GrantWriting Workshop: Competing More Effectively

1
Grant-Writing Workshop Competing More
Effectively
SCIENCE TECHNOLOGY CENTER IN UKRAINE

• Overview

March 2005
2
STCU Mission

• Nonproliferation Prevent the spread of WMD
  expertise by supporting civilian RD 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/internation
  al ST problems, and builds successful research
  groups.

3
Goal of this Workshop

• Improve success rates for former weapons
  scientists at winning grants
• 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

4
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
Applying for STCU Regular Project Funding
5
Grant-Writing Workshop Competing More
Effectively
SCIENCE TECHNOLOGY CENTER IN UKRAINE

• Improving Grantsmanship Part I

March 2005
6
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
Applying for STCU Regular Project Funding
7
What is Grantsmanship?

• In English
• -man- means a persons 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
8
Who funds science today?

• Government organizations / programs for the
  advancement of basic and applied science
• European Unions 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)

9
Who else funds science today?

• Non-proliferation programming
• examples STCU, CRDF, U.S. Department of Energys
  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!
10
Who else funds science today?

• Research and Development (RD) 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!
12
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.

13
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!
14
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.
• Dont 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

15
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!!
16
Grant-Writing Workshop Competing More
Effectively
SCIENCE TECHNOLOGY CENTER IN UKRAINE

• Improving Grantsmanship Part II

March 2005
17
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
Applying for STCU Regular Project Funding
18
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 cant make any sense of it, they wont give
you money. - Anonymous
19
Proposal Writing

• Three aspects of your writing affect the way that
  readers assess your document
• Content what does it say?
• Form how is it organized and presented?
• 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
• 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
• 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?

22
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!
23
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
• 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
  grant-application 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
Less Detail
Project Description
Technical Details
Budget its Justification
Appendices
More Detail
Narrower Scope
26
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 youre
  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!!
• The English version needs to be a high-quality,
  easily-comprehended rendition of your text
• 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.
• 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
  mis-substituted 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.

31
Style

• 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.
33
Grant-Writing Workshop Competing More
Effectively
SCIENCE TECHNOLOGY CENTER IN UKRAINE

• Improving Grantsmanship Part III

March 2005
34
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
Applying for STCU Regular Project Funding
35
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

36
Typical Grant Application
Broader Scope
Title
Project Summary/Abstract
Less Detail
Project Description
Technical Details
Budget its Justification
Appendices
More Detail
Narrower Scope
37
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 well-written!

38
Executive Summary / Abstract

• Mini-version of proposal (150 300 words).
• Capable of standing alone as a separate document.
• Should include
• Primary objective and scope,
• Explanation of the significance of project,
• Methods used,
• Results and
• Principle conclusions.
• General Advice
• Economy of words, but
• Avoid abbreviations.

39
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.

40
PD - Introduction and Overview

• Introduction (or background/context to the
  project)
• 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

41
PD - Introduction and Overview

• General Advice
• 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.
• Dont 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
organizations objectives!
42
PD Statement of Work (SOW)

• This is the core of your proposed project
• 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.

43
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!

44
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 .

45
PD-SOW - Qualifications

• Introduce, briefly, the organization proposing to
  do the work (your institute, laboratory, company,
  etc.)
• Highlight the organizations 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.

46
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.

47
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 projects 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
• 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.

49
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.

50
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

51
PD Deliverables

• Describes tangible things that you may produce
• 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.

52
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?

53
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)

54
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.

55
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.

56
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.

57
Budget Personnel

• List all technical and support personnel by name
• Indicate for each person a daily rate the cost
  of eight hours of that persons 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. Dont just divide target
  annual salaries by the number of team members and
  months.

58
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.

59
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.

60
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.

61
Budget Other Eligible Costs

• Examples of items that might qualify include
• 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!

62
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.

63
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.

64
Appendices

• 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.

65
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)

66
Typical Grant Application