The Basics of Proposal Writing An Introduction to Writing a Successful Grant Application.

The Basics of Proposal Writing

An Introduction to Writing a Successful Grant Application

Introductory Comments: Is it about the money? Yes and No

• Why write a grant proposal? Can you afford to support the

projects that interest you from your own or your institution’s resources?

• Ultimately successful grant seeking must be driven by your professional goals, the quality of the research or project, the institution’s mission and the needs of the potential grantor, not simply the money.

Introductory Comments: Traits of a Good Proposal Writer

• Is clever• Plans well• Prepares extensively• Takes input and criticism

in a positive manner to

improve ideas and

presentation

Introductory Comments: Be Proactive not Reactive

• Start the proposal preparation process early

• Don’t be either to narrow or too general in your approach

• Learn about your potential funding source(s)

• Develop a quality assurance process e.g. have a pre-submission review team read

and comment on the proposal

Introductory Comments: Innovation Counts

• In submitting a proposal you are marketing your ideas, the capabilities of you and your organization, and possibly those of your partners, to get the proposed work done in an effective manner.

• Grant seeking is an entrepreneurial activity and the competitive nature of grant funding encourages innovative ideas that will solve the problem in the most effective manner.

Introductory Comments: You Must Have Goals

• Identify your long term goalsYour professional goals Goals of the research

• Get to know your fieldThe peopleThe funding sourcesBegin networking – professionally and socially

• Be prepared for rejection• Stick to your goals – but consider flexible

solutions

Identifying Sources of Funding: The Grants

Marketplace

The Grants Marketplace: Federal Government Funding

• Federal and State funding accounts for more than 75% of all money granted (note that this is money granted, if contracts are included the percentage would increase to well over 90%).

• Types of Federal Grants Categorical Grants – address a specific area of programmatic concern Block Grants – Pass categorical grant money to the state for administration

following state rules. Formula Grants – funds allocated according to set criteria such as number

of individuals below the poverty level. Specific to a problem area or geographic region and must pass through an intermediary such as a city government.

Cooperative Agreement or Cooperative Research and Development Agreement (CRADA) - An award similar to a grant, but in which the sponsor's staff may be actively involved in proposal preparation, and anticipates having substantial involvement in research activities once the award has been made.

The Grants Marketplace: State Government Funding

• In terms of dollars most of the state grants come from federal block and formula grants.

States can develop their own priorities for distribution of these federal funds.

States may add restrictions in addition to those imposed in the federal guidelines, use a peer review system, or use elected officials or political appointees to review applications.

• States also create their own programs and review may or may not be by state-wide criteria.

Types of Grant Opportunities

• Broad Agency Announcement (BAA) - An announcement of a federal agency's general research interests that invites proposals and specifies the general terms and conditions under which an award may be made.

• Investigator-Initiated Proposal - A proposal submitted to a sponsor that is not in response to an RFP, RFA, or a specific PA.

• Program Announcement (PA)- Describes existence of a research opportunity. It may describe new or expanded interest in a particular extramural program or be a reminder of a continuing interest in an extramural program. Parent Announcements – A form of PA used by the NIH, span the

breadth of the NIH mission in order to ensure it has a way to capture “unsolicited” applications that do not fall within the scope of targeted announcements. 

Types of Grant Opportunities

• Request for Applications (RFA) - Announcements that indicate the availability of funds for a topic of specific interest to a sponsor. Proposals submitted in response to RFAs generally result in the award of a grant. Specific grant announcements may be published in the Federal Register and/or specific sponsor publications.

• Request for Proposal (RFP) - Announcements that specify a topic of research, methods to be used, product to be delivered, and appropriate applicants sought. Proposals submitted in response to RFPs generally result in the award of a contract. Notices of federal RFPs are published in the Commerce Business Daily.

Contracts

• Contract - A mechanism for procurement of a product or service with specific obligations for both sponsor and recipient. Typically, a research topic and the methods for conducting the research are specified in detail by the sponsor, although some sponsors award contracts in response to unsolicited proposals.

The Grants Marketplace: Private Foundations

Types of Private Foundations

• National General Purpose FoundationsThese foundations have interests in several areas

and fund projects that will have a broad impact.

• Special Purpose FoundationsDefine their area of interest specifically

• Community FoundationsWant to make a difference in the communities in

which they are based

• Family Foundations

Patterns of Foundation Funding

• Education is the largest recipient of foundation funds (25%) followed by human services (17%), health (16%), and the arts (12%)

• Higher education receives more support than any other aspect of eduction (15% compared to 6% for K-12)

Identifying Potential Foundation Funding

• Define your project, its goals and the specific actions you will take to achieve those goals

• The Foundation Directory is the source for information on sources of 92% of all foundation funding.

• The Foundation Directory may be accessed on-line in the Office of Research and Sponsored Programs Administration.

The Corporate Marketplace

The Corporate Marketplace: Education & Health & Human Services

• Corporate giving comes in two forms – directly from the corporation and from corporate foundations

• The guiding principle of corporate giving is self-interest – “this-for-that” – corporations do not usually give away money, they invest it.The latest IRS rule allows up to 10% of their pre-tax

gifts and grants to not-for-profits as a tax deductionEducation and health and human services are the two

biggest recipients of corporate contributions

The Corporate Marketplace: Culture & the Arts

• Can you demonstrate that employees of the corporation come to performances or sites

• Do employees of the corporation volunteer at the performances or sites

• Do you interact with local agencies involved in the same activities

• Do you offer activities such as family and school activities that will assist the corporation in recruiting employees

Entering the Proposal Writing Process

Maximize Lead Time

• Having time to write a compelling proposal is essential

• This begins with a proactive and early search for funding opportunities

• You must create the quality time to produce the proposal from generation of the idea through gap analysis to submission of the proposal

You Do Not Want to Get This Review

“The problems with this grant are legion, but if I go on to detail them I will have spent more time on the review than it appears the applicant did in his preparation of the proposal.”

General Guidelines for a Proposal

• Nothing beats a good idea• Be realistic – You’re probably not going to solve

the problem of world hunger with your proposed project

• Make the presentation clear and simple• Make the presentation easy to read• Present yourself, or you and your collaborators,

as the one person or group who can solve the problem of interest to the funding entity

• Prepare a realistic budget and thoroughly justify it

Nothing Beats a Good Idea

• Articulate a worthwhile, single, focused objective• Articulate Specific Aims that are clearly related to

one another and logically fit under the umbrella of the overall objective

• Present gaps in our knowledge • Plant the seed for achieving each specific aim by

presenting the questions to be asked which will fill the gaps

Develop Your Idea

• Define the problem that you want to address• Collect and critically analyze background

information related to the problem• Develop, don’t force, the preliminary idea• Assess the potential for success in solving the

problem based on your idea• Seek constructive input/criticism from

knowledgeable colleagues• Refine the idea to maximize its potential for

impact on your field

Assess Your Idea

• Critically asses whether or not you have the necessary expertise, resources, personnel and preliminary data to be competitive

• Find the agency that fits your ideaKnow what an agency can fundFunding your proposal should be compatible with

meeting the goals of the agencyContact the program officer and listen closely and

carefully

Sell Your Idea: The Successful Sell

• Make a good first impression• Be well-prepared• Be credible• Deliver a clear message• Provide supporting documentation• Include appropriate endorsements• Have something special to offer• Be persistent

Sell Your Idea – Convey Enthusiasm

• You must be enthusiastic about your idea and maximally convey this enthusiasm to the reviewers

A major key to success in grant-writing is to create enthusiasm in the reviewer such that he becomes an advocate for your proposal

If at all possible get to know who your reviewers will be

• Articulate a worthwhile, single, focused objective• Articulate Specific Aims that are clearly related to one

another and logically fit under the umbrella of the overall objective

Sell Your Idea

• Present gaps in our knowledge

• Plant the seed for achieving each specific aim by presenting the questions to be asked which will fill the gaps

• Tell the reviewers what to expect for their investment

Needs or Gap Analysis

• You must convincingly establish the need for the solution to the problem you are interested in. Just because it is obvious to you doesn’t mean it’s

obvious to a potential grantor.• What is the problem that requires a solution?• What will happen if this problem is not solved?• What is the gap between what exists now and what

ought to be or would be if the knowledge existed to solve the problem?

• Why should grant funds be used now to solve the problem and reduce the gap?

Does Needs Analysis Apply to the Basic Research Grant

• Yes – You must know the literature in your field in depth such that you can generate hypotheses which are based on what is not now known, but must be known to advance the field.

• You must be on the “cutting edge”. You do not want to have your idea labeled as “old

science”

Writing the Proposal: General Points

Idea

Supporting Concepts & Data

Details of the Plan

Appendices (Use sparingly if permitted at all)

Conceptual Model Of A Proposal

The Four Most Important Elements of Grant-Writing

• Read the Instructions, understand the Instructions, Follow the Instructions

• Read the Instructions, understand the Instructions, Follow the Instructions

• Read the Instructions, understand the Instructions, Follow the Instructions

The Four Most Important Elements of Grant-Writing

• AND THEN REALLY READ THE INSTRUCTIONS

• Read the correct instructions

• Read all of the instructions

• Read the current instructions

• Read the RFA and PA especially well as these are supplied to the reviewers

You Must Present the Proposal So That It Answers These Questions

• What positively singles out this grant application from all others under consideration?

• Why is this grant special and, therefore, deserving of support?

Make The Presentation Clear And Simple

• Assume total ignorance on the part of the reviewer

• Provide all of the simplest conceptual background

• No abbreviations or acronyms without definition• Use diagrams to illustrate concepts• Use formatting for emphasis• Be redundant

Make The Presentation Easy To Read

• Put yourself in the position of the reviewer• Do not be wordy – write like Hemingway, not

Faulkner• Tell the reviewer what he is supposed to think

and write• Do not force the reviewer to hunt through the

application for information

Make The Presentation Easy To Read

• Use simple declarative sentences• Avoid complicated words, unusual abbreviations

(always define an abbreviation that is not common to the area), and tortuous syntax

• Avoid “weak” words that may introduce doubt into the mind of the reviewer about your ability to do the workExample “We will try to establish conditions for –” vs.

“The following variables will be considered in order to establish conditions for ---”

Order of Preparation

• Write the Specific Aims and Hypotheses first, then the Narrative, then the Justification and Background and finally the Title and Summary or Abstract

Present Yourself As The Greatest Expert In The Field

• Know the literature in depth and breadth• Do not make statements without attribution or

preliminary data• Do not be reluctant to admit shortcomings• Seek collaborators or mentors when your

expertise cannot be documented

Present Yourself As The Greatest Expert In The Field

This is an important research project, which can be accomplished in timely fashion because the personnel, methods and equipment required for the successful completion of the research are already in place. The PI and co-investigators are well qualified to accomplish the goals of this application. The PI and co-investigators have worked closely together for several years, as evidenced by peer-reviewed papers which are relevant to the current proposal. The PI will be responsible for the organization of the research project and for the overall administration of the program. The PI has extensive experience in investigation of opioid-mediated signaling pathways and innate immunity. One Co-I has extensive experience in neuroscience and in glial biology. Another Co-I has extensive experience in cellular biology of neuroscience and another Co-I is experienced in researching signaling pathways. The research team will continue to interact via weekly lab meetings, email, phone and direct interaction.

Be Realistic

• Ask questions which are answerable• Provide tantalizing preliminary data as evidence

that the questions are worth asking and answerable

• Propose technical approaches which are within the realm of your published technical expertise OR provide preliminary data

• The volume of work proposed should be proportional to the time of support requested and your other obligations

Significance

• Does the proposed work address an important problem?

• If the aims of the proposal are achieved how will the problems addressed be reduced or how will scientific knowledge be advanced?

• What will be the effect of this work on the paradigm used in the field or what effect will there be on concepts and methods that drive this scientific field?

Significance: Especially for NSF

• What are the broader impacts of the proposed activity How does the activity advance discovery and understanding

while promoting teaching, training and learning? How well does the proposed activity broaden the participation of

underrepresented groups? To what extent will it enhance the infrastructure for research and

education, such as facilities, instrumentation, networks and partnerships?

Will the results be disseminated broadly to enhance scientific and technological understanding?

What may be the benefits of the proposed activity to society?

Approach

• Are the conceptual framework, design, methods, and analyses adequately developed, well-integrated, and appropriate to the aims of the project?

• Does the applicant acknowledge potential problem areas and consider alternative tactics?

Innovation

• Does the project employ novel concepts, approaches, or methods?

• Are the aims original and innovative?• Does the project challenge existing paradigms or

develop new methodologies or technologies?

Environment

• Does the environment (facilities, availability of relevant expertise, etc.)

• Does the proposed activity or experiment(s) take advantage of unique features of the environment or employ useful collaborative arrangements?

• Is there evidence of institutional support?

Writing the Proposal: Some Specific Suggestions

• Provide just enough background information so the reviewer appreciates what you are proposing

• Extraneous information is distracting• Compartmentalize information with bold headings,

key words and sentences• Make use of diagrams and

cartoons to describe processes

and concepts• Use a terminal sentence pointing to your goal

at the end of each compartment

Background And Significance

Research Design And Methods:General Methods

• Present most often used methods first, each in separate titled paragraphs

• Present in a depth which is inversely proportional to your published experience with the methods

• Cite publications in which you have used the methods

• Refer to the preliminary data when describing unpublished methods

Research Design And Methods:Experimental approaches to each Specific Aim

• Each specific aim is its own section• State specific aim• State hypothesis associated with that specific aim • State question(s) associated with that hypothesis• Provide rationale for each question • Describe experiments • Expected results, interpretation, shortcomings and

pitfalls

The Specific Aims Section

• One of the two most important section of the application (the Summary is the other)

• One of the only sections that will be read by all of the reviewers

• Must quickly engender enthusiasm for your idea• The flow of logic must be compelling

The Specific Aims Section: Characteristics

• Two-to-five at the most• Brief, focused and limited in scope• Format each with an “eye-catching headline”• Conceptual, not descriptive• Each must logically flow from the preceding and

into the next• Must test the stated hypothesis or hypotheses• None should be absolutely dependent on the

outcome of another

The Specific Aims Section

• Brief Introduction: Known, unknown, problem and why is it important to solve

• Long-range goal• Objective of this application• Specific aim(s)• Hypothesis• Rationale• Why you are the best qualified (e.g. preliminary

data, unique reagent, research environment)• Innovation, expectations and impact

The Specific Aims Section

• Long-Range Goal• Not the goal of the current application• Is the goal of the overall program of which the

current proposal is a part• Be realistic: do not overstate or over-anticipate

your capabilities “The long range goal of our research program is to

better understand the neurochemistry of learning”

The Specific Aims Section

• Objective of this proposal “The objective of the research proposed in this

application is to determine the relationship between acetylcholine and learning.”

• Must be a step toward attainment of the long-term goal

• Defines the purpose of the proposed research• Must be phrased in such a way that the central

hypothesis clearly grows out of it

The Specific Aims Section: The Hypothesis

• Each Specific Aim should be HYPOTHESIS DRIVENMay consist of more than one

hypothesis

• Hypothesis should be defended in terms of the overall objectives previously statedDo not be afraid of redundancy with

the Background

The Specific Aims Section: The Hypothesis

• “Specific Aim 1 will test the effects of scopolamine, a drug that blocks acetylcholine, on the ability of rats to learn the radial arm maze.”

• Write a hypothesis, not a predetermined conclusion “The hypothesis that will be tested in accomplishing

Specific Aim 1 is that blockade of acetylcholine will lead to deficits in learning.”

“The hypothesis that will be tested is to show that scopolamine, a cholinergic antagonist drug, will impair learning.”

The Specific Aims Section: Environment

• Only equipment that contributes to evaluation of merit – e.g. a confocal microscope and image analysis system, not a standard research microscope

• Key collaborative arrangements and other unique features that enhance probability of success

• Extraordinary institutional commitment, e.g. significant release time from teaching, support of a research technician

• Intellectual environment conducive to successful completion of your research

The Resources Section

• Is a separate section and is more general than what is included under environment in specific aims

• Must be well written• List key equipment including larger pieces of

standard equipment, but do not include equipment requested in your budget

• Include institutional core facilities• Include reference to colleagues such as

biostatisticians who may be consulted but are not listed as key personnel

The Specific Aims Section: Expectations and Impact

• Key section for developing advocacy• Statement regarding innovation must grow out of the

specific aims• Expectations must be realistic • Each statement of expectation must be followed by a

statement as to why that outcome is important e.g. “This research is innovative and important because to date

no studies have been done that have elucidated the pathway whereby glia cells influence opioid dependence.”

• Collective impact – Summary of how will all of the outcomes advance the field

The Narrative

• What do you propose to do

• How you propose to do it

• What results you expect and what they will mean in terms of the overall project

• What might go wrong

• What alternative approaches will be used to cope with potential problems

The Narrative

• Organize the narrative according to the Specific Aims, with one section for each

• Devote approximately the same number of pages to each aim

• Use an organized presentation format

• Use appendices sparingly if at all

• Never exceed the page limits specified in the instructions

The Narrative

• Each subsection of the narrative should be laid out the same

• Introduction• Experimental design

Experiment #1Experiment #2

• Expected Results• Anticipate problems and their solutions

(alternative strategies)

The Narrative: Introduction

• Begin each subsection with a short paragraph that states its objective, the working hypothesis to be tested, the overall strategy that will be used, the rationale for the studies that will be proposed, and any specific outcomes that are expected

Specific Aim 1. Elucidate the mechanism by which TLR2-mediated glial activation contributes to the development of opioid dependence and withdrawal The working hypothesis for this aim is that TLR2-mediated glial activation plays a critical role in opioid dependence and withdrawal. The objective of this aim is to decipher the mechanisms by which TLR2 effects glial activation to produce opioid dependence and withdrawal thereby obtaining insights into the mechanisms causing opioid-induced glial activation. The rationale for this aim is based on the following evidence. We know that TLR2 knockout mice develop attenuated morphine dependence (Fig. 5). We also know that chronic morphine administration significantly increases the expression of TLR2 in microglia (33). Importantly, we have shown that TLR2 is required for the glial cell activation following opioid dependence (Fig. 7). In addition, TLR2 deficiency in mice significantly reduces the levels of proinflammatory cytokines following chronic morphine administration (Fig. 8). Moreover, recent evidence reveals that TLR2 can function as a cell death receptor (12). However, we do not know the mechanism by which TLR2-mediated glial cell activation contributes to the development of opioid dependence and withdrawal. The experiments in this aim will focus on this issue. The strategy of this aim is to block TLR2 in mice in order to determine the contribution of TLR2-mediated glial activation in producing opioid dependence and withdrawal.

The Narrative: Experimental Design

• Use separate paragraphs/sections to develop each planned set of studies

• Avoid emphasis on routine methods• Methods detract from the conceptual

appeal of the application• Where appropriate refer to previous work

by you and/or your colleagues• Express confidence in your ability to

accomplish your objectives

The Narrative: Expected Results

• This is a key subsection

• This is where you tell the reviewers what can be expected from the investment made in this project

• Succinctly and realistically summarize what the most important results should be

• Avoid overstatement

The Narrative: Anticipated Problems and Alternative Strategies

• If potential problems exist, acknowledge them

• Offer alternative strategies

• Do not overemphasize the alternative strategies

Justification

• Significance• Make it easy for the reviewers to identify the importance

of the impact the research will have• Include direct sentence regarding the significance• Significance projected must by pertinent to the interests

of the reviewers and the mission of the agency• Background• The purpose is not to be comprehensive – this is not the

introduction to your dissertation – be selective• The purpose is to present a solid foundation for your

proposal – avoid undue reliance on review papers

Background

• Describe what is known

• Describe what is not known (the gaps)

• Describe what needs to be done (what will fill the gaps)

• Emphasize how your results will meet the need, i.e., solve the problem that you have highlighted

Background

• Write this section as one of the last• Cite review articles sparingly• Ensure that citations are fully up-to-date• Cite your reviewers where appropriate, but

do not contrive a context to cite them• Be appropriately critical of earlier work in

the field (not in a mean-spirited way)• Logically build toward what you expect

your contribution to be

Preliminary Studies

• You really should have preliminary data so the reviewers do not think you are relying entirely on the work of others

• Published studiesDescribe first, include limited technical data Include one or two figures or ables for eachProvide reprints as an appendix if allowed

• Unpublished studiesDescribe in more complete technical detailAcknowledge level of reliability

The Title

• Reviewers’ first impression

• Should be informative

• Must engender enthusiasm

• Can influence assignment for review

• Can be misunderstood and used out of context – this is why you write it after the body of the proposal is finished

The Title

• Know whether or not there are restrictions on length

• If so, know whether the restriction pertains to characters or characters and spaces

• List accepted abbreviations• List words that convey what you want to do and

why it is important• Arrange words/abbreviations into a compelling,

informative title that fits the space

The Title

• Train Nurse Mentors in Grant-Writing Skills vs.

• Teach and Sustain Grant-Writing Skills in Nurse Researchers

The Summary

• The other of the two most important sections (along with the Specific Aims)

• Will be read by all reviewers• Must convey all of the application’s essential

information• Must be written in plain English because it will

be used to summarize the agency’s investment• It must convey infectious enthusiasm for the

project

The Summary

• The most difficult section of the proposal to write

• Should be written last

• Extract all essential information from the proposal verbatim and then edit it to fit the space allowed

Intellectual Merit. Scanning electron microscopy is an important investigative tool in the life and physical sciences. There are three major research programs and at least four additional research programs at East Tennessee State University (ETSU) that currently require high resolution SEM and/or EDS. Further, ETSU is beginning a Department of Geosciences in 2009 which will increase demand on the SEM. The expanding use of the existing scanning electron microscopes in research and teaching by several units and the age of the existing SEMs demands improved infrastructure in this area in order to provide adequate support for research and teaching in several departments at ETSU.

The purpose of this grant is to specifically upgrade ETSU’s SEM capabilities . The existing Zeiss DSM 940 and the Hitachi S-340, because of their age (greater than 25 years), condition, and the availability of parts have become increasingly difficult to maintain, and the resolution and quality of the images these instruments produce is not adequate for high quality research. Further, there is a critical need to add analytical capabilities to our SEM (i.e., EDS). In an evaluation of our EM facility users have unanimously viewed the acquisition of a high resolution SEM as the most immediate and critical research need.

Broader Impacts. The number faculty members using SEM has increased at ETSU during the past five years and there has been a concomitant increase in undergraduate and graduate student research projects necessitating more frequent offering of formal instruction in electron microscopy to prepare students to conduct independent undergraduate and graduate research projects. Investigators are more frequently using electron microscopic methods and analytical techniques in undergraduate and graduate classes (e.g. Mineralogy, Sedimentation - Stratigraphy, Structural Geology, Invertebrate Paleontology and Vertebrate Paleontology). SEM is used in these courses for, among other things, identification of mineral species, determination of the shape and form of minerals, and sedimentary grain analysis but because of age of the current instruments students are not being trained in the use of modern equipment and analytical techniques which will be corrected with the SEM requested in this proposal.

Without question an improved SEM facility will strengthen existing research programs, attract new research programs, and allow training of students at all levels, including K-12, in the use of SEM. The new SEM will significantly facilitate research programs at ETSU in biological sciences, paleontology, geology, anatomy and cell biology, microbiology and physiology. Further, it will also serve faculty and students at King College and Virginia Intermount College, liberal arts colleges located about 25 miles from ETSU. It will increase research capability at King in the area of phycology particularly in the study of algal diversity and taxonomy. Additionally students taking courses in Microbiology, Histology, and Photosynthetic Life at King will use the requested SEM.

The ETSU and General Shale Brick Natural History Museum provides an ideal venue to introduce students in grades K-12 to “hands on” education in research methods in the life and physical sciences. The purchase of the requested equipment will significantly contribute to the development and implementation of primary and secondary school programs through the Museum of Natural history, as well as exposing the adult general public to the use of this technology in research.

Submit a Realistic Budget

• Request only what you need and you can defend but do not request less than you need

• Justify every item in the budget thoroughly

• Present evidence that your institution supports your research or project