ASTR 8500 (O'Connell, February 2024)
TIPS ON WRITING PROPOSALS IN ASTRONOMY
Most resources (money, observing time, and computing facilities) in
astronomy are
competitively awarded. This means that all
astronomers must become adept at writing proposals to secure those
resources.
The current national budget to support research in astronomy is over
$400K per astronomer per year (see
this table), which
sounds more than ample. But individual investigators can acquire
direct control over only a small portion of that amount in the form of
grants. Most of the national budget goes to support the design,
implementation, and operation of a set of
large, shared
facilities (e.g. the Keck telescopes, ALMA, HST, JWST), and access
to these is awarded almost exclusively through a
competitive proposal
process.
Most of the following tips apply to all kinds of proposal writing, but
they are specifically aimed toward university personnel proposing to
obtain
research grants from federal agencies or access to major
national facilities (telescopes, computers).
Probabilities
Success rates for proposals in astronomy currently are
generally
small: rarely better than 30% and in the more
competitive cases, only about 10%.
For NSF research grants,
success rates are
currently in the ~20% range. The JWST Cycle 1 proposal
opportunity was oversubscribed (ratio of requested observing
time to available time) by a factor of 4:1, but for Cycle 3
the factor was 9:1,
a record for astronomical facilities.
Since a success rate more in the range of 30-50% would be much more
healthy for the field, this is
not a good situation and has
gotten worse over the last 30 years. It is a consequence of the large
number of people who have been attracted to astronomy over that time
coupled with small inflation-adjusted growth in the federal budget for
astronomy.
For intra-department observing proposals for time on our guaranteed-access
facilities, the success rate is typically 80%.
Effort
Writing a good proposal is time consuming, and (obviously)
the effort increases in proportion to the scale of the project involved.
Some rules of thumb:
- NOIRlab or NRAO/JVLA observing proposals (2 opportunities per year) might
require 2-4 person-days.
- Moderate-scale HST (say 25 orbits), JWST (20 hours), or NRAO/ALMA
observing proposals (1 opportunity per year) might require 6-10
person-days.
- Large-scale personal research grant from NSF (>$200K; 1
opportunity per year): 10-20 person-days.
- Large-scale projects (e.g. NASA spacecraft), with budgets up to
hundreds of $M, require over a hundred person-days of effort,
usually involving private contractors. Simply organizing such
proposals is a major undertaking in its own right, and institutions
must commit significant funds just to mount a proposal effort. Most
such proposals will fail, of course.
A survey of effort versus success was
published by Ted and Courtney von Hippel
(
2015),
who found that the average research grant proposal takes 116 PI hours and 55 Co-I
hours to write and that the primary predictor of success is having had
previous success.
Advance planning
- TIMING: "Unsolicited" proposals can be submitted at any
time, but the vast majority of proposal opportunities are "solicited."
That is, a "Request for Proposals" (RFP) or an "Announcement of
Opportunity" (AO) is circulated, and there is a specific submission
date after which proposals will not be accepted. Major programs
operate on a fairly predictable cycle, typically with 1-2
opportunities per year.
- ALLOCATION DELAYS: For most ground-based facilities,
observing time is awarded starting about 3 months after the proposal
deadline. For space missions, the delay might be 6-18 months. NSF
and NASA budget flows cannot be counted on for at least 6 months after
the proposal deadline and possibly significantly longer.
All this implies that you must plan ahead. That is particularly true
if your project depends on hiring new personnel or paying existing
personnel. Note that the proposal/award cycle is usually not in
phase with the national hiring cycle (which begins in the fall), and
this can result in serious practical complications.
The duration of grant awards normally runs from one to three
years in astronomy. A few opportunities are for five years. In most
cases, you can obtain a "no cost extension" of an existing award,
which allows spending past the originally intended end of the project
but with no additional funds. In a small percentage of cases, it may
be possible to extend a grant with a modest amount of supplementary
funds. For major projects, such as space missions, there
are formal reviews regarding continuation or supplementation of
funds.
- CO-INVESTIGATORS: Almost all contemporary projects involve
a team: anywhere from 3 to 100+ people. You must organize
your team before you start to write the proposal. Team meetings
with members outside your institution are normally held by teleconference.
Each Co-I should bring a well-defined strength to the project. Do not
add people who will not contribute their share. Many projects require
special technical expertise (e.g. reducing grism data or analyzing
molecular excitation levels), for which experienced Co-I's are needed.
Your project's perceived viability may depend on your choice of
Co-I's.
Be sure you have a consensus among Co-I's concerning overall goals
and strategy for developing the proposal before beginning to
write. Leverage Co-I expertise to best advantage by farming
out relevant parts of proposal preparation.
Note that there can
be only one "Principal Investigator" (PI), who becomes the
single point of legal/financial contact with the sponsor if the
proposal is successful and who normally has prime reponsibility
for writing and submitting the proposal.
- LETTERS OF INTENT: some programs expect you to submit a
Letter of Intent several months before the proposal is due. This is
simply a statement that you, and your listed Co-I's, intend to submit
a proposal. The LOI normally carries no legal obligation. It is
mainly used by the agencies to assemble panels of independent
reviewers well ahead of the proposal deadlines.
- ELECTRONIC SUBMISSION AND INFORMATION SYSTEMS: Most
opportunities now require electronic submission of proposals through
special systems such as
NSPIRES (NASA) or
Research.gov
(NSF). It's very important to become familiar with the idiosyncracies
of these well in advance of deadlines and to make trial
submissions, assuming this is allowed.
For the major observatories, there are extensive online
resources to help you plan your proposal (e.g. instrument
handbooks and observation simulators). These are often dense, and you
will find it advisable to set aside a week of time well ahead of the
proposal deadline to become comfortable with the material and
software.
- BOILERPLATE: A burden. Apart from the stuff that matters,
you must normally provide brief CV's of all investigators, lists of
previous successful proposals and resulting publications, a statement
of existing grant support, investigator addresses, a list of cognizant
university officials, your institution ID numbers, and so forth. Less
reasonable demands can include lists of all your recent
collaborators(!), drug-free certifications, data management plans,
outreach plans, and more. Most of this material has little to no
effect on the actual evaluation of the proposal, but it can't be
ignored; and the problem is getting worse. A major
time-sink: beware!
One expected element that might appear to be "boilerplate" in NSF
proposals --- but is not --- is the "Broader Impacts" section.
This is mandated because of Congressional pressure on NSF to support
only "relevant" research. Specifically: "The statement on broader
impacts should describe the potential of the proposed activity to
benefit society and contribute to the achievement of specific, desired
societal outcomes." Details are given in the
NSF
proposal policies manual. This is taken seriously in proposal
reviews, and a thoughtful effort here is strongly recommended. Ask
for advice from colleagues.
- BUDGET PREPARATION DETAILS: Preparation is significantly
more complicated if a budget is involved. If that's the case, your
first step should be to acquire a good grasp of the details of your
institution's policies on budgets: salaries, benefits, travel,
F&A costs, restrictions on purchases, etc. There can be a steep
learning curve here. On your first attempt, it is strongly
recommended that you ask colleagues to see examples of budgets on
successful proposals of similar scale from your institution.
For UVa Astronomy Department budgeting guidelines on the department
Wiki/Collab site, click
here.
Budgets
- AVAILABILITY: Not all opportunities involve funding.
Awards of observing time on most ground-based facilities (supported
mainly by NSF) do not carry associated funding awards, even for
travel to the observatories. This is true for most NOIRlab and NRAO
facilities. In order to obtain research funds to support work at
those observatories, you must make a separate scientific
program proposal to NSF. This is a bad system and has an
unpleasant "double jeopardy" character.
One exception is for student observing projects at NRAO. Research
supervisors are entitled to apply
for "Student
Observing Support Program" funds, which provide capped support for
stipends, travel, and computer equipment during data acquisition and
analysis.
Note that most of the leading astronomical journals require the author
to provide "page charges" before papers can be published, so the
general lack of funding support for ground-based observational
programs is a serious impediment.
By contrast, observing time on most NASA facilities does carry
associated research funding.
- PRIORITY: In most cases, budgets are of secondary
importance in the success of a proposal. The scientific
justification is normally much more important.
Exceptions include the case of a very ambitious program
where the budget is a key feasibility criterion.
- ESTIMATING: Nonetheless, the budget is of primary
importance in actually doing the research. You should ask for
what you need. Don't skimp to impress an agency (because you won't)
and don't assume your department will pick up any slack (because it
won't, unless you have negotiated shared support in advance). Be sure
that what you ask for is reasonable and well justified. A list of
typical budget items is given below.
It's better to slightly over-estimate than the converse.
If the agency believes you have requested too much, it will negotiate
a lower level with you; but you will never get more than you ask
for.
It's a good idea early in your career to become facile with
using spreadsheet programs. Even simple budgeting can involve
an array of possible configurations that you will want to explore
within some outer envelope, and spreadsheets make that much easier.
They cushion unanticipated last-minute iteration, too.
- GOOD SENSE: In cases where budget guidelines have been set in
advance by the agency, you clearly have to abide by these and adjust
the amount of work planned accordingly. It is foolish to submit a
proposal that seriously violates a funding limit or time scale which
is explicitly stated in the RFP.
If your budget comes in just
slightly below a stated cap, you risk the impression that you have
unrealistically cut corners and that you will not be able to produce
what you claim.
- UNIVERSITY APPROVAL: Any submitted budget requires approval by
your university. This takes time, and for inexperienced proposal
writers it may require iteration. Allow at least an additional
week for this. Normally, but not always, you can continue
spiffing up the science justification while the budget is processed,
as long as there are no changes to the budget requirements.
- CO-I SUPPORT: Primary funding for a successful project will
usually flow through the PI's institution. External Co-I support may
be passed through the PI institution, or it may be sent directly from
the sponsor to Co-I institutions after separate sub-budgets are
submitted by them. In many cases, the PI is expected to submit a
consolidated funding proposal including all the details of Co-I
support.
- TWO-PHASE PROPOSALS: Because of the hassle involved in
preparing budgets and the low probability of success, it is
(thankfully) more common now for agencies (e.g. STScI) to break the
proposal process into two parts and to request budget submissions only
from successful proposers. NASA missions may also separate the
requirement for detailed targeting information and observing sequences
into a "Phase II" submission. To minimize pain, some programs use a
simple, non-negotiable funding allocation, based, for instance, on the
number of observing hours you are awarded.
- F&A WARNING: Your institution will charge "facilities and
administration" (F&A) costs to cover its general support expenditures
on all external grants. (These used to be called "overhead" or
"indirect" costs and can cover a broad array of items including office
and lab space, utilities, support staff, Internet services, central
administrative services, and so forth. They are re-negotiated by
universities with government agencies on a regular basis.) F&A
costs are charged as a specific fraction of the "direct" costs of a
proposal and must be
explicitly included (by you) as part of your budget. Since the
total amount of grant funds available in an agency is capped, F&A
charges effectively reduce the amount of money that can be used
for actual research and over which you will have direct control.
At UVa, F&A charges have recently been in the range 50-60%
of the direct costs in the grant. At private universities, they may
range up to 80-100%; in industry, yet higher. Some agencies restrict
the size of F&A awards, in which case you will have to negotiate with
your institution to be sure your budget is approved.
When you include benefits, travel, publications, and other incidental
costs, and then apply the F&A multiplier for supporting a postdoc,
for instance, the amount you would have to request could easily
be double the postdoc's salary.
- TYPICAL BUDGET ITEMS:
Agency and institutional expectations regarding budget formatting vary
widely, so only general guidelines are given here. Budgets are
normally broken out by year.
BUDGET NARRATIVE: a general description/justification for the budget.
For larger projects, you may have to supply a "work breakdown structure" --
i.e. a full list of task assignments for all personnel.
PERSONNEL: (list by category: PI, Co-I, student, postdoc, data tech,
lab tech, clerical, etc.).
Number of people, person-months of effort, salary per month for each
category. Faculty members are normally paid by their university for
the 9 months of the academic year and can request "summer salary"
support for an additional 1 to 3 months. Requesting academic year
support in part or whole requires negotiation with your institution
and probably also the funding agency.
Benefits: (health, Social Security, retirement, etc). Usually
quoted as a percentage of salary, but depends
on category of personnel.
TRAVEL: sometimes justification is required in nightmarish detail,
especially for foreign travel.
STUDENT TUITION
COMPUTING EQUIPMENT AND SERVICES
LAB EQUIPMENT AND SERVICES
SUPPLIES (technical, lab, office)
TELECOMMUNICATIONS SERVICES (phone, Internet, etc.)
SUBCONTRACTS for special services; in some cases this could
cover external Co-I's
PUBLICATIONS: estimated number of pages, publication charges per page,
special preparation costs, etc.
F&A CHARGES: entered as a percentage of total costs in all but
a few excluded categories.
Note also that any item ostensibly covered
by your institution's F&A charge cannot be included as a direct
cost in your budget. This can complicate your life unnecessarily, e.g.
when the F&A charge is claimed to cover computer hardware.
Proposal Review
- PEER REVIEW: essentially all proposal review in NSF and NASA is by
anonymous peer review, not by agency officials. The old "sweetheart"
system, where a single agency grants officer decided on the award of
funds, sometimes without any peer input, has faded away, except for
a few corners of the government and private sectors.
Dual-Anonymous Peer Review: Many programs are now changing to
dual-anonymous peer review, in which identification of the PI, Co-I's
and institutions making the proposal is removed from material
presented to the reviewing panels. This is intended to eliminate
gender, ethnic and other forms of bias in the proposal evaluation.
Unfortunately, it makes writing the proposal more awkward and
eliminates the legitimate claims that experienced and successful
research teams can cite as strengths, based on their previous work.
Once the anonymous primary review is complete, program officials do
consider the strength of the teams before the final awards are
decided.
- COMPETITIVE REVIEWS: Major solicited proposal programs,
which can yield over 1000 proposals, now usually hold competitive
reviews, where groups of 5-10 referees read each of, say, 50
proposals. Two reviewers are chosen to be "prime" or "secondary"
reviewers on each proposal; they look more carefully at their
proposals, write summaries, and record comments from the group. The
whole committee meets and systematically compares the proposals to
each other and to the available budget and produces a rank-ordered
list of proposals to support. This system works surprisingly well, and
produces the closest thing possible to an objective review (though you
will not always think so).
TRIAGE: the proposal burden is so large in many programs
(e.g. HST), that "triage" is performed. Before the meeting, all
reviewers skim each proposal and determine whether it is
above the 30th percentile. Votes are collected remotely. Proposals
below this cut are not considered further. Proposal titles,
abstracts, Co-I lists, and illustrations are the most influential
elements affecting the triage outcome.
The burden on reviewers is now large enough that NSF, for instance, is
considering whether to restrict the number of proposals that
individual scientists can submit over a given period of time or
concerning a given subject. Another strategy used by some
agencies is to require anyone submitting a proposal to act as
a remote reviewer on a set of unrelated proposals.
- FEEDBACK: Most, but not all, programs will give you feedback
concerning the reviewers' opinions of the strengths and weaknesses of
your proposal. This can be very useful in making improvements for the
next round. Sometimes only small changes can produce success on the
next iteration. Unfortunately, with a little experience, you will
begin to detect a significant random component in proposal
evaluation. This is human nature; grit your teeth and try
again.
- STRATEGIC IMPLICATION: Given this atmosphere, you must
design your proposal to impress harried reviewers who have only
a few minutes to read each proposal and who are looking
for reasons to reject.
Writing the Proposal
- Never violate stated limits on length, font sizes, number
of figures, and so forth. Not complying with guidelines will not only
annoy the more finicky reviewers, but in some cases it will result
in mandatory rejection. If you can't present your case in the
expected space, reviewers will think you don't know what you're doing.
Likewise, never omit some piece of information or boilerplate you are
asked to supply.
- A compelling proposal must be clearly, persuasively, and concisely
written and must demonstrate:
- That the questions you are asking are important and
interesting;
- That the program is technically feasible;
- That you are competent to execute it; and
- That it will provide a definitive answer to the
questions posed.
- Write for people who are generally well informed but who
are not specialists in the field. Clearly explain the main
issues. Be sure to define all acronyms and abbreviations. Place in
the larger context. Make sure claims for importance or uniqueness are
defensible; don't exaggerate.
- Keep it short and clear, clean and uncluttered:
Remember that it is not easy to be simultaneously informative and
terse. "...Writing briefly takes far more
time than writing at length." (Carl Friedrich Gauss).
Use subheadings, short paragraphs, topic sentences, large fonts.
Don't present barely digestible blocks of text. Don't crowd
text.
Minimize use of multiple font types, but do use bold face (sparingly)
to highlight key points.
It's normal and unobjectionable to adopt a compressed style for
literature citations in a proposal to save space. But be sure to
include the important literature, because its authors could easily be
on your review panel!
- Put key points up front. Don't make the reviewer read to the
10th paragraph before you state what you're planning to do.
- Work hard to be sure the abstract captures all
the key points clearly and succinctly and in good prose style. The
reviewers' first (and in some cases, only) impression will come
from the abstract.
- Be sure you have considered all the possible weaknesses in the
proposed work and have implicitly responded to those issues and to
common misapprehensions about your subject. Your Co-I's are a good
resource here.
- Don't waffle: where ambiguities exist, state clearcut choices and
how you intend to resolve the issues involved.
- Illustrations (images, plots) can quickly clarify issues
for the reader. They add interest and "tangibility" to the project.
They can represent nice summaries of your earlier work on the topic.
They can substitute for lengthy text. Strongly
recommended.
Note that figure captions can use smaller fonts---a good way to squeeze
in a little extra information.
You can include color figures in proposals if your RFP allows it.
Many reviewers will read your proposal electronically from a PDF file
and will see the color versions. But some prefer to read from a hardcopy
and may not care to use a color printer. It's best if you adjust
figures so they will be easily interpretable if viewed in greyscale.
Be sure figures are reproduced at an easily viewed scale.
- Especially for your earlier efforts, ask colleagues
to review the proposal and offer suggestions for improvement.
Do this far enough in advance of the deadline to accommodate major
changes, if needed. In larger teams, assign a couple of Co-I's to be
responsible for a full, critical review of the writeup, but be
sure to circulate drafts to the whole team.
- Essential: proofread line by line from paper, not a
computer screen. Try to put yourself in the mind of a
skeptical/harried reviewer as you read.
Always spell-check.
- Leave yourself sufficient reserve to be sure you can submit
comfortably ahead of the deadline. Beware last minute computer
glitches. Competition is so heavy for the large programs that the
submission deadline is usually a hard (electronic) cutoff.
Advice for Graduate Students
Practice! Get experience writing proposals before you leave
the shelter of grad school. Write the observing proposals for your
thesis research in collaboration with your advisors. Volunteer to help
with their larger grant proposals as appropriate. The more exposure
you get to the process, the better.
Web links
Last modified
February 2024 by rwo
Text copyright © 2012-2024 Robert W. O'Connell. All
rights reserved.