Where is the Where is the ????

Kelvin DroegemeierKelvin DroegemeierAssociate Vice President for ResearchAssociate Vice President for Research

Professor of MeteorologyProfessor of Meteorology

How to Find Funding How to Find Funding for Your Researchfor Your Research

Create

Overview of the Funding Overview of the Funding ProcessProcess

Funding agencies (NSF, NOAA, FAA, DoD, DoE, Funding agencies (NSF, NOAA, FAA, DoD, DoE, NASA, EPA) + private industry + foundationsNASA, EPA) + private industry + foundations– Different procedures, philosophiesDifferent procedures, philosophies– Federal FY starts October (FY06 started Oct ‘05); Federal FY starts October (FY06 started Oct ‘05);

Federal agencies often receive their budgets 6 months Federal agencies often receive their budgets 6 months into the fiscal year!into the fiscal year!

SolicitationsSolicitations– Many types (open, targeted, SBIR, STTR) Many types (open, targeted, SBIR, STTR) – Electronic announcements (bulletin boards, list serves, Electronic announcements (bulletin boards, list serves,

subscriptions services)subscriptions services)

Learning What’s Out There!Learning What’s Out There!

http://research.ou.edu

Research TopicsResearch Topics

Widely varying – function of agencyWidely varying – function of agencyBased uponBased upon– National needs and Presidential prioritiesNational needs and Presidential priorities– Community input (workshops)Community input (workshops)– Science and engineering opportunities (latest hot topics, e.g., Science and engineering opportunities (latest hot topics, e.g.,

nanotechnology)nanotechnology)– Politics or agency head likes and dislikesPolitics or agency head likes and dislikes

““Priority Areas” Today at NSF (5-year programs)Priority Areas” Today at NSF (5-year programs)– Biocomplexity in the environmentBiocomplexity in the environment– Nanoscale science and engineeringNanoscale science and engineering– CyberinfrastructureCyberinfrastructure– MathematicsMathematics– Human and Social DynamicsHuman and Social Dynamics

Presidential PrioritiesPresidential Priorities

Homeland security R&DHomeland security R&D

High-End Computing & Networking R&DHigh-End Computing & Networking R&D

National Nanotechnology InitiativeNational Nanotechnology Initiative

Basic PhysicsBasic Physics

Understanding Complex Biological Understanding Complex Biological SystemsSystems

Energy and EnvironmentEnergy and Environment

Priorities in ContextPriorities in Context

Strong support for science in CongressStrong support for science in CongressAnd now in the White House…And now in the White House…American Competitiveness InitiativeAmerican Competitiveness Initiative– Doubling basic research funding in science and Doubling basic research funding in science and

engineering over 10 years (NSF, NIST, DOE O/S)engineering over 10 years (NSF, NIST, DOE O/S)

Administration emphasis on tangible outcomesAdministration emphasis on tangible outcomes

Some ConcernsSome Concerns

Rise of China as a major energy consumerRise of China as a major energy consumerRise of India as a place to outsource workRise of India as a place to outsource workWeakening of US position for recruiting Weakening of US position for recruiting prospective graduate studentsprospective graduate studentsImmigration issues – student visasImmigration issues – student visasPaucity of students entering STEM fieldsPaucity of students entering STEM fieldsState support for higher education continues to State support for higher education continues to fallfallIndustry support of academic R&D has fallenIndustry support of academic R&D has fallen

Total Federal S upport:Basic Research at Academic Institutions

$12.6B

NIH61%

NSF20%

Other19%

The National Science The National Science FoundationFoundation

Manifesto that Created NSFManifesto that Created NSF

Bush (1945)

The NSF Act of 1950The NSF Act of 1950

So-called “Organic Act” that established the NSFSo-called “Organic Act” that established the NSFSigned into law by President Truman on May 10, 1950Signed into law by President Truman on May 10, 1950Mission: To promote the progress of science; to Mission: To promote the progress of science; to advance the national health, prosperity, and welfare; to advance the national health, prosperity, and welfare; to secure the national defense; and for other purposes.secure the national defense; and for other purposes. Unlike ALL other agencies that have science Unlike ALL other agencies that have science components (NASA, NOAA, DOE, DOD, EPA, USGS, components (NASA, NOAA, DOE, DOD, EPA, USGS, etc), the NSF does not reside within a Cabinet etc), the NSF does not reside within a Cabinet Department – it is completely independentDepartment – it is completely independentNSF thus is not a “mission agency” though it has a NSF thus is not a “mission agency” though it has a clear missionclear mission

The NSF TodayThe NSF Today

Annual budget of $Annual budget of $66BB

Funds all areas of science and Funds all areas of science and engineering (exclusive of engineering (exclusive of medicine) – uniquemedicine) – unique

The NSF TodayThe NSF Today

Steps in Preparing ProposalsSteps in Preparing ProposalsEstablish the topic -- need solid ideasEstablish the topic -- need solid ideas– Goals and approachesGoals and approaches– Unique contributionsUnique contributions– Personnel and other resources required including Personnel and other resources required including external external

collaboratorscollaborators

Select the agencySelect the agencyMake contact with program managerMake contact with program manager– This is very critical, especially for some agenciesThis is very critical, especially for some agencies– Sometimes need inside advocacy (e.g., DoD, FAA, DoE, Sometimes need inside advocacy (e.g., DoD, FAA, DoE,

NASA)NASA)– Be sure agencies know your work (have lunch with program Be sure agencies know your work (have lunch with program

directors at national meetings, workshops)directors at national meetings, workshops)– Their job is to HELP YOU!!!Their job is to HELP YOU!!!

Numerous Types of ProposalsNumerous Types of ProposalsUnsolicitedUnsolicited– No deadlines for submissionNo deadlines for submission– Any topic is possibleAny topic is possible– Budgets can be large or smallBudgets can be large or small

SolicitedSolicited– Special program announcements/topicsSpecial program announcements/topics– For NSF, these are determined by the communityFor NSF, these are determined by the community– TONS of these out there (centers, facilities, etc)TONS of these out there (centers, facilities, etc)– Often fierce competition; interdisciplinaryOften fierce competition; interdisciplinary

SpecialSpecial– SBIR (Small Business Innovation Research)SBIR (Small Business Innovation Research)– STTR (Small Technology Transfer Research)STTR (Small Technology Transfer Research)– BAA (Broad Agency Announcements)BAA (Broad Agency Announcements)– EPSCoR (all relevant agencies)EPSCoR (all relevant agencies)

Steps in Preparing ProposalsSteps in Preparing Proposals

Notify your institution: At OU, it’s Proposal ServicesNotify your institution: At OU, it’s Proposal Services

Submit early documentationSubmit early documentation– Letter of intent (often required by solicitation)Letter of intent (often required by solicitation)– Pre-proposal letter (e.g., NSF)Pre-proposal letter (e.g., NSF)– Usually includes budget and project highlights/methodsUsually includes budget and project highlights/methods– Sometimes reviewed by panel in major solicitations to Sometimes reviewed by panel in major solicitations to

identify which will be encouraged to submit full proposalsidentify which will be encouraged to submit full proposals

Prepare and submit proposalPrepare and submit proposal– Follow all guidelines TO THE LETTER!Follow all guidelines TO THE LETTER!– Deadlines and formats (e.g., page limits) are CRITICALDeadlines and formats (e.g., page limits) are CRITICAL

Project SummaryProject Summary

Must be compellingMust be compelling

Gives the reviewer the first impressionGives the reviewer the first impression

Should simplify the job of the reviewerShould simplify the job of the reviewer

Should make the reviewer want to read Should make the reviewer want to read moremore

Follow the guidelines (NSF – both criterion Follow the guidelines (NSF – both criterion explicitly addressed…more later)explicitly addressed…more later)

Project DescriptionProject Description

Main body of the proposalMain body of the proposalObey page limits and other rules (font Obey page limits and other rules (font size!)size!)Lay out the projectLay out the project– Motivations and previous research: set the Motivations and previous research: set the

stage and convince the reviewer that this stage and convince the reviewer that this work is important and relevantwork is important and relevant

– Goals and objectives: be very specific about Goals and objectives: be very specific about what you propose to do, eve in the form of what you propose to do, eve in the form of hypotheseshypotheses

Goals and ObjectivesGoals and Objectives

Goal: A statement describing the broad Goal: A statement describing the broad outcome desired.outcome desired.

Objective(s): Statement(s) derived from Objective(s): Statement(s) derived from the goal that define the circumstances the goal that define the circumstances under which it will be known if the desired under which it will be known if the desired change has occurredchange has occurred

Goals and ObjectivesGoals and Objectives

GoalsGoals– Long-range benefitsLong-range benefits– Broadly definedBroadly defined– Ultimate outcomeUltimate outcome

ObjectivesObjectives– S S pecificpecific– I I mmediatemmediate– M M easurableeasurable– P P ractical ractical – L L ogicalogical– E E valuablevaluable

NSF Project DescriptionNSF Project Description– Research methodologies and tools/techniques: Research methodologies and tools/techniques:

experiment design, analysis methods, validation of experiment design, analysis methods, validation of results, comparison with objectives and special data results, comparison with objectives and special data to be used or collectedto be used or collected

Is your approach unique?Is your approach unique?Have you expressed the cost/benefit ratio?Have you expressed the cost/benefit ratio?Are risks associated with your approach?Are risks associated with your approach?Why is success probable?Why is success probable?Are facilities adequate?Are facilities adequate?What are the investigator’s qualifications?What are the investigator’s qualifications?

– Broad impacts of results on science and educationBroad impacts of results on science and education– Impacts on other fields, i.e. computing, networks, etc.Impacts on other fields, i.e. computing, networks, etc.

NSF Project DescriptionNSF Project Description

– Describe partnerships or collaborations, Describe partnerships or collaborations, if applicableif applicable

– Describe how results will be Describe how results will be shared/disseminatedshared/disseminated

Common Mistakes/WeaknessesCommon Mistakes/Weaknesses

Goals and objectives not clear or too Goals and objectives not clear or too broad and unachievablebroad and unachievable

Work is controversial or highly competitiveWork is controversial or highly competitive

Obvious concerns not addressedObvious concerns not addressed

Work not placed in context: significance Work not placed in context: significance and impact not obviousand impact not obvious

Too much work proposed for the level of Too much work proposed for the level of funding requested/representedfunding requested/represented

TimelinesTimelines

Provides a quick chronological overviewProvides a quick chronological overview

Indicates organization and forethoughtIndicates organization and forethought

Lists activities and phases and estimates Lists activities and phases and estimates time to completiontime to completion

BudgetBudget

Very critical part - OU Proposal Services provides Very critical part - OU Proposal Services provides a lot of help (e.g., current salaries, verification)a lot of help (e.g., current salaries, verification)

Very specific contentVery specific content– Salaries and wages (senior investigators, post-docs, Salaries and wages (senior investigators, post-docs,

students, students, technical support stafftechnical support staff))Number of months (tied to level of effort)Number of months (tied to level of effort)

Faculty can have academic release Faculty can have academic release

Faculty can cost-share part of their 9-month State salaryFaculty can cost-share part of their 9-month State salary

– Fringe benefitsFringe benefitsHealth and retirement for professionals, studentsHealth and retirement for professionals, students

BudgetBudget– EquipmentEquipment

Must be specific about model and purposeMust be specific about model and purpose

Indirect costIndirect cost

– TravelTravelMust be specific about location, duration, purposeMust be specific about location, duration, purpose

OU has standard rates for hotel, mealsOU has standard rates for hotel, meals

– Other costsOther costsMaterials and supplies (paper, pens, software, disks)Materials and supplies (paper, pens, software, disks)

Publication (page charges; usually $120/page)Publication (page charges; usually $120/page)

Computer servicesComputer services

Other: local and long-distance telephone, Other: local and long-distance telephone, tuitiontuition

Cost sharingCost sharing

BudgetBudget– Indirect costs (IDC)Indirect costs (IDC)

A portion of the total grant costs go to the institution for lights, A portion of the total grant costs go to the institution for lights, heating & A/C, office space, etc. heating & A/C, office space, etc.

It is a real cost the University must meet in order to support It is a real cost the University must meet in order to support the researchthe research

Current OU cost is 48.0% (i.e., 0.480 x rest of budget)Current OU cost is 48.0% (i.e., 0.480 x rest of budget)

Our rates are competitive - some places (MIT) are > 100%. Our rates are competitive - some places (MIT) are > 100%. Some private companies (DC area) are 200+%Some private companies (DC area) are 200+%

– Sponsored research incentive (SRI)Sponsored research incentive (SRI)A portion of the IDC is returned to the unit that generated it to A portion of the IDC is returned to the unit that generated it to seed new research activitiesseed new research activities

Unit receives 18% of the 48% of the IDC Unit receives 18% of the 48% of the IDC actually generatedactually generated

Peer ReviewPeer Review

Ask colleagues to review your proposal before Ask colleagues to review your proposal before submissionsubmissionInclude someone who is not familiar with your Include someone who is not familiar with your projectprojectActual peer review is mostly panels and Actual peer review is mostly panels and anonymous mail reviewsanonymous mail reviewsRebuttals increasingly allowedRebuttals increasingly allowedPeer and especially panel review is very Peer and especially panel review is very conservative, especially in tight budget timesconservative, especially in tight budget times– NSF looking at ways to fund Potentially NSF looking at ways to fund Potentially

Transformative ResearchTransformative Research

NSF Review CriteriaNSF Review Criteria

Criterion #1 – Intellectual MeritCriterion #1 – Intellectual MeritHow important is the proposed activity to advancing How important is the proposed activity to advancing knowledge and understanding within its own field or knowledge and understanding within its own field or across different fields? How well qualified is the across different fields? How well qualified is the proposer (individual or team) to conduct the project? proposer (individual or team) to conduct the project? (If appropriate, the reviewer will comment on the (If appropriate, the reviewer will comment on the quality of prior work.) To what extent does the quality of prior work.) To what extent does the proposed activity suggest and explore creative and proposed activity suggest and explore creative and original concepts? How well conceived and organized original concepts? How well conceived and organized is the proposed activity? Is there sufficient access to is the proposed activity? Is there sufficient access to resources? resources?

NSF Review CriteriaNSF Review Criteria

Criterion #2 – Broader ImpactsCriterion #2 – Broader ImpactsHow well does the activity advance discovery and How well does the activity advance discovery and understanding while promoting teaching, training, and understanding while promoting teaching, training, and learning? How well does the proposed activity learning? How well does the proposed activity broaden the participation of underrepresented groups broaden the participation of underrepresented groups (e.g., gender, ethnicity, disability, geographic, etc.)? (e.g., gender, ethnicity, disability, geographic, etc.)? To what extent will it enhance the infrastructure for To what extent will it enhance the infrastructure for research and education, such as facilities, research and education, such as facilities, instrumentation, networks, and partnerships? Will the instrumentation, networks, and partnerships? Will the results be disseminated broadly to enhance scientific results be disseminated broadly to enhance scientific and technological understanding? What may be the and technological understanding? What may be the benefits of the proposed activity to society? benefits of the proposed activity to society?

Peer ReviewPeer Review

Reviewers can be brutal!Reviewers can be brutal!

Often you can tell agency who you want to Often you can tell agency who you want to NOT review your proposalNOT review your proposal

Bad reviews are a good learning Bad reviews are a good learning experience for improving a proposal for experience for improving a proposal for resubmissionresubmission

Success rates vary greatly – at NSF are Success rates vary greatly – at NSF are on average 22%on average 22%

AwardsAwards

Meeting reporting requirements are criticalMeeting reporting requirements are critical

NSF will not release funds if reporting is NSF will not release funds if reporting is delinquentdelinquent

Acknowledge sponsor in publicationsAcknowledge sponsor in publications

Typical Success RatesTypical Success Rates

Depends upon the agency, program withinDepends upon the agency, program within

NSF-wide average is about 21%NSF-wide average is about 21%

Major programs (centers, large dollar solicitations) usually Major programs (centers, large dollar solicitations) usually below 10% -- a real turn off!below 10% -- a real turn off!

NSF trying to extend grant duration (currently 3 years) and NSF trying to extend grant duration (currently 3 years) and increase sizeincrease size

Can resubmit – often with good outcomes if you follow Can resubmit – often with good outcomes if you follow reviewer advicereviewer advice

Some programs limit number of proposals per institution, or Some programs limit number of proposals per institution, or require approval of a pre-proposal prior to full submissionrequire approval of a pre-proposal prior to full submission

NSF Websites for NSF Websites for Proposal PreparationProposal Preparation

NSF FastLaneNSF FastLane– https://www.fastlane.nsf.gov/fastlane.jsphttps://www.fastlane.nsf.gov/fastlane.jsp

PI Tips Sheet for Proposal PreparationPI Tips Sheet for Proposal Preparation– https://www.fastlane.nsf.gov/a0/about/pitips.htmhttps://www.fastlane.nsf.gov/a0/about/pitips.htm

Grant Proposal GuideGrant Proposal Guide– http://www.nsf.gov/pubsys/ods/getpub.cfm?gpghttp://www.nsf.gov/pubsys/ods/getpub.cfm?gpg

Instructions for Preparing and Submitting a Instructions for Preparing and Submitting a Standard NSF ProposalStandard NSF Proposal– https://www.fastlane.nsf.gov/a1/newstan.htmhttps://www.fastlane.nsf.gov/a1/newstan.htm

FAQs: NSF FastLane Proposal PreparationFAQs: NSF FastLane Proposal Preparation– https://www.fastlane.nsf.gov/a0/about/a1faq.htmhttps://www.fastlane.nsf.gov/a0/about/a1faq.htm