t have a RIM category and those that might be interested in initiatives to strengthen RIM program capacity requires imagination and skill to make the connection between the RIM program s work and the funding source s areas of interest. Records are central products of most institutional activities and information is essential for most institutions to function, but making the connection requires explanation and education of the funding source. Some potential arguments: The RIM project, through improved management of records and related information, will measurably strengthen the capacity of the applying institution to carry out work that is clearly aligned with the funding source s goals. The foundation or other source is interested in community history, a particular region, the history of a particular group, or the well-being of a minority population; attention to records rich source materials can help immensely. Systematic, reliable, well-organized, accessible documentation is essential for studies to be carried out or initiatives to be taken in the funding source s stated area of interest. Important legal issues are involved, and careful organization, preservation, and access to appropriate records, particularly in electronic form, is essential. The funding source is interested in improving actionable information for decision-making, collaboration, or knowledge management; sound records and information management is a precondition to making these processes work. The source has an interest in policy; information policy issues are important ones to consider because information is central to organizational effectiveness. The application of effective professional records management and archival principles and practices will ensure optimal results with modest resource investment. The project can serve as a demonstration or model or produce a result on a small scale, which can be Bruce W. Dearstyne, Ph.D., has more than 30 years of experience as a practitioner, consultant, and professor in records, archives, and related information work. He is the author of many articles and several books, including Managing Government Records and Information, published by ARMA International. He may be reached at [email protected]. References applied on a larger scale. Staying the Course Grants are a challenge to secure. Careful investigation and planning are required as the level of support is likely to be modest in comparison to the program s overall needs. But grants can enhance and extend a program s capacity when projects are carefully administered and integrated with other aspects of program work. Proposal writers should not be surprised at a first failed effort or getting only partial funding. Expect questions and be willing to negotiate. Patience, negotiation, and persistence may often turn the tide eventually. Bauer, David G. The How To Grants Manual: Successful Grantseeking Techniques for Obtaining Public and Private Grants. Westport, CT: Greenwood Publishing, Center for Nonprofit Management. The Grant Seeker s Handbook: A Guide to Finding Funds. Los Angeles: Center for Nonprofit Management, Clark, David L., editor. The National Directory of Corporate Giving. New York: Foundation Center, Council of State Archivists. Report on Programs and Services for Local Government Records Provided by State Archives and Records Management Agencies, March Available at (accessed 20 Nov. 2006). The Foundation Directory Online. Subscription-based access to grantmaker information and announcements. Available at (accessed 21 Nov. 2006). Geever, Jane, and Patricia McNeill. Guide to Proposal Writing. New York: The Foundation Center, Gerding, Stephanie, and Pam Mackellar. Wishing Won t Work: 10 Things You Need to Know and Do When Applying for Technology Grants, Computers in Libraries, July/August Information Today. Annual Register of Grant Support: A Directory of Funding Sources, 40th ed. Medford, NJ: Information Today, Washington Secretary of State. Local Records Grant Program: Guidebook and Application for the Years July 1, 2005 to June 30, Available at Local_Records_ _Grant_Program_update.doc (accessed 20 Nov. 2006). 44 The Information Management Journal January/February 2007