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Proposal Development
Learning Objectives
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1.
Understand skills and support needed for preparing and submitting responsive proposals for
external funding.
2.
Knowing how to think about developing your research career, research questions and where to
look for an appropriate sponsor and funding mechanism
3.
Understanding the level of detail required to utilize the sponsors’ funding opportunity
announcements, mechanisms and guidelines to successfully organize and package a proposal
4.
Knowing the steps for completing and packaging a grant proposal
5.
Managing the proposal development process
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Managing Science and
Logistics Planning and Preparation
I. Plan
A.
B.
C.
D.
Understand “grant readiness”
Identify a research trajectory
Identify funding opportunities
Select research question(s)
II. Prepare
A.
B.
C.
D.
E.
F.
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Draft the research idea
Embrace logistics: know/plan all steps and required components
Focus the research
Obtain feedback
Return to logistics
Submission
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In applying for funding,
the most successful and well-funded
investigators manage
the research, the logistics, and
packaging the proposal to sell their stories.
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I. Plan
A.
B.
C.
D.
©2017 NCURA
Understand “grant readiness”
Identify a research trajectory
Identify funding opportunities
Select research question(s)
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A. Understand “grant readiness”
• The relationship between universities and the Principal
Investigator (PI) in conducting research or externallyfunded projects:
• Sponsors issue awards to universities and institutions under
the direction of the named PI;
• Universities and institutions review, approve and submit
proposals to a sponsor under the direction of the named PI;
• Universities and institutions may recover indirect costs to
support the costs of research
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A. Understand “grant readiness”
1. Assess university leadership expectations or requirements regarding
effort dedicated to external support and university commitments (i.e.,
teaching, committees)
2. Obtain mentoring (including self-mentoring)
3. Maintain, build, strengthen networks
4. Build CV through collaborations, preliminary studies and joint
publications
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A. Understand “grant readiness”
5.
Obtain training in skills
•
Reading and interpreting sponsor funding opportunities and calls
•
Writing appropriately for an external funding proposal
•
Understanding of budgeting essentials
•
Addressing all components of a full proposal submission required by both the university and the
funding agency or sponsor
•
Establish and maintain relationships with sponsors and colleagues
•
Receiving ongoing training in compliance (i.e., human subjects, animal subjects)
•
Identifying and communicating with university resources that support faculty researchers
The most successful PIs manage all five components of grant readiness!
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B. Identify a Research Trajectory
Consider the long term versus short term visions
• What do I want to be known for when I retire?
• What types of projects do I see myself doing over the next 15-25 years?
Develop an “Idea Bank” of potential research questions
• Time to completion (<1 year, 1-3 years, 3-5 years, 5-10 years, 10+ years)
• Subjects or Topics
• By or Between Disciplines
• Project Type (service, quantitative, education/training, etc.)
Develop a general vision of your research career path while remaining open to
unique opportunities
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B. Identify a Research Trajectory
Identify and refine one or more research questions that
•
•
•
•
Address a gap or unmet need
Are current, relevant, novel and necessary
Are significant (Be able to answer: “So What?”)
Evolve/pivot with new research in the field, sponsor
interest, and feedback from experts
• Are up-to-date and ready to help you take advantage of
unique opportunities
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C. Funding Opportunities
A few key factors to consider and recognize during proposal development:
• Type of sponsor (government, private, corporate/industry)
• Sponsor’s stated mission
• Budget restrictions (what costs are allowable and unallowable)
• Financial and/or technical reporting requirement
• Cost sharing or in-kind requirements (will require institutional
commitment)
• Indirect costs
• Human subjects, animal research, hazardous materials
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D. Select Research Question(s)
Consider:
• Appropriateness of mechanism to career stage
• Congruence between your research and what the sponsor funds
• Fit to your overall research career trajectory
• Collaborators’ and your availability to devote sufficient time
• Available support (collaborators and institutional): mentors, coInvestigators, space, facilities, equipment
• Schedule: teaching commitments, advising load, travel
• Commitment: ability for all stakeholders to make the proposal
and project a priority
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II. Prepare
A. Start with the research
B. Embrace logistics: know and plan all steps and required components
C. Focus the research
D. Obtain feedback
E. Return to logistics
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4 Critical C’s in Preparation:
COMPLIANT
COMPLETE
COMPELLING
COMPETITIVE
A well-planned, responsive proposal will meet all four critical
elements
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A. Start with the research
Revise and repeatedly polish your purpose statement (i.e.,
introduction, specific aims), project summary, or objectives based on
feedback:
• Introductory paragraph
• Central hypothesis/purpose statement
• Aims and objectives (list each)
• Are logical and consistent
• Strong conclusion that speaks directly to the sponsor’s review
criteria such as:
o
o
o
Significance and innovation
Broader impacts and intellectual Merit
Impact
Obtain feedback from mentors, collaborators, sponsor
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B. Embrace logistics
How long does it take to prepare a proposal for an external sponsor?
• Depends on your:
• Familiarity with the content area
• Experience writing proposals and working with university research
infrastructure
• Familiarity with the sponsor and the specific funding opportunity
• Research team’s size, cohesion and experience
• Availability of proposal assistance
• Size/interdisciplinarity of team
To Ensure ADEQUATE TIME FOR PREPARATION
• New investigator/major program project = ~6-9 months
• Typical application = 4-5 months
• All systems strong = ~3 months
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B. Embrace logistics
Know your Key Personnel
• Principal Investigator/Project Director (PI/PD) – responsible for all aspects of
the project including design, conduct of study, responsible conduct of research,
compliance, financial, logistical, administrative
• Co-Principal Investigator (Co-PI) when two or more investigators will lead a
project together, have equal status, although one will be designated as the
main PD/PI
• Co-Investigators (Co-I) another faculty member and/or key personnel who will
assist in conducting the project
• Within your institution
• At a different institution (i.e. through a subaward/subcontract)
• Contractor – a non-employee who provides professional service for a fee via a
professional services contract
• Research Assistants and Postdoctoral Scientists can also play critical roles
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B. Embrace logistics
Letters of Support - request early in the process
• Draft unique letter of support to you from each of
• External co-investigator and key personnel
• Other external significant contributors/collaborator at no cost to budget
• Consultants
•
•
The draft makes it easy for your colleague to edit, place on his/her institutional letterhead, sign and
return to you promptly
Suggested letter format – three paragraphs
o 1st paragraph: express willingness to collaborate and enthusiasm for the project e.g. “I am
pleased to support your project entitled “…”.”
o 2nd paragraph: Specify concisely expertise and contribution to project and terms of involvement
(as outlined in the application guidelines)
o 3rd paragraph: cordial closing e.g. “I look forward to...” or “Best of luck with this grant proposal.”
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B. Embrace logistics
Start the Planning Process:
1. Notify department support staff, collaborators, central research
office, chairs, and research deans and provide a link to the funding
announcement
2. Read, re-read, highlight the funding announcement/sponsor
guidelines
3. Use these two documents to create a timeline and list of all
required components
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B. Embrace logistics
Major Components of Funding Proposals
(may vary by sponsor and mechanism)
•
•
•
•
•
•
•
Summary/Abstract
Specific Aims
Research Narrative/Approach
Budget and Justification
Biosketches
Facilities/Resources
Letters of Support
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• If applicable:
– Data management
plan
– Equipment
– Human or animal
subjects protection
– Responsible conduct
of research
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B. Embrace logistics
Identify any special requirements and immediately advise
your research administrator if the funding
announcement:
• Specifies contract or cooperative agreement (review to ensure terms
can be accepted)
• Requests teaming agreement or non-disclosure agreements
• Places limits on the number of proposals an organization can submit
• Calls for multiple PIs and/or multiple institutions
• Includes co-investigators from other entities or institutions
• Requires a special credential or account to submit the proposal
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B. Embrace logistics
Does your research involve intellectual property and/or opportunities
for commercialization?
Never underestimate the potential of your research!
Report potential technology before you publish or present.
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B. Embrace logistics
Create a timeline and a checklist based on the funding opportunity
& sponsor’s guidelines that includes and/or makes note of:
• Every required document and/or component
• Budget limits and specifications: get clarity on direct cost versus total cost
limits
• Limitations/prohibitions/requirements for cost sharing, in-kind or matching
funds
• Grant preparation mode (sponsor’s electronic systems)
• Sponsor review criteria
• Formatting specifications (page numbering, font, spacing, margins, page limits)
• Internal routing forms/requirements
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Work backwards from the due date to the present to prepare the timeline
Communicate your timeline with collaborators and departmental support
Allow enough time for all required reviews and approvals and monitor progress
regularly
7/31/17
Deadline
7/26/2017
Final Review of
Research Plan
7/23/2017
Central Review
7/18/2017
Routing within School
Assign responsibilities
Engage Collaborators
Notify Central Research
Office
Create Timeline
February/March 2017
Draft Specific Aims
Note: Allow additional time for technological complications
Use a detailed list of components assembled from review of funding
announcement and sponsor guidelines
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Sample timeline
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B. Embrace logistics
BUDGETS: Start early! Revisit and realign your budget and
your project throughout the grant preparation process
• Identify who will help you with budget
• List your initial assumptions
• Develop preliminary budget(s)
• Review and modify assumption(s)
• Request preliminary budgets from collaborators
• Review and modify assumptions
• Expect to revise your budget frequently during the process
of drafting your proposal
• Ensure that narrative budget justification agrees with the
final budget
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B. Embrace logistics
Budget Assumptions
•
•
•
•
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Cost limitations & distinctions:
– Direct versus total costs
– Project period of performance
– Cost sharing: when university assumes
some of the project’s costs
– Indirect costs
Personnel & Project Roles
– PI & Key Personnel effort
– Other Personnel effort, Students
– Fringe Benefits
– Collaborators via subawards to other
institutions: allow extra time to obtain
required documents
– Contractors’ roles & compensation
Contractor fees
Project-related supplies
•
•
Equipment
Space considerations: where majority of
work will be performed may generate
additional costs and/or affect indirect Cost
Calculation. Consider:
•
•
•
•
•
•
•
Off-Campus facilities rental
On-campus facilities necessary for project
Travel (specify domestic/foreign)
Conferences
Food and/or any unusual project
requirements should be well documented
Payments or other incentives for human
subjects
Publication costs
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B. Embrace logistics
Co-Investigator/collaborator at another organization or
institution:
Allow 2-3 weeks (longer if it’s a foreign organization) to obtain
documentation to include:




detailed and/or summary budget(s) as required
narrative budget justification
narrative scope of work
letter of intent signed by your signed by your collaborator AND countersigned
institution’s Authorizing Official
 Current negotiated indirect rate agreement (if available)
 Any other documentation as required by the sponsor or your institution
Note that if awarded, these documents should form the basis subaward or subcontract
to the other organization
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B. Embrace logistics
Cost Sharing/In-kind/Matching funds requirement
When the requesting institution agrees to pay some of
project costs
Why:
• Applicant support is required by funding opportunity
• Indication that applicant support is likely to lead to greater extramural
support (not a guarantee)
• Applicant financial support is necessary to support a very high-profile
project (sponsor award ceiling does not cover all necessary costs)
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C. Focus the research
Once you have generally solid specific aims, then draft the rest of the
narrative.
• Follow sponsor guidelines and strictly follow instructions for format,
contents
• Package documents to support your request
o Consider visual appeal: make it a pleasure to read
o Cross-reference headings/subheadings to funding opportunity requirements
o Use persuasive, “vivid” writing...“make it sing”
o Be concise, clear, vigorous: write in the active voice
o Tell a story that is understandable and draws the reviewer in
o Avoid jargon and extraneous materials
• Address sponsor’s review criteria directly
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D. Obtain feedback
Obtain feedback on your narrative from:
•
•
•
•
Mentors
Collaborators
Sponsor
External Reviewers
*It is crucial that you provide yourself time in your
timeline to receive and incorporate feedback!
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E. Return to Logistics
While your mentors and collaborators are reviewing the
narrative, finalize all of the following:
• Abstract
• Specific Aims/Research strategy
• Budget and Justification must
match your narrative
• Biosketches: unique to each
proposal
• Letters of Support: write and
provide a unique draft to each
collaborator
• Institution’s unique, relevant
Facilities/Resources
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•
Consortium/subaward required
documents
• Cover letter (if required or
recommended)
• Human/Animal Subjects
Protection
• Other required supplemental
documentation
•
•
Letters of Support
Certifications
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E. Return to Logistics
Facilities and Resources
For successful grant packaging: tailor this section to your specific grant application
What is there about the institutional environment that will guarantee the success of this project?
• Your school/department have invested in your recruitment: office, computer, internet, lab space if applicable, startup
package, mentoring; provide concrete/specific examples of support
• University’s rank among research institutions, investing in research, industry collaborations, providing pilot funding,
recruiting/hiring research-oriented investigators, department chairs and deans, investing in buildings and laboratories
• University provided research-related training: i.e., Human Subjects, Animal Subjects, Grant writing, Grant Management
• Access to library facilities, online databases, conference and video conference facilities, administrative support
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F. SUBMIT
1. Route the proposal for institutional review and approval
2. Respond to any review questions and concerns
3. At least five (5) business days before sponsor deadline provide central research administration
with the following documents:
FINAL Sponsor’s form pages
FINAL Budget justification (if applicable)
FINAL DRAFT proposal narrative (Including detailed Scope of Work)
FINAL Collaborators’ Letters of Intent or Letters of Support
FINAL statement of work
FINAL budget
At least two (2) full business days prior to the sponsor deadline, provide the final proposal research
narrative for submission.
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NIH Submission Success rates vs. Early application
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What’s Next?
• Once submitted and accepted,
oCongratulate yourself
oThank those who assisted you
oRelax: you did it!
oWait for review
oConsider next proposal …
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Thank you!
Questions?
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