Writing Successful Science Proposalsword.docx
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Writing Successful Science Proposalsword.docx
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WritingSuccessfulScienceProposalsword
WritingSuccessfulScienceProposals
SecondEdition
AndrewJ.FriedlandandCarolL.Folt
YALEUNIVERSITYPRESSNewHaven&London
HowtoWriteaGrantProposal
Contents
PrefacetotheSecondEditionvii
Prefaceix
Acknowledgmentsxii
ANotetotheReaderxiv
Chapterl.GettingStartedi
Chapter2.AuthorshipfromStarttoFinishi5
Chapter3.BasicOrganizationandEffective
Communication26
Chapter4
Chapter5
Chapter6
Chapter7
DevelopingYourConceptualFramework
andSignificanceStatement35
ATitleMayBeMoreImportantThan
YouThink49
TheProjectSummaryGuidesthe
Reader59
objectives,Hypotheses,andSpeaficAims:
AnExhaustiveListlsExhausting78
hapter8
Chapter9
LaytheFoundationintheintroduction90
ExperimentalDesignandMethods:
WhatWillYouActuallyDo?
106
Chapter10.PlanforExpectedandUnexpected
ResultsI24
Chapter11.TheTimelineIsaRealityCheckI2g
Chapter12.ReferencesinDetail:
HowManyand
HowRecent?
i34
Chapter13.PreparingaBudgeti4i
Chapter14.SubmittingandTrackingYour
Proposali5o
Chapter15.TheThreeR's:
Rethink,Revise,and
Resubmit156
Chapter16.ConsiderPrivateFoundationsforFunding
oflnnovativeResearchi62
Chapter17.TeamScienceforTacklmgComplex
Problemsi76
Chapter18.EthicsandResearch188
Referencesi95
Indexigg
PrefacetotheSecondEdition
Aftermorethanadecadeofteachingacourseonproposaldevelopmentandwriting,webelievethattheneedforreferenceworksonproposalwritingforstudentsandresearchershasgrownevenstronger.Notonlyistheabilitytowritesuccessfulresearchproposalsimportantforthemodernscientist,butintroducingstudentstotheprocessof"doingscience"asearlyaspossibleintheirtrainingimprovesthequalityoftheirlearning.TheNIH,NSF,andotheragencieshaveactivelyencouragedtheinsertionofscientificinquiryandresearchdevelopmentintothecontemporaryundergraduatesciencecurriculum.Althoughthereisnosingleformulaforastrongproposal,thereareanumberofpreceptsthatareconsistentlyfoundinsuccessfulproposals,andthesooneronelearnstheseprecepts,thebetter.
We'vebeenverythankfulforthefeedbackwe'vereceivedonthefirsteditionofthisbook.Readerswillnoticeimportantchangesandupdatesonelectronicsubmissions,andnewandrevisedtextdescribingcurrentfederalcriteriaandformatting.We'vealsoincludedanewchapteronwritingproposalsforprivatefoundations,andanothernewchapteronmultidisciplinary,multi-investigatorproposals.Inanumberoflocations,we'vesuggestedwaysthatinvestigatorscanincreasetheimpactoftheirresearchbyseekingmatchingfunds,andcanincreasethevalueoftheirproposalsandfundedwork.Wehopeyouwillagreethatthissecondeditionaddsvaluablenewinformationandexampleswhilemaintainingthebrevityofthefirstedition.
Preface
Oneofthemostchallengingaspectsofscientificresearchissynthesizingpastwork,currentfindings,andnewhypothesesintoresearchproposalsforfutureinvestigations.Suchresearchproposalscombineeveryaspectofscientificinquiry,fromthecreativeconceptualizationtothedetaileddesign,projectedanalysisofthedata,synthesisoftheresults,andestimationofthebudget.Becausegrantapplicationsareanarticulationofthescientificprocess,writingthemisoneofthemostexcitingpartsof"doingscience."Ifyouareplanningtowriteagrantapplicationforamajorfoundation,suchastheNationalScienceFoundation,theEnvironmentalProtectionAgency,orperhapsaprivatefoundation,orifyouarewritingaproposaltoconductresearchasagraduatestudentorundergraduate,thisbookshouldbeofvaluetoyou.
Manyresearchinstitutionsoffergraduate-levelcoursesonproposaldevelopment,andresearchdesignisgrowingincreasinglyvitalintheundergraduatesciencecurriculum.Giventheimportanceofthissubjecttofuturescientists,ourfacultyinecologyandenvironmentalstudiesatDartmouthCollegefeltthatitwasessentialthatwecreateacourseonscientificprojectdesignandproposalwritingforourgraduatestudents.Ini994,whenwebeganteachingthecourse,wecouldnotfindatextthatspecificallyaddressedgrantwritinginthenaturalsciences.Sowedecidedtowriteoneourselvesbasedonourexperiencesintheclassroom.Wehopethatourbookwillbeofvaluenotonlytostudentsbutalsotonewresearchersseekingtoimprovetheirskillsindevelopingresearchproposals.
Thisbookprovidesguidanceforthoseconceptualizingandformulatingtheirresearchplans,anditoffersspecificinstructiononorganizingandpresentingmaterialinastandardformat.Weofferanoverallorganizationalframework,andwelistthecomponentsofsuccessfulscientificproposals.Beforeyoubegintowrite,youmusthaveaveryclearideaorconceptforyourresearch.Thereis,however,nosecretformulaforwritingsuchproposals.Eachgrantapplicationmustbetailoredtothespecificationsofthefundingagencyorgraduatecommitteetowhichitisdirected.
Researchproposalsarewrittenforavarietyofpurposesandaresubmittedtomanydifferentagenciesandtofacultycommittees.Wefocusonagenciesthatsolicitproposalsinthenaturalsciences;theseincludetheNationalScienceFoundation(NSF),NationalInstitutesofHealth(NIH),EnvironmentalProtectionAgency(EPA),U.S.ForestService(USFS),U.S.GeologicalSurvey(USGS),andprivatecorporationsandfoundations,aswellasacademiccommittees.OurformatshouldalsobeusefultothosesubmittingtotheNationalResearchCouncilofCanada,NATOScientificandEnvironmentalAffairsDivision,andotherfundingagenciesworldwide.
Therearemanywaystowriteexcellentproposals.Wepresentamodelthatweandourstudentsandcolleagueshaveusedwithsuccess.Ourideashavebeencombinedwiththoseofthemanynaturalscientistsfromavarietyofdisciplineswithwhomwehaveconsultedwhilewritingthisbook.Discussionswithcolleagues,proposalsgiventousbysuccessfulauthorsinavarietyoffields,andourstudents'ideashavebeenespeciallymeaningfulinthiseffort.Ifyousubmitaproposalafterusingthisbook,orifyouusethisbookinacourse,pleaseletusknowhowyoufare.Welookforwardtohearingfromyou.
Acknowledgments
Wearegratefultothemanystudents,colleagues,advisers,reviewers,andprogrammanagerswhohavecontributedgreatlytoourproposalsovertheyearsordirectlytothisproject.Whilewewerewritingthisbook,numerouspeoplegenerouslysharedideas,experiences,andproposalswithus.Wehopethatthefollowinglistincludesmostofthepeoplewithwhomwehavecommunicated.Oursincereapologiesforanyomissions:
JohnAber,VictorAmbros,MattAyres,JoelBlum,DougBolger.ChristineBothe,RickBoyce,C.PageChamberlain,CeliaChen,AnnClark,JimColeman,HanyFarid,MarceloGleiser,MaryLouGuerinot,NelsonHairston,Jr.,DickHolmes,MaryHudson,TomJack,KevinKirk,JonKull,EricLambie,JaneLipson,PatMcDowell,MarkMcPeek,FrankMagilligan,EricMiller,WilliamNorth,JerryNunnally,GeorgeO'Toole,BonniePaton,DavidPeart,BinReiners,JimReynolds,RogerSmith,RichardStemberger,JudyStern,AmyStockman,RossVirginia,RichardWright,WayneWurtsbaugh.RuthYanai,andfouranonymousreviewers.
Ourspecialrecognitiongoestoourdearcolleagues,NoelPerrinandDonellaMeadows,bothofwhomhavepassedawaysincethefirsteditionwaspublished.Theiradvicefornavigatingthepublishingworldwasinvaluable.LisaClay,CarrieLarabee,andespeciallySusanMilordcontributedarangeofideas,aswellaseditingandtechnicalassistance.MargaretDyerChamberlainprovidedmanycartoonsforourconsideration.Finally,wethankDavidPeart,NoelPerrin,andtwoanonymousreviewersforcarefullyreadingversionsoftheoriginalmanuscript,HeidiDowneyforvaluableeditorialassistance,MatthewLairdforlogisticalassistance,andJeanThomsonBlackforhersupport,enthusiasm,andhardworkasoureditor.
Wealsowishtoacknowledgethemanyusersofourbookwhohavecontributedimportantinputandencouragement.Oneofthemostresoundingcommentswastokeepthesecondeditionbrief!
Wehopewehavemanagedtofollowthisadvice.
ANotetotheReader
Wewrotethisbooktobereadtwoways:
eitherinitsentiretybeforebeginningaprojectorchapterbychapter-butnotnecessarilyinsequence-asyoudevelopspecificsectionsofyourproposal.Thefollowinglistcontainsanumberofgoalsthatyoucanrealisticallyexpecttoaccomplishoverthecourseofpreparingaresearchproposal.
*Identifyanddescribetheconceptualframeworkfortheresearchquestion.
*Reviewtherelevanttheoreticalandempiricalliteraturebothforthesystembeingstudiedandforrelatedsystems.
*Describethegeneralresearchquestioninthecontextoftheconceptualframeworkandthetheoreticalandempiricalworkthatprecedestheproposedwork.
*Formulateaconciseandincisivesetofhypothesesorspecificaimstoaddresstheoverarchingquestion,
*Designstudiestotesteachhypothesisoraim.
*Developmethodsandtechniquestotest,analyze,andsynthesizeresults.
*Evaluatepotentialalternativeoutcomesthatmaybeobtainedfromeachpartofastudy,andconsiderwhereeachofthesealternativesmaylead.
*Combinetheseitemsinacoherent,precise,concise,excitingproposal.
*Submittheproposaltotheappropriateagencyorevaluationcommittee.
*Interpretandrespondconstructivelytoreviewsoftheproposal.
Anideabeginstheproposaldevelopmentandwritingprocess,butsometimesarequestforproposalsfromaparticularagencycaninfluenceormotivateaproject.Fromtheoriginalideain
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