Grant Writing Workshop 04

Martin SchoonenAssociate VP for ResearchProfessor of Geochemistry

Peter SaalResearch Resources Center

Office VP for Research

The Cycle: 4 Workshops

Finding Sponsored Funding

Preparing a Proposal

Managing Award

Technology Transfer

Submitting a Proposal

Resubmit

Outline

• What is a grant?• How to find grant opportunities (Peter Saal)• RFP, solicitations, self-initiated proposals• How to prepare a grant proposal

Define Concept Responsiveness to SolicitationDefine Scope and Prepare OutlineWriting the ProposalDraft Budget

• Funding Rates

Linked to Friedland & Folt

ISBN-0-300-08141-3

What is a grant?

• A grant is a form of sponsorship of a project, the ideas for which generally originate with and are designed and carried out by applicant (Principle Investigator, PI).

• Research Foundation (RF) or Stony Brook Foundation (SBF) endorses applications for fiscal support to possible sponsors of research activities, and serves as trustee and fiscal administrator for all funds awarded in support of sponsored programs.

• If awarded a funding document is executed between either RF or SBF and agency, corporation, or foundation.

• The PI’s role is to define and execute the work plan, as well as report on the activity.

Solicitations

• When the government issues a new contract or grant program, it sends RFPs/RFAs/BAAs to agencies that might be qualified to participate. The RFP/RFA/BAA lists project specifications and application procedures.

• Solicitations are used by NSF to announce opportunities

• NIH uses Program Announcements as well as RFAs.• Foundations and some Federal Agencies have open

opportunities. Proposals initiated by PI. • Corporations may seek out investigators or PI may

use contacts to initiate proposal

Multi-stage Process

F&F, p.3

• Define concept

• Define a work plan (scope)

• Review literature, conduct preliminary study

• Write the proposal

• Develop a realistic budget

• Obtain all necessary permits, authorizations, meet all sponsor requirements (including deadline)

"What makes a good proposal?"

• A good proposal stems from a good concept.• The best proposals are those to which the

reviewers respond, "Of course, I wish I had thought of that!”

• Link your work to an important problem/challenge/new idea

• Do not limit yourself to incremental science tailored to be completed within a grant cycle

• Think Big, Avoid Tunnel Vision, and Dream (F&F p. 5-6)

Devise a Workplan

• The nature of the project and how it will be conducted

• time table for project (number or years)

• anticipated outcomes and evaluation

• description of existing expertise, facilities, collaboration that make it possible to conduct the research

• staffing needs and facility needs necessary to meet goals

Proposal must address

• responsiveness to solicitation (link it to stated objectives in the solicitation); study sollicitation, call program officer if in doubt

• what the project hopes to accomplish;

• if the project personnel have the necessary expertise to accomplish the goals and objectives;

• the national impact and cost effectiveness of the project; and evaluation and dissemination plans.

Write with the Reviewers in mind

• "If I can't understand the title, then I don't fund it." Whitney Tilt, National Fish and Wildlife Foundation

• Most reviewers do not read a proposal in order, for example:

“I look at the budget. Over the years I've learned that narrative can be enriching, but the numbers are stark and straightforward. I want to see that the money is doing the job described in the proposal.” Joel Orosz, W.K. Kellogg Foundation

• “If you haven't told us what you want by the end of the third paragraph, chances are you're not going to get it." John West, Phillips Petroleum Foundation

The writing

• Be accurate, clear, consistent, brief, optimistic• Write with impact and emphasis. • Avoid redundancy and unnecessary words• Use figures, diagrams, and tables effectively• Start each paragraph with a topical sentence• Spell check and use a consistent format. • Make sure to reference sources and check

citations against reference list. (Use reference manager program if possible)

See handout for specific tips

Narrative

• Organize, focus, funnel and highlight (p.30 F&F)

• Organize the text so it is easy to follow. Reviewers may not read it in order!

• Focus: avoid diluting your message.

• Funnel the reader from big ideas to specifics of your research

• Highlight important components early and remind the reviewers.

Organize

• Present and follow a logical outline. P. 35 F&F.• A useful strategy is to present significance→

objectives →testable hypotheses• Hypotheses and/or clear research questions set

up sections on methods and data analysis.• Link sections. • Number sections and use the numbers to cross

reference sections. • Use tables and figures when appropriate.

(typically saves space as well).

Significance Statement

• Critical section of the proposal and key step in making the case for your proposal (Chapter 4 F&F)

• Describes the larger problem/challenge/idea (big picture)

• Follow with what contribution your research program will make (i.e., not limited to this funding cycle)

• Then what you will try to accomplish in this funding cycle.

Objectives and Hypotheses

• Objectives are more general than hypotheses(p. 82-83 F&F).

Taken from CEMS proposal 2001….. 1.3.1. Molecular basis for enhanced metal uptake by sorbed organic complexes (Reeder, Jacobsen, Francis, Dodge)This task examines the hypothesis that formation of ternary surface complexes result in enhanced metal uptake in the presence of organic molecules (e.g., [46, 47]). … This is followed by details of the work to be conducted to test this hypothesis.

Funnel (p45, 85&86)

• Transition form big ideas to your specifics.

• Write a proposal that connects to a compelling idea, societal problem, or significant challenge

show how the proposed work fits in

define specific research questions or hypothesis

Funnel example (p 86)

• Significance Statement: Impact of global warming on fish population

• Objective of proposed study:Quantify response of salmon to predicted increases in summer temperatures in their rearing grounds

• Hypotheses:1. Water temperature increase by 1ºC will advance hatching date of Atlantic salmon by 2 weeks2. Advancing hatching by two weeks will reduce survival rates.

NASA Exobiology Example

Conversions of inorganic forms of C, N and P are at the very core of the metabolic systems and biosynthesis of the most simple forms of life. All of these reactions are mediated by enzyme systems and many require the transfer of one or more electrons. … In the absence of enzymes or inorganic catalysts, reactions such as these do not proceed at an appreciable rate toward equilibrium at temperatures below 400C, even if there is a substantial thermodynamic driving force.

The “inertness” of inorganic forms of C, N, and P over a wide range of P,T and redox potentials raises the question how and when life evolved to a point where it could make use of the large reservoirs of inorganic C, N, and P on Earth. One possibility is that the first form(s) of life…..

An alternative that has gained considerable attention in the last decade or two is the notion that the first form(s) of life were …..

Example continued..

Since 1996, the PI’s geochemistry research group has been conducting experimental and theoretical studies to evaluate the possible role of minerals as reactants and catalysts in the formation of organic or activated C, N, and P compounds via prebiotic reaction pathways. Our long-term goal is to provide constraints on the concentrations of organic and activated forms of C, N, and P on a prebiotic Earth on the basis of experimental results as well as theoretical models. With this proposal, the PI seeks funding for a graduate student to continue this effort. For this funding cycle we propose to focus our effort on the formation and fate of ammonia via seawater/oceanic crust interactions.

Example continued..

In this proposal we wish to understand how nitrogen speciation is changing as seawater interacts with the crust before it discharges. From the discussion above we have distilled three well-defined tasks. These are:

        (1) Dinitrogen reduction in the seawater/oceanic-crust system. The hypothesis is that dinitrogen is reduced to some degree as seawater interacts with the oceanic crust. The crust is composed of basalt, peridotite, and their alteration products. Experiments will be conducted to determine the conditions and rates of hydrothermal dinitrogen reduction in the presence of basalt, peridotite, and their alteration products.

E etc…

        

Organize and lead reviewer

Taken from our USAID-HEAD proposal….1. Introduction and OverviewThe proposed Stony Brook-led initiative focuses on two challenges:

•To provide the tools and training to enable faculty at Iraqi universities to modernize curricula in archaeology and Assyriology and conduct research using modern analytical methods;•To provide the tools and training to enable faculty at Iraqi universities to develop curricula in environmental health and conduct environmental research programs using modern techniques and methods.

The long-term objective of our proposal is to provide the tools for Iraqi Universities to develop modern academic programs in these two areas, while at the same time playing an important role in the current relief and rebuilding phase of the country. To meet the short-term and long-term objectives, tools and training will be delivered to four Iraqi universities (Baghdad University, Al Mustansiriyah University in Baghdad, Mosul University and Basra), representing the three regions identified by USAID.

Highlight

• Point out unique qualifications and other resources that are relevant to the proposed project.

• Be realistic, specific, and concise.

• Do not use words like “very”, keep it factual.

• Do not highlight things that have no direct relevance to the project. It detracts from those things that are important.

Example 1

Taken from our USAID-HEAD proposal:

The first challenge, enabling Iraqi Universities to develop and conduct modern Archeological research, leverages the long-standing research programs and connections of Drs. Elizabeth Stone (Stony Brook University), Paul Zimansky (Boston University& Stony Brook adjunct), Marc Van De Mieroop (Columbia University), Iraqi-born Zainab Bahrani (Columbia University & Stony Brook adjunct), and Jeremy Black (Oxford University) with Iraqi scientists and institutions. …… In 1986 Dr. Stone was the first Fulbrighter to Iraq since the 1967 war, a trip that saw the initiation of the Mashkan-shapir and the Tell Hamida Archaeological Field Projects, both directed jointly by Stone and Zimansky. Stone and Zimansky were also the first foreign archaeologists to document damage to the site of Ur during the first Gulf War, and Dr Stone visited Iraq again in 1994 and in May 2003, in the latter instance as part of a National Geographic team documenting damage to archaeological sites.

Example

Taken from NIH Madagascar proposal:ICTE is a not-for-profit institute based at Stony Brook University whose mission is to promote research, conservation, and training in the tropics with a special focus on Madagascar. ….Since its creation in 1992, ICTE has obtained over $6.7 million in grant support from federal and private foundations. Professor Patricia Wright, Department of Anthropology is the Executive Director of ICTE, and she is supported by an administrative staff of three at the Stony Brook office as well as 12-15 graduate students. Professor Patricia Wright was awarded the "Chevalier d'Ordre National" (National Medal of Honor of Madagascar) by the President of Madagascar in 1995.

Picture of the research station in Madagascar. Shows that there is a structure in place to conduct the proposed work.

Importance of Title

• Title should be informative and not waste words.• Avoid jargon and overstatement• Be careful with buzzwords• “Cute” titles may turn off reviewers• Assignment of proposal to Program Officers may be

made on the basis of the title. This is particularly an important issue in interdisciplinary programs. The review of proposals is often delegated to contributing program. The choice of program may be based on the title alone.

See F&F, p. 59-60 for examples

Most Important: Summary

• Many reviewers make up their mind on the basis of the summary

• Do not leave it to the last minute• Write and rewrite the summary while you work on the

narrative• The summary must contain the key points to

communicate the objectives, methods, expected outcome, and impact of the study

• Note NSF now requires statement on broader impact in summary

F&F p. 62-80. 2 Paragraph approach.

Example of a Summary

• The UCLA Film and Television Archive requests support for "The World and Its Musicals," an ambition program showcasing some 90 musicals from around the world, which we are presenting in celebration of the turn of the millennium. This series is not meant to be a "best-of" compilation and certainly favorites will be left out to make way for some unusual or rarely-seen discoveries. American musicals will be seen in an international context. Films will be shown in chronological order-decade by decade-yet within these decades, various subgenres of the musical will be juxtaposed with what is emerging on the other side of the globe. Politics, propaganda and pure entertainment will interweave; for national cinemas have utilized the musical genre more than any other to express the notions of community and solidarity.

•The UCLA Film and Television Archive requests support for "The World and Its Musicals," an ambition program showcasing some 90 musicals from around the world, which we are presenting in celebration of the turn of the millennium. This series is not meant to be a "best-of" compilation and certainly favorites will be left out to make way for some unusual or rarely-seen discoveries. American musicals will be seen in an international context. Films will be shown in chronological order-decade by decade-yet within these decades, various subgenres of the musical will be juxtaposed with what is emerging on the other side of the globe. Politics, propaganda and pure entertainment will interweave; for national cinemas have utilized the musical genre more than any other to express the notions of community and solidarity.

The Ethics

• Research Misconduct is defined by NSF as fabrication, falsification, or plagiarism in proposing or performing research funded by NSF, reviewing research proposals submitted to NSF, or in reporting results funded to NSF.

• 40% of the cases investigated by Office of Inspector General relate to verbatim plagiarism and intellectual theft related to proposals.

• Other agencies have similar ethics rules.

Budget & Budget Justification

• Make sure it is commensurate with proposal and program

• Present a clear budget explanation• You can use a pie chart to show the distribution• No “other” budget category• Explain matching commitment if applicable• Present official letters if match is involved• Any match must be an auditable expense. Can

only be used to match one project.

Example

salaries48%

travel7%

overhead34%

materials&supplies6%

publications1%

other4%

Budget Justification

A total of $183,299 is requested for the project. As can be seen in the figure below, nearly 48 % of the budget is earmarked for salary. The PI requests 0.75 summer month support annually. A Ph.D. student, Alex Smirnov, will be supported for 3 years. Travel (7%) amounts to a total of 12k for three years. This represents one meeting with registration for PI and student per year. Materials and supplies (11k for project or 6%) is based on past cost of conducting hydrothermal experiments. Etc…

Reviews

• Read reviews even if it is funded

• Take some time to reflect on comments

• Decide if you can address the concerns yourself.

• Seek collaboration to strengthen an aspect of the proposal you cannot address by yourself.

• Talk to program manager to get more info. Was the proposal competitive?

Funding Rate NSF

25

30

35

40

45

1993

1994

1995

1996

1997

1998

1999

2000

2001

2002

% F

unde

d

NSF_totalSUNY-SB

Funding Rate

NIH typically 35-40%

More info for NSF at http://dellweb.bfa.nsf.gov/starth.aspNIH: http://grants1.nih.gov/grants/award/award.htm

Links & Resources

• Internet Resources (Summary of Internet resources):http://www.library.wisc.edu/libraries/Memorial/grants/proposal.htm

• FAQ regarding Foundations http://fdncenter.org/learn/faqs/index.html#proposal

• NIH Tips:http://grants1.nih.gov/grants/grant_tips.htm

• Budget tips :http://fdncenter.org/learn/classroom/prop_budgt/index.html

• Mock review session (SUNY-UB)http://www.research.buffalo.edu/events/nih/mock_study_dec5_video.asp

On-line tutorials and Books

• EPA: http://www.epa.gov/seahome/grants/src/grant.htm

• Foundation Center: http://fdncenter.org/learn/shortcourse/prop1.html

• Writing Successful Science Proposals by Andrew J. Friedland, Carol L. Folt (<$15)

• “Grant Application Writer's Handbook” by Liane Reif-Lehrer ($45)

The End