Project Overview and Objectives

(or Specific Aims) as Proposal

Roadmap

May 10, 2010

Nathan MeierProposal Development ManagerOffice of Research and Economic Development

Agenda

• Overview of proposal writing• Strategies for crafting an effective

introduction:– Introductory paragraph– What, why, who paragraph– Objectives/aims paragraph– Payoff paragraph

• Overarching advice

Overview of Proposal Writing

Readers expect a proposal, as a genre, to address some

fundamental questions:• What is the current situation?• What is needed to improve the current

situation?• What is a good plan of work for improving

the current situation?• Why are you (or your team) the best-

qualified to do the work?• How much will the work cost?• What are the tangible benefits of the plan?

Overview of Proposal Writing

• This list of questions may make proposals sound complicated; however, people use these questions to conduct business all the time.

• These are the same questions you would expect a mechanic to answer before fixing a problem with your car.

• These are the same questions you would expect a surgeon to answer before she puts you on an operating table.

• Would you want to do business with a mechanic or surgeon who did not, would not, or could not provide answers to these questions?

Overview of Proposal Writing

Your readers expect your proposal to anticipate and

answer their questions up front. To address readers’

expectations, a typical proposal will account for four

important areas:

First Paragraph

Introductory ParagraphThe primary purpose of the introductory paragraph is to convince all reviewers that there is a significant unknown or issue that provides the argument for a critical need (i.e., a problem) that is relevant to the funding agency.

Introductory ParagraphFirst Sentence

• Begins the logical flow necessary to convince reviewers to become advocates for your proposal.

• The first sentence must address two key points:

1. The sentence should generally identify the topic of the proposal.

2. The sentence should immediately relate to the funding agency’s mission.

• The first sentence should not merely reinforce generic knowledge reviewers are likely to already know.

Introductory Paragraph

• Follow your first sentence with three or four sentences outlining the important “knowns” in the problem area.

• Educate the reviewers about the importance of the field/area/problem identified in the first sentence.

• Outline the “state-of-the-art” for the reviewers.

• Begin broadly and conclude with specific information that helps demonstrate a problem, need, or gap in current knowledge.

Introductory Paragraph

• The body of “knowns” must lead to the conclusion that there is something not known – if there is nothing that is not known, there is no basis for a project to develop.

• The “not knowns” provide a basis for the argument that there is a critical need for someone (you!) to provide a solution.

• Conclude your introductory paragraph with a statement that discusses why the critical need is problematic or of interest to the funding agency.

Introductory Paragraph

General Statement Outlining Relevance to Funding Source

Amplifying Sentence or Support Statement

Three to Four Key “Knowns”

Unknowns

Critical Need for the Project

Why the Need is Problematic

Second Paragraph

What, Why, Who ParagraphThe primary purpose of the second paragraph is to convince reviewers that you (or your team) have a solution to the problem or issue (i.e., the critical need) identified in the first paragraph.

What, Why, Who Paragraph• Begin the second paragraph by stating

your long-term goal (not the goal of the proposed work).

• This should be your career goal, of which the proposed work is a necessary part.

• Your career goal should closely align with the funding agency’s mission.

• Be realistic when you draft your long-term goal -- do not overstate your capabilities.

What, Why, Who Paragraph

Example of an ineffective long-term goal:“My long-term goal is to ensure that all children will succeed in reaching their educational potential.”

Example of an effective long-term goal:“My long-term goal is to contribute to our understanding of key factors that prevent effective transitions to kindergarten, a necessary step to develop improved strategies to help children reach their full academic potential.”

What, Why, Who Paragraph

• Follow your long-term goal by stating the goal of the application.

• The goal of the application identifies the project’s purpose and frames the proposed research plan.

• The goal of the application must be designed in a way to closely match the critical need identified in the introductory paragraph.

• The goal of the application should have a well-defined, measurable end point.

What, Why, Who Paragraph

Example of an ineffective goal for an application:

“Our goal for this application is to focus on the effects of family environment and language skills on kindergarten preparedness.”

Example of an effective goal for an application:“Our goal for this application is to determine the key distinguishing background characteristics that predict success or failure during the transition from pre-school to kindergarten.”

What, Why, Who Paragraph

• Next, support the goal of your application by formulating a “central hypothesis” or by directly addressing the critical need.

• If you choose to generate a central hypothesis, make sure you write a real hypothesis:

A tentative assumption made in order to draw out and test its logical or empirical consequences.

• A proposal that contains a central hypothesis requires the existence of a certain body of evidence related to the stated objective.

What, Why, Who Paragraph

• The central hypothesis would be your best bet from all the alternatives.

• It must be compatible with known facts.• Implicit in any hypothesis is that it could be

invalid.• To assess the validity of a hypothesis, it

must be testable – that is to say, there must always be at least two outcomes.

What, Why, Who Paragraph

Thus, it becomes necessary to link the key components of the second paragraph to your Objectives section:1.Long-Term Goal (broad)

• Anticipates a continuum of professional activities

2.Goal of the Application (more narrow)• What will be achieved, regardless of how

the hypothesis tests

3.Central Hypothesis (most narrow)• Best bet, but could be invalid

What, Why, Who Paragraph1. Long-Term Goal (broad)

• My long-term goal is to contribute to the understanding of key factors that prevent effective transitions to kindergarten in order to develop strategies to help children reach their full academic potential.

2. Goal of the Application (more narrow)• The goal of this application is to determine the key

distinguishing background characteristics that predict success or failure in the transition from pre-school to kindergarten.

3. Central Hypothesis (most narrow)• The central hypothesis underpinning this application is

that 1) English speaking skills of the parents and 2) opportunities to socialize outside of the home environment are likely to be important factors for success/failure at making the transition from pre-school to kindergarten.

What, Why, Who Paragraph

• Every objectives section should contain a statement regarding the project’s rationale (basis).

• What will become possible after the proposed work is finished that is currently not possible?

• The rationale is the underlying reason you decided to pursue the project in the first place.

• The statement of rationale should align with the funding agency’s mission.

What, Why, Who Paragraph

• Conclude your second paragraph with a sentence that describes why you (or your team) are the most qualified to conduct the proposed work.

• This is your opportunity to be pro-active about your qualification; do not provide ordinary biographical information.

• Provide a summary of your collective expertise:– Unique qualifications of the project team– Quality and quantity of preliminary data– Unique facilities, technologies, or prior

successes

What, Why, Who Paragraph

Example of an ineffective qualifications statement:

“We are well-positioned to do this project because of our collective expertise and the availability of all key equipment.”

Example of an effective qualifications statement:

“In addition to our strong preliminary data, we have developed a novel, highly-sensitive six-color flow cytometry technique for simultaneous expression of multiple surface entigens on endothelial cells and monocytes.”

What, Why, Who Paragraph

Example of an ineffective qualifications statement:

“We are well-positioned to do this project because of our collective expertise and the availability of a population of at-risk children.”

Example of an effective qualifications statement:

“In addition to our pilot data, our multi-lingual research team has been active in the lower income community during the previous five years, during which time we have established working relationships with both community members and community leaders.”

What, Why, Who Paragraph

Long-Term Goal

Goal of the Application

(Central Hypothesis)

Rationale

Qualifications

Third Paragraph

Objectives ParagraphThe primary purpose of the third paragraph is to provide a logical, step-by-step overview of the activities (Objectives) necessary to fulfill the goal of your proposal (i.e., test your hypothesis) and address the critical need you identified at the outset.

Objectives Paragraph

Formulating Objectives• Every proposal should include two to four

brief, focused objectives.• Each must function as an eye-catching

headline and flow logically into the next objective.

• Collectively, the objectives must fill the identified need (or test the hypothesis) identified in the proposal.

• If possible, avoid descriptions of activities.• Objectives should be conceptual, not

descriptive.

Objectives Paragraph

• Each objective should be related to the other stated objectives, but you should avoid having the feasibility of one dependent upon the a particular outcome of another.

• When possible, objectives should be chronological.

• Writing objectives is probably one of the most difficult parts of proposal writing to master.

• Practice, practice, practice!

Final Paragraph

Payoff ParagraphThe primary purpose of the fourth and final paragraph of the objectives section is to inform the reviewers (and the funding agency) exactly what return on investment (deliverables/outcomes) the project will provide. The fourth paragraph also should describe the fit of these outcomes with the funding agency’s mission.

Payoff Paragraph• The fourth paragraph should highlight the

proposed work’s innovation, outcomes, and impact.

• This paragraph is key to develop advocacy for your project.

• A statement regarding the project's intellectual merit, particularly its transformative potential, should immediately follow the objectives.

• This statement must be written to make your project stand out from all others.

• The intellectual merit statement can focus a reviewer’s attention and help them write their critique.

• Intellectual merit/transformation is of NSF’s key review criteria.

Payoff Paragraph• Expected outcomes must be specific and

credible: they are the sponsor’s return on their investment in you and your proposed work.

• A statement describing how the collective impact of your project outcomes fills the identified need should conclude the paragraph (this statement should related to the sponsor’s mission).

• Ultimately, independent of the agency you are applying to or the proposal format required by a sponsor, you will be well served by preparing the objectives (Overview) section of your proposal first.

Overarching Advice• The importance of the Project Summary (NSF) /

Abstract (NIH) and the first page of your Project Description (NSF) / Research Plan (NIH) cannot be overstated.

• These sections are your first, and often, your only opportunity to convince a reviewer to keep reading your proposal.

• “Sell” your idea in a clear, concise, and logical manner.

• Target a scientifically knowledgeable lay reviewer, not necessarily an expert in your field – you can discuss specific scientific detail later in the narrative.

• Use terminology specific to the granting agency.

Overarching Advice• There are an infinite number of ways to construct

these important sections. • However, the “hows” and “whys” should be

present: – Clearly and concisely identify the need/gap you

are addressing/proposing to fill.– Identify your long-term goal and the more

immediate goal of your application.– Identify measurable objectives (NSF)/specific

aims (NIH) that will be accomplished by the proposed activities.

– Highlight innovations, significance, potential contributions, and/or outcomes.

– Specify your expertise.

Overarching Advice• Visual appeal (e.g., white space, textual

features, conceptual designs) is important. A well thought out document design can help these sections serve as a “snapshot” for your reviewer and make your proposal memorable.

• Avoid the overuse of acronyms – remember your audience at all times.

• Always, always, always follow specific instructions in the program announcement.

• Your aim is to get your reviewer excited about your research, turn them into a strong advocate, and make it easy for them to argue for funding of your proposal.

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