strategies for effective grant writing · 1 wikipedia.org! research (academic) proposals1! • a...

2/12/10! 1!

ADVANCE VT Seminar – Nussbaum!

Strategies for Effective Grant Writing

Maury A. Nussbaum Industrial Ergonomics & Biomechanics Lab

Industrial & Systems Engineering [email protected]

1-6053

My Goals

1.  What is a Grant Proposal?

2.  How to Generate Ideas

3.  Writing Proposals

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There are Extensive Resources out There!

Books Articles

Web-based

VT Proposal Database Advisors & Colleagues

Books

•  Feibelman, P.J. (1993) A Ph.D. Is Not Enough. Basic Books. ISBN: 0-201-62663-6

•  Friedland, A.J. & Fold, C.L. (2000) Writing Successful Science Proposals. Yale University Press. ISBN: 0-300-08141-3

•  Gerin, W. (2006) Writing the NIH Grant Proposal: A Step-by-Step Guide. Sage Publications. ISBN: 1-4129-1532-5

•  Ogden, T.E. & Goldberg, I.A. (2002) Research Proposals: A Guide to Success (3rd Edition). Elsevier. ISBN: 0-12-524733-8

•  Yang, O.O. (2005) Guide to Effective Grant Writing: How to Write an Effective NIH Grant Application. Springer. ISBN: 0-306-48664-4

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Web

•  VT, Office of the Vice President, Funding Opportunities –  http://www.research.vt.edu/funding/ou/index.html

•  PSU, Writing Guidelines for Engineering and Science Students –  http://www.writing.engr.psu.edu/

•  Purdue, Online Writing Lab (OWL) –  http://owl.english.purdue.edu/owl/

•  UNC, Grant Proposals –  http://www.unc.edu/depts/wcweb/handouts/grant_proposals.html

•  Guide for Writing a Funding Proposal –  http://www.learnerassociates.net/proposal/

•  NIAD, Sample R01 Applications and Summary Statements –  http://www.niaid.nih.gov/ncn/grants/app/default.htm

•  NIH/OER, Writing Your Application –  http://grants.nih.gov/grants/writing_application.htm

What is a Proposal?!•  Something proposed (such as a plan or

assumption) •  Propose:

– Make a proposal, declare a plan for something – Present for consideration, examination, criticism

•  Proposal: – “That which is proposed, or propounded for

consideration or acceptance; a scheme or design; terms or conditions proposed; offer; …”1

1 wikitionary.org!

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A Business Proposal1!•  “written offer from a seller to a prospective buyer” •  Three types

– Formally solicited –  Informally solicited – Unsolicited

•  Some terminology: – RFP: Request for Proposal – RFA: Request for Application – RFQ: Request for Quotation –  IFB: Invitation for Bids – FOA: Funding Opportunity Announcement

1 wikipedia.org!

Research (Academic) Proposals1!

•  A proposal is a report that describes your current thinking about your research interest

•  It functions as a guide – Maps out your question(s)

– Explains why the question is important – Describes steps you will take to answer the

question(s)

1 www.educ.uvic.ca/belmont/writing_a_proposal.htm!

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Functions of a Proposal!•  As a student

– A milestone on the way to graduation – A “contract” with the committee

•  As a professional – Obtaining “permission” to do future work – Obtaining resources to do future work

» Resources = time, money, students, …

•  Student Professional proposals – Pre-doctoral fellowships (NIH, NSF, …) – Internal (VT) fellowships

Proposals: One View!

•  If you want to succeed as a professor, you will have to bring in money

•  “The bane of the academic existence is grant writing, and yet without grants most of us would not be able to continue to ply our trade.”1

1 Forward to Yang (2005)!

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Proposals: Another View1!

•  One of the most challenging aspects of scientific research is synthesizing past work, current findings, and new hypotheses into research proposals for future investigations.

•  Such research proposals combine every aspect of scientific inquiry, from the creative conceptualization to the detailed design, projected analysis of the data, synthesis of the results, and estimation of the budget.

•  Because grant applications are an articulation of the scientific process, writing them is one of the most exciting parts of “doing science.”

1 Preface to Friedland and Folt (2000)!

Some History1!

•  Prior to World War II –  Scientists did not apply for (and hence did not receive)

research grants from funding agencies – Not many scientists – Use of own assets, persuading investors

•  Modern era – Realization that products of the “hard sciences” can protect

us from enemies, cure illnesses, ease burdens, … – Governments and industry investment in scientific

leadership seen as necessary for prosperity – Universities welcomed the input of resources!

» Note, science and engineering faculty have higher salaries, but…

»  they are expected to “cross-subsidize” other programs 1 Feibelman (1993)!

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Getting Started1!

• Beginnings are special times (new year, new job, new class, new project, …)

• Designing research can carry same sense of exploration, excitement, and unlimited opportunity

• For some, this is their favorite part of their jobs

1 Friedland and Folt (2000)!

Types of Proposals and Audiences!

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Know Your Audience1!

•  Grant applications are: – Written for a variety of audience –  Submitted to many types of agencies

•  Consider the fit –  Your goals <-> agency goals

•  Two proposal categories –  Basic Research

»  Often “unsolicited” »  Typically seeking novel insights or methods for solving fundamental

scientific problems –  Task-oriented or Program-initiated

»  Topic or goal specified by agency, corporation, foundation, … »  Typically less flexible regarding topics


Proposal Mechanisms!

• Oral – Formal presentations (5 min. – 1 hour) – Elevator Talks (i.e., chance encounters)

• Written – Email – 1-page brief – 5-10 page white paper – Formal proposal document (6-25 pages)

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Funding Opportunities (in the US)!•  Government Agencies

–  The National Institutes of Health (NIH) –  The National Science Foundation (NSF) – National Institute of Standards and Technology (NIST) –  Federal Aviation Administration (FAA) –  Environmental Protection Agency (EPA) – U.S. Forest Service (USFS) – US Geological Survey (USGS) – …

•  Military Programs – Office of Naval Research (ONR) –  Air Force Office of Scientific Research (AFOSR) – US Army Research Office (USARO) – …

Funding Opportunities, contd.!

•  Private Foundations – Guggenheim – Whitehall – Christopher and Dana

Reeve – Gates – Mellon – Rockefeller – Whitaker – Ford – Jeffress – …

•  Corporations – Automotive – Healthcare / HMOs – USPS / UPS – Toshiba – ITT – Bose – …

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Know Your Audience, contd.!

•  Consider, when writing, who will read / review your proposal

–  As a student, other faculty –  Later, referees likely to be (active) professional scientists (but

with or without relevant expertise)

•  They know how research works!1

– Research often goes in different directions than original plans –  Exciting ideas can lead to dead ends – New results may make it reasonable to change plans

•  Success depends on having a good problem and plan at time zero, and presenting it appropriately

1 Feibelman (1993)!

Establishing a Research Program1!

•  Timing is Important –  A problem should be “current” –  Address meaningful but doable “chunks”

•  Technique vs. Problem Orientation – Many graduates have a strong set of technical skills, and try to

build a career around them –  Instead, plan projects to address important issues, regardless of

techniques used

•  Strategic Thinking –  Plan and publish short-terms outputs –  Identifiable and publishable milestones – Work on multiple projects simultaneously – Current activities -> long-term interests and potential –  Take advantage of “sex appeal”

1 Feibelman (1993)!

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Establishing a Research Program, contd.1!

•  Establish a Name for Yourself – Publish – Present – Collaborate – Ensure fair distribution of credit

•  Risky Business – Working in a “hot” area carries risk – Less risky to lead vs. follow – Ambition is (often) rewarded in scientific life

1 Feibelman (1993)!

Some Thoughts!

•  Practice – How to become an expert? Do something over and over and

over and over …

•  Experience is the best teacher (but only when the experience isn’t fatal)1

•  It is far better to learn from the bad experiences of others than from your own1

•  Overcome fear – Courage is mastery of fear, not absence of fear

1 Feibelman (1993)!

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Generating Ideas!

“The most difficult problem in being a scientist is selecting what to work on, and it is even more difficult when you are just launching your career.”

Feibelman (1993)

Some Suggestions1!

Think Big Avoid Tunnel Vision

Dream Take Your Time


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• Reflect on (consider) your problem from the broadest perspective

•  Imagine yourself finding new solutions to fundamentally important problems

• Start small, and your work will end up even smaller

Think Big!

Avoid Tunnel Vision!

• Consider projects that could lead to years of research

• Enjoy a time of intense creativity and, at least for a while, think beyond your immediate research area

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Dream!

• Dream about solving important problems • Making a difference • Producing significant papers • Winning a Nobel Prize! • Be ambitious

Take Your Time!

• Great ideas do not appear on schedule, or in fixed units of time

• When designing a research project, expect to spend lots of time on it •  You will!

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Some Thoughts!

•  Different people have more or less innate ability to generate good research ideas and/or proposals

•  But, this is a “learnable” skill, like almost anything else – You can improve, with practice, focus, and attention

•  Two key aspects: – Do the necessary work – Overcome (or work around) your limitations

Establishing a Process!

•  Know Thyself! •  Foster opportunities for idea generation

– 1 great idea may be all it takes – Though it may take 100 ideas to get to the 1 great one

•  Seek chances to explain your work – Those with technical expertise – Those without technical expertise

•  Can’t “see the forest for the trees”? – Work on seeing the forest!

•  Create a system (A system to promote creativity?)

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Working within (around) Yourself!

I get my best ideas (am most creative) when …

I am most productive when…

Keep track of your ideas

Writing the Proposal!

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Stages of Research vs. Proposal!

1. Define 2. Plan 3. Conduct 4. Analyze 5.  Interpret 6.  Write Up

All are (or should be) typically addressed in a proposal!

Typical Phases (or Steps)1!

1.  Identify and describe conceptual framework for the research question(s)

2.  Review relevant theoretical and empirical literature for current and related systems

3.  Give general research question in context of #1 and #2 4.  Formulate hypotheses to address #3 5.  Design studies to test each hypothesis 6.  Develop methods and techniques to test, analyze, and

synthesize results 7.  Integrate 1-6 -> coherent, precise, concise, exciting

proposal!


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Two Main Objectives1!

Convince readers / reviewers / judges that:

1.  The work you propose to do is important and timely

2.  It is realistic to suppose that you have (or can obtain) the resources to fulfill your proposes

1 Feibelman (1993)!

Three Goals when Writing1!

1.  Getting (and keeping) the attention of the

reviewers

2.  Balancing between clarity and depth

3.  Telling an interesting story: the art behind

writing the application

1 Yang (2005)!

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A Starting Point!

•  What are you passionate about?!•  What is the problem (and why is it

important)?!•  How is existing knowledge or practice

inadequate?!

•  Why is your idea better?!•  How is it new, unique, different?!•  What will it contribute and who will

benefit from it?!

Avoid Common Pitfalls!1.  Verify the Match!2.  Structure the Proposal!3.  Prove the Importance of your Project!4.  Assume an Intelligent but Uninformed Reader!5.  Formulate Specific, Measureable Objectives

(and Hypotheses)!6.  Illustrate Project Concepts and Work Plan!7.  Consider the Review Criteria!8.  Follow Instructions!!

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Researcher-centered:!Scholarly passion!

Past oriented:!Work you have done!

Expository:!Explaining to reader!

Impersonal:!Objective, dispassionate!

Specialized terminology:!Insider jargon!

Sponsor-centered:!Service attitude!

Future oriented:! Work you wish to do!

Persuasive:!“Sell” the reader!

Personal:! Convey excitement!

Accessible language:!Broad audience!

Contrasting Perspectives!Academic writing:! Grant writing:!

Thesis, theme, theory:!World of ideas!

Project, activities, outcomes:!World of action!

The Audience Determines Everything!

•  Identify audience expectations and/or needs!• Form and content depend on an audienceʼs

wants, needs, and expectations!• Writing has few “correct” answers – it is

highly situational & subjective (with bias toward readers)!

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Effective technical writers attend to details!

• Document design – discrete, logical, well organized sections of information!

• Word choice – relatively formal and very specific!

• Simplicity – no unnecessarily complex language (some complexity is necessary due to subject matter)!

Step by Step1!

•  Conceptual framework and statement of significance

•  The title

•  Project summary

•  Objectives and hypothesis

•  The Introduction

•  Experimental design and methods

•  Planning for expected and unexpected results

•  Timeline

1 Material Adapted from Friedland and Folt (2000)!

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Significance is Significant!

•  Scientific proposals are always judged by their perceived significance

•  What makes the proposed research “significant”? – If you can’t answer this, stop and keep thinking!

•  Spend time early developing a proposal’s significance, along with objectives and hypotheses

•  Persuasive and important questions are essential (sure, sounds easy!)

Developing the Significance Statement!

•  Significance section = questions to be addressed and their justification

•  May be the most important piece of the proposal •  Highlights fundamental value of proposed work •  Significance section should be linked to specific

objectives and hypotheses •  Reader must find logic sound, ideas exciting, and

scope reasonable – Use of alternative types of arguments – Difficult for most students

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Approaching the Significance Statement!

•  Broad & narrow disciplinary views •  What would scientists inside vs. outside the

field perceive as the greatest contribution(s)? •  Empirical & theoretical contributions •  Basic & applied use

•  Contributions likely 1 vs. 10 years after completion

•  (Learn to) Be your own best critic

On Titles!

•  Done last, with little thought? •  Title introduces reader to the framework and

perspective of the document •  If effective, captures reader’s attention, and

prepares them for the focus you establish

•  Reviewers may start by scanning a list of titles (or selecting those they wish to review)

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The Project Summary!

The Summary!

•  AKA the “abstract” •  Guides the reader •  First and shortest section in NSF proposal •  Second (but most critical) part of NIH

proposal (the “Specific Aims”) •  Where you:

– Frame the goals and scope – Briefly describe methods – Present hypotheses and expected results (or

outputs)

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The Summary, contd.!•  A convincing and exciting summary:

–  captures readers attention and interest –  establishes a strong tone for the entire document (as well as

mirroring the organization)

•  It should: –  set up proper expectations –  avoid misleading readers

•  It is: –  used by reviewers as a guide or template – what forms first impression –  used to select reviewers –  frequently the only portion of a proposal read

The Summary, contd.!

•  Write this first? – Used as an outline for the rest of the proposal

•  Write this last? –  Summarizing the body of the proposal

•  Elements of an effective summary – What you plan to do and why it will be influential vs. what you’ve

done and why it is important –  Emphasize significance and context, establish consequential

outputs – Written to be understood by a scientifically literate non-

professional –  Follow guidelines and expectations

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Read Other Summaries!

•  NSF – http://www.nsf.gov/

•  USDA – http://www.usda.gov/

•  EPA – http://www.epa.gov/ord/

•  NIH – http://wwww.nih.gov – http://projectreporter.nih.gov/reporter.cfm

Objectives and Hypotheses!

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Objectives and Hypotheses!

•  Developing these usually precedes proposal writing

•  Hypotheses need to be consistent with significance statement and linked properly to objectives (and later to the detailed methods and analyses)

Objectives <- Hypotheses!

•  Objectives: –  Broad, scientifically far-reaching aspects of a study – May address contributions or novel use of data

•  Hypotheses: – More specific set of testable conjectures –  Lead directly to experiments, sampling programs, analysis

methods (stats), etc. –  Balance between too many and too few (≤ ~5) – Avoid “contingent” hypotheses

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Linking Objectives & Hypotheses to Significance!

•  Each refers to a different but key feature of a research proposal

•  But, must be tightly linked and work together; each relies on the others for validity and purpose

•  Example: –  Significance: Understanding how X affects Y is of great

importance to …

– Objective: We wish to determine whether …

– Hypothesis: To investigate the hypothesis that …, we will …

Placement and Form!

•  Significance, objectives, and hypotheses typically near the beginning

•  Hypotheses often introduced early, but repeated with greater detail later

•  Follow conventions of your field – Null hypothesis (traditional)

»  “The test drug will have no effect on the population relative to a placebo”

–  Positive hypothesis »  “The test drug will reduce symptoms in more than 75% of the

test population”

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The Introduction!

The Introduction!

•  You’ve now provided reader with some perspective on significance and steered them toward your objectives

•  What to introduce? – Literature review? NO! – Relevant conceptual, theoretical, or empirical

evidence – Justification of topic, approach, novel methods, … – Preliminary data (yours)

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The Introduction: Your Goal!•  “Funnel” the reader

– From general review of existing evidence, to your specific study

•  After reading: – “Of course, what a great idea, why didn’t I think of that!”

•  Establish why your work is compelling •  Capture (or hold) reader’s attention •  Allow a competent, non-expert to understand the

motivation for your work – And do so without a need to refer to other publications

Crafting the Introduction!

1.  Focus on the important points and establish their relevance to your proposal

2.  Keep it brief (or, as long as necessary)

3.  Use schematics, models, headings, formatting, etc. to channel the reader

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Use of Models!Conceptual, graphical, synthetic, theoretical, and analytical models to frame the research question and design

XXX!YYY!

AAA!BBB!

Input!

Output!

Feedback!

Use of References!•  Make a case for importance of your work

– Use of current and widely accepted references to support your arguments

•  How many? – Quality not quantity – Cite to support ideas, claims, etc. (typically), not to

exhaustively review specific papers (unless relevant) – Cite reviewers?

•  Be thorough (especially if claiming little or no existing evidence)

– Demonstrate your knowledge, understanding, and expertise –  Include those that are counter to or conflict with your argument – Cite and discuss controversial evidence (but avoid using these

as foundational)

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Experimental Design and Methods!

Design and Methods!

•  By here, the reader has (should have) sufficient material for a solid appreciation of the importance of objectives and hypotheses

•  Now, give the detailed plan (implementation, analysis, and interpretation)

•  Convince reader the work can be accomplished, and that the results will be of great interest

•  Contents: – Overview of the research (design) – Objectives, hypotheses, and methods –  Analysis and expected results –  Timeline

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Design and Methods: Goals!

•  Not too much, not too little •  Crucial questions asked by reviewers:

–  Are you using the correct and the best methods for the specific questions posed?

–  Are the methods proven and properly cited? –  Are the methods feasible given time and $ requested? –  Is the precision or extent appropriate and sufficient? –  Are the investigators competent? – What critical and innovative outputs will result?

Crafting the Design and Methods!•  Keep reader focused (on overall significance, objectives,

and hypotheses) – While providing important methodological, technological, and

analytical detail •  Proposal vs. Manuscript

–  Include enough information for reader to critically evaluate, but not all detail needed to duplicate your work

•  Some common features: – Outline the proposed research (roadmap) – Methods

»  Well known and accepted? vs. New, developed by you, etc.? »  Justify approach and choices (WHY?) »  Acknowledge limitations (mostly)

– Data Analysis »  Data reduction, statistical methods, modelling, etc. »  Should clearly relate back to stated objectives and hypotheses

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Plan for Expected and Unexpected Results!

Expected Results!•  What do you (reasonably) see occurring?; What will be

your interpretation of this? •  Good researchers plan for both the expected and

unexpected •  Good research is when both outcomes are valuable! •  Outcomes may be predictable

–  Authors have effectively established this expectation

•  Tie the results back to the broader issues (objectives and aims)

•  Demonstrate your thorough and thoughtful approach to integration, interpretation, implications

–  Think Discussion section

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Timeline!

The Timeline!•  A reality check •  Helpful to both author and reviewer

– Do you have the resources (time, money, labor)

•  Don’t save this for the end, but carefully consider while developing plan

•  Items to consider: –  Start / end of periods (e.g., months, quarters, years) –  Time to construct, purchase, develop … – Major aspects of experiments (set up, data collection, data

analysis, etc.) –  Preparation and submission of publications – More detail needed for “new” investigators

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Some Final Thoughts!

•  Convince yourself (and others?) first – Why do you want to do this work?

– What do you hope to accomplish?

– Why it is important?

•  Keep in mind the goal –  Be persuasive (without being overconfident or annoying)

– Confident yet humble

•  See the forest (don’t get lost in the trees), and help readers see it

•  Review and/or critique other examples!

Ideas “To Go”!

1.  Ask (and try to answer) important questions; convince reader of importance

2.  Proposals ≠ Papers

3.  “Grantsmanship” is learnable

4.  There are standards and expectations

5.  Reviewers are Humans (really!)

6.  Proposal writing is part of the scientific process

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