Writing Effective Research Grant Proposals VPR Office of Proposal Development Presentation for Dean

1
Writing Effective Research Grant ProposalsVPR
/Office of Proposal DevelopmentPresentation for
Dean of Faculties Seminar Series Lucy
DeckardL-deckard _at_tamu.eduSusan
MaierSMaier_at_vprmail.tamu.eduSeptember 27, 2005
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Overview of Presentation

• VPR Office of Proposal Development who we are
• Identifying Funding Opportunities
• Understanding the Funding Agency and Program
• Preparing to Write
• The Craft of Writing a Competitive Proposal
• Funding Opportunities for Junior Faculty
• Competing at NSF
• Competing at NIH

3
Office of Proposal Development

• A unit of the Office of Vice President for
  Research at Texas AM University
• Phone, 979-845-1811
• Fax, 979-458-0036
• 305K Jack K. Williams Administration Building
• Mail Stop 2404
• libbyc_at_tamu.edu
• http//vpr.tamu.edu/

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VPR/OPD Research Development Support

• Workshops, seminars and presentations
• Center level initiatives
• Multidisciplinary initiatives
• New Faculty Initiative
• Help develop collaborative research activities
• Link to System universities and support System
  Pathways Initiative
• Identify institutional funding opportunities

5
Jean Ann Bowman (jbowman_at_tamu.edu )

• Jean Ann Bowman, Ph.D., leads the OPD's proposal
  development initiatives in the College of
  Geosciences and the College of Agriculture and
  Life Sciences. Dr. Bowman has more than 20 years
  of experience in applied hydrology research, with
  a focus on the relationship between land surface
  hydrology and global environmental change.
• B.S., Journalism, University of Colorado,
  Boulder, 1979
• M.S., Hydrology and Physical Geography, Rutgers
  University, 1983
• Ph.D., Hydrology and Physical Geography, Texas
  AM University, 1999

6
Libby Childress (libbyc_at_tamu.edu )

• Libby Childress provides project and proposal
  planning, scheduling, and coordination services
  handles administration and works on special
  projects. She also tracks project development
  activities, as well as collaborative activities.
• Ms. Childress has worked as an account
  administrator, as an IEEE editorial assistant,
  and as personal assistant and liaison to the Vice
  President for Research.

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Mike Cronan (mikecronan_at_tamu.edu)

• Mike Cronan, P.E., has 16 years' experience at
  Texas AM in strategic planning, development, and
  writing of successful center-level research and
  educational proposals to NSF. He played a lead
  role in the development and writing of numerous
  multi-million-dollar collaborative projects
  funded by NSF across the AM System (for which he
  was named a Regents Fellow (2000-04) by The Texas
  AM University System Board of Regents).
• B.S., Civil Engineering (Structures), University
  of Michigan, 1983 B.A., Political Science,
  Michigan State University, 1968 M.F.A., English,
  University of California, Irvine, 1972
  Registered Professional Engineer (Texas 063512)

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Lucy Deckard (l-deckard_at_tamu.edu )

• Lucy Deckard leads the OPD's new faculty and
  graduate student initiatives, and also works on
  proposal development activities related to
  science and engineering.
• Ms. Deckard has 18 years of experience working as
  a materials engineer, conducting applied research
  and writing proposals at Lockheed Martin as well
  as at HRL Labs.
• B.S., Materials Science, Rice University, 1981
• M.S., Materials Science and Engineering,
  Northwestern University, 1990

9
Susan E. Maier (smaier_at_tamu.edu)

• As part of the OPD team, Susan Maier focuses on
  the System Health Science Centers (HSC) NIH
  biomedical science and health-related projects
• Assists in developing partnerships among the
  individual HSC components, Texas AM University,
  and the System schools in projects involving
  health and biomedical science proposals and
  initiatives
• Experience with NIH proposal submission,
  experimental design, biomedical research methods,
  statistics
• Leads training seminars on NIH
• B.A., M.A., Ph.D., Psychology

10
Phyllis McBride (p-mcbride_at_tamu.edu )

• Phyllis McBride, Ph.D., leads the OPD's proposal
  writing training initiatives. Dr. McBride has 20
  years of technical communications experience in
  publishing, industry, and academe, eight of which
  have focused on proposal development and
  management. She has worked for Dallas Magazine,
  EDS, and CH2M HILL, and has also taught technical
  communications at Texas AM University.
• B.A., Journalism and English, Baylor University,
  1987
• M.A., English, Texas AM University, 1991
• Ph.D., English, Texas AM University, 2000

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Robyn Pearson (rlpearson_at_tamu.edu)

• Robyn Pearson leads the OPD's proposal
  development initiatives in the College of Liberal
  Arts and the College of Education and Human
  Development. Ms. Pearson's background includes
  grant writing, public outreach, and marketing for
  non-profit organizations. She also has more than
  15 years of experience in technical writing and
  editing, including books, journal articles, and
  technical reports.
• B.A., Anthropology, Texas AM University, 1979
• M.A., Anthropology, Texas AM University, 1996

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Office of Proposal Development
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Looking For Funding Opportunities
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Types of Funding Agencies

• Basic research agencies (e.g, NSF, NIH)
• Mission-oriented agencies (e.g., NASA, DoD, Dept
  of Ed.)
• Foundations
• Other (industry, professional organizations, etc.)

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Unsolicited vs. Solicited Proposals

• Unsolicited
• Investigator-initiated no specific solicitation
  or RFP
• Typically long-running program relatively
  general statement of research topics of interest
• For NSF and NIH, recurring due dates or target
  dates each year
• Rare for Mission Agencies (DOE, USDA)
• Solicited
• Terminology
• Request for Proposal (RFP)
• Program Solicitation
• Request for Application (RFA)
• For NIH, Program Announcement (PA)
• Tied to specific agency initiative
• May only last a few funding cycles or may go on
  for years
• Have specific additional evaluation criteria
• Often have specific formatting requirements

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Ways to Find Funding

• Talk to colleagues doing similar research
• Look for funding sources credited in books and
  journal articles describing similar research
• Use the web and other information resources

17
Information on the Internet

• Funding Agency websites
• Compilations of funding opportunities
• Automatic e-mail notifications services
• Database services
• Google is your best friend

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Funding Agencies Hotlinks Table

• Funding Agencies Hotlink Table.doc
• Federal Grant Making Agencies.doc
• Notes about agency web sites
• First place funding opportunities will show up
• Pages with funding opportunities can be buried
  when you find a good one, make a note of the url
• Look for unsolicited proposal opportunities
• Look for additional info on opportunities

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Compendia of Funding Opportunties

• All Federal Funding Opportunities
• http//www.fedgrants.gov/Applicants/index.html
• Foundations
• http//fdncenter.org/pnd/rfp/index.jhtml
• University grants office websites
• Iowa State
• http//www.vpresearch.iastate.edu/OSP/FundingOppor
  tunities.html
• http//www.vpresearch.iastate.edu/OSP/Maillogs.htm
  l
• Duke University http//www.ors.duke.edu/find
• University of Iowa http//research.uiowa.edu/dsp/m
  ain/?getfundingoppsqaction

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University Grants Websites (contd)

• Cornell http//www.osp.cornell.edu/Funding/
• University of Massachusetts, Amherst
  http//www.umass.edu/research/ogca/funding/
• University of Oregon http//rfd.uoregon.edu/fundin
  g/government.htm
• University of Vermont Research Funding
• http//www.uvm.edu/ospuvm/?PageFunding_Opportuni
  ties/Funding_Highlights/fh.htm

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Email Alert Services

• Email Alert Services for Funding
  Opportunities.doc
• NSF
• http//www.nsf.gov/mynsf/
• NIH Guide LISTSERV_
• http//grants.nih.gov/grants/guide/listserv.htm
• Dept. of Education
• http//listserv.ed.gov/cgi-bin/wa?A1ind05Ledinf
  o
• http//www.ed.gov/news/newsletters/edinfo/index.ht
  ml
• Federal Grants
• http//fedgrants.gov/ApplicantRegistration.html
• Foundations
• http//fdncenter.org/newsletters/

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Database Services

• Community of Science (COS)
• Available through Office Sponsored Projects
• Input profile with key words get e-mail
  notifications
• Be sure to fine-tune search parameters

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Google is Your Best Friend

• http//www.google.com/
• http//www.yahoo.com/
• Search for research opportunities
• Backdoor/end run to subscription funding services
• E.g., IRIS
• http//carousel.lis.uiuc.edu/7Eiris/deadlines/all
  /
• Find funded programs, abstracts
• Find workshops, conferences, seminars
• Find reports, publications, project documents
• To search within a site, type keywords siteurl
  of site
• E.g., preservation languages sitewww.nsf.gov

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Ways to Improve Your Success in Finding Funding

• Get to know most likely funding agencies
• Mission, vision
• Funding mechanisms
• Recurring funding opportunities
• More on this later
• Check funding opportunities regularly
• Fine-tune search parameters for subscription
  databases
• Learn how to quickly evaluate a potential funding
  opportunity (more later)
• Keep a list of funding agencies, funding
  opportunities with urls (e.g., MS Word table with
  hotlinks)

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Backgrounding an agency and evaluating a
potential funding opportunity
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Backgrounding the Funding AgencyQuestions to Ask

• What are its mission and goals?
• What are its investment priorities, strategic
  plan?
• What time horizon are they aiming for?
• How do they get their funding?
• What procedures do they use to notify the
  community of funding opportunities?
• Who influences their planning and goals?
• What language do they use?

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Backgrounding Funding AgencyQuestions to Ask

• What is their culture like?
• What procedures do they use to review proposals
  and make funding decisions?
• What are their review criteria?
• How are they organized?
• Who are the personnel and what is their
  background?
• What have they funded in the past?
• What is their budget?

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Backgrounding the Funding AgencySources of
Information

• Web site
• Solicitation
• Organization Chart
• Strategic Plan/ Roadmap
• Bios of Program Officers
• Reports, Publications
• Contacts with Program Officers (visits,
  conferences, phone and e-mail conversations)
• Agency workshops and seminars

• Leadership Speeches
• Congressional Testimony
• Current Funded Projects Databases
• Project Abstracts
• Contacts with Funded Researchers
• Contacts with former Program Officers
• Contacts with former Reviewers

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Funding Agency Culture Mission

• Agency reflects vision, mission, objectives, and
  strategic goals of founding intent
• Operational components of agency reflect a range
  of objectives, for example
• Strategic research plan
• Strategic investment plan
• Research portfolio investment time horizon
• Technology transfer, patenting, licensing,
  commercialization
• Research priorities characteristics

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Funding Agency Culture Mission Basic
Research Agencies (NSF, NIH)

• Independent agency management
• Independent research vision, mission,
  objectives
• Award criteria based on intellectual and
  scientific excellence
• Peer panel reviewed, ranked, and awarded by merit
• Focus on fundamental or basic research at the
  frontiers of science, innovation, and creation
  of new knowledge
• Open ended, exploratory, long investment horizon
• Non-classified, non-proprietary

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Funding Agency Culture Mission

• Mission-oriented federal agency research
  development
• RD serves agency goals and objectives, but
  reflect Executive Branch policy directions, or
  congressional
• E.g., Agriculture, Energy, Education, Defense,
  Health
• Scope of work tightly defines research
  tasks/deliverables
• Predominately applied research for meeting near
  term objectives, technology development
  transfer, policy goals
• Predominately internal review by program officers
• Awards based on merit, but also on geographic
  distribution, political distribution, long term
  relationship with agency, Legislative Executive
  branch policies
• Classified and non-classified research

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Funding Agency Investment PrioritiesExamples

• National Science Foundation
• Strategic Plan 2003-08 (http//www.nsf.gov/od/gpra
  /Strategic_Plan/FY2003-2008.pdf)
• Office of the Director (http//www.nsf.gov/od/)
• National Institutes of Health
• NIH Roadmap (http//nihroadmap.nih.gov/)
• NIH Director Elias Zerhouni (http//www.sciencemag
  .org/feature/plus/nihroadmap.pdf)
• NIH Directors Page (http//www.nih.gov/about/dire
  ctor/)

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Funding Agency PrioritiesExamples

• Department of Education
• Dept of Ed Strategic Plan http//www.ed.gov/about/
  reports/strat/plan2002-07/index.html
• Office of Special Education and Rehabilitative
  Services
• Mission Statement, Strategic Plan and Goals
  http//www.ed.gov/about/offices/list/osers/aboutus
  .html
• Reports and resources http//www.ed.gov/about/offi
  ces/list/osers/reports.html

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Funded Projects Databases

• NSF Award Search Site (abstracts of awards
  available) http//www.nsf.gov/awardsearch/index.js
  p
• NIH Award Search Site (abstracts of awards
  available) http//crisp.cit.nih.gov/crisp/crisp_qu
  ery.generate_screenhttp//crisp.cit.nih.gov/ DoD
• SBIR/STTR Search http//www.dodsbir.net/Awards/Def
  ault.asp
• NEH Awards Search http//www.neh.gov/news/recentaw
  ards.html
• USDA Awards information and Forms
  http//cris.csrees.usda.gov/
• US Dept. of Education Awards Search (limited)
  http//wdcrobcolp01.ed.gov/CFAPPS/grantaward/start
  .cfm

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Sifting through RFPs

• What do they want to accomplish through this
  program?
• How much money is allocated and how many awards
  are anticipated?
• Who is eligible to apply?
• What are the budget guidelines?
• What, if any, partnerships are required?
• Have other grants been made under this program?

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Request for Proposals, RFP

• Program Description
• Mission Context
• Eligibility Information
• Award Information
• Review Criteria
• Program Officers
• Reference Documents
• Award Administration

• Proposal Guidelines
• Format
• Document Order
• Project Description
• Scope of Work
• Performance Goals
• Management
• Attachments
• Budget Guidelines

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Performance Expectations

• Publications
• Curriculum
• Commercialization
• Patents
• Degrees awarded
• Technologies
• Map to RFP Evaluation Criteria
• May require internal and/or external evaluation
  annual performance review

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Researching a Specific Funding Opportunity
39
Reading the Solicitation

• Read and re-read the solicitation!
• The solicitation is not a list of suggestions it
  is a list of requirements
• It is a window into the thinking of the funding
  agency

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Things to Look for in the Solicitation

• Purpose of the program
• Research topics of interest
• Changes from previous programs
• Inspiration for program and references
• Program requirements
• Proposal requirements
• Budget guidelines
• Review criteria
• If you are pursuing an unsolicited
  opportunity, you will have to find these things
  out using other available information sources

41
Purpose of the Program

• Commonly discussed in background section
• Make sure the goals of your proposed project
  mirror the program goals
• Look for words that are repeated often
• e.g., innovative
• You will want to use those words to describe your
  project (and back up those claims)
• The outcomes of your proposed project should
  support program objectives

42
Research Topics of Interest

• Understand which topics are fundable under this
  solicitation
• Read solicitation
• Look at funding history (use databases, if
  available)
• Talk to Program Officer
• Note terminology and language used you will want
  to use similar terminology in your proposal

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Inspiration for Program and References

• Program may be result of committee report (e.g.,
  National Academies, National Science Board,
  special study committees)
• May be documented in Workshop presentations and
  reports
• May be documented in final reports and
  publications of previously funded projects
• May be outgrowth of agency roadmap, strategic
  planning
• Read and cite these reports in your proposal

44
Program Requirements

• Read carefully and make a checklist
• Plan to explain how you will meet each program
  requirement
• Start work on setting up collaborations,
  partnerships if needed
• Supporting letters may be needed for your
  proposal
• To be competitive, you must meet all program
  requirements

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Explicit Proposal Requirements

• Note carefully formatting rules (page limits,
  fonts, margins, etc.) these may be in a
  separate document
• Look for suggested or required sections
• Make an outline that mirrors solicitation
• Include checklist of everything that must be
  addressed, divided by sections keep this
  checklist through early drafts
• Note supplementary documents needed
• Bios, Lists of Current Funding, Letters of
  support, Facilities and Equipment, etc.

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Unspoken Expectations

• Qualifications and experience of PI(s)
• Infrastructure provided by PIs institution
• Preliminary data
• Very important!
• Varies greatly depending on agency, discipline,
  etc.
• Info sources
• Previous awardees
• Previous reviewers
• Program officers and previous program officers

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Talking to the Program Officer

• Do your homework first
• Read solicitation carefully
• Read background documents
• Investigate previously funded projects
• Prepare a concise description of your project
• Goals, objectives, outcomes
• One short paragraph
• Try e-mail and phone
• If possible, use e-mail to set up phone
  conversation
• Ask open-ended questions and listen carefully

48
Talking to Previous Awardees

• Most previous awardees very generous (unless they
  will be competing with you for renewal)
• Ask about program reviews, feedback from program
  officer
• Be aware that programs may evolve and criteria
  change
• Previous awardees often also reviewers
• May make sense to cite results of previous
  awardee or forge a connection with previously
  funded programs

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Review Criteria

• Most important part of solicitation!
• Plan how you will meet each review criterion
• Structure your proposal outline to reflect review
  criteria
• If you are weak in an area, plan how you will
  address this

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Preparing to Write

• Research agency
• Research program
• Develop detailed outline
• Research literature and previous work
• Generate preliminary data, if needed
• Develop collaborations, partnerships, support, if
  needed
• Line up institutional support, if needed
• Line up colleagues to edit your outline and
  proposal
• Generate schedule for producing your proposal

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Set up a Schedule to Produce Your Proposal

• Work back from deadline
• Start budget early
• E-mail your draft text and final budget to
  proposal administrator for routing
• Allow at least 4 days for routing additional
  time if multiple investigators
• PI
• Department Head
• Dean
• Office of Sponsored Projects

52
Collaborations/Partnerships

• Work on these before you start writing
• Be clear about roles of collaborators and
  partners
• Establish split of resources
• For TAMU collaborators, agree on budget split
• Be sure collaborators and partners get something
  out of participating in the project
• If you need a letter of collaboration, offer to
  write a draft for your collaborator to edit
• Include specifics on what they will do and
  support they will provide
• Explain who the collaborator is and their
  motivation

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Preliminary Data

• Understand the expectations of the agency and
  program
• How much preliminary data is expected?
• Higher risk research will require more
  preliminary data
• Less experienced researchers will generally need
  more preliminary data
• Preliminary data should strengthen reviewers
  perception of your chance of success

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Line up Editors

• Look for colleagues who have been funded by
  agency to which you are applying
• Talk to them early
• Ask colleagues to review your detailed outline
• Look for someone who will be brutally honest

55
Institutional Support

• Is cost sharing (matching) required?
• What type? (Cash, in-kind?)
• What rules apply?
• Are other resources required?
• Work to set these up early
• Typically start with your Dept. Head and move up
• If specific facilities required, work with
  facility provider
• Determine supporting documentation needed
• Research Foundation can help

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Contact Your Proposal Administrator

• Agencies providing proposal administration
• Research Foundation
• http//rf-web.tamu.edu/preaward/proposaladm.html
• TEES Research Services
• http//trsweb.tamu.edu/contact.html
• TAES Preaward Services
• http//agcg.tamu.edu/staff.htm
• TTI
• Toni Monroe979-862-3942t-monroe_at_ttimail.tamu.edu
  
• If unsure which agency to contact, talk to your
  Department Head

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Log in Proposal with Administrator

• Provide the following information
• Funding Agency
• Program name and/or solicitation number
• Proposal title
• Proposal due date
• Name of PI
• Name of all Co-PIs
• Involvement of collaborators or subawards
• Contact your proposal administrator early!
• No later than 2 weeks before due date but ideally
  earlier

58
Proposal Administrator

• Provides assistance in drawing up budget
• May provide other assistance (check with your
  administrator)
• Electronic submission of proposal
• Checking compliance with required formats (e.g.,
  biosketches, etc.)
• Cover sheets and forms
• Routing
• Copying and mailing

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Writing the Proposal
60
Introductory writing tips

• The abstract, proposal summary, and introduction
  are keythat may be all many reviewers read and
  it is here you must excite and grab the attention
  of the reviewers
• Reviewers will assume errors in language and
  usage will translate into errors in the science
• Dont be overly ambitious in what you propose,
  but convey credibility and capacity to perform

61
Introductory writing tips

• Sell your proposal to a good scientist but not an
  expert
• Some review panels may not have an expert in your
  field, or panels may be blended for
  multidisciplinary initiatives
• Agencies reviewers fund compelling, exciting
  science, not just correct science
• Proposals are not journal articlesproposals must
  be user friendly and offer a narrative that tells
  a story that is memorable to reviewers

62
Following agency guidelines

• Read solicitation and/or proposal guide carefully
  for formatting requirements and follow
  scrupulously
• Font and font size
• Page limits
• Biosketch formats
• Citation format
• Avoids disqualification of your proposal
• Avoids irritating reviewers

63
Make your proposal easy to read

• Reviewers often have 8 or 10 proposals to read
• Use white space, underlining, bold, bullets,
  figures, flowcharts to make main points easy to
  find
• Put main idea of sections and paragraphs up front

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Must Convince Reviewers

• Your proposed research should be funded
• Its important and supports the agency mission
  and program goals
• Its exciting
• It has a good chance of succeeding
• You are the person who should conduct the
  proposed research
• You are knowledgeable and well-qualified
• You have the support and resources required

67
Structure of Proposal

• Often dictated by solicitation or other agency
  document
• NSF Grant Proposal Guide
• NIH PHS 398
• Also guided by evaluation criteria

68
Proposal Sections Examples

• Project Summary
• Project Description/Research Narrative
• Goals/Objectives/Specific Aims
• Introduction/Overview
• Background and Significance
• Approach/Methodology
• Research Plan
• Preliminary Data
• Broader Impacts (NSF)
• Literature Cited
• Budget
• Budget Justification
• Biosketches
• Funded Projects
• Equipment and Facilities

69
Summary

• Provides a concise overview of the proposed
  project
• May be the only section the reviewer reads!
• Generates enthusiasm for the proposed project
• Requires that you provide a great deal of
  information within a tightly prescribed format
• Who, what, when, where, why, and how
• Additional agency-specific information
• NIH Relevance of the research to public health
• NSF Intellectual merit and broader impacts
• Frequently becomes public record if the project
  is funded
• Should be written in third person
• Should not include confidential or proprietary
  information

70
Goals/Specific Aims

• State specific, measurable goals of your project
• Tie to program/agency mission and goals
• If hypothesis-based research, state your
  hypothesis
• Discuss expected outcomes

71
Introduction/Overview

• Provides a framework for the reviewer
• Remainder of proposal will flesh out this
  framework
• Opportunity to make important points up front
• Communicate your excitement!

72
Background/Literature Review

• Spend some time researching this
• This section should tie closely to your proposed
  research
• What are the holes in current knowledge that your
  work will fill?
• How does your research extend and advance
  knowledge in the field?
• Do not be dismissive of previous research
• Be thorough in citing important work but be
  concise

73
Significance

• Explain explicitly why proposed research is
  important
• Tie to agency and program goals
• Relate to review criteria
• Make this easy to find

74
Approach/Research Plan/Methodology

• Be very clear about how you will accomplish your
  stated goals and objectives
• Include details
• What, specifically, will you do when you get the
  money?
• Schedules and milestones may be helpful
• This is especially important if you are a
  relatively new researcher
• Address any potential dead ends, roadblocks,
  show-stoppers and how you will deal with them
• Avoid ambiguous terminology be very specific!

75
Connect narrative text to budget

• Budget categories are defined by the funding
  agency
• Be sure activities discussed in narrative are
  reflected in budget
• Connect narrative text to the budget to ensure
  appropriate balance and proportion,
• If a budget justification section is requested,
  use it to complement and deepen the narrative
  detail

76
Beware of boiler plate dont copy paste

• Boiler plate refers only to the grant application
  forms required by the funding agency
• Thinking of proposal narrative as boiler plate
  will result in a mediocre, disjoint proposal
• Begin each proposal as a new effort, not a copy
  paste
• Be very cautious integrating text inserts
• Strong proposals clearly reflect a coherent,
  sustained, and integrated argument grounded on
  good ideas

77
Outcomes or deliverables

• Develop short, hard-hitting lists off-set by
  bullets or other typographical formats
• Relate outcomes to goals and objectives
• Outcomes should be specific and measurable
• Timelines and schedules with milestones can
  orient reviewers and provide a quick overview of
  how program components fit together

78
Project assessment and evaluation

• How will you know if you were successful?
• Describe what will be measured in order to assess
  how well project met each of its objectives
• Who will conduct assessment?
• Discuss logistics
• Formative assessment conducted throughout
  project and results fed back to improve project
• Summative assessment final assessment at end of
  project

79
Craft of grant writing web sites

• http//cpmcnet.columbia.edu/research/writing.htm
• http//nextwave.sciencemag.org/cgi/content/full/19
  99/08/27/1
• http//grants.library.wisc.edu/index.html
• http//www.research.umich.edu/proposals/PWG/pwgcom
  plete.html
• http//www.asru.ilstu.edu/grantwritingseries.htm
• http//grants.nih.gov/grants/grant_tips.htm
• http//www.epa.gov/seahome/grants/src/title.htm
• http//www.nsf.gov/pubs/2004/nsf04016/start.htm
• http//www.aecom.yu.edu/ogs/Guide/Guide.htm
• http//www.awag.org/Grant20Seekers20Tool20Kit/i
  ndex.htm
• http//www.americanscientist.org/template/AssetDet
  ail/assetid/23947?fulltexttrueprintyesprintye
  s
• http//www.pitt.edu/offres/proposal/propwriting/w
  ebsites.html

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National Science Foundation

• Funds research in
• Biological Sciences (BIO)
• Computer and Info Science and Eng (CISE)
• Engineering (ENG)
• Education and Human Resources (EHR)
• Geosciences (GEO)
• Math and Physical Sciences (MPS)
• Polar Research (OPP)
• Social, Behavioral and Economic Sciences (SBE)
• Cross-cutting Research

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NSF

• In addition to research grants, NSF funds
• Instrumentation
• Conferences and Workshops
• Doctoral Research in Selected Areas (Doctoral
  Dissertation Improvement Grants)
• International Travel
• Graduate Fellowships

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NSF mission

• To support
• Basic scientific research and research
  fundamental to the engineering process
• Programs to strength scientific and engineering
  research potential
• Science and engineering education programs at all
  levels and in all fields of science and
  engineering
• An information base on science and engineering
  appropriate for development of national and
  international policy

83
NSF Goals and mission

• Agency goals are defined in terms of people,
  ideas and tools
• People A diverse, competitive, and globally
  engaged U.S. workforce of scientists, engineers,
  technologists and well-prepared citizens
• Ideas Discovery across the frontier of science
  and engineering, connected to learning,
  innovation and service to society
• Tools Broadly accessible state-of-the-art
  science and engineering facilities, tools, and
  other infrastructure that enable discovery,
  learning and innovation

84
NSF Organization
85
Directorates divided into divisions

• Example Math and Physical Sciences (MPS)
• Astronomical Sciences (ASI)
• Chemistry (CHE)
• Materials Research (DMR)
• Physics (PHY)
• Division Mathematical Sciences (DMS)

86
Programs/clusters within organization

• Materials Research
• Ceramics
• Metals
• Electronic Materials
• Condensed Matter Physics
• Materials Theory
• Solid State Chemistry
• Etc.

87
Funding opportunities

• see Guide to Programs at http//www.nsf.gov/fund
  ing/browse_all_funding.jsp
• Program Description or Program Announcement
  (unsolicited)
• Solicitations
• Supplements
• Dear Colleague Letter
• SGER (Special Grants for Exploratory Research)

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Example funding opportunities

• Grants Funding Equipment (web sites in handout)
• Major Research Instrumentation (MRI)
• Earth Sciences Instrumentation and Facilities
  (EAR/IF)
• Research Equipment for Chemical Transport System
  Division
• Chemical Research Instrumentation and Facilities
• Multi-user Equipment and Instrumentation
  Resources for Biological Sciences
• Archaeometry Awards
• Astronomical Sciences Advanced Technologies and
  Instrumentation (ATI)

89
Example funding opportunitiesCAREER

• http//www.nsf.gov/funding/pgm_summ.jsp?pims_id52
  62fromfund
• Duration 5 years
• Funding level minimum 400K total (except min.
  500K total for BIO directorate)
• Eligibility
• Have a PhD
• Untenured, holding tenure-track assistant prof.
  Position or equivalent
• Have not competed in CAREER more than two times
  previously
• Have not won a CAREER award
• Due July 20 22 depending on directorate
• Typical 10 20 success rate

90
NSF Review Criteria

• Intellectual Merit
• How important is activity to advancing knowledge
  and understanding in own field and across fields?
• How well-qualified is proposer to conduct
  project?
• How creative and original are ideas?
• How well-conceived and organized is proposed
  activity?
• Is there sufficient access to resources?
• Broader Impacts
• How well does the activity advance discovery and
  understanding while promoting teaching, training
  and learning?
• Will it enhance infrastructure for research and
  education such as facilities, networks,
  partnerships?
• Will results be disseminated broadly to enhance
  understanding of science?
• What are potential benefits to society of
  proposed research?

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NSF Review Criteria (contd)

• Integration of Research and Education
• How well does project foster integration of
  research and education, infusing education with
  the excitement of discovery?
• Integrating Diversity into NSF Programs, Projects
  and Activities
• How well does project broaden opportunities and
  enable the participation of all citizens, women
  and men, underrepresented minorities and persons
  with disabilities?

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Review Process

• May be ad hoc or panel review (at least three
  reviewers)
• Proposal rated
• Excellent, Very good, Good, Fair, Poor
• Comments included as feedback
• NSF tries to return reviews within 6 months of
  due date

93
Dean of FacultiesWriting Effective Research
Grant Proposals
Susan E. Maier, Ph.D. Research Development Officer
94
Outline of PresentationNational Institutes of
Health (NIH)

• Overview of NIH
• Understanding NIH funding priorities
• Submitting proposals to NIH
• The review process
• Learning more

95
Overview
96
Overview National Institutes of Health (NIH)

• Department of Health and Human Services (DHHS)
• Current Secretary, Tommy Thompson, J.D.
• Substance Abuse and Mental Health Services
  Administration (SAMHSA)
• Agency for Toxic Substances and Disease Registry
  (ATSDR)
• Agency for Healthcare and Research Quality (AHRQ)
• Centers for Medicare and Medicaid Services (CMS)
• Centers for Disease Control and Prevention (CDC)
• Administration for Children and Families (ACF)
• Food and Drug Administration (FDA)
• National Institutes of Health (NIH)
• Administration for Aging (AoA)
• Program Support Center (PSC)
• Indian Health Service (IHS)

97
Overview National Institutes of Health (NIH)

• Department of Health and Human Services (DHHS)
• Substance Abuse and Mental Health Services
  Administration (SAMHSA)
• http//www.samhsa.gov/grants/2006/ataglance.aspx
• Agency for Healthcare and Research Quality (AHRQ)
• http//www.ahcpr.gov/fund/grantix.htm
• Centers for Disease Control and Prevention (CDC)
• http//www.cdc.gov/od/pgo/funding/grantmain.htm
• Administration for Children and Families (ACF)
• http//www.acf.dhhs.gov/programs/acfdps/index.htm
  Program_Services
• Food and Drug Administration (FDA)
• http//www.grants.gov/
• National Institutes of Health (NIH)
• http//grants.nih.gov/grants/guide/index.html
• Agency for Toxic Substances and Disease Registry
  (ATSDR)
• Centers for Medicare and Medicaid Services (CMS)
• Administration for Aging (AoA)
• Program Support Center (PSC)
• Indian Health Service (IHS)

98
OverviewNational Institutes of Health (NIH)

• Primary agency for funding biomedical,
  behavioral, mental health research
• NIH is the worlds largest and most
  distinguished organization dedicated to
  maintaining and improving health through medical
  science (http//www.hhs.gov/budget/06budget/nih.h
  tml)
• Consists of Office of the Director (OD), and 20
  Institutes and 7 Centers (IC), and Facilities
  Construction(related mostly to biodefense)
• Current director of NIH is Elias A. Zerhouni,
  M.D.
• Access web pages for the Office of the Director
  http//www.nih.gov/icd/od
• Access web pages for Institutes and Centers (IC)
  http//www.nih.gov/icd

99
OverviewNIH Mission

• The mission of the NIH
• Improve the health of humans, promote healthy
  lifestyle, and reduce the burden of illness and
  disability
• Basic scientific research in pursuit of
  fundamental knowledge (including data collection
  about the occurrence and risk factors for
  specific diseases
• Translational research involving moving the
  knowledge derived from basic science research
  (the bench) to the clinical populations (the
  bedside)
• Office of Director may suggest specific areas of
  research focus IC Directors use this input to
  direct their own IC funding priorities
• Important to review the individual IC web pages
  and talk to specific program officers about the
  current focus
• Currently, hot trends at NIH involve trans-NIH
  initiatives or intra-agency research research
  projects that cut across the various IC
  (http//www.nih.gov/about/transnih.htm)

100
Understanding NIH Funding Priorities
101
Understanding funding prioritiesNIH Investment
Priorities

• NIH funds research projects
• Its own laboratories (intramural)
• At national or international locations
  (extramural)
• DHHS FY2006 budget for NIH is 28.8 billion
• http//www.hhs.gov/budget/06budget/nih.html
• Appropriations
• 84 for extramural research
• 11 for intramural research
• 5 for research management and support
• Majority of funds go to extramural research
  projects
• Eligible research projects involve basic,
  translational, and applied research in many
  medical and health-related fields
• E.g., funding for education and outreach
  activities that will fulfill the goal of
  promoting healthy lifestyles

102
Understanding funding prioritiesTargeted NIH
Investment Priorities

• Targeted areas of support for FY2006
• Biodefense
• HIV/AIDs Research
• NIH Roadmap for Medical Research
• NIH Blueprint for Neuroscience Research

103
Understanding funding PrioritiesTargeted NIH
Investment Priorities

• Targeted areas of support for FY2006
• Biodefense 11 increase from FY2005
• Research directed at detecting and countering
  bioterrorism
• Basic research on the biology of microbial agents
  with bioterrorism potential host response to
  infection and defense mechanisms
• Applied research directed at improved
  diagnostics, vaccines, therapeutics to control
  bioterrorism outbreak
• NIH Roadmap for Medical Research lt1 increase
  from FY2005
• New Pathways to Discovery
• Research Teams of the Future
• Re-engineering the Clinical Research Enterprise
• HIV/AIDs Research lt1 increase from FY2005
• Development of an AIDS vaccine
• HIV prevention research
• Addressing HIV/AIDS health disparities
• NIH Blueprint for Neuroscience Research
• Involves 15 IC
• Develop single-gene knockout mouse strains,
  enhance training in cross cutting techniques such
  as imaging and computational biology support
  core centers (cell culture, DNA sequencing, gene
  vector development, molecular biology service
  centers, proteomics)

104
Submitting Proposals to NIH
105
Submitting proposals to NIHSolicited versus
unsolicited proposals

• Solicited (agency-initiated) proposals (18)
• Requests for Applications/Proposals (RFAs, RFPs)
• Program Announcements (PAs)
• Due dates may vary for each solicitation
• Unsolicited (investigator-initiated) proposals
  (82)
• Grant cycles
• Major deadlines for research project grants
• February 1, June 1, and October 1 (new)
• March 1, July 1, November 1 (revised)

106
Submitting proposals to NIHIdentifying Research
Funding Opportunities

• Solicited proposals
• NIH funding opportunities page
• Includes funding opportunities for NIH only
• Located at http//grants1.nih.gov/grants/guide/ind
  ex.html
• Search all RFAs and PAs for current week or for
  year
• Subscribe to weekly listserv to receive RFAs and
  PAs
• Grants.gov
• Includes funding opportunities for NIH, as well
  as for the 25 other federal grant-making
  agencies
• Located at http//www.grants.gov/Index
• Search by keyword, funding opportunity number,
  category, agency, funding instrument, eligibility
  type
• Search all posted grant opportunities for last 7
  days
• Subscribe to grant opportunity notifications

107
Submitting proposals to NIHFunding mechanisms,
the basics

• Unsolicited proposals
• Numerous funding mechanisms
• (R01) Research Project Grant
• Supports discrete, specified, circumscribed
  projects
• Almost all IC support this funding mechanism
• (R03) Small Research Project Grant
• Supports small research projects that can be
  carried out in a short period of time with
  limited resources
• (R21) Exploratory Research Project Grant
• Supports exploratory and developmental research
  that breaks new ground or extends previous
  discoveries
• High risk high yield

108
Submitting proposals to NIHFunding mechanisms,
advanced

• Other types of proposal mechanisms (unsolicited
  or solicited)
• Program project (P01)
• Specific to IC, supports large scale projects
  involving many investigators
• Broadly based multi-disciplinary research
  programs that have a well-defined central
  research focus or objective
• Successful P01s must demonstrate that the results
  of the program will be more meaningful than if
  the individual investigators were each given R01s
  for their specific project
• Institutional research training grants (T32, T35)
  (NRSA)
• Develop and enhance research training
  opportunities for individuals training for
  careers in biomedical, behavioral or clinical
  (e.g., predoctoral, postdoctoral, short-term
  research training experiences)
• E.g., T32 uses PA-02-109 (http//grants2.nih.gov/g
  rants/guide/pa-files/PA-02-109.html) regular
  training opportunity
• E.g., T35 uses PA-05-117 (http//grants2.nih.gov/g
  rants/guide/pa-files/PA-05-117.html) short-term
  training opportunity
• Due dates are Jan 10, May 10, Sept 10, but some
  IC have only 1 date per year

109
Submitting proposals to NIHFunding mechanisms,
advanced contd

• Other types of proposal mechanisms
• Small business funding opportunities (SBIR/STTR)
• Biomedical information and science technology
  initiative (BISTI)
• NIH bioengineering consortium (BECON)
• Institutional development awards (IDeA)
• NIH Roadmap
• Presidential early career award for scientists
  and engineers (PECASE)
• Support for conferences and scientific meetings
  (R13 U13)

110
Submitting proposals to NIH Funding mechanisms,
Career Development

• Career awards - targeted programs
• Some directed at retraining, professional
  development, and recognition of career success
• K01 Mentored Research Scientist Career Award
• Provide mentored career development in a new
  research area
• K02 Independent Scientist Award
• Develop career of funded scientist
• K05 Senior Scientist Award
• Recognize outstanding Scientist with sustained
  level of high-productivity (Merit)
• K08 Mentored Clinical Scientist Award
• Development of the independent clinical research
  scientist
• K18 Career Enhancement Award for Stem Cell
  Research (restricted to select IC)
• K25 Mentored Quantitative Research Career
  Development Award
• To foster interdisciplinary collaboration in
  biomedical research by supporting career
  development experiences for scientists with
  quantitative and engineering backgrounds

111
Submitting proposals to NIHForms

• All NIH proposals use PHS Form 398 or a variation
  of PHS398
• Step 1 Download the Instructions and PHS398
  forms
• http//grants1.nih.gov/grants/funding/phs398/phs39
  8.html
• Step 2 READ THE INSTRUCTIONS

112
Submitting proposals to NIHProposal Basics,
e.g., R01

• The Research Plan the what, why and how of the
  proposal
• Minimum requirements for the Research Plan
  include Sections A-D, which cannot be more than
  25 single-spaced pages, unless the RFP/RFA or PA
  states differently
• Section A (the what). Specific Aims
• Section B (the why). Background and
  Significance
• Section C (the why and how). Preliminary
  Data/Progress Report
• Section D (the specific how). Research Design
  and Methods
• http//deainfo.nci.nih.gov/extra/extdocs/gntapp.ht
  m7

113
The review process
114
The review processCenter for Scientific Review
(CSR)

• Center for Scientific Review
• http//www.csr.nih.gov/default.htm
• Integrated Review Groups
• Study Sections
• Scientific Review Administrator (SRA)
• About 20 peer reviewers from your discipline
• Scientific review process
• Each proposal assigned a primary, secondary and
  tertiary reviewer
• For investigator-initiated R01, R21, R03
  proposals, the reviewers are asked to identify
  the bottom 50 of their proposals streamlining
  or triage (dont call us.)
• Review committee meets to discuss applications
• Primary reviewer presents your application to the
  group (reads the abstract/executive summary)
• Group discusses your application for 10 to 15
  minutes
• Individuals with the group assign a priority
  score to your application
• SRA converts the average priority score from the
  individual group members to a percentile
• SRA prepares a summary statement for your
  application
• Streamlined applications receive summary
  statement verbatim from all reviewers with no SRA
  input
• Scored applications receive summary statements
  re-written by the SRA, along with their score and
  percentile rank

115
The review processCenter for Scientific Review
(CSR)

• General review criteria
• Investigator
• Education, training, relevant experience
• Having relevant collaborators as Co-Investigators
  on your proposal can help immensely
• Environment
• Suitability of facilities and support of
  institution
• Available equipment (especially high-tech or
  services available)
• Significance
• Ability of the project to improve health
• Approach
• Feasibility of methods and appropriateness of
  budget
• Time-line, anticipating problems and proposing
  solutions
• Innovation
• Originality of research
• How new is the research? Is the question
  original or just the technique?

116
The review processCenter for Scientific Review
(CSR)

• For agency-initiated proposal requests, check for
  specific review criteria in the RFP, RFA, PA
• For example, PAR-05-124, High End Instrumentation
  Grant
• http//grants2.nih.gov/grants/guide/pa-files/PAR-
  05-124.html
• Used the PHS398 form, but the Research Plan
  section (normally, sections A-D) were the
  following
• Section A. Justification of Need
• Section B. Technical Expertise
• Section C. Research Projects
• Section D. Institutional Commitment
• Section E. Administration of the Instrument
• Section F. Financial Administration
• The review criteria categories were the same as
  those used for the Research Plan

Specific Aims
Background and Significance
Preliminary Data
117
The review processMake use of the available
scientific resources

• Visit with institute representatives at national
  meetings
• Let them know who you are (associate a face with
  a name)
• Contact your program officer early in the
  proposal preparation process
• Verify that your proposed project addresses the
  specific IC priorities
• Ask if the program officer is willing to review
  your abstract/executive summary for a specific
  proposal
• Give special attention to abstract/executive
  summary sections
• The abstract/executive summary has a longer shelf
  life than any other portion of the proposal
• Remember that this may be the only section some
  reviewers will read!
• Use these sections to generate excitement about
  and advocacy for your proposed research project

118
The review processPost-Award Expectations

• Annual progress reports results from funding
• Peer-reviewed publications
• Advances in knowledge
• Inventions, patents, therapeutics, translational
  commodities
• Productivity during current funding affects
  future funding success
• About 1.5 years prior to the end of the grant
  period, submit a competitive renewal
• Develop new hypotheses and directions for
  research based on research findings from current
  award and from results found in literature
  reviews of research area

119
Learning More
120
Learning moreCRISP

• CRISP database
• Computer Retrieval of Information on Scientific
  Projects
• Searchable biomedical database of federally
  supported proposed research conducted at
  universities, hospitals, and other research
  institutions
• Includes projects funded by NIH, AHRQ, CDCP, FDA,
  HRSA, OASH, SAMSHA
• Located at http//crisp.cit.nih.gov/

121
LEARNING MORE

• Allow plenty of time to do your homework
• Read the relevant NIH tutorials
• http//www.niaid.nih.gov/ncn