Ian F. C. Smith Writing a Research Proposal

2 Disclaimer This is mostly opinion. Suggestions are incomplete. There are other strategies.

Why write a research proposal? Reasons for writing a research proposal are to Begin a thesis and pass the initial exams (qualifier, candidacy, etc.) Obtain money for salaries from a funding source Purchase equipment Justify travel It is not possible to be a successful researcher unless you are capable of writing a convincing research proposal. Your proven ability to attract funds can make the difference in getting the job you want. 3

Usual conditions The research-proposal-writing process has particular characteristics. Some of them are There is not enough money to fund all proposals The people on the panels who judge the proposal are not likely to be in your exact research area Outside experts are usually consulted Reasons given for decisions not to fund may seem unfair The best order in which to write a proposal is not in the same order as it is read (!!) 4

Start by fixing the objectives The objectives establish the heart of the proposal. They need to have the following characteristics Each needs to be briefly stated (one sentence) Originality must be easy to establish Previous work by the author can be easily linked to them There is a clear line to feasible work packages They should not be too ambitious. Check compatibility with the number of people who could be funded. Use present verb tense. All project actors should agree before any further writing takes place. Link objectives using a figure. 5

Introduction 6 The introduction must have “punch”. This is not easy, especially for someone who is new to the field. Use present verb tense. Discuss trends, such as convergence of technologies, growth of city populations, global warming, scarce resources. Provide numbers and percentages that are unexpected. For example 20% of fresh water is lost in leaks, the global construction market is more than $8 trillion, 40% of energy use is in heating and cooling buildings, etc. Photos and figures can add to the “punch”. Progressively link general challenges to more specific goals that lead logically to a statement of the objectives of the research project that is being proposed.

Previous work by others - 1 Use past verb tense. Related papers provide Ideas that can be built upon Results that could be used for comparison Examples of motivating text Tips for testing Examples of figures, tables, variable names and equations Indication of words to use References to other work Pointers to standards and existing computer programs 7

8 A literature survey should not be done to impress the reader with an unstructured “shopping list” of contributions. A good literature survey does two things Introduces work that will be built upon (positive references) Justifies originality of objectives (negative references – indicating research gaps). Often literature reviews can be structured according to the objectives. It is usual to analyze more than twenty papers. A reference list could have up to 60 references. (but not 100!) Previous work by others - 2

Previous work by others -3 An expert should be able to guess what the objectives are just by reading how the analysis of the literature is done. Conclude by restating key observations in the analysis that establish originality. After each observation, put the relevant objective in brackets. At this point, it should be clear to the reader that no one has done this work before. If this part is not convincing the reader may not go further. 9

Previous work by authors Previous research projects, such as completed theses, are mentioned, particularly when this work has inspired one or more objectives. Use past verb tense. Pilot study results are also placed in this part. The results should be presented in a way to convince the reader that the objectives of the current proposal are feasible. Often, this is where the panel becomes convinced that the proposal deserves funding. Sometimes it is worth delaying submission of a research proposal until a pilot study is completed, see separate slides. Previous work in a wider area is acceptable to add since it demonstrates experience and knowledge. This part should not, however, dominate the Section in terms of length and results.

Tasks-1 The task section (in present and conditional verb tense) usually starts with a repetition of the objectives. Objectives are transformed into work tasks (or packages). Usually this is a one-for-one change although several tasks can be necessary to satisfy an objective. Use the same figure as is in the objectives with new labels. Each task is then subdivided into subtasks. There are usually 3-5 subtasks per task. Include tasks (subtasks) for validation. 11

Tasks-2 Describe each task in terms of what would be done and how it would be done (1-2 paragraphs each). If funding for more than one person is involved, be clear about who does what. Describe subtasks (1-5 sentences). Be as specific as possible. Link to other subtasks. Add a documentation task. This includes sub-tasks called reports, journal papers, conference papers and thesis preparation. 12

Schedule Create a bar diagram with months (not weeks and not several months) on the horizontal axis and subtasks on the vertical axis. Beginning and ending tasks may appear once. Other research tasks should be revisited, say once a year. A “stair-case” type of schedule implies that the proposers do not recognize the iterative nature of research. This is a bad impression to give. Limit number of research tasks to two or three in a given month. Documentation tasks may add to this. Indicate milestones on the schedule through vertical lines or arrows below the diagram. Milestones can be journal articles, software demonstrations, testing reports, presentations to funding body panels, etc. 13

Expected impact of research This section must relate to what was said in the Introduction. The difference is that, in this Section, focus goes from specific to general. Start with assuming that the objectives are fully satisfied. Progressively widen influence of positive results until there is an ending statement that would appeal to someone who is not in the field. Avoid being too bold. Use the conditional verb tense. Finding the right compromise between excessive optimism and a naive understatement is difficult. Seek opinions from others.

Proposal guidelines Consult all documentation related to the funding. Strictly follow the order of sections. Not respecting rules is grounds for disqualification. At best it will annoy the review panel. Do not “forget” to include required annexes such as CVs, publication lists, referee information and estimates for equipment. This is the first thing that is checked. It could delay processing of your proposal. Page limits should not be exceeded. Do not choose a small font to stay in the limit. Ensure that all figures are readable.

Additional information If you need to suggest referees, ask them first. Usually they are flattered by the recognition. Add any international collaboration. Do not include organization of meetings unless specifically asked. This can be seen as padding. Do not copy text from papers - even if you wrote it. Even “general motivation” paragraphs are not to be reused. Never present information by others without a citation. Small amounts (one paragraph) of text can be copied if put in quotes and if permission is granted.