Transcript Office of Proposal Development

Competing for Funding
at the
National Science Foundation
Oct. 28, 2008
Lucy Deckard
[email protected]
Office of Proposal Development
Texas A&M University
10/28/08
Texas A&M University Office of Proposal Development
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Texas A&M University
Office of Proposal Development
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Unit of Office of Research and Graduate Studies;
Supports Texas A&M faculty in the development and
writing of research and educational proposals:
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center-level initiatives
multidisciplinary and multi-institutional research teams
research affinity groups
junior faculty research
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diversity in the research enterprise
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Office of Proposal Development
OPD-WEB
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OPD-WEB (http://opd.tamu.edu/)
Funding opportunities
 Junior faculty support
 Proposal development resources
 Grant writing seminars and workshops
 Grant writing workbooks and toolkits
 PI perspectives on competitive proposals
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For more info
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Go to http://opd.tamu.edu, click “Seminar
Materials”, then “Seminars by Date” and look for
this seminar (first link)
 For an electronic version of this presentation
 For additional resource materials
Articles and presentations by NSF program officers
 Lists of helpful NSF links
 “Toolkit” on NSF
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Overview
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Before you start
Things you need to know about competing
for research funding
NSF
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Organization and culture
Funding mechanisms
Finding where you fit
Writing the proposal
What happens after you submit
Other agencies
Q&A Panel
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Grad Students and Postdocs:
Start Before the Clock Starts
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Ask advice from faculty who have been
successful in getting funding
Take courses and workshops on writing
proposals
Volunteer to help write a grant proposal
Apply for fellowships, dissertation grants,
conference travel grants
Network within your field
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Moving to a Faculty Position:
Establish a Research Agenda
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What big questions do you want to answer in the first 5
years? In the first 15 years?
Is the topic separated enough from that of your advisor
to establish an independent career, but builds on your
grad work
Is it a topic you are passionate about?
Do have publications that will support this line of
research?
Is your agenda in an exciting, high-impact area of
scholarship?
Is your topic in an area that is currently funded by
agencies or likely to be funded soon?
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Network
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Talk to senior colleagues, department head
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What are the expectations in your department
regarding funding?
When should you start pursuing funding for your
research?
Where have they been funded?
If possible, find “grant mentors”
Attend conferences and seek out program
directors from agencies, colleagues in your area
who have been well-funded
Determine where you expect to seek funding
and work to become part of that community
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Be Strategic
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New faculty are very busy! Use your time wisely.
Outline grant submissions for the first 2 or 3
years as part of your overall career plan
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Understand expectations in your field, institution and
department
Get to know your agency(ies) and programs
Use start-up funds to position yourself to be
competitive (pubs, preliminary data)
Allow enough time to prepare a well-written
proposal
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Learn the process at your institution
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Build a Track Record
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Publish on the topic
Pursue smaller grants first
Collaborate with more senior researchers
Be sure your contribution is identifiable
 Division of resources and outputs should be
defined before submitting the grant
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Generate preliminary results
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Consider Applying for New
Investigator/Early Career Grants
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Find out what grants are available in your
discipline specifically for early career
researchers
Will not be competing with senior researchers
Still expect a track record
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Publications
Preliminary data
Understand expectations for these grants (e.g.,
NSF CAREER, NIH K99, DoD YIP)
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Persevere Intelligently
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Plan on rejection
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Ways to respond to a declined proposal
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Funding rates typically 20% or lower
Even the best researchers are declined more than
they are funded
Agencies expect you to revise and resubmit
Get discouraged and stop applying
Disregard reviewers’ comments and resubmit
Learn from reviewers’ comments and revise
intelligently
Pursuing grants is like honing in on a target
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Discussion
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Things You Need to Know About
Competing for Research Funding
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It’s not about you…
It’s about the funder
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Understand what the funder is trying to
accomplish by giving this grant
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Funder’s mission and culture
Program objectives
Review criteria
Understand the funder’s organization and
procedures
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Where does the money come from?
How are proposals reviewed?
Who will make the decisions related to your proposal?
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A Proposal is Not an Academic
Article
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Must be persuasive
Must communicate passion
Must communicate impact
Must be easy to understand by readers with
various backgrounds
Must tie research to the goals of the funder
Focuses on future, not past
Must inspire confidence in researchers’ abilities
and resources
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You must convince the
reviewers…
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This is a project that should be done
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You (and your team) are the right people
to do it
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It supports the goals of the agency and program
It will yield significant results
It is more important (or cooler or more significant)
than other proposed projects
You have the skills and resources to be successful
You have thought through the project
And most importantly, you must….
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Intrigue the Reviewers
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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 Raub,
former Deputy Director, NIH
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The National Science Foundation
Organization of NSF
 Types of funding opportunities
 NSF’s mission and goals
 Proposal requirements and
Evaluation Criteria
 Review Process
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NSF Structure
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Divided into directorates:
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Biological Sciences (BIO)
Computer and Information Science and Eng (CISE)
Education and Human Resources (EHR)
Engineering (ENG)
Geosciences (GEO)
Mathematical and Physical Sciences (MPS)
Social, Behavioral and Economic Sciences (SBE)
Office of Polar Programs (OPP)
Each directorate divided into divisions and
programs -see http://www.nsf.gov/staff/orglist.jsp
Submit most proposals to specific disciplinary
program
Also cross-cutting programs
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Funding Opportunities
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Helpful NSF web pages to search for
funding opportunities
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Guide to Programs
http://www.nsf.gov/funding/browse_all_funding.jsp
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“About Funding”
http://www.nsf.gov/funding/aboutfunding.jsp
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“Active Funding Opportunities” (by due date)
http://www.nsf.gov/funding/pgm_list.jsp?org=NSF&ord=rcnt
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Award Search
http://www.nsf.gov/awardsearch/index.jsp
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Types of Funding Opportunities
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Program Description or Program
Announcement (“unsolicited”)
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Administered by disciplinary “programs” within
directorate and division
Typically due once or twice per year (sometimes due
dates; sometimes “target dates” or “windows”); 1 – 3
PIs
Follow Grant Proposal Guide (GPG) for formatting,
eligibility, etc.
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http://www.nsf.gov/pubs/policydocs/pappguide/nsf08_1/gpg_index.jsp
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Note: New GPG will take effect Jan. 2009
http://www.nsf.gov/pubs/policydocs/pappguide/nsf09_1/index.jsp
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Synopsis of research interests and abstracts of funded
proposals on web site
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Types of Funding Opportunities
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Solicitations
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More focused than program announcements
Often tied to particular agency initiative
NSF-wide and cross-cutting opportunities
Often apply for limited period of time
Give specific format, criteria and other requirements
that may differ from GPG
Supplements
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Additions to existing grants
Research Experiences for Undergraduates, Research
Experiences for Teachers, Research Opportunity
Awards, etc.
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Types of Funding Opportunities
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Dear Colleague Letter
Informs research community of upcoming
opportunities, special competition for supplements,
etc.
Grants for Rapid Response Research (RAPID)
 quick-response research on natural or anthropogenic
disasters and similar unanticipated events
 Up to $200K for 1 year
Early-concept Grants for Exploratory Research (EAGER)
 Up to $300K for 2 years
 High risk, exploratory research
Both RAPID and EAGER will take effect in Jan 2009
and are reviewed internally (be sure to talk to the
Program Manager)
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Funding Opportunities
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In addition to research grants, NSF
funds…
Instrumentation
 Conferences and Workshops
 Doctoral Research in Selected Areas
(Doctoral Dissertation Improvement Grants)
 International Travel
 Graduate Student Fellowships
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NSF Culture and Mission
Strategic Goals, 2006 - 2011
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Discovery
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Learning
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Advance frontiers of knowledge
Emphasize areas of greatest opportunity and potential
benefit
Establish nation as global leader in transforming
science and education
Cultivate a world-class, broadly inclusive S&E workforce
Expand scientific literacy of all citizens
Research Infrastructure
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Build nation’s research capability through investments in
advanced instrumentation, facilities, cyberinfrastructure
and experimental tools
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NSF Strategic Goals (cont’d)
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Stewardship
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Support excellence in science and
engineering research and education through a
capable and responsive organization
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NSF 2009 Priority Areas
(NSF-wide Investments)
http://www.nsf.gov/news/priority_areas/
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Adaptive Systems Technology
NSF Centers Programs and Funding
Climate Change Science Program
Cyber-enabled Discovery and Innovation
Cyberinfrastructure
Dynamics of Water Processes in the Environment
National Nanotechnology Initiative
Networking and Information Technology R&D
Science and Engineering Beyond Moore’s Law
Selected Crosscutting Programs
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NSF Culture
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Each directorate has its own culture and
priorities
Get to know the directorates and divisions that
could fund your work
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Read web site – goals, priorities of directorate,
division, programs
Get to know program directors
Use funded programs data base to find out what has
been funded recently http://www.nsf.gov/awardsearch/index.jsp
Volunteer to serve as reviewer
Attend NSF national and regional workshops
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NSF Funds…
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Basic research, not development
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How basic depends on directorate, program
Novel ideas (but high risk projects will
require more extensive track record)
“Transformative” research
Projects that improve STEM education
and diversity
High impact (not incremental) research
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Finding Where Your Research
Fits at NSF
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Talk to colleagues in your area
Use the website (see articles in your packet)
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Look at program descriptions
Look at funded programs
Demonstration: http://www.nsf.gov/staff/orglist.jsp
Ask the Program Officer
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E-mail and/or call with questions
 Be prepared to answer the question, “What is your research
objective?” in 25 words or less
Visit NSF
 Look for them at conferences
Attend NSF national and regional workshops
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http://www.nsf.gov/bfa/dias/policy/outreach.jsp
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RFPs:
Analyzing an NSF Solicitation
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Who is eligible to submit?
What is the funding level and funding period?
What is NSF’s objective?
What are the review criteria?
What is the review process?
Do they refer to reports, other programs?
What projects have been funded in the past?
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Grant Proposal Guide
http://www.nsf.gov/pubs/policydocs/papp
guide/nsf09_1/gpg_index.jsp
 Default authority for formatting, page
length, etc.
 Includes info on
Biosketches
 Budgets
 Additional documents
 Procedures
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Exceptions from GPG must be detailed in
solicitation
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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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Connect to Review Criteria
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Through-out proposal point out explicitly
how program components address review
criteria
Address each criterion separately
Make this easy to find
Make this concise
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Performance Expectations:
Review Criteria
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Intellectual Merit
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How important is the proposed activity to advancing
knowledge and understanding within its own field or
across different fields?
How well qualified is the proposer (individual or team)
to conduct the project?
To what extent does the proposed activity suggest
and explore creative and original concepts; is it
potentially transformative?
How well conceived and organized is the proposed
activity?
Is there sufficient access to resources?
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Review Criteria
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Broader Impacts
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Advance discovery while promoting teaching, training
and learning
Broaden participation of underrepresented groups
Dissemination
Societal benefits
Improve infrastructure for research
Discuss throughout proposal AND in separate section
in both Project Summary and Description
Special Criteria
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Program specific
Listed in solicitation under “Proposal Review
Information”
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NSF Proposal Sections:
Examples
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Project Summary (typ. 1 page)
Project Description/Research Narrative (typ. 15 pgs)
Literature Cited (typ. no page limit)
Budget (forms)
Budget Justification (typ. 3 page max)
Biosketches (typ. 2 pages per person)
Current and Pending Projects (no limit)
Equipment and Facilities (no limit)
Supplement Documentation (e.g., letters of
collaboration; limits vary)
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The Project Summary
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The most important part of your proposal!
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Provides reviewers with a context for your proposed research
Helps reviewers understand your research topic
Persuades reviewers of the need for your research
Assures reviewers of your qualifications
Assures reviewers of your access to appropriate resources
Outlines your research objectives
Describes your expected outcomes
Demonstrates the significance of your research
Must include intellectual merit and broader
impact, separately discussed
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Example Project Description Outline
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Introduction and Overview (typically 1 – 2 pages)
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Statement of problem/question/hypothesis
Overview of the project
Overall goals
Significance and Intellectual Merit
Background and Current State of Knowledge (typ. 2 – 3 pages)
Preliminary Data or Prior Work conducted by the PI(s) (varies depending on amount of
prior work; no more than 4 pages)
Research Plan (typ. 5 – 8 pages)
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Detailed goals and objectives
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Methodology
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Plan of work (e.g., tasks, milestones, schedules)
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Expected outcomes
Broader Impacts (typ. ¾ - 1.5 pages)
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Scientific broader impacts (benefit to your broader field, other scientific fields, and to society
in general)
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Education and diversity (benefit to students, integration of research and education, etc.)
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Dissemination (how will others find out about your research?)Results of Prior NSF Support
Results of Prior Support (1 short paragraph for each prior project)
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Only required for PI/co-PIs with NSF funding in the last 5 years.
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List award #, funding period, amount, PI and describe goals and results (esp in terms of
papers published and students graduates)
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Note: many PIs put this at the very front of the project description; I think it should go in the
front if the prior projects are closely related; otherwise, put it at the end.
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Introduction/Overview
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Provides a framework for the reviewer
Remainder of proposal will flesh out this
framework
Opportunity to make important points up
front
Communicate your excitement!
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Goals
State specific, measurable goals of
your project
 Tie to program/agency mission and
goals
 If hypothesis-based research, state
your hypothesis
 Discuss expected outcomes
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Background/Literature
Review
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Spend some time researching this
This section should tie closely to your
proposed research
What are the holes in current knowledge that
your work will fill?
 How does your research extend and advance
knowledge in the field?
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Do not be dismissive of previous research
Be thorough in citing important work but
be concise
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Significance
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Explain explicitly why proposed research
is important
Tie to agency and program goals
 Relate to review criteria
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Make this easy to find
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Preliminary Data
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Understand the expectations of the
agency and program
How much preliminary data is expected?
 Higher risk research will require more
preliminary data
 Less experienced researchers will generally
need more preliminary data
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Preliminary data should strengthen
reviewers’ perception of your chance of
success
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Research Plan
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Be very clear about how you will accomplish
your stated goals and objectives
Include details
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What, specifically, will you do when you get the
money?
Schedules and milestones are often helpful
This is especially important if you are a relatively new
researcher
Address any potential dead ends, roadblocks,
show-stoppers and how you will deal with them
Avoid ambiguous terminology – be very specific!
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Project assessment and
evaluation
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How will you know if you were successful?
Describe what will be measured in order to
assess how well project met each of its
objectives
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Who will conduct assessment?
Discuss logistics
Formative assessment: conducted throughout
project and results fed back to improve project
Summative assessment: final assessment at
end of project
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Connect narrative text to
budget
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Budget categories are defined by the funding
agency
Be sure activities discussed in narrative are
reflected in budget
Connect narrative text to the budget to ensure
appropriate balance and proportion,
If a budget justification section is requested, use
it to complement and deepen the narrative detail
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Beware of Boiler Plate
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Thinking of proposal narrative as “boiler
plate” will result in a mediocre, disjointed
proposal
Begin each proposal as a new effort, not a
copy & paste
Be very cautious integrating text inserts
Strong proposals clearly reflect a coherent,
sustained, and integrated argument
grounded on good ideas
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Points to Emphasize
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State benefits of your research clearly
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Research Plan should be specific and detailed
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Why is it important and how is it novel?
How will it advance knowledge in field?
Societal benefits
Clearly state measurable goals and outcomes
Discuss how you will address any possible problems
Be sure to emphasize integration of education
and research
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Measurable goals (e.g., number of students, diversity
goals, etc.)
Connect to existing NSF projects if possible
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Submission
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Submit through Fastlane web interface
Must be registered (check with proposal
administrator)
 Also can use Grants.gov
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Must route proposal and budget for
approval
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NSF Proposal & Award Process & Timeline
Returned Without Review/Withdrawn
Award
Org.
submits
via
FastLane
MERIT
REVIEW
N
S
F
Mail
NSF
Prog.
Off.
Panel
Both
Prog,
Off.
Anal.
&
Recom.
Proposal
Receipt
at NSF
Proposal Preparation Time
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DD
Concur
Organization
Decline
Research &
Education
Communities
90 Days
Via
DGA
DD Concur
6 Months
Proposal Receipt to Division
Director Concurrence of Program
Officer Recommendation
Award
30 Days
DGA Review & Processing
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of Award
Review Process
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May be ad hoc or panel review (at least
three reviewers)
Proposal rated:
Excellent, Very good, Good, Fair, Poor
 Comments included as feedback
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NSF tries to return reviews within 6
months of due date
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NSF Panel Review
(most research divisions)
 The panel is an advisory committee composed
of ~10-20 people depending on # of proposals
 Each proposal must receive at least 3 reviews
 In panel, each reviewer describes his/her views
of the proposal to the rest of the panel
 The panel as a whole then discusses the proposal
 The proposal is then placed in a funding
recommendation category
(e.g. Fund, Fund if Possible, Do not fund)
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Pained by reviewer comments?
Get over it!
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Resubmitting proposals
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Take reviewers’
comments to heart
Somewhere between
advisory & mandatory
Assess next step:
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Start over
Major renovation
Minor renovation
Re-conceptualize
Drop the idea
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Tips for Success
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Review proposals that have been funded
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Have more than one person read your
proposal prior to submission
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Contact PI’s
Peers AND scientists not in your
area.
If Rejected – Try Again
Talk with the Program Officer
 Pay attention to Reviewer’s
comments
 Attend a Grant-writing workshop
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Resources
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NSF web site: www.nsf.gov
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Info on divisions and programs
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Guide to Programs
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http://www.nsf.gov/publications/pub_summ.jsp?ods_key=gpg
Gives requirements, formats, etc.
Awards search of funded proposals
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http://www.nsf.gov/od/
NSF Grant Proposal Guide
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http://www.nsf.gov/funding/browse_all_funding.jsp
Tip to search within web site go to google and search: “keyword
site:www.nsf.gov”
Office of NSF director (recent speaches):
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http://www.nsf.gov/staff/orglist.jsp
http://www.nsf.gov/awardsearch/
NSF E-mail notifications
https://service.govdelivery.com/service/multi_subscribe.html?code=
USNSF&custom_id=823
 Get up to date information via e-mail
http://www.drexel.edu/provost/graduatestudies/hazelrigg.pdf
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NSF Regional Grants Conferences
http://www.nsf.gov/bfa/dias/policy/outreach.jsp
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The NSF CAREER Program
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Duration: 5 years
Funding level: “minimum” $400K total (except min.
$500K total for BIO directorate)
Eligibility:
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Have a PhD
Untenured, holding tenure-track Asst. Prof. position or equivalent
Have not competed in CAREER more than two times previously
Have not won a CAREER award
Due: Typically third week in July; exact date depends on
directorate
CAREER page:
http://www.nsf.gov/funding/pgm_summ.jsp?pims_id=5262&org=NSF&sel_or
g=NSF&from=fund
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Success Rate for New Investigators:
CAREER Compared to Other Awards
(From presentation at Fall 2007 NSF Regional Grants
Conference; Year not Specified)
25
20
15
CAREER
New PI
10
5
0
MPS
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SBE
CSE GEO ENG
BIO
EHR
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Other Agencies that May Fund Your Project
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National Institutes of Health (NIH)
US Department of Agriculture (USDA)
Department of Education (DoED)
Department of Defense (DoD)
Department of Energy (DOE) and National Labs
Environmental Protection Agencies (EPA)
National Aeronautics & Space Administration (NASA)
National Oceanic & Atmospheric Administration (NOAA)
National Endowment for Humanities (NEH)
National Endowment for the Arts (NEA)
Institute for Museum and Library Services (IMLS)
And more, plus private foundations….
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To Find Funding Opportunities

Grants.gov lists all federal grants
http://www.grants.gov/
 Advanced Search
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Learn about the agency of interest
How do they announce funding opportunities?
 Do they accept investigator-initiated
proposals?
 What are their mission, goals and culture?
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Basic Research Agencies vs.
Mission Agencies
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NSF and NIH are Basic Research Agencies
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Independent research vision, mission
Decisions made mainly on basis of peer review
Relatively stable research agenda
Long-term investments
EPA, USDA, NOAA, DoD, etc. are mission
agencies
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Mainly near-term objectives
Scope of Work tightly defines research
tasks/deliverables
Can change quickly with change in political leadership
Funding decisions may be based on peer review,
geographic location, other factors
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Intramural vs. Extramural Research
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Some agencies fund only research by outside
scientists - extramural research
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Some agencies fund research by internal
scientists – intramural research
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NIST and the National Labs
Many fund both intramural and extramural
research
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NSF and DARPA
E.g., NIH, DoD, USDA, etc.
Often a good idea to develop relationships and
collaborate with internal scientists
Some agencies encourage faculty to participate as
visiting researchers during the summer
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To Find out More Information on
Other Agencies
See OPD Website

Compilations and Directories of Funding
Agencies
http://opd.tamu.edu/funding-opportunities/compilations-anddirectories-of-funding-agencies
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Proposal Resources by Agency
http://opd.tamu.edu/proposal-resources
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Toolkits for Investigators
http://opd.tamu.edu/the-craft-of-writing-workbook/toolkits
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Federal Awards Made Databases
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NIH Computer Retrieval of Information on Scientific
Projects (CRISP)
http://crisp.cit.nih.gov/
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NIH Extramural Awards By State and Foreign Site
http://grants.nih.gov/grants/award/state/state.htm
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NSF Award Data
http://www.nsf.gov/awardsearch/
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NASA NSPIRES Past Solicitations and Selections
http://nspires.nasaprs.com/external/solicitations/solicitations.do?metho
d=past&stack=push
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Agency for Healthcare Research and Quality (AHRQ)
Grants On-Line Database (GOLD)
http://www.gold.ahrq.gov/
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Federal Awards Made Databases
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USDA Current Research Information System
http://cris.csrees.usda.gov/
Department of Defense (DoD):
Congressionally Directed Medical Research
http://cdmrp.army.mil/scripts/search.asp
Department of Defense (DoD) SBIR/STTR
Awards
http://www.dodsbir.net/awards/Default.asp
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Federal Awards Made Databases
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Department of Education (ED) Grant Awards
http://www.ed.gov/fund/data/award/grntawd.html
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Department of Energy (DoE) Project Summaries
http://www.osti.gov/rdprojects/
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Department of Health and Human Services
http://taggs.hhs.gov/AdvancedSearch.cfm
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Environmental Protection Agency (EPA) Grants
Information and Control System
http://www.epa.gov/enviro/html/gics/index.html
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Institute of Museum and Library Services (IMLS)
Grants Awarded
http://www.imls.gov/search.asp
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Federal Awards Made
Databases
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National Endowment for the Humanities (NEH) Recent
Grant Awards http://www.neh.gov/news/recentawards.html
Federal R&D Project Summaries and Awards
(NIH, NSF, EPA, DoE, USDA, & SBA)
http://www.osti.gov/fedrnd/
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Health Services Research Projects in Progress
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grants and contracts awarded by major public and private
funding agencies and foundations.
http://www.academyhealth.org/hsrproj/search.htm
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Substance Abuse and Mental Health Services
Administration
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state by state summaries of awards made
http://www.samhsa.gov/statesummaries/index.aspx
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Funding from Foundations
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Foundation Center (Find Funders)
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Foundation Finder
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http://foundationcenter.org/findfunders/
http://lnp.foundationcenter.org/finder.html
990 Finder
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http://foundationcenter.org/findfunders/990finder/
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http://foundationcenter.org/findfunders/990pffly.pdf
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http://foundationcenter.org/getstarted/tutorials/demystify/
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