Transcript Grant-Writing Workshop: Competing More Effectively

SCIENCE & TECHNOLOGY
CENTER IN UKRAINE
Grant-Writing Workshop:
Competing More Effectively
Overview
March 2005
STCU Mission
• Nonproliferation: Prevent the spread of WMD expertise by
supporting civilian R&D activities of Azeri, Georgian,
Ukrainian and Uzbek scientists and engineers formerly
involved WMD and their means of delivery.
• Sustainable Redirection: Create opportunities for former
WMD scientists and engineers to develop sustainable
civilian research work that contributes to the economic
development of their countries, finds solutions to
national/international S&T problems, and builds successful
research groups.
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Goal of this Workshop
– Improve success rates for former weapons scientists at
winning grants
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Provide general advice applicable to many organizations
Highlight perspective of reviewers/decision-makers
Document ‘lessons learned’
Encourage scientists to broaden search for funding sources
– Engage scientists who have never worked with STCU
• Describe the options available to propose research
• Provide detailed assistance with the most common ‘first-step’
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Overview
Improving Grantsmanship
Part I: “Grantsmanship” defined; how to win new financing
Part II: Grant-writing: content, form and style
Part III: Writing a “typical” proposal
Strengthening Ability to
Compete for STCU Grants
Part I: Introduction to STCU
Part II: How STCU Works
Current US Review
Perspective
7/20/2015
Applying for STCU
Regular Project Funding
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SCIENCE & TECHNOLOGY
CENTER IN UKRAINE
Grant-Writing Workshop:
Competing More Effectively
Improving Grantsmanship – Part I
March 2005
Overview
Improving Grantsmanship
Part I: “Grantsmanship” defined; how to win new financing
Part II: Grant-writing: content, form and style
Part III: Writing a “typical” proposal
Strengthening Ability to
Compete for STCU Grants
Part I: Introduction to STCU
Part II: How STCU Works
Current US Review
Perspective
7/20/2015
Applying for STCU
Regular Project Funding
6
What is “Grantsmanship”?
• In English:
– “-man-” means a person’s livelihood or profession;
– “-ship” is the ability to do something well or with mastery.
– Examples: craftsmanship, penmanship, leadership
• For scientists:
– The “craft”: recognizing and locating promising sorts of funding;
– The “skill”: writing compelling grant proposals;
– The “mastery”: successfully completing work, publishing significant
papers and delivering well-received conference reports;
– The “livelihood”: continuously applying these skills over time, to
ensure a steady stream of funding.
Good “Grantsmanship” = Sustainable Science
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Who funds science today?
• Government organizations / programs for the
advancement of basic and applied science
– European Union’s 6th Framework Programme for Research and
Technological Development
– National Research Foundation, National Science Foundation,
National Academy of Sciences
– National Laboratories and Institutes
• International scientific organizations or consortia
– such as CERN
• Intergovernmental organizations
– such as International Atomic Energy Agency (IAEA) or World Health
Organization (WHO)
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Who else funds science today?
• Non-proliferation programming
– examples: STCU, CRDF, U.S. Department of Energy’s
Initiative for Proliferation Prevention (IPP)
• Private philanthropic organizations
– Often organized around particular concerns, e.g.
sustainable development, bio-habitat conservation, etc.
• Not-for-profit research consortia
– Usually focused on particular fields or diseases, e.g.
micro-electro-mechanical systems (MEMS), renewable
energy, Ulcerative Colitis, etc.
When doing Web-searches, note whose web-pages
mention research in your field = they may fund grants!
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Who else funds science today?
• Research and Development (R&D) laboratories
of major multi-national corporations.
– Competitive viability depends upon expanding scientific
boundaries.
– Significant resources to fundamental, as well as applied,
research.
• Laboratories at leading research universities.
– Many are government-designated “national resources.”
– Funding provided through that center.
To identify these companies and specific laboratories:
look at the institutional affiliation of scientists publishing in your field.
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Ask two basic questions:
• What sorts of organizations fund work in your
technology area?
Host or foreign governments, private philanthropic groups,
foundations, non-proliferation programs, commercial
companies, universities, international organizations, industry
consortia…?
• What sorts of organizations are interested in your type
of results?
Which types of other scientists, researchers, or doctors,
standards-setting bodies, manufacturing or production firms,
laboratories, universities, medical or veterinary hospitals,
consulting firms, policy-makers…?
If there is significant interest, grants are likely available!
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Investigating Potential Funding
• Develop a list of specific organizations that fund
research in your field,
• Use the Internet to find answers to the following:
– Program focus and priorities
– Eligibility requirements
– Proposal procedures and deadlines
– Approval timelines
• Follow-up by email or phone, as necessary, to
obtain or confirm details.
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Investigating Possible Funding
• “Market” Research to support “Real” Research
– Providing or receiving a research grant is not a
‘commercial’ transaction
– But, the concept of a ‘market’ does apply –
– There is a supply of scientists requesting support and a
demand for research in particular areas.
• Example: atmospheric scientist does ‘market’
research, and discovers:
– Large pool of grants for research into “global warming”
– Much smaller pool of grants for other atmospheric
research
Focus on where the Money lies!
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Investigating Possible Funding
• Develop a broad network of contacts
– Play a game at conferences: try to meet someone in
each category of funding organizations -- from a
corporate lab, a not-for-profit research consortium, etc.
– Set a ‘research’ goal: Develop a good ‘picture’ of the
players in your field, and then expand it region by region.
• Don’t ask anyone directly for money!
• But, feel free to ask:
– if they know what organizations are funding work in a
certain area,
– if they know a particular organization, what types of
research are likely to be of most interest
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Winning New Funding
• Construct a strategy and a schedule for pursuing
the most promising of these grant opportunities
• Resulting plan should identify:
– Key deadlines
– Major decision-points
– Required steps
• Then, make the time and …
Write and submit
strong grant applications!!
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SCIENCE & TECHNOLOGY
CENTER IN UKRAINE
Grant-Writing Workshop:
Competing More Effectively
Improving Grantsmanship – Part II
March 2005
Overview
Improving Grantsmanship
Part I: “Grantsmanship” defined; how to win new financing
Part II: Grant-writing: content, form and style
Part III: Writing a “typical” proposal
Strengthening Ability to
Compete for STCU Grants
Part I: Introduction to STCU
Part II: How STCU Works
Current US Review
Perspective
7/20/2015
Applying for STCU
Regular Project Funding
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Proposal Writing
“But in science the credit goes to the man who convinces
the world, not the man to whom the idea first occurs.”
- Sir Francis Darwin
“If they never see the grant application,
or if they can’t make any sense of it,
they won’t give you money.”
- Anonymous
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Proposal Writing
Three aspects of your writing affect the way that
readers assess your document:
1. Content – what does it say?
2. Form – how is it organized and presented?
3. Style – how is it said?
A strong proposal describes good science in a way
that is easily read and easily understood.
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Content
• Apply for grants you can win:
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Program focus and priorities
Eligibility requirements
Proposal procedures and deadlines
Approval timelines
• Make their decision easy:
– Propose research that fits their funding objectives;
– Comply with their rules.
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Content
• “Lead the Blind”
– Walk them step by step through your proposed plan;
– Assure them that you can be trusted and that your
science is worth their money and support.
• Help them *see* that you do good science, by the
clarity of your explanation:
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What are you going to do?
Why are you trying to do it?
How much is going to cost?
How will your success further *their* goals?
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Content
• Provide them confidence that your science is
“good” science:
– Summarize the ‘state of the science today’ -- this both
educates your reader and demonstrates your expertise.
– Describe how your work relates to that of Western
scientists -- this provides your reader a point of reference.
– Cite others’ research results to support your arguments.
Demonstrating how your research contributes to
existing international scientific efforts helps
confirm the importance of your work!
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Content
• Provide them confidence that your schedule and
budget estimates are reasonable:
– Supply sufficient detail to prove you have thought
seriously about the requirements:
• Avoid lump-sum estimates
• List tangible cost elements
• Link labor-estimates to specific tasks described
– Provide clear justification for all proposed expenses, but
particularly for any unusual items.
• Ensure proposed expenses and timelines support
the ‘story’ told in describing the proposed research.
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Form
• Determine your “message” before you begin
writing:
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What is the objective of this proposal?
Why is it important?
What resources are required?
What will result?
• Then, plan how to communicate this message
clearly:
– Work within the constraints of the specific grantapplication form,
– Guide the reader down a logical path, as though telling a
story,
– Organize the proposal from “big picture” down to “details”
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Typical Grant Application
Broader Scope
Title
Project Summary/Abstract
Project Description
Less
Detail
Technical Details
Budget & its Justification
Appendices
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Narrower Scope
More Detail
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Form
• Make it easy for the reviewer to identify important
features of your project:
– Use heading and subheadings to guide the reader and
reveal the logic
– Use boldface or italics for emphasis
– Use bulleted lists for clarity
• Provide enough detail to enable a reader to follow
your reasoning:
– Bullets can be over-used;
– The project description should be text narrative.
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Form
• Help your reviewer ‘visualize’ what you’re
describing in the text:
– Use figures to illustrate important steps or a complex
concept;
– Use photographs to show unique equipment, to
document the scale/size of something, or to highlight a
feature difficult to describe in words;
– Use charts or graphs to illustrate complex numerical
relationships;
– Use tables to summarize similar ranges of numbers or
text data.
• Each visual aid should directly support the ‘story’
you are telling in the text.
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Style
•
No matter how well-written your native language version of
the proposal is….
the reviewers will be reading the English
translation!!
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The English version needs to be a high-quality, easilycomprehended rendition of your text:
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Pay for the best translation you can afford.
Ask a native-speaker, or if none available, someone skilled in the
language, to double-check the quality.
Ensure that scientific and technical terms are translated accurately
and that any transliterated terms can really be found in an English
dictionary.
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Style
•
Write persuasively:
– Anticipate reviewer objections and provide answers for
them;
– Indicate alternative approaches and candidly discuss
their strengths and weakness.
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Write convincingly:
– Use concrete, direct, positive language.
– Emphasize prior successes in similar work.
– Express enthusiasm -- sensible, well-thought-out
enthusiasm grounded in reality.
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Style
•
Proofread carefully.
– Spell-check the English version, but be alert for missubstituted words (meat vs. meet, there vs. their).
– Grammar-check the English version (subject-verb
agreement is important).
– Double-check numbering of any bullets or outline points.
– Review formatting throughout document (correct fonts,
spacing, etc.
•
Comply with all instructions to create or transmit
electronic versions.
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Style
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Expect pages of your proposal to get separated as
they are printed, copied and reviewed….
So, help ensure the reviewer sees your complete
proposal:
– Use a header or footer to identify all pages as belonging
to your proposal.
– Number all pages.
– Check every copy for legibility and completeness if
multiple copies are required.
– Arrange page breaks so that the text is not interrupted
in awkward places.
– If sending for an American audience, try a ‘page setup’
and ‘print screen’ for Letter-size, rather than A4.
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Two Essential Rules
Rule #1:
ALWAYS follow the proposal preparation
instructions - NO EXCEPTIONS!
Rule #2:
Details (and deadlines) matter.
A winning proposal describes good science in a
way that is easily read, easily understood – and
matches the rules and expectations of the
sponsoring organization.
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SCIENCE & TECHNOLOGY
CENTER IN UKRAINE
Grant-Writing Workshop:
Competing More Effectively
Improving Grantsmanship – Part III
March 2005
Overview
Improving Grantsmanship
Part I: “Grantsmanship” defined; how to win new financing
Part II: Grant-writing: content, form and style
Part III: Writing a “typical” proposal
Strengthening Ability to
Compete for STCU Grants
Part I: Introduction to STCU
Part II: How STCU Works
Current US Review
Perspective
7/20/2015
Applying for STCU
Regular Project Funding
34
Describing a ‘typical’ proposal
• This talk was originally developed for Ukrainian
scientists, and has been updated for you today.
• This presentation will walk through the major parts
or components of a typical grant application
• For each section, the information will be structured
as follows:
– In black, a definition/description of that particular area
– In blue, ‘general’ advice pertinent to most funding
organizations
– In red, ‘STCU-specific’ advice tailored to our
circumstances
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Typical Grant Application
Broader Scope
Title
Project Summary/Abstract
Project Description
Less
Detail
Technical Details
Budget & its Justification
Appendices
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Narrower Scope
More Detail
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Title
• Fewest possible words that adequately describe the
proposed research
• General Advice:
– This is the first thing a reviewer will see – make it readable!
– Avoid jargon or abbreviations
• STCU-Specific Advice:
– The title is the only part of the proposal that cannot be modified or
changed later, so…
– Make sure the English translation of your title is accurate and wellwritten!
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Executive Summary / Abstract
• Mini-version of proposal (150 – 300 words).
• Capable of standing alone as a separate document.
• Should include:
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Primary objective and scope,
Explanation of the significance of project,
Methods used,
Results and
Principle conclusions.
• General Advice:
– Economy of words, but
– Avoid abbreviations.
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Project Description (PD)
• The description of the project is the “meat” of the proposal
• Comprised of several sub-sections:
– Introduction and overview
– Technical narrative/Statement of work
• Goals and objectives
• Qualifications
• Anticipated results
• Scope of activity and timeline for project
• Methods and approach
• Location and facilities
– “Deliverables”
• Work products - models, reports, devices, etc.
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PD - Introduction and Overview
• Introduction (or background/context to the project):
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Define the problem or issue to be addressed.
Explain the purpose of the project.
Provide relevant historical or background information.
Describe how proposed work relates to, differs from, or extends
similar/earlier work.
– Explain the significance and scope of project.
• Overview (or introduction to the proposal itself):
– Very briefly state the methods of investigation.
– Summarize advantages and any limitations of proposed approach.
– Highlight principal anticipated results and conclusions
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PD - Introduction and Overview
• General Advice:
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“Paint a picture” of your project in the mind of the reader.
Be concise, specific, compelling – and enticing.
Build credibility for your organization.
Establish a context for your problem statement.
Don’t go into detail on subjects that are described later.
Define any specialized terms.
Answer, succinctly: who, what, when, why, and how?
Highlight any factors that support the funding
organization’s objectives!
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PD – Statement of Work (SOW)
• This is the core of your proposed project:
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Goals and objectives.
Qualifications.
Anticipated results.
Scope of activity and timeline for project.
Location and facilities
Methods and approach.
• General Advice:
– Another name for this section - “technical narrative” -- reflects the
“story” element: walk the reader through your plan.
– The term “Statement of work” captures the element of “commitment”:
if funded, you will do the work described here.
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PD-SOW - Goals and Objectives
• Goals and Objectives are different:
– Goals are general. They convey the thrust of
your proposed work. Some establish the setting
for your particular effort.
– Objectives are specific. They describe
concrete, operational measurable things that you
will accomplish in your project.
• This section must include a clear goal and
present specific, measurable objectives!
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PD-SOW - Goals and Objectives
• Setting Project Goals:
– If you are responding to a problem that needs to be
solved, then your goal will be a statement of the problem
or need you are prepared to address
– If you are going to develop a new product or idea, your
goal will be an explanation of the aim of the project.
• Establishing Project Objectives:
– Should be tangible, specific, concrete, measurable, and
achievable in a specified time;
– Directly support achievement of the project goal;
– Not the ‘how’ of methods, but the ‘what’ of “What we will
definitely accomplish if you fund our project is ….”
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PD-SOW - Qualifications
• Introduce, briefly, the organization proposing to do the work
(your institute, laboratory, company, etc.)
• Highlight the organization’s strengths, as they pertain to the
proposed work.
• List previous, related work (either same subject or same
funding organization):
– Include details: Funding organization, Grant number and amount,
Project title, Senior scientific personnel, and Dates.
– Summarize relationship of that project to proposed new work.
– Emphasize positive results: inventions, discoveries, new techniques,
publications in Western peer-reviewed journals.
• Mention any unique facilities or equipment you bring.
• Introduce the team/s of researchers that will conduct the
varied tasks required to achieve project objectives.
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PD-SOW - Anticipated Results
• Describe -- as specifically as possible -- what your project
will generate, or produce, or confirm.
• Summarize, in a meaningful way, the expected outcomes of
the work proposed.
• General Advice:
– Description of expected results should be clear and brief.
– Provide sufficient context for any numbers (and specify units, scales,
etc.) so that a non-specialist can make sense of them.
– Pay considerable attention to the best way to present your outcomes
– they should relate directly to the objectives of the project.
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PD-SOW - Anticipated Results
• In describing anticipated results, consider the following:
– A milestone is a concrete achievement, used to mark progress
along a schedule. Sometime, a milestone can mark a decision-point.
• E.g. construction of test apparatus; delivery of a prototype; development
of a model, software or theory; delivery of an interim report.
– A deliverable is a tangible result of work that itself may be either
tangible or intangible. Deliverables can be generated or produced
through a project’s lifetime. An early deliverable may be used as the
input to a later deliverable.
• E.g. PowerPoint presentation describing methodology; report
documenting results of literature search; final project report.
Milestones and deliverables help you and the funding organization
to measure your progress toward project objectives
and to communicate about your results.
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PD-SOW – Scope of Activity
• Presents the plan of action:
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Divides work into phases
Lists and groups the tasks that are required
Specifies the order and timing for tasks
Highlights important interfaces and dependencies
• Enables the reader to visualize the implementation
of the project
– Include tables or diagrams that clarify the scope of work
– Include a timetable of major milestones.
– If multiple teams will be engaged, draw links between
teams and tasks or phases.
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PD-SOW – Location and Facilities
• States where the proposed work will be conducted.
• In the case of multiple facilities or institutions,
– Highlights the specific contribution each organization will
make to achieving project objectives;
– Lists personnel affiliated with each workplace;
– Enables the reader to understand interfaces between
teams at the different locations.
• General Advice:
– Address communication in case of geographic distance.
– Describe coordination across separate institutions.
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PD-SOW – Methods & Approach
• Explains how you intend to achieve your specific
project objectives
• General Advice:
– Justify a particular methodology if it is novel or
unorthodox (particularly to a Western reviewer)
– Highlight the original or innovative aspects of your
approach
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PD – Deliverables
• Describes tangible “things” that you may produce:
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Weekly, monthly or quarterly progress reports
Interim (often linked to phases) and final reports of results
Computer code/software/databases
Prototype devices
Analytical services (models, cases, etc.)
Article for publication or presentation
PowerPoint presentation or Conference poster describing
project and outcomes, for scientific, donor and business
communities
• More convincing when linked to project schedule.
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Technical Details
• Supports the Project Description, by expanding
upon key points concerning how you will achieve
project objectives.
• Provides a level of technical detail sufficient to
enable a scientific reviewer to evaluate the strength
of the proposed work, scope and approach.
• The ‘appropriate’ level of detail varies from funding
organization to funding organization.
– Read the instructions carefully.
– If possible, ask *who* will review incoming grant proposals – donors?
‘scientists’ (from any field) ? Or scientists in your particular field?
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Budget
• Establishes, for the funding organization, the
overall ‘cost’ of your project.
• Typical elements:
– personnel (grants, salaries, fringe benefits)
– non-labor expenses (equipment, materials,
subcontracts, other direct costs, travel);
– indirect costs (overhead).
• Presented through words (budget justification) and
numbers (tables or spreadsheets)
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Budget
• Budget – or cost – can serve as a quantitative basis for
comparison to other potential projects.
• Projects A and B have equally promising science; however, B will cost
twice as much as A.
• The donor will likely fund Project A.
• Budgets can reveal project management skills, and help
validate claims of prior experience.
• Project A and B have equally promising science. Project B is more
expensive, but provides extensive detail to support its budgetary
estimates. Project A omits from its budget elements that are clearly
essential to completion of its work plan.
• The donor may ask A for more information – or, simply fund B.
• Budget must support – not undermine! – project description.
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Budget Justification
• Brief narrative that explains or describes budget
items:
– Personnel – convey that the personnel assigned can
carry out the project objectives successfully in the time
allocated.
– Equipment - provide sufficient detail to allow evaluation
of capabilities and suitability of equipment to achieve
project objectives.
– Materials & Supplies - provide information about raw
materials and components required to achieve project
objectives, and explain the need for any more expensive
items.
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Budget Justification (2)
• Brief narrative that explains or describes budget
items:
– Subcontracts - explain basis for the selecting contractor,
and why work cannot be performed in-house.
– Other direct costs - provide complete details of each
item and how costs were determined.
– Travel - state purpose of the travel and its benefits to the
project.
– Overhead - Explain how indirect costs were derived.
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Budget: Personnel
• List all technical and support personnel by name
• Indicate for each person a ‘daily rate’: the cost of eight hours
of that person’s time.
• Specify for each person the days of effort required, linked to
the project schedule.
• General Advice:
– Convincing estimates flow from the statement of work:
who needs to do what, in order to accomplish project
objectives? How long will it take them?
– Poor planning shows. Don’t just divide target annual
salaries by the number of team members and months.
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Budget: Equipment
• List the equipment required to achieve project objectives.
– For existing equipment:
• State location/ownership, if more than one workplace.
• Specify any required operating costs or fees.
– For proposed or requested equipment:
• Specify type of acquisition: purchase, rental, modification or construction.
• Explain why existing equipment is inadequate to the task.
• Estimate all procurement costs, including shipping and installation, as
well as any operating costs.
• For expensive items, specify manufacturer and provide model numbers.
• Attach detailed specifications for requested equipment in an appendix.
• Provide sufficient detail to allow evaluation of capabilities
and suitability of equipment to achieve project objectives.
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Budget: Materials and Supplies
• List the materials and supplies required to achieve
project objectives:
– Materials (components).
• Metals, electrical components, construction materials.
– Supplies (consumables).
• Scientific supplies - lab coats, beakers, lubricants, chemical
reagents, gases, etc.
• Small equipment, including safety equipment, scientific
calculators, dosimetry, etc.
• Office supplies - paper, notebooks, diskettes, copier cartridges.
• Provide explanations for more expensive items.
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Budget: Sub-Contracts
• In words (budget justification),
– Explain basis for selecting contractor, and why work
cannot be performed in-house.
– If the sub-contract includes equipment, provide full
details, and indicate who will retain ownership.
• In numbers (tables or spreadsheets),
– Provide a one-line description of the nature of the work to
be performed;
– Specify the name of the sub-contractor, if known;
– Specify the amount budgeted.
• Itemize costs.
• Provide supporting details in an appendix.
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Budget: Other Eligible Costs
• Examples of items that *might* qualify include:
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Translation services.
Telecommunications.
Computer time.
Preservation and storage of physical specimens.
Maintenance of databases or other electronic media.
Web-page development costs or software.
Conference registration fees.
Subscriptions to journals.
Printing and binding costs, or page charges for journals.
• Rules will differ by funding organization; read budget
guidelines carefully!
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Budget: Travel
• Explain the purpose of the travel and the benefit to
the project in the budget justification.
• Include costs of transportation, lodging and meals.
• Travel requirements vary by organization:
– Which classes of travel (economy, business) may be
reimbursed;
– What standard rates for lodging and meals are used;
– Whether pleasure and business travel may be combined
(and how to account for any additional costs);
– Which airlines may be used.
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Budget: Indirect Costs (Overhead)
• Overhead is payment to an institution or organization that
provides facilities, such as laboratories or office space.
• Many costs -- heating, lighting, furniture, secretarial staff,
large equipment -- cannot be directly attributed to one single
project.
• Overhead is a calculated estimate:
– Indicate the eligible base ($).
– Provide the applicable rate (%).
– Explain how indirect costs were derived in the budget justification.
• STCU-Specific Advice:
– Overhead limited to 10% of pre-tax project budget.
– Multiple participating institutes may share overhead.
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Appendices
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Biographical sketches of personnel.
Specifications for materials or equipment.
Letters of endorsement from collaborators.
Letters of support.
Letters of commitment for other funding or in-kind
contributions (e.g. use of external facilities or
borrowed equipment).
• Examples of prior work, list of publications, etc.
• Information about institution.
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Appendices: Biographical Info
• Helps to establish that the scientific personnel assigned to
the project are qualified to successfully carry out the work.
– Attach brief biographical sketches for all key scientific personnel.
– Emphasize their achievements in similar work.
– Include details of special qualifications, collaborations, invited talks,
prior work as appropriate.
• Draw donor attention to likely success factors:
– Sketches should be shorter than a full Curriculum Vitae; more similar
to a U.S.-style resume, enabling quick skim of key points.
– Highlight language skills, project management experience, or other
factors important to donor objectives (for STCU, this includes former
weapons experience)
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Typical Grant Application
Title
Project Summary/Abstract
Project Description:
Introduction and overview
Technical narrative/Statement of work
“Deliverables”
Less
Detail
Technical Details
Budget Justification
& Tables
More Detail
Appendices
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