Strategies for Writing Competitive Proposals

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Strategies for Writing Competitive Proposals

• 7 October 2009
• Office of Proposal Development
• Office of Research Graduate Studies
• Texas AM University
• http//opd.tamu.edu
• John Ivy, PhD
• johnivy_at_tamu.edu

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Topics

• "How To" Strategies to Find Research Funding
• Analyzing the RFP Its Role in Proposal
  Development
• Analyzing the Agency Culture, Mission, and
  Research Priorities
• Understanding the Review Process Writing for
  Reviewers
• Writing a Competitive Project Summary and
  Proposal Narrative

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OPD Member List

• Jean Ann Bowman, PhD jbowman_at_tamu.edu
• Physical Geography/Hydrology, earth, ecological,
  environmental
• Lucy Deckard, BS, MS (Materials) l-deckard_at_tamu.ed
  u
• New faculty initiative, fellowships,
  engineering/physical science proposals,
  equipment, and instrumentation
• John Ivy, PhD (Molecular Biology) johnivy_at_tamu.edu
  
• NIH biomedical and biological science initiatives
• Phyllis McBride, PhD (English) p-mcbride_at_tamu.edu
• Proposal writing training, biomedical, editing
• Libby Pasciak libbyp_at_tamu.edu
• Scheduling, workshop management, project
  coordination
• Robyn Pearson, BA, MA (Anthropology) rlpearson_at_tam
  u.edu
• Social sciences and humanities proposals, editing
  and rewriting

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Office of Proposal Development OPD-WEB
http//opd.tamu.edu/

• For an electronic version of this presentation
• Funding opportunities
• Junior faculty support
• Proposal development resources
• Grant writing seminars and workshops
• Craft of Grant Writing Workbook
• Agency Toolkits
• PI perspectives on competitive proposals

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• There is no amount of grantsmanship that will
  turn a bad idea into a good one, but there are
  many ways to disguise a good one.
• William Raubformer Deputy Director, NIH

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Types of University Proposals

• Research (basic, applied, mission, applications,
  contract)
• Educational
• Hybrid research and education
• Small , few PIs
• Large , multiple PIs, centers
• Supplements to grants

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Solicited Unsolicited Proposals

• Proposals may be initiated in two general ways by
  the university researcher
• 1) in response to a published solicitation
  (solicited proposal, RFP, BAA, PA)
• 2) initiated by the investigator (unsolicited
  proposal)

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Unsolicited, Investigator-Initiated Proposals

• Program Description, Program Announcement, or
  Parent Announcement (NIH) instead of a
  solicitation
• More general statement of interests of funding
  agency or program
• Typically the main source of research funding for
  individual researchers funded by NSF, NIH, DoD
• Majority of external research funded by NSF
  (50) and NIH (80) result from unsolicited
  proposals
• Formatting guidelines often in a separate
  document
• NSF Grant Proposal Guide
• NIH SF424 Application Guide
• DoD long-term Broad Agency Announcements

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Funding unlikely to pan out

• Grand visions
• Ambitious plans to improve the world
• Administrative infrastructures
• Bricks mortar
• Unfocused ideas enthusiasm

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If you dont write grants you wont get any

• Target the proposal at the intersection where
• research dollars are available
• your research interests are met
• a competitive proposal can be written within the
  time available

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Search in the right places

• Talk to funded colleagues in your discipline
• Read research publications for references to
  funding sources

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Focus on your research interests
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Searching for research funding

• Define a general disciplinary domain of interest
  (e.g., science, social science, humanities,
  education, health and biomedical sciences,
  engineering, etc.)
• Characterize the nature of the research interests
  within the disciplinary domain (basic, applied,
  applications, contract, mission agency)
• Identify funding agencies whose mission,
  strategic plan, and investment priorities are
  aligned with the specific research interests

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Searching for research funding

• Further align research interests with funding
  agency funding opportunities by
• reviewing past funding solicitations
• reviewing agency mission statements
• reviewing strategic investment plans and related
  documentation.

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Grants.gov

• The Grants.gov web portal serves as a single
  point of access for all federal agency grant
  announcements. New funding announcements from
  federal agency are posted to this site daily, and
  a range of other features allow subscribing to
  email funding alerts, linking to agency web
  sites, and searching for funding among agencies.

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Search Grants.gov Opportunities
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Funding Resource Links
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Funding Resource Links
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Funding Resource Links
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Funding Resource Links
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Solicitation Modifications

• RSS feeds and email alerts also post
  modifications to program announcements that are
  made prior to the due dates
• This is particularly important for DoD BAAs that
  have long open periods, or RFPs from mission
  agencies
• Grants.gov New/Modified Opps by Agency
• http//www07.grants.gov/rss/GG_OppModByAgency.xml

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RSS Funding Feeds
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RSS Funding Feeds
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Identifying funding opportunitiesSUMMARY

• Develop search protocols to fit research
  interests
• Know relevant agencies
• Learn grant cycles

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Analyzing the RFP Its Role in Proposal
Development
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What is a Solicitation?

• It is an invitation by a funding agency for
  applicants to submit requests for funding in
  research areas of interest to the agency.

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What is in the Solicitation?

• The key information you will need to develop and
  write a competitive proposal that is fully
  responsive to an agencys
• submission process
• research objectives
• review criteria
• budget requirements.

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What it is what it is not

• The RFP is a non-negotiable listing of
  performance expectations reflecting the goals and
  research objectives of the funding agency.
• The RFP is not a menu or smorgasbord offering the
  applicant a choice of addressing some topics but
  not others, depending on interest, or some review
  criteria but not others.

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No irrational exuberance!

• Understand the RFP for what it isnot what you
  want it to be.
• It is not a speculative investment
• Invest your time, resources, and energy wisely

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The RFP as Treasure Map

• Follow directions
• Review step by step
• Understand it
• Understood by all PIs
• Keep focused
• Dont wander off path
• Continuously calibrate ideas, objectives, and
  details to the RFP

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Map your expertise to the RFP

• Is it a fit?
• Is it really a fit?
• No partial fits allowed
• No wishful thinking
• Close doesnt count
• If you are not a fitdont submit!

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Relationship to Program Officer

• Never be hesitant about contacting a program
  officer for clarifications.
• Timidity is never rewarded in the competitive
  proposal process, but
• Ambiguities are always punished!

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Reviewing the RFP

• Clarify ambiguities if unresolved
• Get clarification from a program officer.
• Ambiguities need to be resolved prior to proposal
  writing so the proposal narrative maps to the
  guidelines with informed certainty.

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Never be Timid!
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The RFP as Reference Point

• Use the RFP continuously through-out proposal
  development and writing as a reference point to
  ensure that an evolving proposal narrative fully
  addresses and accurately reflects the goals and
  objectives of the funding agency, including the
  review criteria.

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Role of RFP in Proposal Organization

• Use the RFP to develop the structure, order, and
  detail of the proposal narrative.
• Use the RFP as an organizational template during
  proposal development to help ensure every RFP
  requirement is addressed fully.

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Keep on Track

• Copy and paste the RFPs key sections, research
  objectives, and review criteria into the first
  draft of the proposal narrative
• The RFP then serves as an organizational template
  for the proposal and a reference point to ensure
  subsequent draft iterations of the narrative are
  continuously calibrated to the guidelines.

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RFP template ensures a proposal

• Fully responsive to all requested information
• Written in the order requested
• Provides the required detail
• Integrates review criteria into the narrative
• Does not drift off topic or sequence.

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Address the Review Criteria in the RFP

• The description of review criteria is a key part
  of the RFP.
• A competitive proposal must clearly address each
  review criterion, and the proposal should be
  structured so that these discussions are easy for
  reviewers to find.
• Subject headings, graphics, bullets, and bolded
  statements using language similar to that used in
  the RFP can all be used to make the reviewers
  jobs easier.

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Read Material Referenced in RFP

• If the RFP refers or links to publications,
  reports, or workshops
• Read the referenced materials
• Understand how the references influenced the
  agencys vision of the program
• Cite those publications in the proposal as
  appropriate
• Demonstrate in the narrative you are fluent with
  the ideas underpinning the RFP.

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Analyzing the Agency Culture, Mission, and
Research Priorities
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Analyzing the Funding Agency

• Analyzing the mission, strategic plan, investment
  priorities, and culture of a funding agency
  provides information key to enhancing proposal
  competitiveness.

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Analyzsis of the Funding Agency

• To better understand key elements common to every
  competitive proposal narrative, determine
• Who is the audience?
• How do you best address that audience?
• What is a fundable idea within the context of the
  agencys research priorities?
• How are claims of research uniqueness and
  innovation best supported in the proposal text?
• What arguments are likely to be most compelling
  in communicating your passion, excitement,
  commitment, and capacity to perform the proposed
  research to reviewers and program officers?

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Know Your Audience

• Understanding an agencys mission, strategic
  plan, research culture, investment priorities,
  and the rationale behind them helps you weave a
  compelling and competitive proposal narrative.
• It helps you better describe how your research
  plan maps to the research goals detailed in the
  RFP and advances the agencys larger research
  plan.
• Convincing program officers and reviewers that
  your research advances the agencys research
  objectives is a key factor in the decision to
  fund or not fund your proposal.

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Dont Reinvent the Flat Tire

• Know research currently funded by the agency
• Where does your research fit in that context?
• Is your research a priority at the agency?

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Search for Competitive Informational Gold
Nuggets

• Successful proposals represent an accumulation of
  marginal advantage
• Funding success occurs at the boundaries of
  excellence
• Good is not good enough!

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What to look for

• Mission statements
• Research culture
• Investment priority
• Strategic plan
• Org chart
• Management
• Program officers
• Reports, pubs

• Workshops
• Language
• Web speeches
• Public testimony
• Review process
• Project abstracts
• Current funding
• Solicitations

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Know the Context of Your Research
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Analyzing the Agency Mission

• Funding agencies have a clearly defined agenda
  and mission.
• Funded grants are those that best advance the
  mission of the funding agency.
• If a proposal does not meet an agency's mission,
  it will not be funded.

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Map Your Research to the Agency

• A good idea is required, but alone, is not
  sufficient.
• Agencies only fund good ideas that are clearly
  developed and tightly linked to their mission,
  vision, and strategic plan as represented by the
  research objectives stated in the RFP.

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Understand the Research Culture

• Understanding the research culture of the funding
  agency helps you to more knowledgably embed your
  proposed research plan within the research focus
  and context of the agency.
• While NSF and NIH both fund research in the
  biological sciences, they often fund research in
  very different areas under that umbrella.
• Sometimes the differences are clear, and in other
  cases more nuanced, but the distinctions are
  there, and you need to be aware of them.

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Understanding Agency Types

• Differentiate between basic research agencies
  (e.g., NSF, NIH) and mission-focused agencies
  (e.g. DOD, NASA, USDA).
• Differentiate between hypothesis-driven research
  and need- or applications driven research.
• Differentiate research at disciplinary
  boundaries, e.g., social sciences, biological.

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Basic Research Agencies

• Independent agency and management
• Independent research vision, mission, and
  objectives
• Award criteria based on intellectual and
  scientific excellence
• Peer panel reviewed, ranked, and awarded by merit
• Focus on fundamental or basic research at the
  frontiers of science, innovation, and creation
  of new knowledge
• Open ended, exploratory, long investment horizon
• Non-classified, non-proprietary

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Mission Agencies

• Scope of work tightly defines research
  tasks/deliverables
• Predominately applied research for meeting
  near-term objectives, technology development and
  transfer, policy goals
• Predominately internal review by program officers
• Awards based on merit, but also on geographic
  distribution, political distribution, long term
  relationship with agency, Legislative, and
  Executive branch policies
• Classified and non-classified research

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Intramural vs. Extramural Research

• Some agencies fund only research by outside
  scientists (extramural research), while many also
  hire researchers who conduct research from within
  the agency (intramural research).
• NSF and DARPA are examples of agencies that fund
  only extramural research, while NIH, NASA, the
  National Labs, DOE, and many other agencies fund
  both extramural and intramural research.
• Furthermore, the proportion of intramural versus
  extramural research funding varies significantly
  by agency.
• The National Labs and NIST primarily fund
  intramural research, while NIH mostly funds
  extramural research.

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Know what was recently funded

• Learning about recently funded research in your
  area helps you understand what an agency is
  looking for in the review process
• Review abstracts of funded proposals on agency
  web sites
• Talk to the principal investigators of funded
  proposals in your area
• Obtain copies of funded proposals
• Ask the PI
• Ask the agency (funded proposals are public)

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Know Language of Funding Agency

• Agencies often speak in a dialect unique to them.
• Echo the language of the funding agency back to
  them.
• This is important in writing the proposal
  narrative, and helps to frame arguments more
  clearly and make them more easily understood by
  program managers and reviewers.

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Analyze Agency Language

• Once the funding agencys language is learned, it
  allows the appropriate translation to occur
  between the language of the funding agency and
  that of the applicant.
• It often helps the clarity of the narrative text
  to translate the applicants institutional
  language into that used by the agencys program
  officers and reviewers.
• This is not an onerous or difficult task, but
  involves being alert to any preferred or repeated
  terms, usages, and meanings favored by the
  funding agency.
• Fluency in the funding agency language and
  terminology is another factor that will enhance
  the competitiveness of the proposal narrative.

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Helpful RSS Feeds
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Federal Awards Made Databases

• NIH Computer Retrieval of Information on
  Scientific Projects (CRISP)
• NIH Extramural Awards By State and Foreign Site
• NSF Award Data
• NASA NSPIRES Past Solicitations and Selections
• Agency for Healthcare Research and Quality (AHRQ)
  Grants On-Line Database (GOLD)

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Federal Awards Made Databases

• USDA Current Research Information System
• Department of Defense (DoD) Congressionally
  Directed Medical Research
• Department of Defense (DoD) SBIR/STTR Awards

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Federal Awards Made Databases

• Department of Education (ED) Grant Awards
• Department of Energy (DoE) Project Summaries
• Department of Health and Human Services
• Environmental Protection Agency (EPA) Grants
  Information and Control System
• Institute of Museum and Library Services (IMLS)
  Grants Awarded

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Federal Awards Made Databases

• National Endowment for the Humanities (NEH)
  Recent Grant Awards
• Federal RD Project Summaries and Awards (NIH,
  NSF, EPA, DoE, USDA, SBA)
• Health Services Research Projects in Progress
• grants and contracts awarded by major public and
  private funding agencies and foundations.
• Substance Abuse and Mental Health Services
  Administration
• state by state summaries of awards made

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Learn about proposals funded by foundations

• Foundation Center (Find Funders)
• http//foundationcenter.org/findfunders/
• Foundation Finder
• http//lnp.foundationcenter.org/finder.html
• 990 Finder
• http//foundationcenter.org/findfunders/990finder/
  
• http//foundationcenter.org/findfunders/990pffly.p
  df
• http//foundationcenter.org/getstarted/tutorials/d
  emystify/

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Understanding the Review Process Writing for
Reviewers
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You must intrigue the reviewers
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If you dont intrigue the reviewers
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Two general kinds of review criteria

• Criteria that are overarching and apply to all
  grants
• e.g., intellectual merit and broader impacts at
  NSF
• overall impact, significance, approach,
  innovation, invetigators, and environment at NIH.
• The second type of review criteria are specific
  to the particular program and may be very
  detailed in terms of expected project objectives
  and outcomes.

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Questions common to all reviews

• Specific review criteria and review processes
  differ from agency to agency, as well as by
  program within an agency, but the core questions
  program officers and reviewers need answered can
  be simply stated
• What do you propose to do?
• Why it is it important?
• Why are you able to do it?
• How will you do it?
• How does it contribute to the interests and
  objectives of the agency and program?

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Simple but challenging questions

• Your challenge is to answer these questions in a
  clear, convincing way that is easily accessible
  to the reviewersnot a simple task.
• You must craft a persuasive argument presenting
  the merit, significance, rigor, and relevance of
  your research
• You must convince reviewers you have the capacity
  to perform and the institutional infrastructure
  to support your research
• You must extend your argument to discuss the
  likely impact your research will have in
  advancing the field and creating new knowledge,
  both in your research area and possibly in other
  research fields as well

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How Your Proposal is Reviewed
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How Your Proposal is Reviewed
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Addressing review criteria

• A competitive proposal must clearly address each
  review criterion, and the proposal should be
  structured so that these discussions are easy for
  reviewers to find, compare, and contrast.

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The funded proposal

• The author of a funded proposal has
  accomplished the basic goal of grant writing
• Ensured the reviewers were intrigued and excited
  about the proposed research
• Understood its significance
• Were confident in the researchers capacity to
  perform.

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Makes clear to reviewers

• Moreover, the successful author has made clear
  to the reviewers
• What research will be done,
• Why it is significant,
• What existing research forms the underpinnings of
  the proposed effort,
• How the proposed research will be accomplished.

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Addressing review criteria

• The description of review criteria is a key part
  of the solicitation.
• The description of review criteria is a key part
  of the proposal template.
• Make the reviewers job easier by using language
  similar to that used in the solicitation.

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Pained by reviewer comments? Get over it!
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Resubmitting proposals

• Take reviewers comments to heart
• Somewhere between advisory mandatory
• Assess next step
• Start over
• Major renovation
• Minor renovation
• Re-conceptualize
• Drop the idea

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Writing a Competitive Project Summary and
Proposal Narrative
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The proposal is the reality

• A proposal is not unlike a novel or a movie. It
  creates its own, self-contained reality. The
  proposal contains all the funding agency and
  review panel will know about your capabilities
  and your capacity to perform. With few
  exceptions, an agency bases its decision to fund
  or not fund entirely on the proposal and the
  persuasive reality it creates.

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Charles Mingus on Grant Writing

• Making the simple complicated is commonplace
  making the complicated simple, awesomely simple,
  that's creativity.

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Writing the proposal narrative

• Contrary to what some people seem to believe,
  simple writing is not the product of simple
  minds. A simple, unpretentious style has both
  grace and power. By not calling attention to
  itself, it allows the reader to focus on the
  message.
• Richard Lederer and Richards Dowis, Sleeping
  Dogs Don't Lay, 1999.

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Albert Einstein on Grant Writing

• If you can't explain something simply, you don't
  understand it well.
• Most of the fundamental ideas of science are
  essentially simple, and may, as a rule, be
  expressed in language comprehensible to everyone.

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Introductory writing tips

• Sell your proposal to a good researcher but not
  an expert
• Some review panels may not have an expert in your
  field, or panels may be blended for
  multidisciplinary initiatives
• Agencies reviewers fund compelling, exciting
  research, not just correct research
• Proposals are not journal articlesproposals must
  be user friendly and offer a narrative that tells
  a story that is memorable to reviewers

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Narrative iterations

• If I had more time, I would have written you a
  shorter letter. Mark Twain

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Goal of the narrative

• The goal for the proposal narrative at the time
  of submittal is that it be a well written
  document that responds fully, clearly, and
  persuasively to the research goals and objectives
  and review criteria defined by the sponsor in the
  funding solicitation.

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The competitive narrative

• Synthesizes ideas and detail
• Connects ideas to performance details
• Develops order, logic, transitions, and
  connectedness
• Integrates research ideas
• Provides a common structure to meld disciplinary
  strands
• Makes ideas accessible to others
• Converges on a common language
• Requires persistence, continuous revisions, and
  many draft iterations to converge on perfection

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Key Narrative Elements

• Project summary
• Format, topics, and scope often defined in RFP
• Proposal introduction
• Format, topics, and scope most often
  discretionary
• Project description
• Format, topics, and scope clearly defined and
  ordered in RFP

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Role of the Project Summary

• Captures the interest of reviewers
• Defines the core idea clearly
• Describes concisely the connectedness of the core
  idea to specific research activities and outcomes
• Serves as a conceptual and relational roadmap to
  the proposal narrative

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The proposal Introduction

• Serves as a mini-proposal
• Connects the vision, ideas, goals, research
  objectives, and outcomes
• Makes a compelling case for research significance
  and uniqueness
• Organizes the conceptual framework of the
  narrative
• Tells who you are what you are going to do how
  you are going to do it who is going to do it
  why you are going to do it and demonstrates your
  capacity to perform
• Inspires reviewers to read closely and with
  interest the more detailed narrative

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Role of the Proposal Narrative

• Responds fully to sponsors requirements
• Incubator of ideas by draft iterations
• Enforces rigor, clarity, and simplicity
• Tames excesses, defines boundaries, forces
  connections
• Transforms ideas and anchors them in a common
  reality and research context
• A reality context shared by colleagues, program
  officers, and review panelists
• Tests ideas in a language lab
• What seems like a good idea can be illusory
• Verbal epiphanies at meetings are illusive

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Role of the Proposal Narrative (cont.)

• Synthesizes ideas and detail
• Connects ideas to performance details
• Develops order, logic, transitions, and
  connectedness
• Helps the timing, logistics, and collaborations
  of proposal development
• Integrates collaborators ideas
• Provides a common structure to meld disciplinary
  strands
• Makes ideas accessible to others
• Program officers, reviewers
• A competitive narrative requires persistence,
  continuous revisions, and many draft iterations
  to converge on perfection

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Poor planningEverybody has a plan--until they
are shot at, Colin Powell

• Match the RFP
• Schedule a timeline
• Start proposal early
• Partnerships take more time
• Collaborator compatibility
• Let ideas develop slowly
• No midnight warriors
• Periodic calibration to RFP
• Define and schedule development tasks
• Anticipate the unexpected

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Poor Process Planning

• What do you control?
• Proposal narrative
• Collaborators
• Budget
• What do others control?
• Routing signatures
• Budget approvals
• Submission
• Data requests
• Institutional support

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Keep focused on development tasks

• Define and develop goals objectives
• Plan narrative iterations
• Who does what and when
• Review and assess progress of goals objectives
• Budget process by task

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Anticipate the unexpected

• Some ideas dont work out
• Some partnerships dont work out
• Some budgets dont work out
• Some proposals dont work out

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Craft of narrative writing

• Good writing lies at the core of the competitive
  proposal. It is the framework for crafting and
  structuring the arguments, ideas, concepts,
  goals, performance commitments, and the logical,
  internal connectedness and balance of the
  proposal.

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Good writing is more than mechanics

• Strong, comprehensive, integrated knowledge base
• Organizational clarity (stepwise logic,
  connections, sequencing)
• Structural clarity (integrative logic, logical
  transitions)
• Argumentative clarity (reasoning, ordering,
  synthesis)
• Capacity for synthesis
• Connect, connect, connect! (E.M. Forrester)

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Good writing is more than mechanics

• Descriptive clarity (who, what, how, when, why,
  results)
• Clear, consistent vision sustained throughout
  text
• Establishes confidence in your performance and
  excitement for your ideas by reviewers

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Grammar and spelling count

• Proposals are not graded on grammar. But if the
  grammar is not perfect, the result is ambiguities
  left to the reviewer to resolve.
• Ambiguities make the proposal difficult to read
  and often impossible to understand, and often
  result in low ratings. Be sure your grammar is
  perfect.
• George A. Hazelrigg, National Science Foundation

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Internal consistency synthesis

• A competitive proposal must be internally
  consistent by language, structure, and argument
• All internal ambiguities must be resolved.
• The competitiveness of a proposal increases
  exponentially with the capacity of the author to
  synthesize information.

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Internal consistency synthesis

• Synthesis represents the relational framework and
  conceptual balance of the proposal.
• It is the synaptic connections among concepts,
  ideas, arguments, goals, objectives, and
  performance.

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Ideas matter (Slogans are not Ideas)

• Shaping ideas by language is hard work.
• Do not confuse slogans, effusive exuberance, and
  clichés with substantive ideas.
• Show the reviewers something new by developing
  ideas that are clear, concise, coherent,
  contextually logical, and insightful.
• Capitalize on every opportunity you have to
  define, link, relate, expand, synthesize,
  connect, or illuminate ideas as you write the
  narrative.

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Beware of boiler plate

• Boiler plate refers only to the application forms
  required by the agency, not the narrative
• Thinking of the proposal narrative as boiler
  plate will result in a mediocre proposal
• Begin each proposal as a new effort, not a copy
  paste be cautious integrating text inserts
• Strong proposals clearly reflect a coherent,
  sustained, and integrated argument grounded on
  good ideas

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FinallyBe confident
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• NSF Breakout An Overview of Research
  Educational Funding at the National Science
  Foundation (NSF)
• 4-5 p.m.
• 601 Rudder
•  
• NIH Breakout An Overview of Research Funding at
  the National Institutes of Health (NIH)
• 4-5 p.m.
• 301 Rudder