National Science Foundation Graduate Research Fellowship ...€¦ · Elements guide the GRFP reviewers – they should guide you too! Burn these Merit Review Criteria and Merit Review

William D. Head GRFP Primer—UCSC 28 September 2018

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National Science Foundation Graduate Research Fellowship Program (GRFP) Primer

NSF’s Graduate Research Fellowship Program (GRFP) is about YOU; it’s a $138k investment that you’ll do great things! And this primer is about helping you to apply for this prestigious fellowship.

The GRFP selects scholars who have significant potential to advance scientific knowledge (Intellectual Merit) AND benefit society, particularly in broadening participation of underrepresented groups in STEM fields (Broader Impacts). The Intellectual Merit (IM) and Broader Impacts (BI) Merit Review Criteria frame the scope of the fellowship and the Merit Review Elements guide the GRFP reviewers – they should guide you too! Burn these Merit Review Criteria and Merit Review Elements into your thinking:

NSF Merit Review Criteria

Two overarching NSF Merit Review Criteria frame the scope of the GRFP: • Intellectual Merit: The Intellectual Merit criterion encompasses the potential to advance

knowledge. • Broader Impacts: The Broader Impacts criterion encompasses the potential to benefit society

and contribute to the achievement of specific, desired societal outcomes1.

NSF Merit Review Elements

Five Merit Review Elements guide the GRFP Reviewers: 1. What is the potential for the proposed activity to:

a) Advance knowledge and understanding within its own field or across different fields (Intellectual Merit)?

b) Benefit society or advance desired societal outcomes (Broader Impacts)? 2. To what extent do the proposed activities suggest and explore creative, original, or potentially

transformative concepts? 3. Is the plan for carrying out the proposed activities well-reasoned, well-organized, and based on a

sound rationale? Does the plan incorporate a mechanism to assess success? 4. How well qualified is the individual, team, or organization to conduct the proposed activities? 5. Are there adequate resources available to the PI (either at the home organization or through

collaborations) to carry out the proposed activities?

1Broader impacts may be accomplished through the research itself, through the activities that are directly related to specific research projects, or through activities that are supported by, but are complementary to, the project. NSF values the advancement of scientific knowledge and activities that contribute to achievement of societally relevant outcomes. Such outcomes include, but are not limited to: full participation of women, persons with disabilities, and underrepresented minorities in science, technology, engineering, and mathematics (STEM); improved STEM education and educator development at any level; increased public scientific literacy and public engagement with science and technology; improved well-being of individuals in society; development of a diverse, globally competitive STEM workforce; increased partnerships between academia, industry, and others; improved national security; increased economic competitiveness of the US; and enhanced infrastructure for research and education. (https://www.nsfgrfp.org/applicants/application_components/merit_review_criteria)


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GRFP Application Sections

The GRFP reviewers evaluate each application holistically – considering individual interests, achievements, leadership, and future plans – based on five main sections:

1. Education and Work Experience 2. Personal, Relevant Background, and Future Goals Statement 3. Graduate Research Plan 4. Three Reference Letters 5. Academic Transcripts

You can download screenshots of the GRFP application components at: https://www.nsfgrfp.org/applicants/application_components/screenshots

Education and Work Experience

This is the first major section that reviewers see and they use it to gauge and benchmark your achievements and leadership. Look at it as the CV part of your application. Populate it with your 1) educational history, 2) relevant work, research, and leadership experiences, and 3) honors, fellowships, scholarships, publications, and presentations. List them in reverse chronological order – most recent first.

1. Educational History. List the colleges/universities you’ve attended, and the dates, degrees, fields of study, and cumulative GPAs in the provided format:

College/University | Start Date | End Date | Degree | Grad Date | Field of Study | Cum GPA

2. Work, Research, and Leadership Experiences. List these in the provided format:

Position Title | Institution/Organization | Start Date | End Date

Here are some examples of experiences that go into this table: • Research Experiences (academic year or summer research experiences) • Laboratory Assistantships • Teaching Assistantships • Tutor • Mentor • Outreach Coordinator • Officer in clubs, associations, etc. • Field courses • Volunteer work • other

3. Honors, Fellowships, Scholarships, Publications, and Presentations. This section does not provide a format. Use the following headings and carefully format this section for oomph so your achievements stand out and your reviewers can easily navigate it: • Awards and Honors (put the year of the award or honor in parentheses) • Fellowships/Scholarships (put the year of the fellowship/scholarship in parentheses)

o Include funded research in this section and in the work experience section. • Publications (use a full citation format and bold your name if there are multiple authors) • Oral Presentations (use a full citation format) • Poster Presentations (use a full citation format and bold your name if there are multiple

authors)


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GRFP Statements

The GRFP application requires two statements that form the guts of your application: 1) Personal, Relevant Background, and Future Goals; and 2) Graduate Research Plan. Format these statements using 12-point Times New Roman font (10-point font can be used for references, footnotes, figure captions, and text within figures), single-line spacing, and 1-inch margins on all sides. Personal, Relevant Background, and Future Goals Statement

Essay prompt: Please outline your educational and professional development plans and career goals. How do you envision graduate school preparing you for a career that allows you to contribute to expanding scientific understanding as well as broadly benefit society?

In this essay describe your personal, educational and/or professional experiences that motivate your decision to pursue advanced study in science, technology, engineering, or mathematics (STEM). Include specific examples of any research and/or professional activities in which you have participated. Present a concise description of the activities, highlight the results and discuss how these activities have prepared you to seek a graduate degree. Specify your role in the activity including the extent to which you worked independently and/or as part of a team. Describe the contributions of your activity to advancing knowledge in STEM fields as well as the potential for broader societal impacts (See Solicitation, Section VI, for more information about Broader Impacts).

NSF Fellows are expected to become globally engaged knowledge experts and leaders who can contribute significantly to research, education, and innovations in science and engineering. The purpose of this statement is to demonstrate your potential to satisfy this requirement. Your ideas and examples do not have to be confined necessarily to the discipline that you have chosen to pursue. Page limit: 3 pages

Overview: Put personality, identity, and purpose into this essay. Rather than simply listing your experiences, create a unique narrative that highlights your achievements and leadership in Intellectual Merit (IM) and Broader Impacts (BI), and that presents a persuasive vision of how you’ll meet the GRFP’s expectation of becoming “a globally engaged knowledge expert and leader who can contribute significantly to research, education, and innovations in science and engineering, and to advancing broader societal impacts.” You can bold key phrases, underline, or use italics so reviewers can extract soundbites, but be careful not to overdo it.

Sections: Organize your Personal, Relevant Background, and Future Goals statement into four main sections using headers and this suggested format: 1. Opening Personal Statement Paragraphs – (~1/2 page) (note: a header is not required but you

could create one) • Develop an opening paragraph that captures the reviewers’ attention and that tells a story.

Give some personal background (e.g. first to attend college, underrepresented, Community College transfer, overcoming hardships, other relevant background), and shed light on the experiences (e.g. personal, educational, research, professional) that inspired and prepared you for your pathway.

• Develop a second short paragraph that has a future tense to it and that includes why you chose your graduate program and potential career path. Include ongoing commitments to Intellectual Merit and to becoming a leader in Broader Impacts initiatives.

• These opening paragraphs create the lens for the reviewers. Make them feel your excitement about your journey and your future contributions to science and society.


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2. Header: Intellectual Merit (Relevant Background) – (~3/4 page) (note: feel free to come up with a more creative header that fits the theme(s) of your essay) • Use this section to demonstrate your scholarly development and to provide evidence of

your achievements, products, and awards. Discuss how your various experiences have given you the insights, skills, and drive to complete a graduate program and make significant contributions to advancing scientific knowledge.

• Connect the reviewer with a theme of your Intellectual Merit that logically leads to your future goals.

• Emphasize your scholarship, achievements, products, and honors. o Provide evidence of your scholarly achievements (e.g. peer reviewed publications,

oral presentations, poster presentations, honors and awards) and cite your publications. o Discuss how your achievements explore creative, original, or potentially

transformative concepts. o Include upcoming conference presentations and pending publications (ask at least

one letter writer to corroborate this).

3. Header: Broader Impacts (Relevant Background) – (~3/4 page) (note: feel free to come up with a more creative header that fits the theme(s) of your essay) • Use this section to present your Broader Impacts (BI) achievements. Focus on leadership,

impact, and evidence of achievement rather than activities. For example, instead of stating that you tutored or mentored students, TA’d a course, or participated in educational outreach, frame your discussion around leadership, products, and impacts such as developing tutoring or mentoring materials, revising/developing course lessons or lab modules, or improving STEM K-12 outreach materials. If you worked with agencies or the community discuss the lasting impact your contributions have made (e.g. developing outreach materials, sharing data with agencies and researchers, organizational improvements, etc.). If you’ve had leadership positions with campus or community organizations describe how your contributions helped the programs become more successful than they were before. Presenting your BI achievements at conferences and through publications magnify impact and demonstrate scholarship.

• Connect your BI achievements with a theme of what motivates you to engage in these BI endeavors. What is it that inspires you to keep giving back to the research community, students, and the public, and what is it that will propel you to continue this pathway?

• Create a compelling and genuine story that lends credence and impact to what you’ll propose for BI initiatives in your Future Goals and Action Plan section.

4. Header: Future Goals and Action Plan – (~3/4 – 1 page) (note: feel free to come up with a more

creative header that fits the theme(s) of your essay) • This “going forward” plan is critical – after all, the GRFP is investing in your future – so

don’t short shrift it. Put clear and deep thinking into it using NSF’s Intellectual Merit and Broader Impacts perspectives. Include your doctoral, postdoctoral, and career plans and back them up with concrete action plans for Intellectual Merit and Broader Impacts initiatives. Look at this section as the proposal part of the statement.

• Begin this section by presenting a statement of why the graduate program and faculty advisor are good fits for you and your proposed plan of research.

o Explain how the graduate program, advisor, and potential collaborators have the appropriate qualifications.


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o Identify the resources (e.g. computing, laboratory, equipment, ship time, field resources, etc.) available for you to complete your proposed research.

o Describe the skills you’ll develop along the way to complete your research and analyses.

§ e.g. modeling skills, analytical skills, etc. • Take a look at the GRFP Fellow programs (GRIP and GROW) that are available only to

GRFP recipients and, if appropriate, include one in your graduate plan: o The Graduate Research Internship Program (GRIP) “expands opportunities for NSF

Graduate Fellows to enhance their professional development by engaging in mission related research experiences with partner agencies across the federal government.” Check out the GRIP website and partner agencies (NOAA, US Dept. of Agriculture, US Geological Survey, Smithsonian, Environmental Protection Agency, Office of Naval Research, and others) at: https://www.nsf.gov/funding/pgm_summ.jsp?pims_id=505127

o The Graduate Research Opportunities Worldwide (GROW) program provides Graduate Research Fellows with “an international travel allowance to engage in research collaborations with investigators in partner countries outside the United States.” NSF encourages international collaboration and consider including GROW if your research plan might have an international element. Check out the GROW website and partner countries at: https://www.nsf.gov/funding/pgm_summ.jsp?pims_id=504876

• Present a solid and compelling Broader Impacts Plan that you’ll lead while in graduate school. The Broader Impacts comments from this GRFP reviewer highlight the importance of leadership and impact:

o The applicant already has a strong record of leadership, for example by serving as president in the Society for Advancement of Chicanos and Native Americans in Science, and as an ambassador with the Undergraduate Research Opportunities Center. The applicant has additional well thought-out and concrete broader impact plans to lead a mentoring program through the MARC and LSAMP programs, and to develop citizen science curriculum as she progresses through her doctoral research. In addition, references are highly supportive of her proposed broader impact initiatives and show that the foundations are in place for the applicant to succeed and have significant impact.

• To help you think more deeply and concretely about your proposed Broader Impacts endeavors scout out BI programs on the websites of your graduate school, graduate program, and graduate advisor. For example, check out university programs that support diversity and inclusion such as UCSC’s STEM Diversity Programs (MARC, IMSD, CAMP, UC LEADS — http://stemdiv.ucsc.edu), and UCSC’s Educational Partnership Center (https://epc.ucsc.edu/programs/index.html) that works with K-12 schools, community colleges, and community-based organizations. Also review the websites of your graduate program and advisor and see what BI initiatives they are engaged in. After you complete this scan, and after considering the GRFP societal goal to “broaden participation in STEM,” carefully and strategically consider the BI initiatives you will focus on for impact and significance. Make your BI plans concrete, well supported, ambitious, and achievable.


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• If you plan to become a university or college professor consider weaving in a plan to participate in the faculty development opportunities that UC Santa Cruz offers such as the Institute for Scientist & Engineer Educators’ Professional Development Program (https://isee.ucsc.edu/programs/pdp/index.html), the Graduate School Leadership Certificate program (https://graddiv.ucsc.edu/current-students/grad-student-resources/grad-student-leadership-prog.html), and the Diversity and Inclusion Certificate program (https://diversity.ucsc.edu/training/certificate_program/). Also, consider discussing how, as a Teaching Assistant, you plan to use your experiences in these faculty development programs to incorporate inclusive teaching practices that meet the needs of diverse student learners. Reviewers will appreciate plans you present to develop and practice your leadership, and your pedagogy of teaching and learning.

• Consider including a short statement about pursuing a postdoctoral position after your doctoral degree, and how the research and professional development you’ll receive would prepare you for your career goal. Discuss possibilities and the appropriateness of a postdoctoral trajectory with your faculty advisor and check out the National Postdoctoral Association (https://www.nationalpostdoc.org) and their online publications and resources.

• Present a vision of your career goal (e.g. professor, government agency, non-profit sector, private sector, etc.) and, based on themes you developed in your statement, weave in proposed plans for Intellectual Merit and Broader Impacts endeavors. For example:

o If you plan to be a university professor give the reviewer a glimpse of what that might look like.

§ Think about how you’ll weave themes from your statement into a vision of teaching, research, and service as a faculty member.

o If you plan to work in a government agency, the non-profit sector, or the private sector give a glimpse of what that might look like.

§ Think about what you’d want your role to be, and how your research and BI endeavors prepare you for this trajectory.

• Create a memorable closing that wraps up your essay and that re-affirms your passion and vision of how your trajectory will prepare you for a “career that allows you to contribute to expanding scientific understanding as well as broadly benefit society.”


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Graduate Research Plan

Graduate Research Plan Prompt: Present an original research topic that you would like to pursue in graduate school. Describe the research idea, your general approach, as well as any unique resources that may be needed for accomplishing the research goal (e.g., access to national facilities or collections, collaborations, overseas work, etc.). Include important literature citations. Address the potential of the research to advance knowledge and understanding within science as well as the potential for broader impacts on society. Page limit: 2 pages You’re asked to pack a lot into 2 pages! Think carefully about your formatting and how you’ll proportionate your sections (see examples of Graduate Research Plans at the end of the primer). Below is a format example oriented toward Life and Physical Science fields. Other fields (e.g. Mathematics, Social Sciences, Computer Science, Engineering, etc.) may have different format norms. Whatever format you choose, address all of the GRFP Merit Review Elements.

Research Title: • Develop a clear, informative, scientifically valid, and memorable title that concisely describes the

core of your research plan. o Your reviewers will not necessarily be experts in your field so don’t use too much jargon.

Background/Problem Statement: • What’s the problem or big question and why should we care?

o Describe its importance to science and society. o Cite key studies that have addressed the question. o If this is an expansion of your prior research include what you’ve accomplished so far.

• What critical basic science gap(s) must be filled to move the field forward? • What do you generally plan to do to address the gap(s)?

o Provide a clear context that sets the stage for the aim/approach.

Aim/Approach: • To set up your research question give a clear non-technical and memorable soundbite of the

aim/approach of your research plan in filling this gap, and its originality and significance.

Research Question: • State the key research question(s) you must answer to meet your aim.

o Indicate how your research question moves the field forward. o This sets up your study system and hypotheses.

Study System or Organism(s) (if appropriate): • Explain the study system or organism(s) you will use to address the question and why it’s a

“model” or the “most appropriate” system to use. o What is the advantage of this system over others?

• Reiterate your qualifications and the qualifications of your advisor and collaborators, and that the needed resources (e.g. study sites, lab equipment, field equipment, computer facilities, etc.) are available to carry out your proposed activities.

o Note: If you don’t have a study system section be sure to put qualifications and resources in another part of the text as they hit two Review Elements.

Hypotheses: • Your hypothesis/hypotheses must be testable, and must clearly and concisely state the expected

relationship between variables.


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Methods: (for each hypothesis, include separate methods, analysis, and Intellectual Merit sections) • Your methods section describes how you will test your hypotheses. • Start with a very brief description of the overall methodological approach. • Conceptualize your research plan as a 3-year project.

o Describe what you will you do in Year 1, 2, and 3, and how your hypotheses and activities build on one another.

o If you need to develop new skills (e.g. analytical, modeling, etc.) explain why, when, and how.

o If appropriate, discuss specific collaborations you’ll foster to hone your skills and accomplish your research.

• Describe the major steps you’ll take to collect the data you need to test your hypotheses. o It’s critical to link your methods to your research question(s) and hypotheses. o Think about your hypotheses building logically and chronologically (e.g. hypothesis 1 the

first year, hypothesis 2 the second year, etc.). o It’s ok to include more jargon in this section to demonstrate expertise.

• Highlight creative and innovative parts of your approach and why they are most appropriate. • Discuss how you will assess success and how you might deal with difficulties that you might

encounter. • Include a figure or diagram if it can elucidate your proposed plan of research.

o Remember that space is limited – if you use a figure make sure it’s clear, concise, and impactful.

Analyses: • Describe how you will analyze your data to test your hypotheses.

o What statistical tests, or other tests, will you use to test your hypotheses? • Will you develop or enhance a model, or develop other useful tools that can be used by others?

o If you need to develop these analytical skills present the training you’ll receive and the collaborations you’ll seek to hone these skills.

Intellectual Merit: Consider the following questions in creating strong ‘bringing it together’ soundbites that hit on the merit and impact of your proposed research: • How does your proposed research advance knowledge and understanding within the field or

across fields? • How does your proposed research suggest and explore creative, original, or potentially

transformative concepts? • How will you foster collaborations? • How will you actively publish and present your scholarly findings within and across disciplines?

Broader Impacts: Consider the following questions in creating strong ‘bringing it together’ soundbites that hit on societal impacts: • What are the benefits/impacts/applications of the research within the field and across fields? • What are the benefits/impacts/applications of the research to society?

o Provide specific and realistic examples of this linkage. • What BI initiatives will you lead as a graduate student?


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o Keep this GRFP goal in mind: “To broaden participation in science and engineering of underrepresented groups, including women, minorities, persons with disabilities, and veterans.”

o Be specific and show leadership and impact. o Make sure what you propose is reasonable for a graduate student and doable with the

resources available to you. o Think about how you might devise a mechanism for measuring the effectiveness of your

BI initiative(s), and who you might collaborate with to help design an assessment tool.


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In-Text Superscript Citations and References Format

In-text citations and the References Section can take up gobs of space and the GRFP understands this. It’s acceptable to use superscript numbering for in-text citations and 10-point font in an abbreviated References Section. Below are in-text superscript numbering citation and Reference Section guidelines.

In-Text Superscript Numbering Citation format: Consider using the superscript numbering format from the Council of Science Editors (https://writing.wisc.edu/Handbook/DocCSE_CitationSystems.html#format_intext). Whatever citation format you useàbe consistent.

In-text superscript numbering format (adapted from the Council of Science Editors): • Place the superscript next to the fact, concept, or quotation being cited. • Use consecutive superscript numbers to cite material. • If citing more than one reference at the same point, separate the numbers with commas and no

spaces between (e.g. Ecologists often use estimates of species interaction strengths to create network models that describe how changes in a species density alter the abundance of other community members1,2.)

• Place the superscript inside periods and commas (e.g. Disruption of normal gene splicing patterns can cause or modify human disease1, and these errors may lead to tissue-specific diseases or developmental defects2,3.), and inside colons and semi-colons (e.g. Some coral species are sensitive to small changes in temperature and pH 8; other species tolerant a broader range of shifts in temperature and pH 9.),

• When more than two references are cited at a given place in the manuscript, use hyphens to join the first and last numbers of a closed series; use commas without space to separate other parts of a multiple citation (e.g. Our understanding of processes that structure ecological communities, and resulting management efforts, are dependent on accurate estimates of species interaction strengths1-5,9.)

• If a reference is cited multiple times, use the original number throughout.

References Section: Use 10-point font and review the two abbreviated References text examples below. Both formats are acceptable. The first example is a more complete reference format that includes volume number and page numbers. If space is tight the second example is a more abbreviated format and is still acceptable. Remember to be consistent in your formatting. Example 1: References: 1Sunday JM et al. 2014. PNAS 111:5610–5615. 2Gilman, SE et al. 2010 Trends Ecol. Evol., 25:325-331. 3Huey RB et al. 2009. Proc. R. Soc. 276:55-66. 4Kroeker KJ et al. 2013. Global Change Biol. 19:1884–1896. 5Gunderson AR et al. 2015. Annu. Rev. Mar. Sci. 8:12-22. 6Stillman JH & Somero GN. 2000. Physiol. Biochem. Zool. 73:200-208. 7Jensen GC & Armstrong DA. 1991. Mar. Ecol. Prog. Ser.73:47-60. 8Stillman JH & Tagmount A. 2009. Mol. Ecol. 18:420-431. 9Donahue MJ. 2004. Mar. Ecol. Prog. Ser. 267:219-231. 10Paganini AW et al. 2014. J. Exp. Biol. 217:3974-3980

Example 2: References: 1Sunday JM et al. 2014. PNAS. 2Gilman, SE et al. 2010 Trends Ecol. Evol. 3Huey RB et al. 2009. Proc. R. Soc. B. 4Kroeker KJ et al. 2013. Global Change Biol. 5Gunderson AR et al. 2015. Annu. Rev. Mar. Sci. 6Stillman JH & Somero GN. 2000. Physiol. Biochem. Zool. 7Jensen GC & Armstrong DA. 1991. Mar. Ecol. Prog. Ser. 8Stillman JH & Tagmount A. 2009. Mol. Ecol. 9Donahue MJ. 2004. Mar. Ecol. Prog. Ser. 10Paganini AW et al. 2014. J. Exp. Biol.


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Letters of Reference

Letters of Reference are critically important and ‘knock your socks off’ letters can tip the scale. Your three letters of reference should contextualize, corroborate, amplify, and benchmark your IM and BI achievements, your unique qualities, your future potential as a scholar and leader in serving science and society, and your fit for the GRFP fellowship. Carefully orchestrate your letters so each letter complements the others and offers unique components that address the GRFP goals and the Merit Review Criteria and Merit Review Elements. Provide your letter writers with your CV, your transcripts, and your draft GRFP essays. AND provide each letter writer with complementary bullet points of your value as a GRFP applicant that enables them to write compelling and persuasive reference letters. You want to remind your writers of your achievements, of your outstanding potential as a future STEM research leader, and as a leader committed to advancing broader societal outcomes. Here’s a link to a dynamite webinar by Dr. Carolee Bull, Penn State University, on getting and writing knock your socks off recommendations: https://www.apsnet.org/publications/Webinars/ondemand/Pages/letterofrecwebinar.aspx

Engage with your writers early and provide them with the purpose and goals of the GRFP and point out that the letters need to address NSF’s Merit Review Criteria and Merit Review Elements (https://www.nsfgrfp.org/applicants/application_components/merit_review_criteria). Ask your writers to review the GRFP Reference Writer resources at the following links:

• Reference Writer Requirements: https://www.nsfgrfp.org/reference_writers/requirements • Reference Writer Tips: https://www.nsfgrfp.org/reference_writers/tips • Reference Writer FAQs: https://www.nsf.gov/pubs/2017/nsf17123/nsf17123.jsp#q71

Below are two examples of bulleted emails from an applicant to GRFP reference writers. The first example is a complete email and the second example only includes the bullet points to highlight how it complements the first email request.

Example 1: An email to a GRFP Reference Writer outlining the GRFP Review Criteria, reference letter guidelines, and personal bullet points to consider. This reference writer was a summer research mentor and a potential doctoral advisor.

Dear Dr. Xxxx,

I’ve attached the final versions of my Personal, Relevant Background, and Future Goals essay, my Graduate Research Plan essay, and my CV. I am proud of my essays and I want to thank you for the pivotal role you played in providing me critical feedback to my Graduate Research Plan. I believe that my two essays present compelling and competitive evidence for the GRFP reviewers that I am capable of accomplishing my proposed plan of research, that I will succeed as a Ph.D. student and make significant contributions to science and society, that I will broaden participation of underrepresented groups in STEM fields, and that I will become a globally engaged scientist.

Thank you again for writing me a letter of reference in support of my GRFP application. Letters are due November 2 via NSF’s FastLane portal, have a two-page limit, and need to be on letterhead with name, title, and signature of the reference writer. As we discussed, the reference letter should address NSF’s Merit Review Criteria of Intellectual Merit and Broader Impacts and the five associated Merit Review Elements that can be found in the following link: https://www.nsfgrfp.org/applicants/application_components/merit_review_criteria. Additionally, the GRFP homepage (https://www.nsfgrfp.org) has a REFERENCE WRITERS tab near the top where you’ll find additional information on Reference Writer Requirements, Tips, and FAQs.


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Your letter will provide evidence to the GRFP reviewers that my research has sound merit as a potential doctoral student at Carnegie Mellon University, that it fits within your research interests, and that it will have a broad impact on the global community. I would particularly like to ask that you address the following aspects of my value as a GRFP applicant:

• The value of my GRFP proposed research and its fit in your lab’s broader mission statement. • My preparation before the summer in studying the research and software that allowed me to

lead and guide my fellow summer scholars in developing code in the watercraft software. • My rank compared to other undergraduate researchers that you have mentored. • My ability to quickly learn new techniques (computer vision, OpenCv, and PID controller)

and apply them to my research. • My ability to work independently on a research project and work collaboratively in a team

environment. • My collaboration with international researchers during the summer and the international

scope and impact of my proposed research in areas like China and Qatar. • My passion and excitement for the research project and for learning. • The innovative nature of my summer research, how I developed unique computer vision

techniques to drive the watercraft, and that I will be the primary author on a paper that we will submit to a peer-reviewed journal.

• My presentation at the high school teacher’s conference that focused on computer science and robotics career paths and skills development.

• My preparedness for graduate study and for conducting my proposed research at Carnegie Mellon University, and that there are adequate resources at CMU to carry out my research.

• My leadership in fostering broader research involvement for my fellow summer scholars through the Pittsburgh river experiment.

• My proposed graduate leadership involvement with the Western Pennsylvania Summer STEM academy and with the Computer Science for High School (CS4HS) program at Carnegie Mellon University.

Thank you in advance for your time and consideration in writing this important letter. The opportunity you gave me to conduct research in your lab this past summer provided me with fundamental insights into the challenges of applied research, and it was your guidance and passion that helped me along the way. My time at CMU truly helped shape me into a confident and capable researcher. For this I am deeply grateful. Thank you for investing in me. Sincerely, Xxxx Yyyy Example 2: The bullet points section for a letter of reference email to an on-campus faculty mentor. Notice how these bullet points complement the bullet points from Example 1.

In our previous meetings, we discussed some topics for my GRFP reference letter and I would like to formally lay them out in this email. I would particularly like to ask that you address the following aspects of my value as a GRFP applicant:

• My potential to succeed at graduate school and my future as a research professor. • My rank compared to other students you have taught and my academic performance.


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• How I formed a mentorship with you and the Undergraduate Research Opportunities Center (UROC) and in the process brokered research positions at the Monterey Bay Aquarium Research Institute and at Carnegie Mellon University.

• My teamwork and leadership in the interdisciplinary Mathematics research group and the skills and knowledge (constraint-based solver, graph search algorithms, and C++ programming) that I brought to solving the Skyscraper puzzle.

• Our work in developing the curriculum for the “Introduction to Artificial Intelligence” class that we will co-teach this spring.

• My initiative in developing peer mentoring materials for UROC, and my mentoring of McNair and UROC Scholars.

• My commitment to serve my community by: o Developing hands-on high school computer science curriculum for CSUMB’s

Recruitment in Science Education (RISE) program. o Mentoring underrepresented high school students through the RISE program. o Building an open source web application for the Pacific Grove Museum of Natural

History to store their Monarch butterfly research for California online (the data are openly accessible to any participating researcher or high school to add to or use the research data).


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Sample Letter of Reference

Graduate Research Fellowship Program National Science Foundation Arlington, Virginia 22230 Dear Review Panel Members, I write this letter in support of the application of Ms. Xxxx Xxxx for the National Science Foundation’s Graduate Research Fellowship Program. I am giving Ms. Xxxx the highest possible recommendation I can give an undergraduate scholar because her skills, knowledge, and abilities are in the top 1% of undergraduate students I have known in the past 20 years. This is significant because I have mentored over 35 undergraduate scholars from 6 colleges and universities while a Research Plant Pathologist with the USDA Agricultural Research Service. I have won multiple awards for mentoring undergraduate students (including two at the national level including the highest award for service to the nation in agriculture) and my top students have been awarded NSF Graduate Research Fellowships for research they conducted in my laboratory. Ms. Xxxx is a rare student who gives the best of herself in every opportunity she afforded and has demonstrated that she is prepared for a stellar graduate education. Ms. Xxxx began work in my laboratory in October 2014 as an intern from the competitive and esteemed Undergraduate Research Opportunities Center Program at California State University, Monterey Bay. From the day she arrived it was clear that she was already technically astute and ready to research. My technician and I were impressed with her ability to quickly learn new skills and procedures. After one demonstration or discussion she was able to work independently to conduct the projects in new research areas. For example, she independently planned, planted, rated, successfully isolated bacteria from diseased plants, and using rep-PCR completed Koch’s postulates to demonstrate which pathogens from Pseudomonas cannabina (including model organisms previously identified as P. syringae pv. maculicola) are pathogens on beans. This required that she learn sterile technique, media preparation, and other general microbiology skills in addition to basic plant pathology and PCR skills. She expanded our initial hypothesis by testing several different bean types. She prepared the data for publication in a research article we are writing for peer review. Although my students have published peer review literature in the past, no other student was able to master the work at the level of authorship in such a short period of time. She presented this work at the August meeting of the American Phytopathological Society. Her ability to quickly master both theory and practice gave us confidence to encourage her to take on the multiple research projects her insatiable curiosity drove her to ask about. First, she used methods similar to those in her main project to evaluate the etiology of bacterial leaf spot on kale and to identify the pathogen as P. syringae pv. tomato. She then isolated and genotyped Xanthomonas campestris pv. vitians from diseased lettuce grown throughout the Salinas Valley of California. This is part of a larger project describing the genetic diversity (by MLSA) of this pathogen in order to target disease control. For her last project she demonstrated that despite conventional wisdom, the causal agent of bacterial blight of chives is caused by a pathogen of grains Xanthomonas translucens. The standard of evidence she needed to provide was high because this is the first report of this pathogen on chives. Her research will result in one co-authored full-length manuscript and two peer reviewed disease notes, including one for which she will be the first author.


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Her scholarship has been recognized by others. She was selected to be a research scholar in the Undergraduate Research Opportunities Center Program at California State University, Monterey Bay. This program has a proven track record of producing undergraduates prepared at the highest level for graduate school. She received an Honorable Mention from the exceptionally competitive Goldwater Scholar program. Finally, she was selected for the outstanding Summer Research Opportunities Program at Michigan State University in 2015 where her advisor trusted her with an extremely risky and ambitious project. Ms. Xxxx has taken leadership within our laboratory. She helped to train new students who started in our laboratory in January 2015. Importantly, her level of preparation and ability to discuss her projects has served as a model for our new students. She was quick to volunteer to help with other experiments. She sought to help with the USDA/ARS outreach programs to Latino students in the community. Many of these students are the sons and daughters of vegetable field workers in the Salinas Valley. Xxxx not only volunteered to participate, she served as the coordinator for the Salinas USDA/ARS outreach program to Los Padres Elementary School. She coordinated the scientist’s and teacher’s schedules so that she and the scientists could teach the scientific method and conduct a plant based experiment with fifth grade students in 5 classrooms. In addition to coordinating she prepared classroom materials, organized data sheets, and outlined activities. She also organized the subsequent tour of the USDA/ARS research facility in which 10 scientists presented their work to the students in a rotation during 2 hours. These examples, demonstrate her sense of community and willingness to work toward broader impacts. The USDA/ARS station in Salinas would not have had this outreach project this year if it weren’t for Xxxx’s dedication. The materials she left, will make it likely that the outreach program will continue. Ms. Xxxx demonstrates the highest level of scholarship and genuine scientific talent I have seen in an undergraduate. Ms. Xxxx has the professionalism, research acumen. and innate ability to be the type of scientist that the NSF will be proud to have supported. I cannot give a higher recommendation.

Sincerely,

Yyyy Yyyy, Ph.D. Professor and Department Head


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Sample GRFP Statements

Following are GRFP statements (Personal, Relevant Background, and Future Goals; and Graduate Research Plan) from two successful applicants and their reviewers’ comments. The first example is from an undergraduate applicant and the second example is from a first year graduate student. Carefully read these essays paying close attention to how the applicants use a clear and active voice to construct and personalize their themes, how they proportionate the sections within each essay, how they pack their essays with achievements and evidence of Intellectual Merit and Broader Impacts that synthesize rather than list, and how they present specific and compelling future IM and BI plans that address the Merit Review Criteria and the Merit Review Criteria Elements.

Each GRFP applicant receives three reviews and reviewers are asked to give each application a holistic review that allows for flexible, individualized assessments of the Merit Review Criteria of Intellectual Merit and Broader Impacts. Reviewers assign a rating (Excellent, Very Good, Good, Fair, or Poor) for each review criterion and provide summary statements. Ratings of Excellent and Very Good in Intellectual Merit and Broader Impacts are generally required to be competitive for a fellowship. For example, if an applicant receives Excellent ratings for Intellectual Merit from all three reviewers and Good ratings in Broader Impacts it’s unlikely that the applicant would receive the fellowship. You need to be compelling in both Merit Review categories of Intellectual Merit and Broader Impacts. Carefully read the reviewers’ comments of the two applicants to get insights on key elements that stood out for the reviewers.


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GRFP Statements – Undergraduate Student Applicant

Joshua G. Smith Personal, Relevant Background, and Future Goals GRFP 2015

Self-Discovery My deep interest in marine ecology extends beyond the closed doors of the laboratory. I've

collaborated with the fishing community on their declining rockfish catches, communicated my research with scientists and stakeholders over challenging management regimes, and witnessed the problems of overconsumption in an ocean that is not fully understood. Although I value the multiple perspectives I gained from these experiences, it was direct collaboration with the fishing community that fueled my desire to take an active role in marine science. Entering this dynamic field broadened my way of thinking – that scientists and citizens can work together to solve complex problems. These experiences have been the most influential portion of my scholarly development, and have shaped the lens through which I view the world. My transformation from a narrow-minded undergraduate to a multi-perspective scientist confirmed my desire to pursue research and to become a university professor.

Innovative Research Early in my undergraduate degree I considered academics to be the heart of intellectual merit, but

I was not fulfilled by academics alone. I began channeling all of my energy into carving my research path by searching for opportunities outside of the classroom. My pursuit of hands-on research experiences led me to the Undergraduate Research Opportunities Center (UROC) at California State University, Monterey Bay (CSUMB). Since my acceptance as a UROC Scholar, I have conducted rigorous research in fish ecology, presented at national conferences and symposia, engaged in mentorship with international students, and received honorable mention for the CSU Sally Casanova Pre-Doctoral fellowship. I now have a clear vision of becoming a research professor where I can combine my research interests, and eagerness to involve the community, to address pressing issues in marine ecology.

My innovation was developed through an independent research project where I combined the knowledge of citizens with the expertise of scientists. During summer research at the Center for Coastal Marine Sciences (CCMS) at Cal Poly, San Luis Obispo, I collaborated with volunteer anglers to assess the effectiveness of California's marine protected areas (MPAs) on local fish stocks. However, a piece of the story was missing. Could environmental conditions skew our estimates of fish stocks? To answer this question, I developed a model that incorporated the impact of wind and swell on local stock assessments. I presented this research at the Western Society of Naturalists conference and received the best poster award for my presentation at the Monterey Bay National Marine Sanctuary Currents Symposium. These products are a direct testament to my transformation from a student to an innovative researcher.

I learned to apply cutting edge technology with ecology through my research with Dr. James Lindholm at the Institute for Applied Marine Ecology (IfAME). Using state-of-the-art remotely operated vehicle (ROV) video, I characterized demersal fish communities and habitat associations within unexplored sub-tidal and deep-sea marine reserves. I co-authored the baseline characterization report of this study, which will aid future investigations assessing the health of these local marine resources. I became fascinated by the power of ROV's – that I could glimpse into an unknown world, guided by a small video screen hundreds of meters above the seafloor.

My honors capstone thesis contextualized my curiosity for applying new technology to ecological concepts. Using the novel technology of ROV's, I examined the community composition of demersal fish assemblages in a sub-tidal submarine canyon. Submarine canyons are sampled far less frequently


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than other marine habitats because of the many challenges associated with the high relief of the canyon walls. As such, I was challenged to formulate a rigorous scientific design that would allow me to examine the steep canyon walls. I developed new methodologies for surveying submarine canyons by 'flying' vertical ROV transects along the canyon walls. This unique innovation provides a new approach for using technology to enhance our understanding of ecology. Building on this motivation, I was determined to learn more about temperate fish population dynamics and community ecology.

To further craft my expertise in the community ecology of temperate reef fishes, I brokered a summer research placement with Dr. Mark Carr at the University of California, Santa Cruz (UCSC). I conducted intensive scientific diving field surveys using new genetic tagging technology to determine the effects of oceanographic conditions on larval distribution. This research provides a novel approach for accurately assessing how the magnitude of larval input and retention rates affect population dynamics. Increasing our knowledge of these factors will enhance scientific understanding of population dynamics and provide a robust framework for resource managers to better target key areas for conservation.

Ultimately the endeavor of science, indeed its very core, is the synthesis of knowledge from infinitely complex systems into tractable regimes that allow us to better understand, and subsequently manage, the natural environment. I will continue to advance our understanding of the complex natural environment by publishing my findings in high impact journals and presenting at national conferences. This November I will give an oral presentation on my honor's capstone research at the 2014 Western Society of Naturalists conference. I will discuss new methods of surveying submarine canyons using ROVs so researchers can use this technology to develop and design similar canyon studies. In Spring 2015 I will submit a paper on this research to the Marine Technology Society Journal.

Teaching, Mentoring, and Community Engagement Teaching Assistantships afforded me the opportunity to inspire underrepresented groups and to motivate students to learn. I learned that effective teaching is about clearly and passionately communicating knowledge in a field, while remembering that each student has a unique heritage and culture. For example, I trained students from Brazil in the first international SCUBA class at CSUMB. Despite a language barrier that presented new instructional challenges, I adapted new teaching methods by conveying my passion for diving and leading by example. I fostered close relationships with these students as I helped them navigate their academic development. These students will return to Brazil as scientific divers, and our professional relationships will evolve into international research collaborations. This introduction to teaching spawned my interest in engaging with science education and public communication.

As the first in my family to pursue science, I was initially separated from the world of research. Overcoming this obstacle fueled my desire to create opportunities for underrepresented undergraduates in similar situations. I organized a team of CSUMB students and citizen volunteers to collect bivalve shellfish that are tested by the California Department of Public Health for harmful shellfish toxins. Shellfish disease is a naturally occurring event that can impose serious or fatal consequences on human health. Our results are published monthly and issued to citizens that collect recreationally harvested shellfish. The framework that I established for this long-term monitoring program will bring together scientists and citizens to increase public awareness of harmful shellfish toxins, and to assess trends and occurrences of shellfish disease to aid in the development of effective management strategies.

I emerged as a leader in the CSUMB community through my active role in campus clubs. As a board member of the Marine Science Club, I facilitated lectures, seminars, and research conference


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opportunities, and I connected with local research agencies to arrange and host guest speakers for the club. I also co-founded the CSUMB Bass Fishing Team and led my team to the Forest L. Wood National Collegiate Championship. This opportunity allowed me to represent my university and to bring national recognition to the club.

Future Outlook I intend to pursue a Ph.D. degree under the direction of Dr. Mark Carr at the University of

California, Santa Cruz (UCSC) with the goal of becoming a research professor. Dr. Carr's lab is at the cutting-edge of kelp forest ecology and aligns with my interests in community dynamics and species interactions of kelp forest fishes. UCSC is located at the center of a temperate kelp forest ecosystem, and has the laboratory and field resources necessary to conduct my research. I will combine my theoretical understanding of fish community dynamics with empirical studies to create innovative ways of addressing fisheries and conservation issues. This will be achieved by developing dynamic network models that better predict the stability of ecological marine communities, and the ecosystem-wide consequences of human impacts (see graduate research statement for a developed discussion).

The progression of human knowledge ultimately depends on our ability to effectively enhance public appreciation of science and nature. I will develop three unique outreach programs designed to increase underrepresented student and public participation in science: (1) Create research experiences for CSUMB, a Hispanic Serving Institution, and UCSC undergraduates. My well-established relationship with UROC will enable me to build a regional partnership between CSUMB and UCSC. I will serve as a UROC liaison with marine science faculty at UCSC to develop a formal undergraduate research opportunity program between the institutions. I will also hone my skills as an effective mentor of undergraduates involved with my doctoral research by participating in graduate mentor training through the Monterey Bay Regional Mentorship Alliance. (2) Collaborate with the Broader Impacts office at UCSC to engage local high schools with predominately Hispanic enrollment (81%) from the Pajaro Valley School District. The Broader Impacts (BI) office at UCSC facilitates outreach and education activities for researchers and graduate students associated with NSF-funded projects. I will partner with the BI office to create summer research opportunities for low income and underrepresented high school students at UCSC. (3) Develop public education activities at the Seymour Marine Discovery Center at UCSC. The Seymour Marine Discovery Center provides a rich learning environment for educating the public about the role of scientific research in ocean conservation. I will develop interactive curriculum for K-12 students that includes Discovery Center lectures and display models to enhance understanding and appreciation for scientific research. I will share these educational activities online through my professional research blog, which includes an interface for students and researchers to connect via a research forum.

I aspire to join the distinguished professoriate of the California State University (CSU) system. The CSU system is a leader in high-quality education that fosters a diverse body of students. As a professor, I will reflect my appreciation for embracing culture and heritage as a source of individuality and strength. I will continue to inspire curiosity for learning, while mentoring students with the same diligence that was invested in me. Using my research, mentorship, and teaching experiences, I will develop and manage a lab that aims to better understand population and community dynamics of temperate marine systems. I will foster close collaboration with the fishing community so we can combine our knowledge to develop effective resource management strategies. As I continue my endeavor into science, I will put together teams of scientists, stakeholders, and the general public to advance the future of ocean exploration.


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Joshua G. Smith Graduate Research Plan GRFP 2015

Title: Quantifying species interaction strengths in a temperate reef fish community: from lab and field experiments to dynamic network models Background: Our understanding of processes that structure ecological communities, and any resulting management efforts, are dependent on accurate estimates of species interaction strengths1-

5,9. However, the strengths of species interactions are among the most difficult parameters to quantify due to dynamic variations in the environment and the nonlinear functional responses of predators to their prey3. Ecologists often use estimates of species interaction strengths to create network models that describe how changes in a species density alter the abundance of other community members1,2. These models are valuable tools for understanding and predicting the ecosystem-wide consequences of human impacts on one or more species (e.g., fishing apex predators) including the stability of ecosystems and the services they provide to humans. Despite this importance, current network models assume that interaction strengths are invariant, ignoring their dynamic nature and impairing the accuracy of qualitative or quantitative predictions. Thus, predictions of the ways ecosystems respond to natural and human perturbations with static species interaction strengths are often indeterminate or misleading3.

Interaction strengths are context dependent and dynamic, especially with changes in relative predator-prey densities (e.g., functional and numerical responses in predator-prey interactions) and habitat complexity5. Although interaction strengths between predators and their prey have been modeled in many different ways2-4, they do not account for co-variation of predator density, prey density, or habitat complexity4 and therefore limit predictions of how species interactions vary in time and space6,7. To advance modeling of species interactions by reflecting their dynamic nature, I plan to empirically derive a multivariate function that accounts for co-varying factors and adapt an ecological network model to accommodate these dynamic interactions.

My approach will be to (1) parameterize a function that characterizes the relative contributions of, and interactions between, predator and prey densities and habitat complexity to changes in species interaction strengths by implementing a microcosm laboratory experiment; (2) determine whether these effects on interaction strengths are manifest in the “noise” of a natural environment by conducting a mesocosm field experiment of similar design as the lab experiment; (3) adapt a commonly used network model to accommodate the empirically derived multifactorial function of interaction strengths to construct a dynamic interaction network model.

Study System: In kelp forests along the west coast of North America, aggregations of juvenile black rockfish (Sebastes melanops) associate with bundles of blades (sporophylls) at the base of giant kelp (Macrocystis pyrifera), allowing me to easily manipulate prey density and refuge complexity in the lab and field. The black-and-yellow rockfish (Sebastes chrysomelas) is a particularly abundant demersal (bottom dwelling) predator of juvenile S. melanops that will be used as the focal predatory species. I will conduct this study at the University of California, Santa Cruz, which is located near a kelp forest ecosystem and well equipped for conducting the proposed lab and field experiments (e.g., seawater flow-through system, dive locker, dive boats).

Hypothesis 1: Co-variation in predator density, prey density, and habitat complexity will contribute to variation in interaction strengths and these effects can be predicted with a linear or non-linear function. Methods: In separate replicate 1m tall x 2m diameter tanks, I will orthogonally manipulate four levels of habitat complexity (0, 10, 20, 40 blades), four levels of prey density (1, 2, 4, 8 juvenile S. melanops), and three levels of predator density (1, 2, 3 adult S. chrysomelas) for a total of 48 treatment levels, each replicated at least four times (192 trials) over a 2-3 month period in year 1 (summer 2016). S. melanops and S. chrysomelas will be introduced to 15 tanks, separated by a removable door for a 24 hour acclimation period, after which the doors will be removed and


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predators will be allowed to forage for a period dependent on rates of prey depletion. After each trial, I will measure per-capita mortality rates across treatment levels. The influence of co-variation in treatment levels on interaction strengths will be analyzed using a generalized linear mixed model (GLM) or generalized additive model (GAM). Intellectual Merit: Current methods for quantifying species interaction strengths lack the accuracy necessary to incorporate variation in predator-prey densities and habitat complexity. The proposed orthogonal design is a new approach to accommodate these dynamic factors, and will increase accuracy in quantitative predictions of interaction strengths.

Hypothesis 2: The interactive effects of predator density, prey density, and habitat complexity on interaction strengths quantified in the laboratory will manifest similarly in the field. Methods: Akin to the design of Johnson5, I will employ a series of caged mesocosms (1m tall x 2m dia.) at Stanford’s Hopkins Marine Station (HMS). The shallow and protected kelp forests at HMS make it ideal for conducting a controlled experiment in a natural environment. In year two (2017), I will run the same experimental design as the lab portion of this project at HMS, and compare these results (interactions strengths) with those observed in the lab experiment. Intellectual Merit: The majority of previous interaction studies for this ecosystem have been conducted in laboratory settings, simply assuming that the lab results translate to the natural environment6. My novel approach will test how well laboratory derived interaction strengths are manifest in nature.

Hypothesis 3: A dynamic interaction strengths function will substantially improve the predictions of an ecological network model. Methods: In year 3 (2018), I will incorporate the empirically derived dynamic interaction strengths function into the commonly used EcoPath model to construct a dynamic network model that describes species interaction strengths under variable species densities and environmental conditions. I will test its accuracy against the static EcoPath model with invariant interaction strengths using a likelihood-ratio test10. Intellectual Merit: The dynamic network model will offer a robust framework for predicting the relative contributions of predator-prey densities and habitat complexity to variation in species interaction strengths. It will be used to improve assessments of connectedness (links/species2) and nestedness (degree of organization) between species for identifying community stability11. This dynamic model will generate more accurate predictions of ecosystem-wide consequences induced by variation in species abundance.

Broader Impacts: The broader impacts of this research are three-fold: (1) Advancing our understanding of processes that structure ecological communities. The framework employed in this study will be applicable across disciplines and enable future studies to empirically derive dynamic network models. (2) Informing wise resource management practices. Ecopath is a popular model among managers (e.g., National Marine Fisheries Service) and my research will enhance the quality of that tool for designing ecosystem-based management. (3) Promoting education of sectors of society underrepresented in the sciences. Building from my experience with undergraduate research programs at Cal State Monterey Bay (CSUMB), and my advisor’s experience with the Broader Impacts Office at UCSC, I will recruit research assistants from the rich local pool of underrepresented groups (largely Hispanic) from UCSC, CSUMB, and local high schools. I will also collaborate with UCSC’s Seymour Marine Discovery Center to develop educational displays and an online research blog designed to enhance public understanding of the importance of species interaction strengths in marine resource conservation.

References: 1Berlow, EL. 1999. Nature. 2Paine, RT. 1996. Nature. 3Novak & Wootton. 2008. Ecology. 4Yeakel et al. 2012. J Royal Soc. 5Johnson, D. 2006. Ecology. 6Sala & Graham. 2002. PNAS. 7Bascompte et al. 2005. PNAS. 8Paine, RT. 1980. J Anim. Ecol. 9Paine, RT. 1966. Amer. Nat. 10Vuong, QH. 1989. Econometrica. 11Dunne et al. 2002. PNAS.


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NSF Graduate Research Fellowship Program Ratings Sheet lank row Application Year: 2015

Intellectual Merit Criterion lank row Overall Assessment of Intellectual Merit Excellent row Explanation to Applicant The applicant has a very good academic record as well as outstanding, relevant, experience in research related to the research proposal. The applicant is completing the B.S. at an important marine institution where he was awarded several teaching and research assistantships in chemistry, ecology, marine science and SCUBA while still an undergraduate. His research experience has provided him with sophisticated tools (mathematical modeling, ROV's) not usually available at his study level and have "fired up" a passion to understand and quantify the interactions among fishes, especially in the kelp beds of his local area. His proposed research to combine laboratory experiments with field data and mathematical models is very strong. The interactions among organisms in aquatic environments are very difficult to quantify and he has embarked on a difficult task. Nevertheless, his preparation, ability, and enthusiasm make him highly likely to achieve positive results. Letters from advisors at all three of the institutions where he worked attest to the applicant's excellent aptitude for research in this field, from protocol design to laboratory procedures to analysis, as well as excellent communication skills. k row

Broader Impacts Criterion row Overall Assessment of Broader Impacts Very Good row Explanation to Applicant The applicant has committed to broader impacts, not only as a result of carrying out research with an ultimate goal of improving people's lives, but also through mentoring, leadership, and outreach. His interest in the ecology of the local kelp beds appears to stem from a deep personal commitment to preserve fishing as a renewable food source. Smith has also mentored many students as a teaching assistant and wishes to continue as a university professor. His ability for outreach has been demonstrated by the way he has organized marine projects and clubs at his university. He has also demonstrated an ability to bring scientific experts and faculty together into his many outreach activities. lank row

Summary Comments The applicant aims to study the ecological relationship between classes of fishes (predators, prey, etc.) via field sampling, laboratory, mesocosm experiments, and mathematical models. This is a difficult task high in risk but also high in potential payoff. Intellectual merit and broader impact aspects of the application are both strong. Strong recommendations from no fewer than three different laboratories give confidence that this applicant is uniquely qualified and has a bright future in his chosen field.

Intellectual Merit Criterion lank row Overall Assessment of Intellectual Merit Excellent blank row Explanation to Applicant The research proposal is focusing on an important research question, the intellectual envelop of


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research is very well articulated. The proposal is well thought-out and developed including detailed experiment plans. The facilities are adequate and the lab is well-established. The research proposal is very likely to succeed and yield high-quality research.

Broader Impacts Criterion k row Overall Assessment of Broader Impacts Excellent Explanation to Applicant Based on award names listed in the resume it is likely that the applicant comes from economic and educational disadvantage background. Despite this possible disadvantage his track record exceeds expectations of what is available at his home institution. Excellent track record of working with fishing community and volunteer sampling communicates personal commitment to communicating border impacts of research to the society. Clear articulation of plans to engage with the local disadvantage community.

Summary Comments This is an application from a mature scientist that is way ahead of his class. Recommendation letters support his aptitude and overwhelmingly suggest that he will be the top student in a top graduate program. The scope and the track record of the broader impacts statement is exceptional. lank l Intellectual Merit Criterion Overall Assessment of Intellectual Merit Excellent lank row Explanation to Applicant This work proposed aims to describe species interactions by developing a model that accounts for multiple factors and adapt an ecological network model to it. Many proposals aim to describe species abundance and patterns. This proposal is particularly impressive in that the student aims to take observations a step farther into a quantitative understanding that can be applied to a variety of questions.

Broader Impacts Criterion lank row Overall Assessment of Broader Impacts Very Good Explanation to Applicant The student clearly aims to apply research to issues of fishery management and this is a very important broader impact. However, the plan for recruitment of undergrads as an additional impact is vague and not clearly developed. blank row

Summary Comments This is a proposal in a research area that can be directly applied to societally relevant questions. The student seems equally driven by both the research and the desire to inform policy.


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GRFP Statements – First Year Graduate Student Applicant

Arina Favilla Personal, Relevant Background, and Future Goals GRFP 2018

When I tell someone about my academic background, they usually ask: “What do you plan on doing with engineering and marine science?” Early in my undergraduate career, I could not always provide a clear-cut answer and often felt overloaded and pulled in different directions—a continual balancing act. My interest in marine science was sparked at a young age during vacations in my native country of Brazil. At a small coastal town, questions about the ocean and its diverse fauna flooded my brain. When I started college, I became fascinated in the emerging field of biomedical engineering (BME), but while the professors focused on applications in the medical field, I contemplated applying the principles and technology to marine animal research.

One curiosity gradually stood out over the years—the amazing diving abilities of marine mammals. I first learned the principles of diving physiology through SCUBA, but it was at Scripps when I met Paul Ponganis, M.D., Ph.D., an eminent, multidisciplinary researcher in the field of diving physiology, that I became excited about how perfectly BME and marine science complement one another—innovative technologies implemented to study diving marine mammals in their natural habitats. Now equipped with a unique double major and research experiences, I am a first-year graduate student in a lab where instead of performing a balancing act, I can excel in research that capitalizes on my engineering and marine backgrounds. As I continue my career in academia and become a professor, I will encourage aspiring scientists to follow their varied interests by relaying my own journey merging BME and marine science. Coursework: Conquering a Diverse STEM Background

As a Foote Fellow at the University of Miami (UM), I had the freedom and flexibility to mold my curriculum to my unique interests. My marine science courses and field-intensive study abroad experiences in the Cayman and Galapagos Islands were pivotal in my development as a researcher. I built a strong foundation by mastering classroom theory, acquiring lab skills, and conducting field experiments. I developed an engineer’s mindset as I completed BME design projects that required integrating biology with engineering. These projects enriched my background in biology with a unique perspective and sharpened my math and computer software skills. I graduated summa cum laude with a departmental honoree award in BME, which reflects my perseverance and hard work. Honing my skills from both majors for my graduate work, I will develop and use instruments specialized for acquiring biosignals of diving marine mammals. Research Opportunities: From Coast to Coast

At my Research Experience for Undergraduates (REU) at Woods Hole Oceanographic Institution (WHOI), I worked with Dr. Timothy Shank to investigate the composition, distribution, and habitat types of deep-sea coral in the northeast Atlantic canyons. I compiled a massive dataset from the TowCam’s seafloor images and applied a variety of graphical and statistical analyses to uncover patterns in the presence/absence of coral taxonomic groups and their associated habitat type. I found that habitat availability, incision of the canyon into the shelf, and latitude influence the distribution of coral species. These results will be used by the New England Fishery Management Council to assess the region and protect the corals vital to the canyon communities from harmful fishing impacts. Because these deep-sea surveys are challenging and expensive, the correlations I found are crucial for developing habitat suitability models that predict the presence/absence of corals in unexplored canyons. As a side project, I used molecular biology techniques to extract, purify, and amplify preserved coral DNA, which will allow finer-scale taxonomic identification and exploration of genetic spatial variation. I presented my research at the WHOI Summer Fellows Symposium, and had


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a poster at the 6th International Symposium on Deep-Sea Corals, which is a testament to the quality of my work.

My REU research project at the Scripps Institution of Oceanography piqued my interest in using technology to advance marine mammal research and conservation. I worked with Dr. Ana Širović as part of a larger project to determine the spatial variability, and thus the extent of recovery, of the endangered North Pacific blue whale populations using noninvasive passive acoustic monitoring. Combining my Matlab and statistical analysis skills, I investigated the intra- population variability of song—a previously unexplored topic—and found a spatial variation in the Northeast Pacific whale calls that may suggest distinct subpopulations, which could have major implications for their recovery. I provided my Matlab script to a NOAA affiliate who conducted a similar analysis of Northwest Pacific blue whale song variability. Our work culminated in a collaborative paer1 which is currently being finalized for submission. I presented my independent poster at the Scripps Poster Symposium; at UM’s Research, Creativity, and Innovation Forum; as well as at the SACNAS 2015 National Conference where I won the Undergraduate Research Poster Presentation award. Real-World Experiences: From Campus to Community, Local to Abroad

My two REUs were paramount in solidifying my desire to pursue a research career, but it was through Dr. Neil Hammerschlag’s Shark Research and Conservation (SRC) program at UM that I discovered my passion for merging fieldwork with outreach, harnessing the power of science communication. During shark tagging trips, I involved citizen scientists of all ages in our fieldwork, where we worked efficiently as a team to handle and tag large, wild animals—skills pertinent for my graduate fieldwork. Oftentimes, as the first shark was released after a work up, I would see a child’s mindset change from thinking sharks are man-eaters and viewing science with disinterest to being curious about sharks and declaring their future career as a scientist. This passion was further developed as I actively promoted education and environmental stewardship in my community. Valuing my STEM education, I dedicated myself to helping others succeed academically—from tutoring local high school students to providing detailed lecture notes to those in need of assistance through UM’s Office of Disability Services. Advancing my teaching experience to the collegiate level, I became the Teaching Assistant for a flipped-classroom BME course. I worked with the professor to improve the assignments and helped students tackle Matlab-intensive problems by offering strategies that used their individual strengths. Recognizing how my multicultural background has been one of my individual strengths and has played a role in shaping my education, I became an international representative through UM’s Council of International Student Organization. I helped international students embrace their individuality and transition to life in the U.S., an endeavor to increase their persistence in college. Besides promoting cultural awareness, I have advocated environmental stewardship—from introducing campus-wide green initiatives (such as providing dorm rooms with recycling bins) to protesting the removal of the Richmond Pine Rocklands (home to four endangered species). While in the Galapagos, I organized a service project that educated locals about nutritional health and improved community gardens to provide a self-sufficient source of healthy produce. Along with a greater appreciation of cultural and natural diversity, these experiences have proven to me the power of using education for promoting positive change.

Through my conservation work experiences, I have realized that science communication is the perfect avenue for widespread societal impact. At Project TAMAR, a sea turtle conservation program in Brazil, I educated broad audiences about sea turtle vulnerabilities and our success in rehabilitating turtles and collaborating with local fishermen. Emulating their mission, I will use my research to promote stewardship and create hands-on experiences for underserved students who have not had the opportunity to inquire and discover science. If awarded the NSF fellowship, I will be able to dedicate


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time and resources to mentoring and engaging the next generation of scientists and encouraging society to adopt a conservation mindset. Future Goals: From Graduate Student to Professor and Principal Investigator

I am a first-year PhD student at UC Santa Cruz (UCSC) in the Costa Lab, where the expertise and network of collaborators will foster not only my research and my broader impact goals but also my career aspirations. I aim to become a professor and a PI at a leading research institution. My interest in physiological adaptations of freely diving marine mammals aligns with the lab’s expertise in using biologging techniques to study the behavioral and physiological ecology of marine mammals. In addition to the required permits and resources, the lab’s proximity to Año Nuevo will allow me to conduct extensive fieldwork with northern elephant seals. Just as my research will supplement an NSF-funded project, I intend to promote collaboration, especially within the biotelemetry community, because tagging studies are expensive and the same data can benefit a multitude of projects. With my multidisciplinary and multicultural background, I will contribute to the novelty of the lab’s research and its diverse and collaborative environment.

As both a scientist and engineer who aspires to become a research professor, I am uniquely qualified for the Institute for Scientist and Engineer Educators Professional Development Program at UCSC, which will enhance my abilities to develop active-learning courses. To be a successful PI, I will refine my leadership, management, and professional skills through UCSC’s Graduate Leadership Certificate Program. To complement this program, I will complete the Diversity & Inclusion Certificate Program, which emphasizes how to promote a diverse and inclusive environment. My personal experiences as a multicultural student drives my commitment to fostering a future lab of diverse and talented individuals within a collaborative environment. I aim to broaden participation and empower people to reach their full potential.

As a Hispanic Serving Institution, UCSC is the perfect campus where I can motivate Hispanic women and other underrepresented students to overcome social stigmas and persist in STEM. As the first in my family to pursue a graduate degree in science, I was initially daunted. To ease the path for others and encourage STEM higher education, I will establish a mentorship program that pairs UCSC graduate students with high school students. UCSC recently held a NSF GK-12 grant through which the SCWIBLES program was funded, where graduate students worked with the teachers and students at Watsonville High School to incorporate active-learning. Leveraging this existing tie, I will start a new program at this high school that focuses on providing mentorship support to students who demonstrate an interest in STEM and, with guidance, could reach their full potential, increasing their chances of pursuing higher education. By recruiting committed graduate students, this mentorship program will be able to expand to other schools in the Pajaro Valley Unified School District, where enrollment is over 80% Hispanic, and provide support to many underserved high school students over the long-term. In addition to disseminating my interactive video and lesson plan (see graduate research plan) and leading the establishment of the program, I will refine the program based on mentee feedback and from a formal assessment developed with UCSC's Center for Innovations in Teaching and Learning.

Obtaining a PhD will enhance my abilities to conduct quality research and collaborate with others in order to advance knowledge in my field and effectively communicate my research and its implications to the broader community. I will find a post-doc at an institution that offers the Preparing Future Faculty Program to better prepare myself for the roles and responsibilities of a research professor while also diversifying my research and expanding my professional network. As a professor and PI, I will use my expertise to inspire young scientists to find their unique niche—just as I have by merging two disciplines and two cultures. 1Širović A, Oleson EM, Favilla A, Fisher-Pool P. Blue whale song variability in the North Pacific Ocean. Paper SC/66b/IA/12 presented at the Scientific Meeting of the International Whaling Commission, June 2016.


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Arina Favilla Graduate Research Plan 2018

Title: Paradoxical physiological adaptations in diving marine mammals Background: Diving marine mammals are facing increasing anthropogenic disturbances that disrupt their diving behavior and can result in physiological imbalances or even fatalities. By better understanding the plasticity of their physiological adaptations while diving, we can better predict and mitigate the effects of anthropogenic disturbances. Of particular interest are beaked whales because mass strandings have coincided with military exercises using sonar.1 Moreover, most have occurred in warmer water1, and although it has been suggested that thermoregulatory imbalance could contribute to physiological failure during diving2, no study has yet examined the thermoregulatory response of diving marine mammals in the wild. There is considerable uncertainty about the paradoxical interaction of thermoregulation with the dive response3,4. To conserve oxygen and maximize their aerobic dive limit, diving marine mammals decrease their heart rate and reduce peripheral blood flow4. However, for an animal that is well-insulated to conserve heat while diving to cold depths, these cardiovascular changes may inhibit their ability to dump heat produced during exercise, especially at shallower, warmer depths, thereby provoking heat stress4. To elucidate their abilities to manage these conflicting physiological adaptations, I will examine the plasticity of thermoregulatory responses in diving marine mammals in relation to behavioral and environmental variability.

Studying the physiology of freely diving beaked whales is logistically challenging as instruments are typically attached to the whale’s skin with suction cups using a long pole5. This design limits how and which physiological parameters can be measured. Conversely, northern elephant seals, Mirounga angustirostris, are an ideal model species to advance our understanding of thermoregulation during the dive response, a fundamental prerequisite for expanding this study to beaked whales. Not only have their diving behavior and physiology been extensively studied6, but female elephant seals return to the same colony each season to breed7,8. The ability to predictably access them on land allows for attachment of biologgers targeting specific physiological parameters with high rates of instrument recovery7,8. Northern elephant seals are the deepest diving pinniped reaching depths comparable to beaked whales, the deepest diving cetacean8,9. Moreover, their distribution from Mexico to Alaska, which overlaps with beaked whales’ distribution, exposes them to a wide range of water temperatures6.

Objectives: (1) Measure key parameters of thermoregulation (body temperature and heat flux) and the dive response (heart rate) and relate them to changes in heat dissipation throughout the dive. (2) Compare thermoregulatory responses of freely diving elephant seals in cold and warm water (small and large vertical temperature gradients, respectively). (3) Investigate if acoustic disturbance interferes with normal coordination of the diving and thermoregulatory responses. Hypotheses: (1) Heat flux measurements in freely diving elephant seals will allow quantification of heat dissipation. (2a) Water temperature and diving behavior will dictate the relative importance of dissipating heat and maximizing diving capacity. (2b) Thermoregulatory responses will be either graded or temporally delayed4 if heat dissipation or maximum dive capacity is prioritized, respectively. (3) Acoustic disturbance will negatively affect the coordination of diving and thermoregulatory responses in elephant seals. Methods: Elephant seals from two breeding colonies will be equipped with tags to record location, water temperature, and diving data (i.e. depth and acceleration). Core body temperature will be measured with implanted vascular thermistors4, and heart rate will be determined from subcutaneous EKG electrodes and analyzed in relation to dive types7 using custom scripts and toolboxes in Matlab and R. Heat flux sensors will be attached to the trunk and foreflipper, which serves as a thermal window10. Using morphological measurements (i.e. size, weight, and blubber depth via ultrasound),


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the relative heat flux over differentially-insulated body areas11 will be assessed in relation to the dive response to better understand the degree and mechanisms of heat dissipation. Instrument function and deployment will be refined with juvenile elephant seals in the lab and over short at-sea trips12. Throughout two breeding seasons, I will perform ten full deployments on adult females at both Año Nuevo, California (cooler waters) and Isla San Benito, Mexico (warmer waters) to examine the effects of water temperature on thermoregulatory responses. Ten additional deployments at each location will include a programmable acoustic playback tag to simulate mid-frequency sonar because it has been experimentally shown to disrupt the diving behavior of elephant seals, which have acute underwater hearing8. I will compare physiological responses during routine diving behavior and after disturbance to assess how and to what extent acoustic disturbance affects the coordination of the diving and thermoregulatory responses and the implications if one response overrides the other. Resources: As a PhD student in the Costa Lab, I will leverage their expertise and resources as well as my experience in tagging fieldwork and instrumentation design to ensure the success of this study. All fieldwork will be performed under Dr. Costa’s active NMFS permit and with IACUC approval. The fieldwork at Año Nuevo will supplement ongoing NSF-funded work13. I will take advantage of the GROW opportunity, if awarded the NSF fellowship, as well as UCSC’s existing collaboration with UC MEXUS to conduct fieldwork and outreach in Mexico. Intellectual Merit: In addition to providing a more holistic understanding of thermoregulation in freely diving marine mammals, this study will advance our capabilities of studying thermoregulation in less-accessible species. By determining the key parameters indicative of thermoregulation, I will be able to design biologgers for physiological measurements in future studies of freely diving beaked whales. For marine mammals that live where warmer water impedes heat dissipation, anthropogenic disturbances that disrupt diving behavior have greater potential to provoke heat stress3. Heat stress can be fatal, especially if exacerbated by other diving-related pathologies2. My study will enhance our understanding of the effects of acoustic disturbance on thermoregulation in diving marine mammals, which is necessary for informing management of sonar activity, particularly in warm waters, to minimize environmental impact. Broader Impacts: To broaden the next generation’s participation in STEM and conservation, I will work with outreach coordinators at the Seymour Marine Discovery Center and the Monterey Bay National Marine Sanctuary Exploration Center. I will create interactive videos by using elephant seal biologger data to demonstrate how science and technology uncovers mysteries about wild animals, which can help us protect them. By showing how science is simply a methodical way of investigating one’s curiosities, I aim to dispel the perception that science is not accessible to everyone. I will distribute this video and an active-learning lesson plan on the scientific method at both centers and schools in the Pajaro Valley Unified School District, where enrollment is over 80% Hispanic, as well as Spanish versions to schools in Mexico. Based on the teachers’ feedback, I will continually refine my lesson plan to improve its effectiveness. In addition to my experiences engaging with broad audiences, elephant seals provide a unique connection to Mexican students because it was due to the efforts of the Mexican government in the early 1900s that a mere 20 elephant seals rebounded to 250,0007. Through recounting such success stories to the students, I will emphasize the importance of adopting a conservation mindset and using science to inform society how to protect our natural world and its organisms.

References: 1Filadelfo et al. 2009. Aquat. Mamm. 2ONR Marine Mammal Diving Physiology Workshop, 2017. 3Rosen et al. 2007. Roy. Soc. 4Meir et al. 2010. Physiol. Biochem. Zool. 5Johnson et al. 2003. IEEE J. Oceanic Eng. 6Le Boeuf et al. 1994. University of California Press. 7Robinson et al. 2012. PLoS ONE. 8Fregosi et al. 2016. Anim. Biotelemetry. 9Tyack et al. 2006. J. Exp. Biol. 10Nienaber et al. 2010. J. Therm. Biol. 11Kvadsheim et al. 1997. Acta. Physiol. Scand. 12Oliver et al.1998. Mar. Mammal Sci. 13NSF Awd#1656282 row b


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NSF Graduate Research Fellowship Program Ratings Sheet Application Year: 2018 Intellectual Merit Criterion lank row Overall Assessment of Intellectual Merit Excellent Explanation to Applicant This applicant has an extremely competitive, near perfect, academic track record, and has also completed research internships at prestigious research institutions on both coasts. The applicant has also presented her research at national conferences, won awards and scholarships recognition the quality of her research, and will be co-author on a publication in the near future. The application is written very clearly, telling a compelling story of the applicant's personal and professional journey to date. The applicant has acquired excellent research training and international experiences and has already made significant contributions to her field through her own research achievements. The intellectual merits of the proposed research are highly significant, with a focus on improving our understanding of the physiological adaptation of diving marine mammals and developing improved management of threats to such species in order to improve their conservation. The proposed research plan is extremely well written, with a clear introduction, robust experimental design, and testable hypotheses. The applicant is ideally situated to conduct the proposed research based on her past experiences and training, and the facilities and collaborators available to her at her current institution.

Broader Impacts Criterion lank row Overall Assessment of Broader Impacts Excellent row Explanation to Applicant The broader impacts of this application are extremely strong, particularly in terms of the abilities of and commitment by this applicant to contribute to the development of a diverse STEM workforce, through her past efforts and future plans to engage under-represented groups. The applicant is extremely well qualified to achieve some advancements through her own journey and past experiences. The applicant has already reached broad and diverse audiences through her research experiences, and has identified tangible opportunities to refine her leadership, management and professional skills through existing programs at her current institution.

Summary Comments This application is extremely strong both in terms of the intellectual merits of the applicant and the proposed research plan, as well as in terms of the broader impacts of the research, and the ability of the applicant to serve as a significant role model for underserved and underrepresented groups interested in pursuing careers in STEM fields. Perhaps one of the stand-out attributes of this applicant, highlighted by a highly compelling set of letters of support, is the ability of the applicant to understand the 'why', in terms of her ability to understand the applications and implications of her research efforts in the context of the bigger picture. This is typically a skill developed much later in the career of young scientist, but one which in the case of this applicant will only serve to contribute to her future success and ability to effect meaningful change through her research. blank row blow Intellectual Merit Criterion row Overall Assessment of Intellectual Merit Excellent row Explanation to Applicant


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The applicant is well prepared to undertake the proposed work assessing the impact of acoustic disturbance (e.g., naval sonar) on thermoregulation in elephant seals by measuring core body temperature and other variables with and without an acoustic source. This has high intellectual merit because thermoregulation by diving mammals allows them to conserve heat, but if dives are interrupted, these mammals have a reduced ability to get rid of heat produced during exercise, and may suffer from heat stress in shallower, warmer depths. ow

Broader Impacts Criterion w Overall Assessment of Broader Impacts Excellent row Explanation to Applicant The applicants proposed research will aid marine conservation by better understanding responses to acoustic sources, and the study with elephant seals will guide future studies of less accessible species. The applicant plans to develop a video demonstrating how biologgers can be used to uncover mysteries about marine mammals, to be distributed along with an active learning lesson plan at local schools serving a population with low representation in science, along with schools in Mexico. This plan seems likely to succeed, as the applicant is already well qualified to make a large broader impact through outreach education, and mentoring. In addition, the applicant plans to hone her skills in teaching, leadership, and diversity/inclusion through various certificate programs.

Summary Comments The applicant is a highly driven scientist/engineer and educator. She has excelled in coursework in her multidisciplinary majors in biomedical engineering and marine science and has found a nice niche within those fields in her current graduate work. She has strong skills in statistics, scientific computing, and field tagging efforts needed for her proposed work. Her previous research experiences at WHOI and Scripps have resulted in a paper and conference presentations. The applicant has a strong potential to make science accessible and attractive as a career path for populations that are not well represented in STEM. blank row blank row blank row Intellectual Merit Criterion lank row Overall Assessment of Intellectual Merit Excellent row Explanation to Applicant The applicant has a very sound academic background and displays experience in both field and laboratory settings. Both REU experiences, as well as working around others, while being mentored has made an impact. Outreach work has provided the applicant ample experience with communicating with the community. w

Broader Impacts Criterion Overall Assessment of Broader Impacts Excellent Explanation to Applicant The applicant's research proposal is very detailed and highlights all criteria of the scientific method. The research can add to scientific literacy. row

Summary Comments Overall, the applicant is extremely well qualified for this fellowship. blank row blank row blank row blank row

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National Science Foundation Graduate Research Fellowship ...€¦ · Elements guide the GRFP reviewers – they should guide you too! Burn these Merit Review Criteria and Merit Review