Transcript Navigating R&D Commercialization

Navigating Proposal
Writing
15 October 2009
Proposal Writing Workshops Project
Higher Council for Science and Technology
Kirsten Armstrong
[email protected] or [email protected]
Background and
Introductions
Quick Survey
• Have you:
– Attended a U.S. university?
– Worked with U.S. collaborators?
– Worked with U.S. funding agencies?
– Received funding from U.S. sources?
USAID Jordan Economic
Development Program (SABEQ)
Workshop Objectives
• Understand how to develop a proposal for
a U.S. grant-making agency
• Learn tips and techniques to increase win
probability
• Broaden participant knowledge so that you
may in turn teach the key points of the
workshop at your home organization
USAID Jordan Economic
Development Program (SABEQ)
Agenda
Time
Length
9:30-10:00
30 min.
10:00-10:30
30 min.
10:30-10:45
10:45-11:15
15 min.
30 min.
11:15-12:15
60 min.
Module
Background and introductions
-Meet workshop participants
-Review workshop objectives
What is a successful proposal?
-Discuss the characteristics of a successful proposal
Break
Overview of the grants process, Proposal review
-Discuss the grants process, including eligibility and call for
proposals
-Discuss the proposal review process, including evaluation
criteria and procedures
Proposal writing process step-by-step
-Discuss the six steps and subtasks in the proposal writing
process (typical activities)
-Discuss the guidelines for completing/drafting the different
parts of the proposal
-Discuss how to apply and submit the proposal
Presenter
K. Armstrong and participants
K. Armstrong
Invitation by HCST
K. Armstrong
K. Armstrong
USAID Jordan Economic
Development Program (SABEQ)
Agenda, cont.
Time
Length
12:15-13:00
45 min.
13:00-13:30
13:30-15:00
15:00
30 min.
60-90 min.
Module
Lessons learned from experienced writers
-Guest speakers will present tips and techniques for
improving proposals
Break (SNACKS)
Case study
-Participants will complete a practical exercise
reviewing and critiquing a proposal
Closing remarks
Presenter
Dr. Nisreen Al-Hmoud
Head of Water Quality Studies Division,
Environmental Research Center, Royal Scientific
Society
Dr. Nizar Abu-Jaber
Dean of Graduate Studies, German Jordanian
University
Invitation by HCST
Participants
USAID Jordan Economic
Development Program (SABEQ)
Rules of Engagement
• Your participation is essential
• This is a learning environment
– Ask questions
– Share experiences
– Offer suggestions
• Request clarifications of
– NSF specific items
– Idioms/terminology/acronyms
• English
• U.S. government
• S&T policy
USAID Jordan Economic
Development Program (SABEQ)
What is a successful
proposal?
Characteristics of Winning
Proposals
• Compliant with proposal requirements
• Present a good idea that addresses a grantor’s
need
• Research is a good match for the funding
organization
• Compelling─convincing the granting agency that the
research is worth doing
• Demonstrate how they are going to meet the
organization’s goals
• Illustrate the benefits that go beyond the initial need
USAID Jordan Economic
Development Program (SABEQ)
Ask the following:
• Is the problem or topic important/
significant?
• Is the approach innovative?
• What is in it for the agency? For science
in general?
USAID Jordan Economic
Development Program (SABEQ)
Source: Mickie Swisher, “Write the Winning Proposal,” Briefing, <district5.extension.ifas.ufl.edu/files/proposal.ppt>.
In a successful proposal:
•
•
•
•
•
•
•
•
Stress the novel aspects of your approach
Differentiate your work from that done by others
Emphasize the hypothesis that your research will test
Respond to all aspects of the program description
Support your ideas with references /preliminary results
Describe applications that could result from the research
Show where the research might lead
Include figures and graphs to facilitate understanding—
teach not show
USAID Jordan Economic
Development Program (SABEQ)
Source: Geoffrey Prentice and Tim Anderson, “Career Development for New Engineering Faculty Workshop,” Briefing, University of New Mexico, May
25, 2007, pp. 28, <http://www.nsf.gov/eng/cbet/new_faculty/new_faculty_unm_25may07.ppt>.
Other Factors
• The writer must be
– Organized, having goals and a plan for the
research
– Skilled in conveying the message and
persuasive in making the case for the project
• The competition
– Usually more proposals than funding
Learn from successful proposals. Learn the lessons from unsuccessful
proposals, but do not use them as the basis for future proposals.
USAID Jordan Economic
Development Program (SABEQ)
Compliance Matrix
• A simple tool for ensuring that the
proposal addresses all of the requirements
in the solicitation
– AKA a detailed checklist
• Cross-references solicitation requirements
and proposal parts
• Serves both writers and reviewers
• NSF has own checklist
USAID Jordan Economic
Development Program (SABEQ)
Sample
Proposal
Paragraph
Number
1.0
Requirement
Technical Approach
Section C
Statement of
Work
C.5
Section L
Instructions
L.8
Section M
Evaluation
Factors
Other RFP
Sections
M.2
1.1
1.1.1
1.1.2
USAID Jordan Economic
Development Program (SABEQ)
EXERCISE
• Read the following abstracts (A & B) from
winning proposals for renewable energy
research. Answer the following questions:
– Is the problem or topic important/significant?
– Is the approach innovative?
– What is in it for the agency? For science in
general?
USAID Jordan Economic
Development Program (SABEQ)
BREAK
Overview of the Grants
Process, Proposal Review
Grant Basics
• What is a grant?
– Money given to an individual or organization
to accomplish an objective to benefit society
at large
– For R&D, a grant is funding given to a
researcher to study a scientific research
question
USAID Jordan Economic
Development Program (SABEQ)
Grant Basics, cont.
• Who provides grants?
– Public sources: federal and state government
– Private sources: foundations, individuals
• Examples: Foundation Center, Gates Foundation
USAID Jordan Economic
Development Program (SABEQ)
Selected U.S. Grant
Organizations
Org Type
Organization
Grants Website
Public
Agency for International Development
http://www.usaid.gov/business/business_opportunities/
Public
Department of Energy
http://www.energy.gov/sciencetech/grants.htm
Public
Environmental Protection Agency
http://www.epa.gov/ncer/
Public
National Institutes of Health
http://grants.nih.gov/grants/oer.htm
Public
National Science Foundation
http://www.nsf.gov/funding/
Private
Petroleum Research Fund
http://www.acs.org/funding
USAID Jordan Economic
Development Program (SABEQ)
Source: Kirsten Armstrong; Alan Kotok, “Financing Your Research in Alternative Energy,” Science Careers, July 14, 2006,
<http://sciencecareers.sciencemag.org/career_magazine/previous_issues/articles/2006_07_14/financing_your_research_in_alternative_energy>.
Descriptions of U.S. Government
Grant Agencies
•
Agency for International Development
–
•
Department of Energy
–
•
–
The Department of Health and Human Services is the federal government’s principal agency for protecting
the health of all Americans and providing essential human services, especially to those who are least able to
help themselves.
National Institutes of Health
Environmental Protection Agency
–
•
The Department of Energy’s goal is to advance national, economic and energy security in the U.S.; to
promote scientific and technological innovation in support of that goal; and to ensure environmental
cleanup of the national nuclear weapons complex.
Department of Health and Human Services
–
•
The Agency for International Development is an independent federal government agency that provides
economic and humanitarian assistance in more than 100 countries to ensure a better future for us all.
The mission of the Environmental Protection Agency is to protect human health and the environment. Since
1970, EPA has been working for a cleaner, healthier environment for the American people.
National Science Foundation
–
The National Science Foundation is an independent federal agency created to promote the progress of
science, to advance the national health, prosperity, and welfare and to secure the national defense. The NSF
annually funds approximately 20 percent of basic, federally-supported college and university research.
USAID Jordan Economic
Development Program (SABEQ)
Source: Grants.gov, “Agencies That Provide Grants,” <http://www.grants.gov/aboutgrants/agencies_that_provide_grants.jsp>.
Grant Basics, cont.
• Who is eligible?
– Each grant organization determines its own rules for
who can apply for a grant
• Rules can apply to all grant programs, or may vary by
program
– Factors
• Does the granting organization fund projects in your area of
research?
• Are you an individual or an organization?
• Are you a for-profit or non-profit entity?
• Are you a U.S. citizen or affiliated with a U.S. institution?
USAID Jordan Economic
Development Program (SABEQ)
Foreign Researcher Eligibility
• NSF does not typically fund foreign researchers
– “NSF rarely provides support to foreign organizations.
NSF will consider proposals for cooperative projects
involving U.S. and foreign organizations, provided
support is requested only for the U.S. portion of the
collaborative effort.”
• NIH takes a slightly different approach
– “Though most NIH grants go to domestic institutions,
you do not need U.S. affiliation or citizenship to
become either a grantee institution or a PI for most
grant types.”
USAID Jordan Economic
Development Program (SABEQ)
National Science Foundation
• Focus is on sciences, except medicine
–
Biological Sciences (BIO); Computer and Information Science and Engineering (CSE);
Engineering (ENG); Geosciences (GEO); Mathematics and Physical Sciences (MPS); Social,
Behavioral and Economic Sciences (SBE); and Education and Human Resources (EHR)
• FY09 budget $6.490 billion; FY10 budget
request $7.045 billion
• In 2008, funded about 11,000 of almost 44,000
proposals received
– Average time for a decision 6 months
– Mean award duration 2.5 years; median annual award
size of $100,000 USD
USAID Jordan Economic
Development Program (SABEQ)
NSF Awards by Research Directorate
USAID Jordan Economic
Development Program (SABEQ)
Source: National Science Foundation, “Funding Rate by State and Organization from FY 2007 to 2008 for NSF,”
<http://dellweb.bfa.nsf.gov/awdfr3/default.asp>.
Funding Arrangements
• Grants
– Transfer of money, property, services or other
things of value
– Agency not involved
• Cooperative agreements
– Substantial agency involvement
– Examples: research centers, large curriculum
projects, multi-user facilities, construction,
major instrumentation development
USAID Jordan Economic
Development Program (SABEQ)
Resources
• National Science Foundation, Proposal and Award
Policies and Procedures Guide, February 2009, Effective
April 6, 2009, NSF 09-29,
<http://www.nsf.gov/pubs/policydocs/pappguide/nsf09_2
9/nsf0929.pdf>.
– Also known as the Grant Proposal Guide (GPG).
• National Science Foundation, Directorate for Education
and Human Resources, Division of Undergraduate
Education, A Guide for Proposal Writing, NSF 04-016,
<http://www.nsf.gov/pubs/2004/nsf04016/start.htm>.
USAID Jordan Economic
Development Program (SABEQ)
Grants Cycle
• Series of phases used by grant making
organizations to originate grants
• Proposal preparation is just one phase in
the larger cycle
• U.S. agencies typically on an annual cycle
• Some NSF programs accept proposals at
anytime; others have specific deadlines
USAID Jordan Economic
Development Program (SABEQ)
Grants Cycle
Announce
Opportunity
Renewal
Application
Prepare
Proposal
Funded,
Manage Grant
Not
Funded,
Reapply?
Submit/Receive
Proposal
Make Award
Decision
Review
Proposal
USAID Jordan Economic
Development Program (SABEQ)
Source: National Institute of Allergy and Infectious Diseases, “NIH Grant Cycle: Application to Renewal,”
<http://www.niaid.nih.gov/ncn/grants/cycle/default.htm>; National Science Foundation, Proposal and Award Policies and Procedures Guide, February
2009, Effective April 6, 2009, NSF 09-29, page III-5, <http://www.nsf.gov/pubs/policydocs/pappguide/nsf09_29/nsf0929.pdf>; Kirsten Armstrong.
Roles
Researcher
• Leads proposal writing process
• Executes grant
Program
Officer
• Coordinates grants cycle
• Makes funding decisions
Reviewer
• Assesses scientific merit
• Evaluates other criteria
USAID Jordan Economic
Development Program (SABEQ)
Proposal Review
Grantor Proposal Review
Process
Receipt at funding organization
Assignment to appropriate office and program officer
Initial review by program officer
Merit review by peers
Award recommendation
Award
Decline
USAID Jordan Economic
Development Program (SABEQ)
USAID Jordan Economic
Development Program (SABEQ)
Source: National Science Foundation, Proposal and Award Policies and Procedures Guide, February 2009, Effective April 6, 2009, NSF 09-29,
page III-5, <http://www.nsf.gov/pubs/policydocs/pappguide/nsf09_29/nsf0929.pdf>.
NSF Proposal Review
• 3-10 reviewers are selected based on their knowledge
and expertise within the field of research
• Peer review is conducted using intellectual merit and
broader impact criteria
– Additional criteria may be applied if indicated in the solicitation
• Program officer makes a recommendation to the division
director
• Division director makes the final decision whether to
award or decline funding and the researcher is notified of
the outcome
USAID Jordan Economic
Development Program (SABEQ)
NSF Review Criteria
• What is the intellectual merit of the proposed activity?
– How important is the proposed activity to advancing knowledge
and understanding within its own field or across different fields?
– How well qualified is the proposer (individual or team) to conduct
the project? (If appropriate, the reviewer will comment on the
quality of prior work.)
– To what extent does the proposed activity suggest and explore
creative, original, or potentially transformative concepts?
– How well conceived and organized is the proposed activity?
– Is there sufficient access to resources?
USAID Jordan Economic
Development Program (SABEQ)
Source: National Science Foundation, Proposal and Award Policies and Procedures Guide, February 2009, Effective April 6, 2009, NSF 09-29,
page III-1, <http://www.nsf.gov/pubs/policydocs/pappguide/nsf09_29/nsf0929.pdf>.
NSF Review Criteria, cont.
• What are the broader impacts of the proposed activity?
– How well does the activity advance discovery and understanding
while promoting teaching, training, and learning?
– How well does the proposed activity broaden the participation of
underrepresented groups (e.g., gender, ethnicity, disability,
geographic, etc.)?
– To what extent will it enhance the infrastructure for research and
education, such as facilities, instrumentation, networks, and
partnerships?
– Will the results be disseminated broadly to enhance scientific
and technological understanding?
– What may be the benefits of the proposed activity to society?
USAID Jordan Economic
Development Program (SABEQ)
Source: National Science Foundation, Proposal and Award Policies and Procedures Guide, February 2009, Effective April 6, 2009, NSF 09-29,
page III-1, <http://www.nsf.gov/pubs/policydocs/pappguide/nsf09_29/nsf0929.pdf>.
Review Format
• Uses FastLane system
• Documents available to researcher
– Description of the context in which the proposal was
reviewed
– Copies of all reviews used in the decision (with any
reviewer-identifying information redacted)
– Copy of panel summary, if the proposal was reviewed
by a panel at any point in the process
– Site-visit reports, if applicable
USAID Jordan Economic
Development Program (SABEQ)
NSF Reviewer Instructions
• Comment in detail on the quality of the proposal
• Provide an overall rating of the proposal
• Identify the proposal’s strengths and weaknesses for each NSF
Merit Review Criterion:
– What is the intellectual merit of the proposed activity?
– What are the broader impacts of the proposed activity?
• Provide a summary statement that includes the relative importance
of the two criteria in assigning your rating. (You do not have to
weigh the criteria equally.)
• Indicate any potential conflicts of interest that you might have in
evaluating the proposal (optional if no conflict of interest exists).
• Recommend any other qualified reviewers for this proposal
(optional)
USAID Jordan Economic
Development Program (SABEQ)
Source: National Science Foundation, FastLane, “Proposal Review Introduction,” < ttps://www.fastlanebeta.nsf.gov/NSFHelp/flashhelp/fastlane/FastLane_Help/fastlane_help.htm#proposal_review_introduction.htm>.
EXERCISE
• Critique the following sections of a
renewable energy proposal (Abstract C)
• Identify the proposal’s strengths and
weaknesses for each NSF Merit Review
Criterion:
– Intellectual merit
– Broader impacts
USAID Jordan Economic
Development Program (SABEQ)
Proposal Writing Process
Step-by-Step
Proposal Writing Process
Select
•
•
•
•
•
•
Search
Understand
Draft
Review
Submit
Select a research idea
Search for funding organizations and opportunities
Understand the requirements
Draft the proposal
Review the proposal
Submit the proposal, award outcome, reviewer feedback
USAID Jordan Economic
Development Program (SABEQ)
Select a Research Idea
Select
Search
Understand
Draft
Review
Submit
• Scope the research idea
• Document background details
• Flesh out a research strategy
USAID Jordan Economic
Development Program (SABEQ)
Scope the Research Idea
• What is the scientific question to be answered?
• What are the goals of the research?
• Who would be involved: people and
organizations?
• How will the project be accomplished?
• What resources (e.g., facilities, equipment, staff)
will be needed?
• When can the project start?
• Why is funding needed?
USAID Jordan Economic
Development Program (SABEQ)
Document Background Details
• Why is the research important?
• What research has already been
conducted in the research area?
• What have you already accomplished in
this research area?
• Where might your research lead?
USAID Jordan Economic
Development Program (SABEQ)
Source: “Proposal Preparation,” Briefing to NSF Regional Grants Conference hosted by Arizona State University, 30-31 March 2009, pp. 12,
<http://www.nsf.gov/bfa/dias/policy/docs/propprep_az.pdf>.
Flesh Out a Research Strategy
• The methodology for executing the research
• Components include
–
–
–
–
Research question
Data gathering approach
Analysis approach
Publication and dissemination approach
• Timeline and milestones are also important
Is it achievable?
USAID Jordan Economic
Development Program (SABEQ)
Search for Funding
Organizations and Opportunities
Select
Search
Understand
Draft
Review
Submit
• Search for organizations
– International, Government Agencies/Ministries
– Non-profits, Foundations
– Businesses
• Search for opportunities
– Internet databases
– Networking, Professional societies
• Evaluate funding opportunities
• Contact funding organizations/programs
USAID Jordan Economic
Development Program (SABEQ)
NSF Funding Opportunities
•
•
•
•
Search at http://www.nsf.gov/funding/
Search by keyword or program area
Search for all applicable programs
Review NSF-wide and Cross-cutting
programs for areas of special emphasis
USAID Jordan Economic
Development Program (SABEQ)
Evaluate Funding Opportunities
• Determine if there is a good match with
your research goals
• Other considerations
– Are you eligible/qualified to apply?
– What other application criteria are there?
What are the restrictions?
– Are there restrictions on the outcomes or
research?
– What about intellectual property rights?
USAID Jordan Economic
Development Program (SABEQ)
Understand the Requirements
Select
Search
Understand
Draft
Review
Submit
• Thorough reading of solicitation
• Create compliance matrix
• Sketch proposal plan
USAID Jordan Economic
Development Program (SABEQ)
Thorough Review of Solicitation
• NSF uses Program Descriptions and Program
Announcements
• Understand the requirements for both the
technical content and formatting
• Look for deadlines
• Comprehend how the proposal will be evaluated
• Write down questions to later ask the funding
organization
USAID Jordan Economic
Development Program (SABEQ)
Sketch Proposal Plan
• Researcher’s strategy for getting to a completed, readyto-submit proposal
• Who is going to write the proposal?
– Will you write the entire document, or request help for certain
sections, such as budget?
– How will you involve your research team in writing the proposal?
•
•
•
•
How long will it take to write the proposal?
What are the timelines, milestones, and deadlines?
Who will review the proposal and when?
What other items are needed to complete the proposal?
USAID Jordan Economic
Development Program (SABEQ)
Draft the Proposal
Select
Search
Understand
Draft
Review
Submit
• Locate templates
• Develop a proposal outline
• Draft content
USAID Jordan Economic
Development Program (SABEQ)
NSF Proposal Sections
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
Cover Sheet
Project Summary
Table of Contents
Project Description
References Cited
Biographical Sketch(es)
Budget
Current and Pending Support
Facilities, Equipment and Other Resources
Special Information and Supplementary Documentation
Appendices
USAID Jordan Economic
Development Program (SABEQ)
Source: GPG
Budget Section
• Budget will drive the amount requested for the grant
• Direct costs are salaries and wages, fringe benefits,
equipment, travel, participant support, and other direct
costs
– Other direct costs include materials, publication, consultants,
computer services, subawards, and miscellaneous
• Indirect costs are facilities and administrative costs
• Unallowable costs cannot be included with direct or
indirect costs
USAID Jordan Economic
Development Program (SABEQ)
Develop Proposal Outline
•
•
•
•
•
Add subheadings to the main headings
Add topic sentences and examples
Add references and other resources
Add ideas for tables and graphics
Refer to the compliance matrix to make
sure there is a place to include all the
necessary material
USAID Jordan Economic
Development Program (SABEQ)
Seek Help from All Available Sources
•
•
•
•
•
•
Use the grant making organization’s proposal guide
Look to successful proposals for exemplars
Seek out the advice of colleagues
Turn to writing guides and style guides
Attend workshops online or in person
Contact the current and former Program Officers,
previous panelists, and mentors
• Serve as a reviewer
USAID Jordan Economic
Development Program (SABEQ)
Review the Proposal
Select
Search
Understand
Draft
Review
Submit
• Self-review and revision
– Main messages
– Format
– Compliance
• Colleague/department review
• Review for:
– What reviewers will be looking for
– Avoid common mistakes
– Compliance
USAID Jordan Economic
Development Program (SABEQ)
Self-review and Revision
• Is the research idea clearly expressed?
• Is the research strategy effectively
communicated?
• Is there a sense of excitement and
importance about the research and
results?
• What will stand out for the reviewers?
USAID Jordan Economic
Development Program (SABEQ)
Pitfalls to Avoid
• Failure to establish significance of your work
• Too much text devoted to complex details or past
accomplishments
• Failure to construct testable hypotheses
• Constructing too many hypotheses
• Too ambitious for time/money
• Inadequate skills or credentials for proposed task
• Poor experimental design
• Bad analytical or statistical methods
USAID Jordan Economic
Development Program (SABEQ)
Source: Prentice 183-184.
Colleague Review
• Provide a list of items for feedback
– “Please look for style or format.”
– “Please look for inconsistencies.”
– “Please review for compliance.”
• Proposal writer should evaluate the
feedback and decide how to incorporate it
into the proposal
USAID Jordan Economic
Development Program (SABEQ)
Submit the Proposal, Award
Outcome, Reviewer Feedback
Select
Search
Understand
Draft
Review
Submit
• Submit the proposal
• Acknowledge award outcome
• Absorb reviewer feedback
USAID Jordan Economic
Development Program (SABEQ)
NSF Proposal Submission
• Via NSF FastLane
• Via Grants.gov
USAID Jordan Economic
Development Program (SABEQ)
Lessons Learned from
Experienced Writers
Guest Speakers
• Dr. Nisreen Al-Hmoud
– Head of Water Quality Studies Division,
Environmental Research Center, Royal
Scientific Society
• Dr. Nizar Abu-Jaber
– Dean of Graduate Studies, German Jordanian
University
USAID Jordan Economic
Development Program (SABEQ)
BREAK
Case Study
Organize
• Break into groups (4-6 people)
• Use the computer lab across the hall for
research, presentation
• Present results to entire group
USAID Jordan Economic
Development Program (SABEQ)
EXERCISE
• Select a [renewable energy] research idea that
needs funding. Answer the following questions:
–
–
–
–
–
What is the key scientific question?
What would be an effective research approach?
What are several funding organizations?
How would you manage the proposal effort?
What would be some key points to include in the
proposal?
– What would be a mistake to avoid?
USAID Jordan Economic
Development Program (SABEQ)
Final Remarks
Review Workshop Objectives
• Understand how to develop a proposal for
a U.S. grant-making agency
• Learn tips and techniques to increase win
probability
• Broaden participant knowledge so that you
may in turn teach the key points of the
workshop at your home organization
USAID Jordan Economic
Development Program (SABEQ)