Proposals and Getting Funded

Morning: The Big PictureAfternoon: Proposals

Michael Wysession & Richard Yuretich

Choose a Project Carefully

1. It takes as much time to do research on a problem of low importance/interest as one that is of high interest/importance

2. Cultivate interesting and important ideas • Collect ideas• Allow TIME for review, winnowing and sorting,

revision and improvement3. Consider institutional expectations4. Build on institutional strengths5. Consider a collaboration

• Multi-PI (can be fun!)• Senior colleague (pros and cons)

Build a Portfolio of Grants

1. Mixture of types• Federal vs. private foundations• Instrumentation (do as a research “group”)• Student support• REUs (Research Experiences for Undergraduates)• Collaborations (etc.)

2. Use smaller grants to • Build your experience & capabilities • Collect preliminary data • Build confidence in your capabilities• (Typical award size of a ‘new investigator’ project is

not as large as that of veterans, but may have higher success rate)

3. Set realistic goals for # & type of proposal submissions

Stake Your Claim

1. Let people know what you are doing!• Reviewers, panel members, and program directors

should know of your work2. Blow your own horn (at the right time and in key, of

course)3. Balance your time spent on complementary activities of

research, dissemination (publications and presentations), and proposal writing

Professional Synergy (i.e., Recycling)

1. Build upon your previous papers to write your proposal2. Use parts of your proposal in your papers (e.g.,

Introduction, Data and Methods, Reference list, Figures)3. Align your teaching with your research when possible

• Try a graduate or senior undergraduate seminar on the topic

4. Align your advising with your research when possible• E.g., senior thesis; class assignments

Contact Your Program Officer

1. Email a request for a time to call them2. Seek them out at meetings3. Build a relationship

• Always do a review if asked• Volunteer to be on a panel

The Role of the Program Officer

1. Is a scholar in your field (usually) who knows what everybody is doing & is formative in directing the scholarship of your field

2. Can be permanent or temporary3. Coordinates & runs the review process4. Executes or makes funding decisions, depending upon

agency policies 5. Oversees grants, budgets, etc.6. Advocates for your field in competition with other

research areas and budget priorities.7. Continues to work with you throughout your grant and is

interested in your success.

Questions to Ask Your Program Officer

(After doing your homework) 1.Does your program fund this type of research? 2.What is the program budget and success rate, how many proposals in a competition?3.What is the typical size of a successful ‘new investigator’ project in this program?4.What is the review and decision making process in this program?5.Are there special programs for which I qualify and how can I be considered for them?6.Are you aware of other agencies or organizations that fund this kind of project?

Preparing the Proposal: Goals

1. Focus on the Big-Picture Important Scientific Question Being Addressed!!

2. It should sound like it is the most important thing in the world

3. Assume that the reviewer assumes that you know how to do what you propose to do (i.e., don’t bore them with details or too many equations)• …but it doesn’t hurt to give a good, brief explanation

4. Have CLEAR HYPOTHESES and CLEAR TESTS to distinguish between them• If possible, use sample or synthetic data to show a

proof-of-concept

Preparing the Proposal: Format

1. Follow the rules (read the Grant Guide carefully!)• Due Date• Pre-proposals• Margins, point size, vertical and horizontal spacing

2. Don’t write too much; don’t make the proposal seem crammed

3. Allow generous space for figures4. Break up pages (don’t have too many “book” pages)5. But, use all the pages that are given to you

Preparing the Proposal: Writing StyleReviewers are tired, overworked, overcommitted, underpaid, rushed, generally fair but inherently skeptical (like you!)

Don’t Annoy Them!

1.Write in a simple, clear, clean style. 2.Don’t make the reviewer work hard to read the paper3.Don’t assume they have read your previous papers or are experts in your field4.But, also don’t insult them5.Imagine you are writing for a colleague in your department whom you respect, i.e. an educated professional.

Preparing the Proposal: “Intellectual Merit” and “Broader Impacts”

1. Intellectual Merit• How will this change our understanding of the world?• How do we know you will be able to do what you

propose? 2. Broader Impacts

• How will this influence scientists in other fields?• Are there societal or public benefits to the research

effort?• Will any publicly-accessible products, data sets, codes

or educational materials be produced?• What educational opportunities are you providing?• Are you allocating sufficient resources to the broader

impacts?

Preparing the Proposal: Results from Prior Funding

1. Your chance to describe your expertise• Give a brief description of the overall project• Give a brief description of the main scientific results• If you don’t have prior support, put in one sentence

to this effect. 2. Include Broader Impacts3. Put at the beginning, to set up your project4. A page or so is good (out of 15)

Preparing the Proposal: Main Body1. Introduction

• Include authors who might be reviewers (!)• Demonstrate a NEED for your project

2. Data and Methods• A little goes a long way; be clear, but don’t bore

3. Figures and Captions• A reviewer should understand the project just from the

figures and captions4. HYPOTHESES and PROPOSED WORK

• This is the focus of the proposal• How will your results distinguish between the different

hypotheses?5. Personnel, Tasks, and Timeline

• Be VERY SPECIFIC as to who will be doing what, and when

Preparing the Proposal: Other Parts

1. References• Be thorough but not excessive• Don’t hesitate to include your previous works (and

include your papers/abstracts from the “Results from Prior Funding” section), but don’t “pad” the list

• Be sure to include references from everyone who might be a reviewer

2. Bio/CV• Be attentive to rules (thesis Advisor, recent

collaborators, relevant and significant publications)3. Current and Pending Support

• Include summer/yearly salary months

Preparing the Proposal: Budget and Budget Justification

1. Your salary (up to a month)2. Salary for post-docs, research staff, grad students,

undergrads (and benefits and fringes!)3. Travel to meetings (you and students) – get quotes!4. Computer software, licensing, shared time, and

hardware5. Lab costs6. Publications (assume 2+ color; get quotes!)7. Materials and supplies, “Other”8. Don’t underestimate costs; Ask for what you need!9. Don’t worry about the total $$ if you can justify it10.Build in inflation for multiyear grants11.Off-campus overhead rates (tricky!)

Suggesting Reviewers

1. Take this very seriously!2. Choose people who know your work, but are not direct

competitors. 3. Be aware of conflicts-of-interest (collaborators on past

projects, post-doctoral advisors, etc.).4. Cultivate reviewers

• Send them reprints• Invite them to give department seminars

5. Ask a senior colleague (mentor?) for a pre-review

The Review Process (NSF)

1. Program Officer• Checks to make sure it meets basic criteria

2. “Peer” Mail Reviews (people like you!)• For NSF: aim for about 5• Numbers AND comments important

3. Program Officer• Decides on which proposals to have panel consider.

4. Panel• Provides additional feedback for program.• Often helps rank proposals.• Some programs (AGS in NSF) do not use panels

5. Program Officer• Makes the funding decision.

Resubmission

1. Success rates are typically 10-30%• But, many of these are resubmissions, so…• Resubmissions are the norm!

2. Take reviewer comments seriously (just like a paper)• Respond to all comments (and SAY SO!)• If they don’t understand something, assume you

didn’t explain it well enough3. Your program officer will tell you if it is time to move on

Professional Introductions

• Name

• Institution

• What interests you

• Why it is important