how to write a competitive nsf career proposal lucy deckard academic research funding strategies,...
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How to Write a Competitive NSF CAREER Proposal
Lucy DeckardAcademic Research Funding Strategies, [email protected]
A webinar for junior faculty
March 24, 2015
Academic Research Funding Strategies, LLC
Our goal: To help your institution, faculty and staff to develop the skills they need to compete successfully for research funding.
http://academicresearchgrants.com
My contact Info: Lucy [email protected]
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OverviewNSF Faculty Early Career Development Program (CAREER)
Before you start writing
Writing the proposal step-by-step
If you don’t get funded this round
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Grants Specifically for Early Career and Junior Faculty
NSF CAREER approx. 600 awards/yearNon-tenured, tenure trackAll disciplines supported by NSFDue late July
ONR Young InvestigatorApprox. 20 awards/yearFirst tenure track appt started in the last 5 yearsDisciplines of interest to Navy (see BAA)Due March 4, 2015
AFOSR Young InvestigatorApprox. 30 awards/yearPhD or equivalent in the last 5 yearsDisciplines of interest to Air ForceLast due Sept.
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Grants Specifically for Early Career and Junior Faculty
DARPA Young Faculty AwardApprox. 30 - 40 awardsUntenured within 5 years of starting appt.Last due January 2014; no new solicitation
DOE Early CareerApprox. 21 university awards last year (doesn’t count NL awards)Tenure track, untenured within 10 years of PhDPre-applications typ. due Sept.
NIH K99 R00Approx. 114 awardsPostdoc with less than 5 years postdoc trainingDue Feb, June, Oct.
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Grants Specifically for Early Career and Junior Faculty
NIH Director’s Early Independence AwardApprox. 10Received PhD or terminal degree within last 12 months or will receive within the next 12 monthsTyp. due January
NIH Directors New Innovator AwardApprox. 50 fundedWithin 10 years of PhD/terminal degree and have not received an R01Due October
Foundations and professional societiesAmerican Chemical Society Doctoral New Investigator GrantsCan be very targeted: e.g., Hogg Foundation Mental Health Research Grants for Tenure-Track Assistant Professors in Texas
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NIH K AwardsDifferent programs for different stages in your career
Generally for those in transitionSee K-Kiosk and Career Award Wizard to see what might fit you
For All Career-Type ProgramsBe sure you’re eligibleUnderstand the application requirementsBe sure you understand the agency and programPlace your project in context
What are your long-term research plans?What are your long-term education plans (if applicable)?Relate these plans to the interests of the agency
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Basics of the NSF CAREER
The NSF Faculty Early Career Development (CAREER) Program
Program PageSolicitationFAQs pageCAREER Contacts (by division)Staggered due dates by directorate
BIO, CISE, EHR: July 21, 2015ENG: July 22, 2015GEO, MPS, SBE: July 23, 2015
CAREER EligibilityUntenured (until Oct. 1)Tenure trackAssistant Professor or equivalentHave not applied for a CAREER more than twice before Propose to conduct research in an area that NSF fundsNo co-PIs or senior personnel allowed
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CAREER in a Nutshell5 years of fundingMinimum $400K total ($500K for ENG, BIO and Polar Programs)Must apply to a particular program within a directorate – Key!Different NSF divisions and directorates use the CAREER program differently
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What is NSF Trying to Accomplish with CAREER?
Nurture the next generation of leading researchers/educatorsChange academic culture
Integrate education and researchSupport diversityReach out to the larger communityInnovate in education
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NSF’s OrganizationDivided into directorates:
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
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NSF CAREER Proposals Submitted
From http://www.nsf.gov/bfa/dias/policy/outreach/grantsconf/career_june14.pdf
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NSF CAREER Proposals Awarded
From http://www.nsf.gov/bfa/dias/policy/outreach/grantsconf/career_june14.pdf
NSF CAREER Success Rate
From http://www.nsf.gov/bfa/dias/policy/outreach/grantsconf/career_june14.pdf
Plan to Reapply!Odds are you won’t get funded with your first applicationYour proposal should get stronger with each applicationPlanning and intelligent persistence are key
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Key Points for CAREERCareer Development Plan to “build a firm
foundation for a lifetime of integrated contributions to research and education”
Research PlanIntegrated Education PlanPlus
Description of how research and education are integrated with each otherResults of Previous NSF support, if applicableDepartment Head letter
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Getting Started
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Understand the Review CriteriaIntellectual Merit and Broader Impacts equally weightedIs your research significant and innovative?Do you have the skills and resources to carry out the project?Do you have the support of your department?Are your research and education integrated?Does your education plan go beyond what is expected for all Assistant Professors?Is your project likely to be successful ?Do you address diversity, benefits to society?
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Common Reasons for Not Funding CAREER Proposals
“Research is either too ambitious or too narrowly focusedProposed methods do not address the stated research goalsEducational component is either limited to routine courses or is unrealistically overambitiousIntegration of research and education is weak or uninspired”
Quoted from J. Tornow presentation at QEM Workshop
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Selecting a Research IdeaWhat do you want to do?Does it address important questions in your field?Is it novel and cutting-edge?Do you have the background and resources to accomplish your goals?
If you’re moving into a new but related area, be sure to discuss collaborations that will fill any gaps
Will it contribute to your career goals?Will it contribute to your department’s and institution’s goals?
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Are You Ready to Apply?Do you have publications in or related to your research topic?How many years do you have until you go up for tenure?If applicable, do you have your lab set up and do you have grad students?If you need preliminary data, do you have it?
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Do I Need Preliminary Data?Expectations vary by disciplineHow risky is your research idea?
Do you need preliminary data to demonstrate feasibility?
How strong is your track record?Do you need to demonstrate your mastery of the methodology?
Are there potential showstoppers that could be explored with some preliminary experiments/calculations?
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Have a High Risk/High Payoff Idea?But you need funds to generate preliminary data?Explore NSF’s EAGER (Early-Concept Grants for Exploratory Research)
Up to $300K for 2 yearsTalk to Program Officer
May go on to submit a standard grant to a core program or a CAREER
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Before You Start Writing
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Important!
Talk to your Department Head/ChairMake sure she supports your research and education goalsDiscuss Department Head letter early
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Determine which NSF Program to Apply ToSubmitting to the wrong program can doom a good proposal!NSF web site (see video)
Check program goalsSearch awarded CAREER projects
E-mail or call program directorTalk to senior researchers in your areaInterdisciplinary? Talk to program officers
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Find your program
Talk to Your NSF Program DirectorSend a short email briefly describing your project idea and asking for an appointment for a phone discussionDiscuss your project with the Program DirectorListen carefully to the PD’s advice and commentsHopefully this will be the start of a long relationship
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NSF CAREER vs. NSF Core Proposal5 year project vs. 2 or 3 year project$400K and up vs. $200K and upNo co-PIs vs. co-PIs allowedCompeting with other junior faculty only vs. competing with investigators at all levels CAREER most prestigious; PECASE eligible
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The Secret to Planning a Strong Education Component…
Approach it with same rigor as your research plan!
Important: The Education Component is not community service; it is a project!
I sentence you to 12 hours talking to 2nd graders about quantum physics
Choose one main projectPut lots of planning and effort into that ideaTry to make it stand outThink through the logisticsTie into existing infrastructure if availableSeek help if you need it
Education Plan TipsIdentify the need you are addressingHave clear goals and measurable objectivesAddress diversity!Have a strong assessment planPlan how you will disseminate your resultsAn innovative, focused education plan is better than many standard activities
More Education Plan TipsBe sure to include funding in the budget to support your education activitiesMay need to look for other resources you can leverageThink about how you can enhance even standard activities (e.g., mentoring your graduate students)Including undergrads in research is expected
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Typical Education PlansCan target various populationsFor example:
New or updated undergrad or grad courses using innovative educational approaches Undergraduate research experiences including innovative elementsRecruiting activities with underrepresented studentsMentoring high school students in Science Fair projectsParticipating in a science summer camp with middle school studentsWorking with elementary teachers to incorporate elements of your research into their curriculaReaching out to stakeholders in the communityCommunicating your research to the public in an innovative way
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Don’t Reinvent the WheelTalk to education experts at your institutionRead the literature
Education Resources Information CenterMSPnetSTEPnet Literature cited in the CAREER solicitationNational Center for Science and Engineering Statistics (NCSES) – statistics supporting need/motivation
(See Handout for more)
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Leverage Infrastructure and Activities at Your Institution
NSF Research Experiences for Undergraduates SitesSummer STEM camps for K-12 studentsConnections to community colleges and/or high schoolsStudent associations for underrepresented minority (URM) STEM students (e.g., SACNAS, NSBE, SWE, etc.)Centers for Teaching and Learning
What if You’re an Education Researcher?
You still need an education plan that’s distinct from your researchThink about:
Ways to reach out beyond your normal constituencyInnovative dissemination strategiesWays to encourage and mentor the next generation of education researchers or educators beyond what is expected
What Groups are Underrepresented?Typically African Americans, Hispanics, Native Americans, U.S. Pacific IslandersWomen if underrepresented in the disciplineOften first-generation college studentsUsually not:
International studentsAsian Americans
Recruit Your CollaboratorsCAREER does not allow co-PIs or senior personnelBut you can have a collaborator
Can pay for equipment accessCan help support a collaborator’s student
Use collaborators to fill a gap in your expertise or capabilities
For example, educational collaborator, collaborator from a different discipline, collaborator with facilities/equipment you need
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Contact Your Office of Sponsored Projects
Let them know you plan to submit a CAREERThey can often help you with:
Scheduling and approvalsBudgetsFastlaneSometimes with review criteria and textSubmission
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Schedule with Lots of Intermediate DeadlinesTask Person
ResponsibleDeadline
First draft of Project Description complete
Second draft of Project Description complete
Third draft of Project Description complete
Send to internal reviewers/mentors
Receive feedback from reviewers/mentors
Revise Project Description – Draft 4 complete
Close-to-final draft of Project Description
Final draft ready for check
Upload final draft
Submit 2 days before due
ACK!
Warning: Stuff happens!
Writing Your CAREER Proposal
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Grantsmanship
Things to Keep in
Mind
Put Yourself in the Shoes of the Reviewer!
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Grantsmanship TipsUse figures, flow charts, tables, bullet lists, etc.Use heading and subheadings to help reviewers locate the informationBold, italics and underlining (used judiciously) can help reviewers find important pointsNo tiny fonts or illegible figure labelsCaptions explain the point of your figure
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Writing Your Proposal Step-by-Step
NSF CAREER Proposal ElementsProject Summary (1 page)Project Description (15 pages)References CitedSupplementary Documents
Letters of collaborationDH/Chair LetterData Management PlanPostdoc Mentoring Plan (if applicable)
Biosketch (2 pages)Current & Pending FormBudgetBudget Justification (3 pages)Facilities and Equipment
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FormatFollow NSF’s Grant Proposal Guidehttp://www.nsf.gov/pubs/policydocs/pappguide/nsf15001/gpg_index.jsp
Section IIB – Fonts, etc. http://www.nsf.gov/pubs/policydocs/pappguide/nsf15001/gpg_2.jsp#IIB
1” margins all aroundPages numbered by sectionsAllowed fonts:
Arial, Courier New, or Palatino Linotype at a font size of 10 points or larger Times New Roman at a font size of 11 points or largerComputer Modern family of fonts at a font size of 11 points or larger
ANDNo more than 6 lines of text within a vertical space of 1 inch
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Project SummaryThis may be the only thing the reviewer will readState your goals/objectives/ hypotheses clearlyValue of your project (research and education) must be clear and compelling!Written in 3rd personTypically written last4600 Characters (~1 page)
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New: Project Summary StructureThree boxes, uploaded separately
OverviewIntellectual MeritBroader Impacts
Aggregate of all three boxes cannot exceed 4,600 characters
Overview SectionObjectivesMethods to be employedDescription of activity that will result if the proposal is funded
Intellectual MeritIntellectual Merit: The intellectual Merit criterion encompasses the potential to advance knowledge (new)Previous:
How well does your project advance knowledge and understanding ?How creative, original or potentially transformative are the concepts?How well conceived and organized is the proposed activity, and will you have sufficient resources?How well qualified is the proposer to conduct the project?
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Broader ImpactsBroader Impacts: The Broader Impacts criterion encompasses the potential to benefit society and contribute to the achievement of specific, desired societal outcomes. (new)Previous:
How well does the project advance discovery while promoting teaching, training and learning?To what extent will it enhance infrastructure for research and education?How well will it broaden participation of underrepresented groups?Will the results be broadly disseminated?What are the benefits to society?
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Project SummaryExample: Handout #4Project Summary from Jairo Sinova’s successful CAREER awarded 2006
Clear goals stated earlyNew knowledge to be generated PI’s collaborations, qualificationsBroader impacts contain specifics
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Project Description (15 pages)Flexible StructureTypical Outline
Introduction, overview, objectives, significanceBackground (SOA and lit review)Preliminary Results/Prior WorkExperimental Plan/Research Plan/MethodologyEducation PlanBroader ImpactsTimeline
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Get to the exciting stuff here!
The Project Description: Getting Started
First Para-graph
0
2
4
6
8
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Zzzzzzz
Revi
ewer
’s Att
entio
n Le
vel
Generic Intro
Long, unconnected background
Strong, Unique Intro
Concise background that provides context
Get to the exciting stuff here!
Put Your Project in Context
The Big Question orThe Big Need
Preliminary Work Funded project 1 Further work
Project Goals/Specific Aims Outcomes
What is the kernel of your great idea?What you will accomplishThe approach you will useThe problem you’re addressingNew tools or resources you’ll bring to the problem
Put it up front!
Project DescriptionIntroduction, overview, objectives, significanceBackground (SOA and lit review)Preliminary Results/Prior WorkExperimental Plan/Research Plan/MethodologyEducation PlanBroader ImpactsTimeline
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Introduction and OverviewProvide reviewers with an outline of your proposed project which you will fill in later (1 – 2 pages)
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Tell Your Project Story
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After the Intro & OverviewReviewer should be intrigued and excited Should have a basic understanding of your project and why it’s importantShould be convinced that this research is a great ideaWill just be looking for details to confirm you can do what you say you’ll do(see Handout)
Project DescriptionIntroduction, overview, objectives, significanceBackground (SOA and lit review)Preliminary Results/Prior WorkExperimental Plan/Research Plan/MethodologyEducation PlanBroader ImpactsTimeline
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BackgroundWhat is the current state of knowledge and how does this relate to your project?What are the holes in knowledge and how will your research fill them?Cite important work but don’t provide a comprehensive literature review covering the entire history of the subjectKeep relating discussion to your projectTypical length: 3 – 4 pages
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Project DescriptionIntroduction, overview, objectives, significanceBackground (SOA and lit review)Preliminary Results/Prior WorkExperimental Plan/Research Plan/MethodologyEducation PlanBroader ImpactsTimeline
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Preliminary Results/Prior WorkSometimes folded in with Background, but be careful!Summarize up front the significance of your data as it relates to your project (see Handout #6)Beware getting bogged down in too many detailsBe clear who did the work – beware passive voice and the royal “we”
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Project DescriptionIntroduction, overview, objectives, significanceBackground (SOA and lit review)Preliminary Results/Prior WorkExperimental Plan/Research Plan/MethodologyEducation PlanBroader ImpactsTimeline
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This is where things get complex!
Have a clear structureProject Goals
Objectives
Research Questions/Hypotheses
Phases
Tasks
Subtasks
For example…
Research PlanGive a concise overview before launching into details.
What are the objectives?What are the required tasks?What will be your overall approach?What are the roles of your collaborators?(see Handout #7)
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Research PlanHow will you accomplish your goals, step by step?Need enough details to convince reviewers you have a well-developed plan that is likely to succeedBut don’t drown reviewers in non-essential detailsMore details needed for the first 2 or 3 yearsDiscuss how you will deal with any potential showstoppers
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Research PlanIf you need special resources (access to an instrument, a special cell line, etc.) explain how you will get themBe clear what role your collaborators will play
Name them and briefly describe their qualificationsRefer reviewers to letters of collaboration
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Example Flow Charts
Task 1: description
Task 2: description
Task 3: description
Output of task 1
Task 4: description of how it all comes together in this task
Project Outcomes
Output of Task 3
Output of Task 2
Common MistakesRambling discussion of the problem and possible approaches to solving it with no clear structureVague description of objectives
Don’t say “We will explore phenomenon x”Say “We will measure x, y and z” or “We will determine if y and z affect x”
Too applied with no theoretical framework (esp. engineering)
We will develop a widget (e.g., new sensor, new material)
Project DescriptionIntroduction, overview, objectives, significanceBackground (SOA and lit review)Preliminary Results/Prior WorkExperimental Plan/Research Plan/MethodologyEducation PlanBroader ImpactsTimeline
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Education PlanWhat are your goals and objectives?What motivates your plan?What is the state of knowledge about this issue, the proposed approach, etc. (cite educational literature!)Do you have any preliminary results or prior related experience?How will you assess whether you are successful?How will you disseminate your results?
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Education PlanAssessment
Have clear, measurable objectivesExplain how you will assess whether you met these objectives
Formative: How are we doing and can we improve?Summative: At the end, did we meet our objectives?
DisseminationHow will other educators benefit from what you’ve learned or developed?Will you make products of your efforts available for others to use?
See example Education Outline in Handout #8.
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Education PlanScope and length of section
Depends on the mission of your institutionResearch Intensive: typically around 3 - 4 pagesPredominantly undergrad or community college: can be longer
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Project DescriptionIntroduction, overview, objectives, significanceBackground (SOA and lit review)Preliminary Results/Prior WorkExperimental Plan/Research Plan/MethodologyEducation PlanBroader ImpactsTimeline
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Broader ImpactsBroader impacts of the science
How will other fields benefit?What new science will be enabledHow will society benefit?
Broader impacts of your education planHow will your project improve education? How will your project enhance diversity?How will you reach beyond the ivory tower?How will society/stakeholders benefit?
Project DescriptionIntroduction, overview, objectives, significanceBackground (SOA and lit review)Preliminary Results/Prior WorkExperimental Plan/Research Plan/MethodologyEducation PlanBroader ImpactsTimeline
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Schedule and MilestonesWhat do you expect to have accomplished after 6 months? After 1 year? After 18 months? Etc.Provides easy-to-find synopsis of your approach for reviewersDemonstrates that your project is properly scopedShows that your project is well thought out
Example Flow Charts and SchedulesYear 1 Year 2 Year 3 Year 4 Year 5
Objective 1: Development of the hoosits
Integration and calibration
Optimization of frumpits measurement methodology
Objective 2: Assess XYZ
XYZ spectroscopy
MOA microscopy
ABC testing
Pandax studies
Objective 3: Integrate hoosits with XYZ
Instrument integration
Instrument testing
Demonstration
Results of Prior NSF SupportRequired if had any NSF support in last 5 yearsInclude one most applicable projectDescribe overview, intellectual merit, broader impactsCite all products that came out of the projectSee GPG for all the rules
End of Project Description (15 pages)
Other Required Components
References CitedSeparate sectionNo page limitFollow GPG rulesIf available online, include urlWebsites may be included in references cited but not in body of the textBe sure to cite important works and works of likely reviewers
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Collaboration Letters – New!One-sentence statement (in new solicitation)“If the proposal submitted by Dr. [insert the full name of the Principal Investigator] entitled [insert the proposal title] is selected for funding by the NSF, it is my intent to collaborate and/or commit resources as detailed in the Project Description.”Rest of info on collaboration should be contained in the Project DescriptionNo letters of support or recommendation allowed
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BudgetTypical budget a little over $80K per year (except BIO), including indirect costsTypically covers
Research Intensive Universities: PI’s salary for one summer month and a graduate studentFunds to support your educational componentTravel to conferences, etc. (include students)Materials and suppliesMaybe funds for undergraduate researchers (hourly pay)
Start early on your budget!
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Budget Justification
Important documentMany reviewers look at this to see what your real priorities areProvides an additional up to 3 pages to help justify your project
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Department Head LetterReviewers really look at these!Should make it clear that your head/chair knows what you are proposingInclude required language regarding your eligibility (see solicitation)Should discuss support for education and research plan (can include your start-up package, logistical support, etc.)Discuss how you will be mentored in research and educationExplain how your project will support goals of the department (see example in Handout #9)Up to 2 pages long
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Additional FormsNSF format 2-page biosketch
Section II.C.f(i) – Biosketch format (2 pages)http://www.nsf.gov/pubs/policydocs/pappguide/nsf13001/gpg_2.jsp#IIC2f
Follow this religiously! Non-compliant biosketches are a common reason for return without review.
Current & Pending form – all external funding or pending proposalsFacilities and Instrumentation – use this to reassure reviewers that you have access to needed facilities
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Additional FormsData Management Plan (max 2 pages)
What data will you generate?How will you make it available to others?How will you store it? (Check with your library)See http://www.nsf.gov/pubs/policydocs/pappguide/nsf13001/gpg_2.jsp#IIC2j
Postdoc Mentoring Plan (max 1 page)Required if postdoc on budgetHow will you mentor your postdoc and provide professional development?See http://www.nsf.gov/pubs/policydocs/pappguide/nsf13001/gpg_2.jsp#IIC2j
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You’ve finished a draft!
Ask others to read it and give you feedbackIs it clear? Is it compelling? Did they see any technical weaknesses that should be addressed?Include time for revisions
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Submitting Your ProposalUploaded into Fastlane (check the file after it is uploaded!)Follow the requirements of our institution (check with Office of Sponsored Projects or equivalent)
Routing and ApprovalQuality CheckUploadingSubmittal (must be done by an institutional representative)
Include suggestions for reviewersTry to submit at least a day before the deadline
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The Review ProcessVaries by DivisionMost combination
Ad hoc (mail) reviews (usually 3)Panel (may be CAREER panel, or may be a general panel)
Reviewers rate all proposalsExcellent, Very Good, Good, Fair, Poor
Provide recommendationFund, High Priority; Fund if Possible; Do Not Fund
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Program OfficerMakes a list of proposals would like to fund based on
Recommendations of reviewersPortfolio of funded projectsInterests of ProgramTypes of institutions
Works down the list until runs out of moneySometimes figures out ways to squeeze out a little more money to fund an extra projectThis process can take a while
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If you get fundedCelebrate!
Use this grant as a foundation for more fundingCommunicate with your Program DirectorPublishGraduate studentsWork to make your education component a success
Think about supplementsResearch Experiences for UndergraduatesFaculty Opportunity Award, etc.
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If you don’t get funded…Read the reviewsGet mad/depressedRemember that even the most prominent scientists have a drawer full of declined proposalsPut the reviews in a drawer for a few daysRead the reviews again carefully
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Analyzing the ReviewsDid the reviewers have particular concerns that you can address?Were the reviewers confused or unclear about your project?Were the reviewers unimpressed by the significance or novelty of your research idea?Were the reviewers generally favorable, with no clear issues brought up?Did the project topic not fit the program?Be careful about chasing one comment by one reviewer – look at the Panel Summary
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Call the Program OfficerBe nice!Ask for clarification of reviewer commentsAsk for advice
Should you resubmit?Should you apply to a different program?What would strengthen your proposal?
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Make Your DecisionResubmit a CAREER next year to the same programUse next year to revamp your project, generate preliminary data, etc. and resubmit the following yearResubmit a CAREER to a different program next yearRevamp the project and submit to a core programRevamp the proposal and submit to a different agencyStart again with an entirely new idea
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Preparing to ResubmitContinue working on your ideas
Each iteration of your proposal should be more developed and if possible have more preliminary dataThis means your education ideas also
Volunteer to be a reviewerDon’t have to be funded by NSFSee what makes a successful proposal
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No Matter WhatYour next proposal will be better than your lastYou have gotten to know an NSF Program OfficerYou have learned from the experience and developed new skills
Good luck!
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Questions?
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