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Research Projects and Research Proposals

A Guide for Scientists Seeking Funding

PAUL G. CHAPIN

With a Foreword by Alan I. Leshner

published by the press syndicate of the university of cambridge The Pitt Building, Trumpington Street, Cambridge, United Kingdom

cambridge university press The Edinburgh Building, Cambridge cb2 2ru, UK 40 West 20th Street, New York, ny 10011-4211, USA 477 Williamstown Road, Port Melbourne, vic 3207, Australia Ruiz de Alarco? n 13, 28014 Madrid, Spain Dock House, The Waterfront, Cape Town 8001, South Africa



C Cambridge University Press 2004

This book is in copyright. Subject to statutory exception and to the provisions of relevant collective licensing agreements, no reproduction of any part may take place without the written permission of Cambridge University Press.

First published 2004

Printed in the United States of America

Typeface Palatino 10/13.5 pt. System LATEX 2 [tb] A catalog record for this book is available from the British Library.

Library of Congress Cataloging in Publication Data

Chapin, Paul G., 1938?

Research projects and research proposals : a guide for scientists seeking funding / by Paul G. Chapin.

p. cm.

Includes bibliographical references and index.

isbn 0-521-83015-x ? isbn 0-521-53716-9 (pb.)

1. Science ? Research grants ? Handbooks, manuals, etc. I. Title.

q180.55.g7c44 2004 507.973 ? dc22

2003069568

isbn 0 521 83015 x hardback isbn 0 521 53716 9 paperback

Contents

Foreword Acknowledgments

page xi xv

Introduction

1

1. Selecting a Research Topic

4

The Dimensions of Topic Selection

4

The Goldilocks Principle

9

Project Scale and Duration

10

The Most Important Thing

12

2. Project Planning

13

Planning for Life or for a Proposal

13

Who You Are = How You Plan

14

A Strategy for Planning

15

Timetables

18

Money

19

Larger Projects

20

Final Thoughts on Planning

22

3. Identifying Funding Sources

24

U.S. Government Agencies ? Missions and Methods

24

The National Science Foundation (NSF)

26

The National Institutes of Health (NIH)

29

vii

viii

Contents

Department of Defense (DOD)

33

Air Force Office of Scientific Research (AFOSR)

35

Army Research Office (ARO)

35

Army Research Institute (ARI)

36

Office of Naval Research (ONR)

36

Defense Advanced Research Projects Agency

(DARPA)

37

Other Government Agencies

38

Private Foundations

40

Strategies for Identifying Funding Sources

42

4. Special Funding Mechanisms

43

Programs for Particular Groups of Researchers

44

CAREER

44

ADVANCE

45

Minority Research Planning Grants and Career

Advancement Awards

46

Alternative Models of Managing Research and

Education

47

Science and Technology Centers (STC)

47

Integrative Graduate Education and Research

Traineeship (IGERT)

49

Major Research Instrumentation (MRI)

49

Initiatives in Special Topic Areas

50

Optional Mechanisms that Program Officers Can Use

52

Small Grants for Exploratory Research (SGER)

53

Conference Grants

53

Doctoral Dissertation Research Grants

56

Special Funding Mechanisms at the NIH

57

A Parting Thought about Special Funding

Mechanisms

59

5. Writing a Proposal

61

The Audience

61

The Project Description

63

What the Audience Wants

64

Ad Hoc Reviewers

64

The Advisory Panel

67

Special Panels

69

The Program Officer

69

Writing to the Audience

75

Contents

ix

Brave New Cyberworld

77

The Other Components of the Proposal

78

Cover Sheet

80

Selecting the Program Announcement or the GPG

80

Selecting the NSF Organizational Unit

81

Joint Review

81

Remainder of the Cover Sheet

83

References Cited

87

Biographical Sketches

87

Budget

88

Current and Pending Support

92

Facilities, Equipment, and Other Resources

93

Supplementary Documents

93

Project Summary

94

List of Suggested Reviewers

95

Craftsmanship

97

6. Research Ethics and Responsibilities

98

Human Subjects

99

Animal Welfare

102

Conduct and Misconduct in Research

103

Keeping the Funding Agency Informed

105

Managing Grant Funds Responsibly

106

Obeying the Law

106

The Inspector General

106

7. The Natural History of a Proposal

109

I've Written My Proposal ? Now What?

109

The Sponsored Projects Office

109

Into the NSF

111

The Review Process

112

Ad Hoc Review

112

The Panel

114

The Program Officer

116

Working with Your Program Officer

121

8. "We Are Happy/Sorry to Inform You . . ."

123

". . . You're Going to Get a Grant!"

123

". . . Your Proposal Has Been Declined"

126

". . . We Have to Hold on to Your Proposal for a

While"

132

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