Writing successful science proposals

Library of Congress Cataloging-in-Publication Data Friedland, Andrew J., 1959 – Writing successful science proposals / Andrew J.. One of the most challenging aspects of scientific search

Successful Science

Proposals

Andrew J Friedland and Carol L Folt

YALE UNIVERSITY PRESS New Haven & London

Copyright © 2000 by Yale University.

All rights reserved.

This book may not be reproduced, in whole or in part, including illustrations, in any form (beyond that copying permitted by Sections 107 and 108 of the U.S Copyright Law and except by reviewers for the public press), without written permission from the publishers.

Designed by James Johnson and set in Scala Roman type by The Composing Room of Michigan, Inc., Grand Rapids, Michigan Printed in the United States of America by Vail-Ballou Press, Binghamton, New York.

Library of Congress Cataloging-in-Publication Data

Friedland, Andrew J., 1959 –

Writing successful science proposals / Andrew J.

Friedland and Carol L Folt.

p cm.

Includes bibliographical references and index.

ISBN 0-300-08140-5 (cloth: alk paper) — ISBN 0-300-08141-3 (pbk : alk paper)

1 Proposal writing in research I Folt, Carol L., 1951–

10 9 8 7 6 5 4 3 2 1

Preface viiAcknowledgments xi

A Note to the Reader 1

Chapter 1. Getting Started 5

Chapter 2. Authorship from Start to Finish 18

Chapter 3. Basic Organization and Effective

Communication 29

Chapter 4. Developing Your Conceptual

Framework and Significance Statement 37

Chapter 5. A Title May Be More Important Than

You Think 53

Chapter 6. The Project Summary Guides the

Reader 62

Chapter 7. Objectives and Hypotheses:

An Exhaustive List Is Exhausting 81

Chapter 8. Lay the Foundation in the

Introduction 91

Chapter 9. Experimental Design and Methods:

What Will You Actually Do? 106

Chapter 10. Plan for Expected and Unexpected

Results 124

Chapter 11. The Timeline Is a Reality Check 128

Chapter 12. References in Detail:

How Many and How Recent? 133

Chapter 13. Preparing a Budget 140

Chapter 14. Submitting and Tracking

Your Proposal 147

Chapter 15. The Three R’s:

Rethink, Revise, and Resubmit 152

Chapter 16. Ethics and Research 158

Appendix 1 Additional Reading 163

Appendix 2 Web Addresses for Funding

Organizations 165References 167Index 169

One of the most challenging aspects of scientific search is synthesizing past work, current findings, andnew hypotheses into research proposals for future in-vestigations Such research proposals combine everyaspect of scientific inquiry, from the creative conceptu-alization to the detailed design, projected analysis ofthe data, synthesis of the results, and estimation of thebudget Because grant applications are an articulation

re-of the scientific process, writing them is one re-of themost exciting parts of “doing science.” If you are plan-ning to write a grant application for a major founda-tion, such as the National Science Foundation, the En-vironmental Protection Agency, or perhaps a privatefoundation, or if you are writing a proposal to conductresearch as a graduate student or undergraduate, thisbook should be of value to you

Many research institutions offer graduate-level

courses on proposal development, and research design

is growing increasingly vital in the undergraduate ence curriculum Given the importance of this subject

sci-to future scientists, our faculty in ecology and mental studies at Dartmouth College felt that it was es-sential that we create a course on scientific project de-sign and proposal writing for our graduate students In

environ-1994, when we began teaching the course, we couldnot find a text that specifically addressed grant writing

in the natural sciences So we decided to write one selves based on our experiences in the classroom Wehope that our book will be of value not only to studentsbut also to new researchers seeking to improve theirskills in developing research proposals

our-This book provides guidance for those tualizing and formulating their research plans, and itoffers specific instruction on organizing and present-ing material in a standard format We offer an overallorganizational framework, and we list the components

concep-of successful scientific proposals Before you begin towrite, you must have a very clear idea or concept foryour research There is, however, no secret formula forwriting such proposals Each grant application must betailored to the specifications of the funding agency orgraduate committee to which it is directed

Research proposals are written for a variety of

purposes and are submitted to many different agenciesand to faculty committees We focus on agencies thatsolicit proposals in the natural sciences; these includethe National Science Foundation (NSF), National Insti-tutes of Health (NIH), Environmental ProtectionAgency (EPA), U.S Forest Service (USFS), U.S Geo-logical Survey (USGS), and private corporations andfoundations, as well as academic committees Our for-mat should also be useful to those submitting to theNational Research Council of Canada, NATO Scientificand Environmental Affairs Division, and other fund-ing agencies worldwide.

There are many ways to write excellent als We present a model that we and our students andcolleagues have used with success Our ideas havebeen combined with those of the many natural scien-tists from a variety of disciplines with whom we haveconsulted while writing this book Discussions withcolleagues, proposals given to us by successful authors

propos-in a variety of fields, and our students’ ideas have beenespecially meaningful in this effort If you submit aproposal after using this book, or if you use this book

in a course, please let us know how you fare We lookforward to hearing from you

We are grateful to the many students, colleagues, ers, reviewers, and program managers who have con-tributed greatly to our proposals over the years or di-rectly to this project While we were writing this book, anumber of people generously shared ideas, experi-ences, and proposals with us We hope that the follow-ing list includes everyone with whom we have commu-nicated Our sincere apologies for any omissions: JohnAber, Victor Ambros, Matt Ayres, Joel Blum, Doug Bol-ger, Rick Boyce, C Page Chamberlain, Celia Chen, JimColeman, Mary Lou Guerinot, Nelson Hairston, Jr.,Dick Holmes, Mary Hudson, Tom Jack, Kevin Kirk,Eric Lambie, Pat McDowell, Mark McPeek, Frank Mag-illigan, Eric Miller, William North, David Peart, BillReiners, Jim Reynolds, Roger Smith, Richard Stem-berger, Judy Stern, Ross Virginia, Wayne Wurtsbaugh,and four anonymous reviewers

advis-Our special thanks to Noel Perrin and DonellaMeadows for advice on navigating the publishingworld Graham Herrick contributed a range of ideasand technical assistance Margaret Dyer Chamberlainprovided many cartoons for our consideration Finally,

we thank David Peart, Noel Perrin, and two mous reviewers for carefully reading versions of themanuscript, Heidi Downey for valuable editorial assis-tance, and Jean Thomson Black for her support, enthu-siasm, and hard work as our editor

A Note to the Reader

We recommend that you read this book in its entiretybefore beginning a project Then review chapter bychapter—not necessarily in sequence—as you developspecific sections of your proposal The following listcontains a number of goals that you can realistically expect to accomplish over the course of preparing a research proposal

• Identify and describe the conceptual work for the research question

frame-• Review the relevant theoretical and empiricalliterature both for the system being studied andfor related systems

• Articulate the general research question in thecontext of the conceptual framework and thetheoretical and empirical work that precedesthe proposed work

• Formulate a set of hypotheses to address thegeneral question.

• Design studies to test each hypothesis

• Develop methods and techniques to test, analyze, and synthesize results

• Evaluate potential alternative outcomes thatmay be obtained from each part of a study, andconsider where each of these alternatives maylead

• Combine these items in a coherent, precise,concise, exciting proposal

• Submit the proposal to the appropriate agency

in designing our own research proposals We first cuss general types of proposals and share thoughts

about writing research (Chapters 1 and 2), and then weoutline the basic elements of a proposal (Chapter 3).

We address the conceptual framework (Chapter 4) andhow and where in the grant to articulate succinctly thestudy’s importance In Chapters 5 –13, we address therequirements and construction of the specific ele-ments in a grant proposal (summary, background,methods, budget) We conclude by presenting the me-chanics of submitting and tracking a proposal, and bysharing some thoughts about ethics and scientific re-search (Chapters 14 –16)

C H A P T E R 1

Getting Started

We vividly remember the intense anticipation that wefelt as children at the start of a new school year Fillingour notebooks with stacks of crisp white paper, sharp-ening our pencils, and buying new books were exciting

in large part because we were starting fresh Anythingcould happen, and it all could be good! The start of anew year, a new job, a new class, or a new project is aspecial time, when you feel as if you can accomplishanything

For many scientists, designing research carriesthat same sense of exploration, excitement, and unlim-ited opportunity For this reason, it is often a scientist’sfavorite endeavor As you begin your research proposal,

we urge you to:

T H I N K B I G Reflect on your problem from itsbroadest perspective Imagine finding innova-

tive solutions to fundamentally important lems If you start small, your work will end upeven smaller.

prob-A V O I D T U N N E L V I S I O N Consider projectsthat could lead to years of research Enjoy a time

of intense creativity, and—at least for a while—think beyond your immediate research area

D R E A M Dream about solving important lems, making a difference, producing significantpapers, even winning a Nobel Prize

prob-T A K E Y O U R prob-T I M E Great ideas do not appear

in thirty-minute windows of time When ing a research project, expect to spend lots oftime on it You will

design-Planning research can be stressful Anxietyarises when we focus too much on what people willthink of our work We all have periods of insecurity,when we mistakenly believe that everything rests onthe outcome of one specific project People often fretabout how their advisers or peers will evaluate them.They worry about their research questions: “Will Ithink of a question important enough to keep my inter-est and warrant my attention for years to come?” Theyfeel uncertainty about the outcome: “Will my research

idea work?” “Will it lead to publications?” Try not to beoverly concerned Many people experience this whenthey feel pressured to identify problems.

Reducing the insecurity and uncertainty ated with developing a scientific proposal fosters theexcitement and innovation that lie at the heart of sci-ence and research design Here are some simple steps

associ-to ease yourself inassoci-to the process:

• Define tasks associated with the proposal Don’t

make the list too long or too inclusive at thestart, or it will be discouraging

• Develop a timeline or strategy for working on your

proposal Try working backward from your

deadline to get a reasonable idea about whenspecific tasks must be accomplished Makesure that you have sufficient time

• Accomplish something early Complete a few

tasks quickly We give our class a set of and long-term deadlines at the start of the term.(And we’ll present a few examples later in thischapter.)

short-• Remember that the best proposals are built from

the best science Effective proposals require a

sound scientific basis Articulating and oping a logical framework for the problem are

the key elements in the success and power ofthe research Therefore, time spent developingideas is well spent Some researchers believethat the best problem solvers are individualswho understand the need to get the initial ques-tion right (Runco 1994).

• Relax, and be prepared for change Nothing is

fixed You will think and rethink everythingthroughout the proposal’s development

Exercises for Getting Started

We use three exercises to initiate proposal velopment These tasks are not meant to be accom-plished in a single sitting but should be pursued con-currently: critique other proposals; accomplish

de-administrative and technical tasks; work on the ceptual framework of your research

con-Critique other proposals Established scientists

routinely review the proposals of students and leagues as part of the peer review process This givesthem a sense of the scope and size of a research pro-posal Assessing other research proposals is also a po-

tent method of learning science and focusing on boththe broad implications and the methodology behind research It is general policy that reviewers destroy pro-posals after reading them, but most scientists willshare their own successful and unsuccessful proposalswith peers and students Do not hesitate to requestsuch assistance from a colleague.

As you read proposals, consider the followingmajor criteria: scientific content, innovation and scope

of ideas and methods, structure and format, clarity, andstyle Reviewers for the National Science Foundation orother granting agencies may be asked to consider thefollowing while evaluating a proposal: scientific impor-tance of the question(s), rigor of hypotheses, feasibility

of research design, qualifications of the investigator,and suitability of facilities for the proposed work

Our class begins with a discussion of proposalsthat we have written or that have been given to us by ourcolleagues to share with the group Using the title, pro-ject summary (or abstract), and significance sections,

we question whether the author has convincingly fied the proposed work We discuss methods, graphics,and style and ask whether the work captured our atten-tion At some point we try to compare each proposalwith others we have read This discussion is meant to be

a starting point; eventually everyone develops individualstyle, methods, and measures for evaluating proposals.

Accomplish administrative tasks Completing

ad-ministrative and technical tasks is another effectiveway to get started Begin by reading the proposal guide-lines and requirements for the potential fundingagency or foundation, or the guidelines issued by yourdepartment Fairly early in the process you should puttogether a simple outline identifying the key sections

of the final document (see Chapter 3) Think about timal lengths for each section This activity will proba-bly put you at ease because you will quickly realize thatmost grant applications are usually concise—fifteensingle-spaced pages is the maximum for NSF; manyother agencies have the same page limit (dissertationimprovement grants, offered in some programs withinEnvironmental Biology at NSF, are limited to eightpages)

op-Another important task is determining an tution’s procedures for grant processing Ask ques-tions such as, “What paperwork must I complete?”

insti-“What signatures do I need?” “Where do I go?” “Howmuch time should I allow?” “What are the institution’srules on budgets, overhead costs, and cost sharing?”

“Do I need special permission for anything?” (e.g.,