Proposal Writing: Comments For The ECSA

Developing an Idea
Developing the Written Proposal

Managing the Grant
PROPOSAL WRITING
Comments for the ECSA
Al Cooper
Earth Observing Laboratory, NCAR
ECSA Workshop May 2010
Al Cooper PROPOSAL WRITING

Proposal-Writing
Comments for the
ECSA
May 12 2010
Al Cooper
NCAR
The Process:
Your Career Plan Ideas! Grant Opportunities
Goals Think General
Strategy Interact Targeted
Project Idea
Project Design
Discuss with: Goal/Theme Write the Proposal
Mentors Background/ *Follow instructions
Directors Context *Follow your design
Program Officer Objectives *Revise/revise
Collaborators Hypotheses/Tests *Informal review
Other Staff Research Method
Work Plan
Resources Submit
Developing an Idea Career Planning
Developing the Written Proposal Creative Thinking
Managing the Grant Grant Opportunities
First Consider Career Planning

Goals:
5-10 y plan?
Milestones?
Importance:
Institutional expectations?
Without a plan, external
How does external funding
funding can divert you
contribute?
from goals
Map out your life, but do

Advice from Mentors:
it in pencil. Jon Bon
Examples are important
Jovi
guidance
Seek information!
Discuss issues widely institution-log

IDEAS!
The Process:
Your Career Plan Ideas!
Ideas! Grant Opportunities
Goals Think
Think general
Strategy Interact
Interact targeted
Project Idea
Project Design
Mentors Follow
Dept Chair Background/Context instructions
Program Officer Objectives Follow your
Collaborators Hypotheses/Tests design
Other Staff Research Method Revise/revise
Work Plan Informal review
Resources Submit
IDEAS!
Have many thoughts, some
good:
Read proposals
Think! (Reserve time ...)
Ask senior (and other)
Read widely. colleagues for examples.
Talk to colleagues about Assemble collections

science. (ECSA?)
Attend conferences, Volunteer to be a

workshops, and seminars. reviewer, and oer to
Aspire to originality and provide informal review of
creativity in your work. proposals of other

early-career scientists.
Don't hesitate to be
ambitious in your goals.
institution-log

Match Opportunities to Plans

Develop Research Themes
Use unsolicited and

unrestricted proposal Plan ahead
opportunities to develop
It is often dicult to meet
central themes of your
deadlines.
research, in directions of your
own choice
Allow time for revision, internal
review, and institutional
Approach targeted solicitations
processing.
with caution
Use targeted solicitation with a

Work in anticipation of
specic research theme to take
opportunities.
advantage of special
institution-log
opportunities that match your
interests.
Developing an Idea Discuss broadly
Developing the Written Proposal Project Design
Managing the Grant Writing the Proposal
Before You Start

Now You Have An Idea:
Test Questions:
Is it original and dierent?

Discuss these with:
[Is it (only) incremental?]
colleagues: interesting?
Is it interesting to others?
mentors: worthwhile?
Will it result in a
supervisor: good use of your
publishable result?
time?
Can the research plan be
(program ocer: early
feasible?
advice?)
Does it t your strategic
plan? institution-log

PROJECT DESIGN
T h e Pr o c e s s :
Your Career Plan Ideas! Grant Opport unit ies
Goals Think General
St rat egy Int eract Target ed
Project Idea
Pr oje ct D e sig n
Discuss w it h: Goal/Them e Writ e t he Proposal
Ment ors Background/ * Follow inst ruct ions
Direct ors Cont ex t * Follow y our design
Program Officer Object iv es * Rev ise/rev ise
Collaborat ors Hy pot heses/Test s * Inform al rev iew
Ot her St aff Research Met hod
Work Plan
Resources Subm it
Important (and obvious) next steps

Review the literature
You must be familiar with what has been done in this area, and you
will need to show this understanding in the proposal. This is central
to the proposal.
Hypotheses
Develop some specic hypotheses to be tested, where possible. A

small number, focused on a high-impact idea, is best.
Plan for collaboration
Contact potential collaborators if you need them, and get them

involved. (Remember the NCAR rules regarding the need for
collaboration or contributions to community facilities and tools.) institution-log

Key Factors to Incorporate

A Good Practice: Make Two Lists:
1 The submission rules and deadlines
2 The evaluation criteria and other factors to address
Evaluation Criteria
Rules and Deadlines
e.g., NSF merit criteria
Follow the rules strictly!
modify the project if
Construct an informal feasible to align with the
preproposal evaluation criteria
Discuss this with the develop a table of

program ocer arguments that address
Learn what you need to the criteria explicitly.
do at NCAR/UCAR (Help the reviewers and

institution-log
program ocer)

Example: The NSF Review Criteria
Broader Impacts
Intellectual Merit promotes the development
advances knowledge of human resources
strong proposer addresses diversity in the

qualications workforce
creativity and originality enhances the academic
strong research approach infrastructure
/ plan benets society
resources available has benets beyond the

immediate research eld
institution-log

Special for NCAR/UCAR

See the policies, procedures, and guidelines at
http://www.ncar.ucar.edu/planning/proposals for important
information for NCAR investigators. This is an extensive guide
to the entire process, from nding funding opportunities to
managing grants, and should be read carefully. There are
changes here from older practice, so everyone including those
experienced with the process should review this website.
The NCAR process is the subject of Valerie Koch's talk that

follows. Instead, I'm focusing on more general aspects of
proposal writing and strategy. But that web site has good
advice on my topics also.
NCAR also requires internal review and advance notice. Be

sure to comply with the requirements of NCAR and your
institution-log
Division and allow time for this process.

The Outline
Some Signicant Components
Goals: State the research goal and the objectives.
Hypotheses and Approaches: Formulate your approach and

research method, where possible in terms of
hypotheses to be tested. Your objectives must be met
by the research method.
Critical Tests: Develop critical tests of those hypotheses. What

would refute dierent options? Try to develop
condence that results will be denitive.
The Scope: Estimate how long the project will take and who else
will need to be involved.
Focus on the core of the project

institution-log

Contacting the Program Ocer

Is This Useful?
The value of this varies, but it can't hurt and may help a great
deal.
Avoid blind phone calls; start with e-mail and ask for
follow-up. the best approach is to send a preproposal with an
approximate budget, then request an opportunity to discuss it.
Many program ocers expect this contact and do not welcome

blind submissions.
The PO can help you avoid problems and will often provide
advice that can avoid a re-submission.
Ask reasonable questions, not Do you think you could fund
this?
LISTEN; don't try to convince. institution-log

Finally, writing the proposal

If you have done the preceding, writing will be easy
Not really: good writing is hard work!
Don't neglect good construction and organization, even for the

ve or so people who will read this.
Typical sections (NSF) follow the specied format!

1 Project Summary (1 page) write this last!
2 Project Description (15 pages or fewer) that includes any

results from prior NSF support (5 pages or fewer).
3 References: bibliographic only, referenced in the text; NOT

footnotes or expansions of points
4 Biographical Sketches for all senior personnel

institution-log

A General Outline:
1 Introduction: Goal, Objectives and Signicance
2 Status of this area of research
3 Recent results and Results of Prior NSF Support
4 The Research Approach:
1 hypotheses and critical tests

2 relationship of the experimental approach to the objectives;
3 justication for the methodology selected
5 Work Plan and Schedule
6 Concluding Statement: Results expected, and their

signicance.
institution-log

Goals and Objectives

One Perspective
The Goal
the broad thematic area that you will be addressing
probably too broad for denitive resolution
you expect to contribute to progress in this area.
Example:
Determine if measurements of ice-nucleus concentrations

provide useful predictions of the ice concentrations that
develop in clouds.
The Objectives
what you expect to accomplish
more limited in scope

institution-log
achievable in the period of the proposed grant

Examples of Poor Goals or Objectives

Anonymous Real Examples
The objective of my research is to provide a quantum leap in

understanding the roles of clouds in climate.
The goal of this project is to develop an integrated modeling

tool for incorporating microphysical processes in mesoscale
models.
The objective of this project is to develop innovative advances

that enhance precipitation forecasting.
This research will bridge the accuracy gap in measurements of

trace gases by developing theoretical and technological means
to implement signicant gains in accuracy.
institution-log

Good Examples
The research goal of this proposal is to determine which

processes in clouds are responsible for charge separation in
cases of inverted-polarity lightning, and to demonstrate their
signicance in a numerical cloud model. [followed by specic
objectives]
The goal of this proposal is to determine the concentrations of

giant sea-salt particles ingested into trade-wind cumuli over
the Caribbean and to test if they are responsible for rapid
precipitation formation in such clouds. [followed by specic
objectives and tests]
institution-log

Writing Advice
NSF Proposal Writing Guide
Funds are provided on the basis of merit, not need
Projects should be innovative, not catch-up
Presenting preliminary work is benecial
Meet the specic requirements of solicitations
Tailor your bio sketches to the proposal
Other good guidance
http://www.nsf.gov/pubs/2004/nsf04016
Eloquent Science (David M Schultz)
Very good source for improving all aspects of your writing

institution-log

For whom is this written?

Write for the reviewers
Remember that their expertise may vary.
Secondarily, write for the program ocer
Make it easy to nd key information:
information regarding review criteria

concise summaries
clear explanation of the approach to be taken
The program ocer will be particularly interested in addressing

the published requirements, identifying new-investigator or
high-risk proposals, and nding concise statements to justify
his/her decision.
institution-log
You will benet also from logical design of your project

How Are Reviewers Selected?
Personal knowledge of the eld
your list of references! Also, those who have cited your references
suggestions you make (an often overlooked opportunity to

inuence the selection of reviewers)
conference attendees at recent topical conferences on related topics
Do you know, and are you known to, the program o

cer? If not, correct that. (e.g., volunteer to review!)
institution-log

More General Advice:
You want to convince the reviewers that:
you are qualied to conduct the research;

you have a good idea and topic; and
you have developed a good approach.
Avoid mistakes; reviewers jump on them and this makes their

job too easy.
Be specic and focused; avoid vagueness, ambiguity, and

generality.
Focus on results, and state clearly what results can be

expected (summary and conclusions)
Anticipate criticisms and address them.

institution-log

Weaknesses
My personal list of criticisms
Unreasonable scope; tasks

that are not achievable
Poor organization
under the grant
Ambiguity among goals,
Small budgets for
objectives, and tasks
ambitious projects
Trivial, uninteresting, or
Trust me sketches of
unstated hypotheses
research areas,
Failure to demonstrate
Arguments that the
awareness of the research
research area (rather than
context
the specic project) is
institution-log
important

Common Criticisms from Reviewers

Not specic enough (what will they really do?)
Not interesting enough (lacks originality or insight; duplicates

other work; incremental)
Contains errors - almost always leading to downgrading the

rating: reects on competence
Too ambitious (scope not matched to eort)
Not likely to lead to denitive results (poor experimental

approach)
Past performance and follow-through were weak
Review your project description to see if these might be legitimate

criticisms institution-log

Phrases to Avoid
Vague phrases that call for revision in writing and thinking:
If you nd these vague phrases in your writing, see if you can
substitute a more specic phrase and concept
vague specic
to understand better to determine if...
to learn about... to test if...
to study ... to measure ...
to investigate ... to rule out ...
to nd evidence ... to show
institution-log

The Project Summary

THIS IS VERY IMPORTANT!
Components
Goal and objectives

Characteristics:
Research approach (few
NOT an abstract
sentences)
Concise summary of what
Research contribution you
will be accomplished
will make
State objectives and
Expected impacts
methods, not context,
justication, past work
Address the review criteria The rst part everyone reads,
explicitly the basis for public summaries

and award descriptions, etc.
institution-log
Worth special eort.

The Budget
Use administrators and NCAR expertise, and consult experienced
PIs. Many rules apply here, and you won't know them all.
Include a reasonable amount of your own time, if permitted
Don't underestimate; your rst goal is to convince reviewers

you can do this
Use the budget justication pages to explain your needs
Follow rules regarding travel, equipment, consultants,

subawards these will be examined carefully
It is to your advantage, and sometimes a necessity, to include

a visible educational component
institution-log

The Budget
Use administrators and NCAR expertise, and consult experienced
PIs. Many rules apply here, and you won't know them all.
A Recommendation
It is better to be realistic or even high rather than low
Reviewers often rate low because the budget is unrealistic
It is the program ocer's task to negotiate
Good reviews are essential in that negotiation
institution-log

A Checklist
Be Sure Your Proposal Contains These
1 A clear statement of the goal of the research
2 Evidence that there really is a problem needing resolution
3 Your objectives, highlighted and easy to nd.
4 Your hypotheses, highlighted and easy to nd.
5 Your research approach, coupled to your objectives and

hypotheses.
6 Critical tests of your hypotheses
7 Discussion of alternative hypotheses, and critical tests of them

also.
8 Discussion of your approach to problems that may arise in the

research approach
institution-log
9 Summary of expected results and their signicance

The Process:
Your Career Plan Ideas! Grant Opportunities
Goals Think General
Strategy Interact Targeted
Project Idea
Project Design
Mentors Background/ *Follow instructions
Directors Context *Follow your design
Program Officer Objectives *Revise/revise
Collaborators Hypotheses/Tests *Informal review
Other Staff Research Method
Work Plan
Resources Submit
Developing an Idea Handling Rejection or Negotiation
Developing the Written Proposal Performance Under the Grant
Managing the Grant Sources
Rejection?
Rejection is common (about 75% or more)
Learn from it:
Consider comments
talk to program ocer
talk candidly to mentors
See if you can get permission to submit another version after

you address problems.
Persist! You are in competition with others more experienced

and with more connections.
Don't take it personally; it's criticism of your proposal, not you
Argument is (almost always) futile and does not help your

reputation or career.
institution-log

Negotiation
A request to address reviewers' comments
This is a good sign! Regard this as encouragement.
This may also be accompanied by negotiation over the budget.

GET HELP!
institution-log

Success!
Now You Have To Do What You Proposed
Keep Planning
Plan for early publication
Get collaborators or assistants started; they take time to spin

up
Read the rules, esp. regarding reporting, purchasing, hiring,

change in scope, etc.
The grant is made to UCAR, so UCAR is responsible for

performance and compliance.
Be especially aware of research misconduct. (Examples:

Plagiarism and falsication of results) This is taken very
seriously by NSF and all funding agencies.
Good performance is essential to future success. institution-log

Some Sources
CAREER proposal-writing workshops, Jian Cao and Janet Twomey, NSF,
January 2005
Hints from Mark Schoeberl on the Atmospheric Section of the AGU web
site
CAREER proposal advice from Ana Muriel, Univ. of Mass. at Amherst
Emerging Research Trends at NSF by Dr. Ulsoy, Director, Division of
Civil and Mechanical Systems
Best Practices by Anu Singh, NSF CAREER Proposal Workshop,
Columbia University, May 2005, esp. presentations by Anu Singh, NSF,
Gracious Ngaile, NC State, and Jim Smay, Oklahoma State (CAREER
grant recipients)
Fastlane, esp. Maya Anderson presentation:
http://www.nsf.gov/attachments/104160/public/2grinnell.ppt good
tutorial
The Proposal Writing Seminar of the Learning Lab, Foundation Center
The NASA Guidebook for Proposers
institution-log
The NSF Guide for Proposal Writing NSF document nsf04016

More Sources
The NSF Grant Proposal Guide nsf04-23

Pepperdine University Grant Writing Workshop, Feb 26 2005 (NSF
Biosciences)
Proposal Writing Workshop, Gene Stein, SDSU Foundation, Sponsored
Research Development NSF Regional Grants Conference, April 4-5 2005,
University of California, Oakland California
Research Program Development Workshop, Scottsdale AZ, January 2005
this one is especially good! See
http://www.nsf.gov/eng/dmii/documents/RPD%20Workshop%202005.ppt
NSF CISE Guide to Writing Proposals:
http://www.nsf.gov/cise/cns/cwardle/rules.jsp
Writing a Federal Grant Proposal Federal Grants Wire
institution-log

GOOD LUCK!
This presentation and more will be posted soon
cooperw@ucar.edu
303 497 1600
institution-log

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Developing an Idea

Developing the Written Proposal

Earth Observing Laboratory, NCAR

ECSA Workshop May 2010

Al Cooper PROPOSAL WRITING

First Consider Career Planning

Map out your life, but do

Discuss issues widely institution-log

Al Cooper PROPOSAL WRITING

Talk to colleagues about Assemble collections

Attend conferences, Volunteer to be a

Aspire to originality and provide informal review of

creativity in your work. proposals of other

Al Cooper PROPOSAL WRITING

Match Opportunities to Plans

Use unsolicited and

Use targeted solicitation with a

Before You Start

Is it original and dierent?

Al Cooper PROPOSAL WRITING

Important (and obvious) next steps

Develop some specic hypotheses to be tested, where possible. A

Plan for collaboration

Contact potential collaborators if you need them, and get them

Al Cooper PROPOSAL WRITING

Key Factors to Incorporate

2 The evaluation criteria and other factors to address

Discuss this with the develop a table of

Learn what you need to the criteria explicitly.

do at NCAR/UCAR (Help the reviewers and

Al Cooper PROPOSAL WRITING

Example: The NSF Review Criteria

strong proposer addresses diversity in the

creativity and originality enhances the academic

strong research approach infrastructure

/ plan benets society

resources available has benets beyond the

Al Cooper PROPOSAL WRITING

Special for NCAR/UCAR

The NCAR process is the subject of Valerie Koch's talk that

NCAR also requires internal review and advance notice. Be

Al Cooper PROPOSAL WRITING

Goals: State the research goal and the objectives.

Hypotheses and Approaches: Formulate your approach and

Critical Tests: Develop critical tests of those hypotheses. What

Focus on the core of the project

Al Cooper PROPOSAL WRITING

Contacting the Program Ocer

Many program ocers expect this contact and do not welcome

LISTEN; don't try to convince. institution-log

Al Cooper PROPOSAL WRITING

Finally, writing the proposal

Not really: good writing is hard work!

Don't neglect good construction and organization, even for the

Typical sections (NSF)  follow the specied format!

2 Project Description (15 pages or fewer) that includes any

3 References: bibliographic only, referenced in the text; NOT

4 Biographical Sketches for all senior personnel

Al Cooper PROPOSAL WRITING

1 Introduction: Goal, Objectives and Signicance

2 Status of this area of research

3 Recent results and Results of Prior NSF Support

Map out your life, but do

Is it original and dierent?

Develop some specic hypotheses to be tested, where possible. A

Discuss this with the develop a table of

/ plan benets society

resources available has benets beyond the

Focus on the core of the project

Contacting the Program Ocer

Many program ocers expect this contact and do not welcome

Typical sections (NSF) follow the specied format!

1 Introduction: Goal, Objectives and Signicance

probably too broad for denitive resolution

Presenting preliminary work is benecial

Meet the specic requirements of solicitations

Secondarily, write for the program ocer

Make it easy to nd key information:

The program ocer will be particularly interested in addressing

Personal knowledge of the eld

you are qualied to conduct the research;

Be specic and focused; avoid vagueness, ambiguity, and

Too ambitious (scope not matched to eort)

Not likely to lead to denitive results (poor experimental

Address the review criteria The rst part everyone reads,