Proposal Preparation

Five Key Points

1. You have a great idea.

2. You are the person to do the research.

3. You have a solid proposal for conducting the research.

4. You have the resources to do what you propose to do.

5. You know how to evaluate your results.

In a Nutshell

A good proposal is a good idea, well expressed, with a clear indication of methods for pursuing the idea, evaluating the findings, making them known to all who need to know, and indicating the broader impacts of the activity.

Getting started

• There is no substitute for a cutting-edge idea! • But you also have to

write

the proposal!

Helpful Hint: Carefully read the Grant Proposal Guide, Program Announcements, and Solicitations Then read them again!

Proposal Development •

Key Questions for Prospective Investigators

• What do you intend to do?

• Why is the work important?

• Why is the work unique and on the cutting edge?

• What has already been done?

• How are you going to do the work?

Proposal Development Strategies:

Where Are You In Your Career?

Where Are You in Your Discipline?

• Determine your long-term research/education goals or plan • Develop your great idea – Survey the literature: – What does the literature provide?

– Talk with others in your field

Proposal Development Strategies:

What Do You Need (

Besides Money

)?

• Prepare to do the project – Determine available resources – Realistically assess needs – Develop preliminary data – Present to colleagues/mentors/students • Determine possible funding sources ( NSF may not be the right one.

)

Proposal Development Strategies:

What Do You Need To Know About The Solicitation?

• Ascertain overall scope and mission – Carefully read solicitation instructions – Determine where your project fits under the solicitation – Ascertain evaluation procedures and criteria for the proposal

Proposal Development Strategies

: To Whom Do You Talk?

Talk with NSF Program Director:  Your proposed project  Specific program requirements/limitations  Current program patterns Talk to your organization’s sponsored projects office

The Proposal

Major resource: The Grant Proposal Guide (GPG) AKA Proposal and Award Policies and Procedures Guide, January 2010 http://www.nsf.gov/publications/pub_summ.jsp?ods_key=papp

Parts of a Proposal

• Cover sheet and certifications • Project summary – Both intellectual merit and broader impacts described • Table of contents • Project description • References cited • Biographical sketches

Parts of a Proposal (continued)

• Budgets and justification • Current and pending support • Facilities, equipment and other resources • Special information/documentation – What is allowed or required may vary by program or directorates – Single Copy Documents: • Reviewer suggestions, deviation authority, confidential information, etc .

Project Summary

• This one page is critical because it: – It may affect which program or panel will review your proposal.

– It

must

include a statement addressing both review criteria –

And

proposals that do not separately address both criteria within the one-page Project Summary will be returned without review.

Project Summary (continued)

• Intellectual Merit – Describe the scientific/engineering problem and why it is important – State the overall objective of the project – State the specific aims – Describe how the aims will be achieved • Broader Impacts – Educational & outreach activities; infrastructure; dissemination of results; underrepresented groups; benefit to society

Project Description

• The key to a strong proposal • Overall concept / rationale • Execution – Careful, Thorough, Appropriate •

Warning!

Virtually all NSF formal proposals are limited to 15 pages. Note: Some preliminary proposals and other special cases may be limited to fewer pages . Check the program solicitation

!

Project Description

up to 15 pages where you will need to cover: • Objectives and expected significance • Relation to present state of knowledge • Methods and procedures • Results from prior NSF support ( required if applicable ) • Relation to the PI’s longer term goals • Sections optional: – preface, background, preliminary studies, specific objectives, significance.

Project Description

• Know your audience – the reviewers!

• Think about the reviewers – Write accurately, concisely, and clearly – Make it easy for reviewers to like your proposal – First page tells it all – Figures and tables get your point across clearly – Some reviewers (particularly on inter-/multi disciplinary proposals) might not be an expert in your specific field but may be used to provide broader perspective

Biographical Sketch

• Professional preparation • Appointments • Publications – 5 – 5 closely related other significant publications • Synergistic activities • Collaborators & other affiliations – Collaborators (last 4 yrs) & co-editors (last 2 yrs) – Your graduate and postdoctoral advisees (5 yrs) – Your thesis advisor and postdoctoral sponsor

Budget

• Budgets should be – reasonable, but ask for what you need – for personnel (including students), equipment, travel, participant support, & other direct costs (subaward, consultant, computer services, publication costs) – for cost of educational activities associated with research, where appropriate • Unless solicitation specifies otherwise,

do not:

– include cost-sharing on Line M in budget – exceed cost-sharing level or amount specified in solicitation (in fact, we no longer require cost-sharing in almost all cases – this issue is under discussion for certain NSF programs) • Justification

Current and Pending Support

• List everything ( that includes the proposal being submitted ) – current, pending and anticipated • Be careful of overlap – Perception of overlap could be detrimental in the review.

• Dual submissions – when they are allowed

Why are some proposals declined?

• Absence of innovative ideas or hypothesis – Will provide only an incremental advance – Not exciting or cutting edge • Errors – Unclear or incomplete expression of aims – Faulty logic or experimental design – Less than rigorous presentation • Resources and facilities not in place – PI qualifications/expertise not evident – Necessary collaborations not documented

If your proposal is declined…

• Examine the criticisms carefully • Get in touch: – Contact your program director with any questions about the review or possible submission of a revised proposal at a later time • Think carefully about too rapid resubmission: – Take time to self-evaluate the proposal and the project

Funding and afterwards

• Funding – Budget and scope may be part of negotiations prior to making an award.

– Funding mechanisms may be as a standard (all $s at once) or continuing ($s released annually) grant.

Funding and afterwards (continued)

• Afterwards – Do what you promised (

pretty much

) – Notifications & Requests via FastLane – Supplement opportunities • REU - Research Experience for Undergraduates • ROA - Research Opportunity Awards • RET - Research Experience for Teachers – Submit annual and final reports – Warning!

Overdue annual as well as final reports will now hold up recommendations of all NSF actions (e.g., additional funding, incremental funding, PI changes, extensions, etc.)

QUESTIONS?