1 Strategies for Successful NSF Grant PreparationAugust 7, 2017 Lynne Dahmen, PhD Senior Proposal Coordinator Research Development Services Office of the Executive Vice President for Research & Partnerships Self intro, senior proposal coordinator, working with OVPR for 10 years Worked with teams on proposals to many agencies including NSF, NIH, Dept. of Ed., energy and defense, foundations and non-profits Excited to be here!

2 Overview of PresentationKey Overall Strategies Shaping the argument Creating a structure for NSF Key elements of an NSF proposal Small group activity VPR Proposal Coordination service works with large, interdisciplinary proposals and provides support to teams with smaller projects in terms of answering questions, reviewing RFPs and giving feedback on ideas and storyline Good grantsmanship won’t turn a bad idea into a good idea. But it can make a good idea shine. Today I wanted to share with you some areas that often stymie faculty writing proposals to fund their research. But let me ask you, where to YOU think these problems might lie? mismatched idea to RFP A question that has already been answered No compelling story An idea lost in jargon A proposal rejected for not following directions… In the short time I have, I will discuss the following areas and I have prepared resources for problem solving, a basic proposal outline based on the latest NSF requirements, and directions for a group exercise that will lead to our week-long projects. Go over bullet points

3 www.cartoonstock.com Proposal Acceptedgood proposals don’t just happen you have to be intentional Average timeline for proposals, large, 10 weeks, small, 6 weeks; perhaps ask audience, how long do you take to prepare an individual grant? We usually ‘start backwards’ from a due date including items like: time for others to review our proposal, budget development, internal routing/signatures, and, oh yeah, assume a crisis/life happens! Make reference to timeline, comment that it is on webpage under self help tools. Real life examples: going in for last minute back surgery, major contributor travels oversees at last minute for family emergency, and allowing for computer foul-ups, eg, one PI pushed his submission to the limit, didn’t have time for him (or anyone else to review) and the reviewers received a PDF that had none of his mathematical formulas…the process from Word to PDF killed them…he did not receive the grant…

4 Key Strategies Matching the science/idea to a demonstrated and significant problem Matching your team to the problem Writing for the right audience Demonstrating appropriate qualifications, resources and partnerships Writing with discipline and structure Make sure your problem, well, is really a problem. Better yet, one that has relevance to the explicit goals of NSF, and to read up on what topics have been funded and at what funding level. Don’t force a problem to fit the team, make sure you have a team who can work together to solve the problem; anecdote about ‘the fish guys’ in a water for ag proposal Once you know you have a good idea that fits, you should try to find out information about who will be reviewing it. Will it be a scientific panel of experts in your field or is it a bit ‘out of your field” (ie educational grant) Make sure these reviewers know that you have enough experience to do the work and meet with success; this is specific challenge for broader impact and education aspects of NSF grants…such relationships take time to build. Last, as we will discuss throughout this presentation, writing with a firm outline in mind will reward your efforts to present an organized and convincing case for being funded. (gesture towards handout on basic outline)

5 Brainstorming Why is it significant? What has been done?The first step in building a strong storyline What is the problem? Why is it significant? What has been done? What is the solution? What is the gap? Why you are qualified? As I just mentioned, most successful proposals tell a good story. The questions above can always provide a good starting point for organizing your ideas. Many researchers know what they want to do, but have a harder time saying why it is important. I have seen this as a particular challenge for young investigators…sometimes you focus on ‘what your going to do’ rather than “why should it be done/why should NSF pay for it’…NSF really wants to see the story. However, that’s not the complete story. Once you’ve identified a problem, you not only need to suggest your solution, but identify what we call ‘the gap’, the distance between where the science, problem, situation, etc is right now, and where it needs to be to reach a viable solution. If you were to take away just one slide of information from today’s presentation, this would be it, and in the following slides we’ll go into more detail about just how important these questions are, with particular reference to NSF.

6 Basic Structure Introduction (Dramatically) introduce problemPresent storyline Introduce project title, program, Mention team/universities involved Provide goal of project and overview of work to be done (objectives) Avoid jargon First part of any proposal, often reviewers ‘turn off’ if the intro doesn’t gain their attention Many researchers use very specific scientific terminology that is not appropriate for ‘funneling’ from broad to specific Many folks ‘forget’ to identify their proposal, their school, and the program to which they are applying…make the job easy for the reviewer! This is usually one page only, max 1.5 pages..

7 Sample First ParagraphOne year after the tsunami that led to triple meltdowns at the Fukushimi Daiichi power plant in March 2011, all of Japan’s 54 reactors were off line. This extreme situation illustrates how the fears of one energy-poor nation have focused not only on nuclear energy as an energy source, but on the safety and efficiency of the materials used to house it. We often look to energy sources themselves, such as nuclear, fossil fuels, solar, and wind, for solutions to energy challenges as we base large national investments and policy decisions on both real and perceived benefits and risks. However, a key to reaching energy milestones is not just the advancement of energy systems, from nuclear physics to cleaner coal, but also the development of appropriate materials that can support the science. At the same time, we must develop globally nuanced understandings of complex energy policies and pathways. The issue of poor material performance under severe environments as associated with future energy systems has been singled out by a recent DOE report as an area of critical importance.1 More specifically, there is a need to continue to develop better materials to be used for today’s energy systems, for purposes ranging from building stable nuclear reactors and safe and long-lasting storage systems for nuclear waste, to, at the scale of nanomaterials, efficient energy storage systems for sun and wind. Beyond the energy sector, robust materials serve as the building block of future semi-conductors that, through extreme ultraviolet lithography (EUVL), will run the next generation of computers.

8 Continued… What all of these applications require is improved materials performance with respect to extremes in temperature, stress, strain, radiation fluxes as well as electric and magnetic fields. The development and refinement of such improved materials will allow energy systems, in particular, to operate with increased reliability, safety, and economy while increasing sustainability and limiting negative environmental impacts. These science outcomes have related policy impacts for systems modeling and energy planning in both the near and long term in both developed and developing countries. Success entails the destruction of siloed approaches to scientific challenges and requires a global outlook that brings together the appropriate people and resources to not only advance basic research but also to ensure the existence of a diverse, globally-minded and well-trained cadre of scientists, policy specialists and industry workers. Meeting such goals cannot come from one PIRE team, but from partnerships with the programs, resources, and people that are already working towards goals of making domestic and international education, training and research opportunities available to the widest possible population of students.

9 Basic Structure Strong proposals have a clear structureGoals, Objectives, specific Aims, tasks: Who cares? Strong proposals have a clear structure Terminology must be clear and consistent Create a clear hierarchy Match terminology to sponsor This structure must appear in both the argument and the ‘physical representation’ of that argument on the page. Don’t switch between goals, aims, vision and objective… Remember that objectives are measurable and typical refer to what you will actually to, can often use the formula “In order to do x, we will do….a, b, c”, X is the objective, a, b, c are steps or tasks along the way that you may or may not need to ‘spell out’ More important than the terms you use is to make sure you keep your own terminology consistent. Avoid, for example: “The GOAL of this OBJECTIVE is….”; rather: Objective 1: to develop a professional development intervention concerning basic engineering design principle” Remember objectives/aims are typically mentioned in the intro and again WORD FOR WORD in the approach

10 Describing your Goal and ObjectivesVision Introduction Goal Objective 1 Objective 2 Objective 3 This is one way to visualize your proposal. At the top you see “vision”, this is what defines the issue at the largest level. For most RFPs, save the larger and more complex centers and projects, the vision is defined by the RFP or call, it is how the agency defines as the broad area or problem within which individual researchers and teams can define their work. For example, a particular NSF program may be asking, as in the DRK-12 program, for proposals relating to foundational research in P-12 STEM education. Their overall VISION is to improve STEM education for students, teachers and future workers in the U.S.; it is up to the team to decide how they will do this…through development of new interventions, through teacher professional development, through scale-up of an existing method; whatever strand or flavor a team chooses, their proposal must seek to improve outcomes for students in K-12 classrooms in the area of STEM. Below the vision is the goal as you define it. Your goal, or the solution to the problem, is overarching and often long term. It usually involves several areas of effort which are often articulated as objectives or, in larger grants, perhaps thrusts. While a grant typically has only one large goal, it usually has at least 3 aims or objectives. On larger grants, you may have thrust areas or larger combinations of efforts, each of which may have several objectives. Below the goal, we have multiple Objectives/Aims: thrusts or areas of research that, when taken together, move you towards the goal At the bottom, we have Tasks: smallest level description of what you plan to do in each objective/aim, often an almost step-by-step ‘recipe’ for your project. No matter what the size and complexity of the grant, this basic structure can help you organize your proposal. Short request for ideas from Task 1 Task 2 Task 3 Task 1 Task 2 Task 3 Task 1 Task 2 Task 3 Research Plan Describing your Goal and Objectives

11 RFP on Teen Mortality Goal Obj. 1 Obj. 2 Obj. 3What might this research be about? What ideas or directions might you take? Take 5 minutes to talk to 1+ of your neighbors about what kinds of project might related to this theme. Task 1 Task 2 Task 3 Task 1 Task 2 Task 3 Task 1 Task 2 Task 3

12 through technology systemsRFP on Teen Mortality Develop effective strategy to lower rate of car accidents due to texting by teenagers through technology systems Application to a small problem…for demonstrative purposes only What might be an eye-opening way to begin? Why is texting by teenagers a problem? How might you develop the story? Some proposals may be just about the data collection, or even about developing the team and idea, while development and/or implementation comes ‘down the road’ in future proposals (especially for education) Once you have a story, you may easily see several phases to the research. Also keep in mind that some agencies will want a response to only one part of the larger problem or provide different levels to match the experience and previous work of the team. For example, some grants may be designed to help newer investigators, or experienced investigators new to this area of research, collect initial data, while other grants, or streams within a grant, may be designed to develop rigorous technical solution and test their feasibility before providing funds for full-scale up and/or implementation. Take 5 minutes and imagine what types of approaches this could entail. Also, what might be a good type of opening? For the opening, consider dramatic facts or failures, qualitative or quantitative approaches for gaining a reviewer’s attention. Task 1 Task 2 Task 3 Task 1 Task 2 Task 3 Task 1 Task 2 Task 3

13 through technology systemsRFP on Teen Mortality Develop effective strategy to lower rate of car accidents due to texting by teenagers through technology systems Phone based solutions Vehicle based solutions Education as part of drivers ed What types of researchers might you need? Task 1 Task 2 Task 3 Task 1 Task 2 Task 3 Task 1 Task 2 Task 3

14 Basic Structure: Background and SignificanceElaborate from opening Be comprehensive Be positive of others contributions Clearly outline what needs to be done Align your goals and objectives with the gap articulated in opening Properly reference your statements In your introduction you must already layout the storyline, what is the problem? What’s been done, etc. But you must do it in broad strokes. Typically there are few references in the intro, but here, in the background and significance, you have the challenge of providing more details and more evidence concerning your own work and understanding of the task at hand. This section also gives you the opportunity to further the arguments for why your team, your school, your partners, are able to do the work proposed. At this point, remember to keep in mind the reviewers—how much do you think they will need to know? Remember that they are likely NOT in your primary area of expertise, but in the more general subject area.

15 Possible Areas of BackgroundChanging history of dangers of cars Use of phone technology for behavior change Use of vehicle technology for behavior change/accident prevention Background on driver’s ed and teaching young drivers Responsive to new technologies Working with teens

16 Background and SignificanceBroader Impacts of the Proposed Work Education/teaching impacts Broadening participation of underrepresented groups Enhancing infrastructure for research or education Dissemination of research results Benefits to society at large Other realms in which the science outcomes can be applied More important starting in 2012, a real ‘nsf thing’ involving education, workforce development, diversity engagement, recruitment, etc. Do NOT just make casual name-dropping references but have real conversations with on-campus and off-campus partners. Make it real…

17 Broader impacts of the Proposed Work Separate section with this exact wording Through both research and activities ‘supported by and complementary to specific research projects’ Should NOT rely on things you should be doing anyway (ie, new lab modules, lectures, course components) NOT synonymous with “Educational Outreach” Can include scale up, tech transfer or use of results to inform science policy Training ok, but not just through financial support…what is the ‘added value’ (training, mentoring, access to labs/ facilities, etc? Must be separate section AND in Results from Previous NSF Support Also appears in Project Summary Remember, how will you know if you succeed? What types of broader impacts can you imagine for the teen texting project? Testing interventions in a variety of schools Teaming up with driving schools Try a ‘teen to teen’ education (a la drunk driving)

18 Intellectual Merit Listed in Project SummaryMerit Review Criteria Listed in Project Summary Can be discussed in narrative explicitly Part of Merit Review Criteria for all NSF Potential to advance knowledge Creativity, originality Transformative Rigor of proposed study/plan, research design, organization, conceptualization Expertise of the PI and other personnel Infrastructure/resources to carryout project One of the key merit criteria reviewers are instructed to evaluate rigorously, and remember they may not be in your ‘sweet spot’ of knowledge

19 Basic Structure Approach/ Research Design Consider what background is needed overall/applies to all objectives Consider pitfalls and how to deal with them Summarize with timeline and outputs Include preliminary data/graphics as needed In your introduction you must already layout the storyline, what is the problem? What’s been done, etc. But you must do it in broad strokes. Here, in the background and significance, you have the challenge of providing more details and more evidence concerning your own work and understanding of the task at hand. This section also gives you the opportunity to further the arguments for why your team, your school, your partners, are able to do the work proposed. At this point, remember to keep in mind the reviewers—how much do you think they will need to know? Remember that they are likely NOT in your primary area of expertise, but in the more general subject area.

20 Writing Objectives Exactly follow wording from introConsider what background is needed for each objective Be consistent in structuring each objective Consider identifying team members/universities Avoid being overly technical with descriptions of procedures and processes Keep writing style consistent across objectives/aims

21 Basic Structure of Objectivesverbatim objective from intro Team members Hypothesis to be tested (as applicable) or overview of work Methodology and connection to current/past ‘state of knowledge’ Clearly articulated steps/tasks that will accomplish thrust/objectives Identify impact of results of one thrust on following ones as appropriate Potential problems and contingency plans to deal with them In your introduction you must already layout the storyline, what is the problem? What’s been done, etc. But you must do it in broad strokes. Here, in the background and significance, you have the challenge of providing more details and more evidence concerning your own work and understanding of the task at hand. This section also gives you the opportunity to further the arguments for why your team, your school, your partners, are able to do the work proposed. At this point, remember to keep in mind the reviewers—how much do you think they will need to know? Remember that they are likely NOT in your primary area of expertise, but in the more general subject area.

22 Sample Objective OutlineObjective: To develop an appropriate vehicle-based solution, we will integrate research into technology, cloud based-applications and user preferences. Team members: J. Shiu (computer science), L. Turnic (electrical and computer engineering) and S. Ryan (Industrial Engineering and Design) Background: add 2-3 sentences about preliminary work including Shiu’s industry work with Ford; Turnic’s earlier work on cloud-based transmission control and Ryan’s work on human-robot interactions Task 1: Devise working version of communication between cloud and car for detecting text usage (Shiu, Turnic) Task 2: Identify possible testbed format, ability to move device between cars, can control via smart phone (Turnic) Task 3: Conduct user testing of devices after exploring design preference with subjects (first and second year undergrads) In your introduction you must already layout the storyline, what is the problem? What’s been done, etc. But you must do it in broad strokes. Here, in the background and significance, you have the challenge of providing more details and more evidence concerning your own work and understanding of the task at hand. This section also gives you the opportunity to further the arguments for why your team, your school, your partners, are able to do the work proposed. At this point, remember to keep in mind the reviewers—how much do you think they will need to know? Remember that they are likely NOT in your primary area of expertise, but in the more general subject area.

23 Make Life Easier for the Reviewer…Things to Keep in mind Use headings to organize the proposal Use ‘traditional’ section titles familiar to NSF reviewers Use ‘summary’ statements to highlight important points: This work is significant (or original, ground breaking, etc) because… The team is well-qualified to undertake this work because… The transformational aspects of this work include… Use spellcheck and grammar check Avoid no-no’s (ie, don’t use URLs, use only 3rd person in project summary…)

24 Mechanical hurdles Use/double check required formatsIt’s not all about the ideas… Use/double check required formats Use Word styles to ensure consistency and maximize space (ie, no ‘empty’ paragraphs) Make ‘terminology list’ as needed Use consistent wording (lists, etc) Use consistent formats Go over one by one

25 Basic Structure Additional sections Management plan Timelines/outputsEvaluation/Assessment plans Dissemination Education/Outreach Diversity Go over one by one Management plan: Timelines: often visual in nature Data management: see our site for details Assessment—increasingly important, and often included in educational proposals; integrate it into the project or hire experts in program assessment Dissemination/outreach: often looking for more than árticles in refereed journals or conference presentations. Digital dissemination, unique venues, informal education… See our just-in-time resources!

26 Writing Previous NSF SupportSample Results from Prior NSF Support (most related to project-- 1 per PI) # OISE. PIRE: Nuclear Energy Systems and Materials under Extreme Conditions. $3,1116, /1/2012-9/ PI: A. Hassanein. Summary: The goal for this project is to provide robust computer resources and experimental validation to minimize irradiation-based design constraints of materials performance while situating this research within a larger context of sustainability, resource management, and global energy policy. This project draws on international research partnerships to develop the human capital essential for further work in materials under extreme conditions. It brings together key partners and research facilities in Japan, Russia, Germany, and Ireland that will enable graduate student research across disciplines with a focus on Nuclear Energy/Fusion, Lithography, and High Energy and Nuclear Physics Applications. Intellectual merit: The research will critically advance knowledge about the interaction of particle and plasma beams with various materials under extreme irradiation conditions. Broader Impacts: These scientific outcomes have related policy impacts for systems modeling and energy planning in both the near and long term for both developed and developing countries as global appetites for energy continue to increase. The grant has also trained a diverse group of students from undergrads to post-docs in these areas and has promoted research on the impact of global experiences on graduate students. The research has been published through over 34 articles since the start of the project period and includes work in energy, industrial applications, materials science, policy, and education.

27 Group Exercise The goal of this small team project it to provide you with the opportunity to practice and implement basic skills and ideas discussed in today’s presentation on storyline development. Specific objectives include: Demonstrate understanding of the process of developing a problem statement with associated goals and objectives Demonstrate abilities to draft goals and objectives To complete this task, you will go through the following steps over the next hour: Identify a team ‘recorder,’ whose job it is to take notes and synthesize what will be presented. Discuss the mini-RFP with your assigned group and brainstorm several possible approaches to the problem. Choose one approach to the problem and identify what types of team members the group would need. Discuss and formulate a first version Goal for the project. Discuss and formulate 3-4 research objectives. Discuss and identify possible activities for education Discuss and identify possible ways your project has broader impacts. Discuss and identify possible intellectual merit and/or innovation Fill out final summary worksheet & prepare to present and discuss. Details of the RFP to which you are responding are provided in team handouts.

28 Thank You Lynne Dahmen