Strategies & Tactics of WritingNSF and NIH

Research Grant ProposalsA Seminar

by Beth Schachter, PhD

for the Faculty of The City University ofNcw York

May 29, 2009

Bcth Schachtcr Consultingwww.bethschachterconsulting.com

Still Point Coaching & Consultingwww.stillpointcoaching.com

drbethic@rcn.com

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Beth Schachter's background

PhD in molecular/ccll biology (USC)Postdoctoral research at UCSF and Columbia, with funding fromAmerican Cancer Society and NIHFaculty mcmbcr at Mount Sinai School ofMcdicine, with funding from NIH (ROls), HirschiFoundationAd hoc NIH and NSF grant reviewer (ROls and Program grants)

For past decade - science writer, editor, consultant (\,,"w\,...bethschachtcrconsulting.com)Collaborating partner al Still Point Coaching & Consulting(www.stillpointcoaching.com )All-CUNY Institutional Review Board Community Membcr (2004-08)Serving Science: CUNY's science cafe. Consultant

Beth's role at CUNY

Grant writing facilitatorCatalyst for CUNY faculty to tcach, help, and collaborate with each other

***Our models for today's seminar - NSF individual research grant and NIH ROIresearch grant

Rationale/or focusing on individual research granl.'ifrorn NSF and NIII

The most common large grant to support research in an individual labTypically funding comes for 3 yean; (NSF) or 4-5 years (NIH) and the grant is renewablePreferred by institutional administrators over private foundation grants because these Federalgrants come with considerable institutional overhead (20-24% from NSF, >60% from NIH)

***But first, note the many other sources of grant funding for faculty in the sciences andthe humanities:For grants from the Federal Government

• Google (Department Name + Grants)• Visit Web site for National Endowment for the Humanities• Visit Web site for National Endowment for the Arts• Visit www.Grants.govFor grants from non-profit organizations,

Visit The Foundation Center (www.foundationcenter.org)

Key messages for all scholars seeking extramural grant fundingAlign your proposal with the mission of the funding agcncy.Consult with the Program Officer for advice un your plan early on in the process.Plan to spend months, not weeks, on your grant proposal because it involves both creative andadministrative aspects.Learn and follow all the funding agency's rules about the proposal's content and format.Make sure that the reviewers arc not the first people to read your proposal. Give yourself timefor feedback from colleagues and mentors.

• Make your proposal is easy to read by using clear writing and an uncluttered fonnat.Write a proposal that an expert in your field (a likely reviewer) will want to defend and thatprogram officer will want to fund.If at first you don't succeed, try, try again!

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Strategies and Tactics of NSFand NIH Research Grant Writing

Strategy -plan:

Find best-fit funding sources, particularly within NSF and NIIIDevelop allies (Program officers, scientific collaborators and local faculty mentors)Plan the gathering of nceded data and write manuscripts

Tactics - method:\Vritc proposals that

Demonstrate how the proposal addresses mission of the funding sourceEffectively communicate the scientific contentPersuade reviewers/program officers of the value of your proposal

The NSF and the NIH Research Grants

Planning your grant proposalThe format for the narrative parts of the NSF and NIH research grant proposalsand the future fonnat of the NIH proposal\Vhat happens to your grant once its submitted to NSF or NIHlIow your grant gets evaluated for funding (including the new NIH scoring system)

Plamling your NSF or NIH research grantGive yourself mallY months of part-time work to plan and execute this grant proposalThe planning and execution involve both administrative and scientific tasks

Administrative ScientificIdentify Funding source (Including Institutes, Develop research questions on topics that intrigue youProi!rams, Reauests)Dctcnninc what's currently funded in your area and Read:from whom (E.g. from Institute announc.cmcnts and . Background literature on the topicfrom NSF AwardslFinding Funding and CRISP . Successful proposals and their critiquesdatabases . Failed proposals that have been turned around, and

their critinuesDON'T GO IT ALONE! Select pre-submission Tum questions into hypotheses and then hypotheses into aimsreviewers (Mentor, colleagues both in your field and Or Develop experimental model and determine the milestonesoutside.) Discuss ideas with them via informal and to assess the modelformal meetingsEstablish relationship with program officer. then Identify missing preliminary datadiscuss ideas and potential funding opportunitiesIdentify potential collaborators, co-Pl(s) -Gather missing preliminary data (Biggest failure for ROls-

submitted too early, before investigator has enough preliminarydata to SUDoort feasibilitv ofaims)'-

In consultation with PO, decide on studv section Refine hvoothcses or modelsDo literature search on members of study section Write manuscript(s) that serve as the basis for this grant(and. for NSF. the suggcsted rcviewers) to cover your applicationbases.

Write draft grant proposal- checking to sec that all key pointsare addressed

Get critique of draft from collaborators and prc- Revise draft based on feedback from colleaguessubmission review committeeDeliver IJroposal to Grants/Contracts office ahead of deadline!

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Starting point for planning your NSF or NIH research grant proposal

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When you have some intriguing research questions that you want to study and that have broadscientific significance in your fieldFor an NSF or NIH grant. look for the most appropriate funding Institute and the most appropriateProgram within that Institute

Why discuss administrative topics before talking about proposal content?To maximize your chances of getting funded, by knowing

Where (which institute and program) at NSF Of NIH to target your proposal andHow to make a persuasive case for your research

Starling in Ihis way keeps you mindful a/who you will write your proposal/or-the NSF or NIH ProgramOfficer as well as the scientific Tel';ewers.

***Finding the best-fit funding source at NSF or NIH

For junior faculty - Start by learning which program funded your mentor?For everyone - Web sites of individual NIH Institutes, read about their long-tcnn mission, and theprograms they currently target through RFAs (request for applications) and RFPs (request forproposals)Sign up for FOAs (funding opportunity announcements) from each relevant Institute

NSF Funding and Awards Databases:

NSF Funding Program Areas (http://www.nsf.gov/funding!) in each of the following areas to find programsin your area of research .

Crosscutting and NSF-wideBiological SciencesComputer & Information Science & EngineeringCyberinfrastmctureEducation and Human ResourcesEngineeringEnvironmental Research & EducationGeosciencesIntegrative ActivitiesInternational Science & EngineeringMathematical & Physical SciencesPolar Programs

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Search NSF AWARDS Database (http://www.nsf.gov/awardscarch!) on Organization: City College. State:New York, Active Awards

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Each NSF Program Area contains multiple Pro~ram Or:::anizationsFor example, Computer and Infonnation Science & Engineering (CISE) Program has:

Computing and Communication Foundations (CCF)Computer and Network Systems (CNS)Infonnation & Intelligent Systems (lIS)

Each Pro~ram Organization rna:)' ha\-'c multiplc programs and fundint.: upportunitiesFor example, CCF has the following core programs

Algorithmic Foundations (AF)Communications and Information Foundations (CIF)Software and Hardware Foundations (SHF)

.As well as additional time.dependent funding opportunities

Tofind Program Officers with whom you can discuss you project, look within each core programandfunding opportunity section of the NSF Web site

****CRISP: Grants database maintained by NIH

CRISP - Computer Retrieval ofInfoffilation on Scientific Projectsis a searchable database of federally funded biomedical research projects conducted at universities,hospitals, and other research institutions. The database, maintained by the Office of Extramural Research atthe National Institutes of Health, includes projects funded by the National Institutes ofHcahh (NIH),Substancc Abuse and Mental Health Services (SAMHSA), Health Resources and Services Administration(HRSA), Food and Drug Administration (FDA), Centers for Disease Control and Prevention (CDCP),Agency for I1ealth Care Research and Quality (AIIRQ), and Office of Assistant Secretary of Health(GASH). Users, including the public, can use the CRISP interface to search for scientific concepts,emerging trends and techniques, or identify spccific projects and/or investigators.

For each item, CRISP gives abstract, funding institute, type of grant, PI contact info, Institutional ReviewGroup, starting year of the grant, duration, etc.

CRISP search page - http://crisp.cit.nih.goV/crisp/crisp_query.gcncratc_scrcen

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Example: Search CRISP on Research Grants x Queens College x New Grants x 2007-9 in NY

Youhad 13 hits for the query:

I Grant Number I PI Name I Project Trtle

j1R03DA025797-01 ~ERWIO, OLGA Ilmpact of Stimulant Treatment on Neural Reward CircuItry F,I'R13NSOS1567.01 ISRUMBERG. JOSHUA I~arrelsXXI'R15NS059016-01 /CROll, SUSAN )Signaling mechanisms underlying VEGF.induced neUTOoIot.11R03AG028277-Q1A2IEDWARDs. RYAN Iinvestlgating the Health and Mortality of Veterans

11R15Hl096067-Ql !GLICKMAN HOLTZMAN. NATHAllAIOcfining endocardial requIrement for myocl'Jrdiai morphoger

1'R21MHOeSB98-01 !HALPERIN, JEFFREY ITraining E.xecutive Attffition and Motor Skills (TEAMS); Pn[,R15EY018951-Q1A1Iu, ANDREA ICharactertzlng neural mechanisms under1ying the extractior

11R03NS063182-Q1A 1 IPVTIE. CAROLYN B_,-havlor_alJeed~aCK.m';'U'~_l}:~r:Q!tatJ,jJe_sQ~~11R15CA125632-Cl1 IROTENBERG, SUSAN PKCalpha.Medlated Me<:hanisms in Metastatic Melanoma

11R15GM073678-01 !SAVAGE-DUNN,CATHY l~izC control gcne5 & TGF.bctJ: signaling C ~i1ns.

I'R15CA127974-0'A 1 !SEELING, JON I Inte_rn.!!LQ-t B~6_!l1_g_r!t9M!.~J9n'.~l}~lJ_T}tt$ of_P!"9_t~p_hQJlP'hata

I'R03HD056093-01AlfJESSELINOV,ELENA ISOCID-ECONOMICIMPACTOf GATEDCOMMUNtn.~!1"R1:iA"6032765.Q1 !ZAKERI, ZAHRA ICe II Death Society SymposIum on Targeting Cell Death Path

List shows, for example, Grant Type (Research, Program Project, Training), Institute (AI, A/H, DK etc.) aswell as PI. Also, links to Abstract

Many powerful uses for CRISP - for example:

.Which institutes fund your type of research?Whohas the Iypeofgranl you want (ROl, R21, R03, P, T, K elc,)?Who at a CUNY institution (or elscwhere) might be a potential collaborator blc of the type ofresearch they do?\Vhat is your competitor funded to do?

***DOIl'/ go it alolle: Once you 'v£'started toformulate jdeas jor your grant proposal, reach oullo:

Seek out faculty mcntor(s) and potential collaborators early on and interact with them frequentlyIlold group and individual meetings early on

• Contact funting agency Program Officer, via e-mail to introduce yourself, then phone, to discussyour ideas, starting at an early stage .

To write a fundable grant, you need to know who makes the fundingreeolllmendations/decisions and what criteria arc used for evaluation:

AtNSF

Program Officer within each program decides on funding based on available $$Decisions about funding consider:

o How well the proposal fits the Program missiono The evaluation scores, which consider the Intellectual Merit and Broader Impact. are

submitted by the reviewers to Program Officer• Some programs have a standing review panel of academic researchers• Some programs have only ad hoc reviewers• Some programs have a mixture of standing and ad hoc reviewers• Ad hoc reviewers for individual grants are suggested to the Program by the

grant PI

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At NIH

Scientific Rnicn' Committees (SRGs) evaluate proposals using 5 criteria. They send numericalscores to InstitutesProgram Officers at Institutes decide on funding based on available $$ using scores from studysections. But, they also look for alignment with the Program mission

Canfund propo.mls out-aI-order

Scientific Review Groups (aka Study Sections)Rotating panels of researchers

Administered by SRA (NIH Staff member)Thematic panels - e.g. Afo/ecu!ar genetics. myocardial ischemia and metabolismAll arc NIH-funded researchers (-20/pancl; all voting members)Ad hoc experts when needed (also get to vote)

NIH Grant review process

Each proposal gets evaluated and scored in detail by 1°,20 & 3° reviewers5 Evaluation criteria:Significance, Investigators, Innovation, Approach, Environment

Starting at June 2009 Study Section Meetings

The 3 reviewers will score each of the 5 criteria on a 1-9 scale (I =best)ALL VOTING MEr'IBERS will give 1-9 score for each proposal discussed at Study Sectionmeeting

The Study Section mccIing:

A time for discussion of those proposals deemed likely to get funding, in order to score and rankthemDiscussion of proposals at the meeting involves briefpresentalion by reviewers. During that time,most committee members - THE OTHER VOTING MEMBERS -- arc scanning the Abstract andSpecific Aims pages of the proposal being discussed.Only the most meritorious proposals get critiquied at the meeting. Less meritorious proposals getcritiques and scores from reviewers, but arc not discussed at the Study Section meeting. (Alsoknown as streamlining, triaging)

Take-home message about NIH grant review process:Address each of the 5 criteria explicitly, using aformatthat makes;t easyfor revielvers to quickly locatethat information.

Use the Abstract. Specific Aims and Si~nificance sections of your proposal to help ALLVOTING MEMBERS of your Study Section see that you have addressed those criteria

Below, we'll discuss how to address these points!

But first, a bit more background about how things work at Study Section and the changes that areunderway

Into the Future at NIH:Starting in early 20ID, research grants (ROls, R03, R21s. etc.) will have a new format:

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ROts, now 25 pages, will be shorter (possibly 12 pages, duc to reduction mainly in researchsection). Grants will be structured so that "the information provided is explicitly aligned with thereview criteria." -- Dr. Alan Willard, NIH In part, that means that the new forms will be designedso that applicants can more easily and explicitly address the 5 criteria used for peer review.

lJ~ee NIH.'s Enhan.cing Peer Revfeu' http:/~enhancing-peer-review.nih.gov/ The site includes regularly1! updated mformatlOn (Power Pomts and videos) for both applicants and reviewers.

****Crafting an NIH ROI that clearly convey its merits as a research proposal and yourmerits as a researcher and team leader:

Adapted/rom The Grant Appli£'ation Writer's JVorkhookGrant Writers' Seminars & JVorhhops LLC

httr:/Ilt,'Vo'w.grantcentral.comlworkbook nih .\'(424 ecomm.aspx

Text sections of ROI proposals that we'll discuss today

Their order (!(llppearance in the application

Project Summary/AbstractSpecific AimsBackground & SignificancePreliminary StudiesResearch Design & Methods

Suggested order for H/orkingon proposal

Draft bullet outline for Specific AimsSignificanceResearch Design & MethodsPreliminary Studieslfnecessary, revised Specific Aims plan, based on available Preliminary StudiesWrite and refine Specific AimsBackgroundfinalized Specific AimsProject Sum~lary/Abstract

Specific Aims - Start your proposal hereFrom NIH document:List the broad, long-term objectives and the goals of the specific research proposed, for example to test astated hypothesis, create a novel design, solve a specific problem, challenge an existing paradigm orclinical practice, address a critical barrier to progress in the field, or develop new technology that .••\'ill addsignfficllntly to our knowledge (implied but not stated)

NIH recommends, hut doesn't insist on I page in the current 25-pagc document.

Given that Specific Aims is the most important part of your proposal, and that it should be written for abroad audicnce - the entire Study Section -- writing -1.3 pages may be bettcr in some cases. That way,you C,1n tell your story effectively, in an easy-to-read [onnat rather than in a choppy presentation.

Specific Aims = Roadmap of the proposalUse this section of the proposal to tell the reviewers about the import problem you will address and howyou aim to contribute to the solution.

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Although this section is called Specific Aims, it's really meant to give a whole story, including anopportunity for you to tell reviewers about the importance of your ideas, the strength and noveltyof your preliminary data that lead to your central hypothesis, the strength of your team (includingboth lab members and collaborators) and the unique strengths of your approach and/orenvironment.

Take the reviewers on ajourney that 'will make them eager to read the rest a/your proposal

Specific Aims: Tell a powerful story using 4 paragraphs to address 13 points

Opening paragraph: 1) Opening statement; 2) Current slate oflhe knowledge; 3) Gaps in knowledge; 4)Importance of the gap in knowledge\\'hat, \Vh):, \\'110 Paragraph: 5) Long rdngc goal; 6) Objectives of this proposal; 7) Central hypothesis;8) Rationale; 9) Investigator and environmentSpecific Aims para~raph: 10) 2-4 Specific aims - including c.g. independent hypotheses or unmet needsPayoff paragraph: 11) Innovation; 12) Outcomes and expectations; 13) Importance

Remember those 5 el'a/natioll criteria:Signifi('ana!. flll-'es/ir:alnrs. Inlll1l'at;on. A""roach. EnvironmentLook for ways to work all these concepts into Specific Aims page

TII-: Avoid the most common mistake in writing Specilic Aims ~Putting too much experimental detailinto Specific Aims, at the expense of everything else

Crafting the Specific Aims, bullet by bullet

Opening paragraph

t) Opening sentence - an attention grabberTry to say something about a heath-related issue.TIP: Think "big picture ", not "my favorite mulecule"

2) Current knowledge (2-3 points) ~what's known in the general field of your researchWrite these points for the whole Study Section, not just the reviewers. who u'i1/know the topic best

3) Knm\o'ledge gapYou are building a case for why your project deserves funding. Here's where you start telling the reviewerabolll what is NOT known abolll this important matter.

4) Why Ihis gap is a prohlemAnd here's where )'OU make a point about \,"'hythat knowled~e ~ap is of concern, \Vhat progress isbeing held back by this knOl•..ledge gap?

\Vho, what, whv panlgraph

5) Long range goal- broad enough to be long~tenn but something doable in your life time (e.g. developan efficacious vaccine)

6) Objectives of the current application - fill gap or unmet need noted in t Sl paragraph.Gil'e your objectives a defined end-point. Don't say you will "investigate, study. explore. learn about"

7) Central, o\ICrarching h)!pothesis-In developing your central hypothesis, keep in mind the jhllowing:

\Vhat is it?

• A generally testable idea withoUl (l predetermined conclusion

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An idea whose testing will increase our general knowledge, moving thefieldfonvard.An idea that can be divided into discrete, independent parts - the Specific Aims

How docs it link back to the proposal's objectives?

To have continuity, the central hypothesis must link back to the objectives of the proposal

Why this hypothesis instead of others?

Because )'ollr preliminary data suggested it! (Ilere 's an opportunity to tell reviewers thatyour proposal is built on your own research findings as well as those of others.)

8) Rallonale

Ilow will the findings of you research advance the field?

Telling reviewers how, without restating how itjills gap in the field, ;,~rormsreaders of YOU wantto do the work

9) Investigators and environment-

Why are you right person in right place to do the work, given your published work and/or yourpreliminary data along with your longstanding and new collaborators, and specialresources/equipment to which you hm'e access?

Investigators and environment arc 2 of the 5 NIH evaluation criteria, so don't miss thisopportunity to include relevant infonnation here

Specific Aims "paragraph"

10) Spl'cine aims - for hypothesis driven, needs driven or hybrid proposalsHere is where you describe your approach. one of the 5 evaluation criteria.

General features of Specific Aims paragraph include the following:ROls have 2-4 aims (most often 2), which grow out of your central hypothesis.Aims should interrelate but must not interdepend so that later aim(s) become irrelevant if anearly aim gives an unexpected outcome.

• Avoid open-ended plans in which you "obscrve, study, investigate, or describc". Rather, gofot "identify a mechanism for X by testing the hypothesis that Y works on Z" or "characterizea novel pathway by testing spccific hypotheses that A and B are part of a common pathw<lY".Ideally, your aims should test hypotheses that give useful infonnation no matter what theoutcome of the experiments.In Specific Aims, keep experimental detail to a minimum; give just enough to explain howeach hypothesis will be tested.Ideally, one or more Aim should have a working hypothesis based on YOUR preliminaryresultsAll Aims should have approximately equal weight

Pavoff paragraph

t t) Innovation - another of the 5 evaluation criteria

Hal'.'does your work differ from what's bt'en done before?

A new technique?A novelt)pe of research team for the problem?

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Approaches that haven't been used together before?An outcome that would challenge long-held dogma in the field?

Jlere might also be the place that you mention the strength ofyour enl'irtmment.

12) Outcomes and expectations

Jlow will the outcomes of all the work together validate your umbrella hypothesis?

Some people \,,'ritean outcome/expectation sentence at the end of each aim. But. a singleoutcome/expectation statement at the end of the Specific A ims makes it easier for the scanningreader to quickly see the potential impact on the \,,'holeproject.

13) Importance, impact

/Jow will this research contribute to the mission ofthefimding agency?

Comments on Spl'cific Aims section

Once you 'w written the bullet outline, inspect itfor continuity and persuasiveness.

With time, you 'II likely see ways to strengthen your argumelfts or improve your hypotheses.

Discuss your outline with colleagues, collahorators, and your faculty mentor. In addition, disCJi.'1sit lA'ithyour Program Officer early in your planning stage.

Once you have afinely crafted bullet outline in which each point connects well with the next. then tum thatoutline into thefOllr paragraphs of Specific A ims text.

Background & Significance

Background and Significance section:Instructions from NIH

3. Background andSignificance

Briefly sketch the background leading to the present application,critically evaluate existing knowledge, and specifically identify thegaps that the project is intended to fill. State concisely theimportance and health relevance of the research described in thisapplication by relating the specific aims to the broad. long-termobjectives. If the aims of the application are achieved. state howscientific knowledge or clinical practice will he advanced. Describethe effect of these studies on the concepts, methods. technologies,treatments, services or preventative interventions that drive thisfield. Two to three pages are recommended.

My italics in the above - to point alii that most of these instmctions r~rer to Significance. not toBackground.

GIVEN THAT SIGNIFICANCE IS ONE OF TIlE 5 CRITERIA ON WHICH YOU WILL BEEVALUATED, THIS SECTION NEEDS TO BE EASY TO FIND, EASY TO READ, ANDPERSUASIVE.

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What to put in Significance section'?

Expand on gap in knowledge, and the knowledge you expeel to obtain

State significance explici/(v using emphasized text

Validate your argument by listing potential benefits, both direct and fringe. For NIH,think about the range of parties who might benefit, including both animal and humanhealthcare providers as well as researchers.

Putting it at the start, rather than the end of B&S makes it more likely that it will be read by moreStudy Section members.

When placing Background following Significance, consider calling the former "Review ofRelevant Literature"

Background - rcad, discuss, learn about current findings in your field, hut don', write this section until youknow what to include, based onjinalized Spectfic Aims and Research Plan

Significance - Write it early, and revise it as your proposal develops, because it's among the 5 criteria forevaluating proposals

Background and Significann' - from NIIII)roposallnstructions

Briefly sketch the background Icading to the present application, critically evaluate existing knowledge,and specifically identify the gaps that the project is intendcd to fill. State concisely the importance andhealth relevance of the research described ill this application hy relating the specific aims to the broad,long-term ohjectives.lfthe aims of the application are achieved, state how scientific knowledge or clinicalpractice will he advanced. Descrihe the effect of these studies on the concepts, method.;;,technologies,treatments, services or pre\'entative interventions that drive this field

NB - Notc that only the first sentence ofthc NIH Instructions rclatcs to Background whereas therest of the paragraph focuses on Significance. The Background should just give the historicalco~text in which you place your research; itt should not review the entire field. That's why it'sadvisable to write Background only after the other main sections have been written.

Importantly. while it is advisable to save the writing of the Background until the end, it is essentialto be continuously updating yourself on the state of knowledge in your chosen field of research.through reading, attending meetings, and speaking informally with colleagues about those topics.

Significance - '''hat should it contain'!

Expand on gap in knowlcdge, and the knowledge you expect to obtain

TI P: State the ,\'ignificance explicitly using emphasized text

To validate your argument about the significance of yom research. list the potential benefits. Include hereboth direct and indirect (fringe) benefits. For NIH, think about the range of parties who might benefit.including healthcare providers for humans and animals a!i well as researchers in those fields.

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Preliminary Studies

Outline this section next, to help you gather the data you think you will prescnt. Make necessary figurestoo. However, save the writing until you have drafted the Research Design and Methods section. That wayyou'll write only what you need to write, to support the work you propose to do.

Present your unpublished work that forms the bases of your hypotheses, your proposed model or yourproposed efforts at filling a need, etc. Don't present unpublished work/rom others here. Instead, put thanin Background (as unpublished). Include a teller o/permission/agreement/rom the researchers supplyingthe unpublished dalo.

Jfyou propose to usc a technique/approach that is new to you, include your unpublished showing yoursuccessful use of the technique/approach. even if that effort isn"t directed at the project of this proposal.When doing this. state explicitly the reason you are including this in/ormation: namely to documenlthatyou can success/ully use the approach

As much as possible. write Preliminary Results section so that the individual subsections correspond to theindividual Specific Aims. Doing so helps reviewers quickly assess how It.'ellyou can accomplish each Aim.Also, it demonstrates that you haw thought carefully about your plan.

Write a concluding statement for this section that summarizes

What you have doneWhat you have learnedAnd - particularly for new investigators - why you arc qualified to do the research you will nowdescribe in the Research Design and Methods section.

NB: ROI grants often get rejected duc to insufficient preliminary results. Seek advice from seasoned grant-getters early in your planning process to assess whether you have enough preliminary results to make acompetitivc proposal.

Ifit seems that you arc not yet ready. consider one of the following options:

Either delay your grant submission until you have sufficient preliminary evidence showing thatyou can accomplish your proposed Specific AimsOr. try to modify your proposed Specific Aims to fit what you can currently show

Research Design and Methods

In developing this section. refer back to your Specific Aims scction. Begin preparing Research Design andMethods by making a bullet outlinc that answcrs the follmving qucstions for each Aim:

What will be done?What approach will be taken to address the aim?What might go wrong?\Vhat other approaches will be used if Plan A fails?What are the expected results AND why are they important?(For junior investigators or scientists entering ne\v fields) Hmv can you demonstrate that the workis feasible in your hands?

When it's time to write Research Design and Methods. here is a suggested fonnat:Brief general introduction:

Reminding the reader of your umbrella hypothesis.Reiterate the specific hypotheses address that umbrella hypothesis.Thcn. bricfly su"mmarizcexperimental approaches you will usc to test these ideas.

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Use,your Introduction to Research Design and Methods to help guide the rcviewer through the section.For example, i/)'our methods are straightforn'ard and use techniques that you have already published,mention here that you won't be including those details in this proposal.

Usc the Introduction to alert readers to any special features or organization of this section.For example, i/you will use complex statistics that apply to several Specific Aims, use Ihe IniroduClion 10

teU readers that you are placing that in/ormation in a separate section called Statistical Afethods.

llo not use the Introduction to Rcsearch Design & Methods to describe the methods. Method~' are lessinteresting to read, so teUthe reader your plans giving them the methodological details.

In your Research Design and ~lethods~ deal n'ith each Spl'cific Aim separatcl,Y:

Specific Aim #1: Title (Verbatim Repeat/rom Specific Aims Section)

1.1 Introduction. Give a brief rationale, if possible based on your own preliminary findings.

1.2 Experimental Design

1.2.1 Study #1 Explanator)' title for the experiment1.2.2 Stud)' #2 Explanatory title for the experiment1.2.3 Stud)' #3 Exphmator)' title for the experiment1.2.4 Expected outcomes1.2.5 Potential problems and alternative approaches

Specific Aim #2: SAME AS ABOVE ror each Specific AimElc.

Timelinc: Following your research plan and methods, provide a timcline for the plan. in text fonn, orbetter yet, as a gmph.

Future Directions: Briefly summarize where you expect to be at the end of the funding period and whatyou would like to do next and why that work is important.This assures re\'iewers that YOll hm'e a vision about thefuture. It also lets you include items that othent'isemight sound too ambitious.

Direet your grant so that it gets the fairest review

Look at Study Sections rosters online for best-fit with the subject matter of your proposal. Include thesuggested Study Section with your submission

. Once assignment has been made, notify SRA of potential conflicts of interest

If you think that the specific expertise is Jacking on the Study Section to which you arc assigned. suggest toSRA that ad hoc specialist is needed.Remember that this is a suggestion, not an order. The SRA need<;this information but, in the end, makesthe decision,

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Resubmitting the ROI that didn't get funded the first time

Only one resubmission is allowed nowSpeak with both the Study Section SRA and the Institute PO

SRA can inform, having been at the Study Section mtgPO can advise - e.g. rc whether to resubmit. change Study Sections, etc.

Beyond the single PI ROI

Research grants with 1\\'0 or more co-equal Pis

A good starting point for a future Program Project grantYou must give rationale for choosing multiple PisYou must explain governance and structure of leadership team, process for making decisions andfor conflict resolution, etc.Any of the R-typc grants can usc this mechanism

Alternatives to ROts - the R21 and R03 .

R21 - NIH ExploralorylDeveloprnental Research Granta High risk, high payoff grantsa 2 yrs, S275K for thaI periodo No preliminary data required BUT strongly advised!

SO"}Csee the R21 as junior/acuity starter-grants BUT thaI's not its purpose, and getting}ust 2years of funding can be harely enough jhr junior faculty to get started

R03 - NIlI Small Grant Programa High risk, high payoff grantsa 2 yrs, up to $50K for that periodo No preliminary data required but can be supplies

Scope of ROJgrants: pilot or feasibility studies, secondary analysis of existing data, small, self-contained project.

***A Few Tips on Writing and Editing

\Vriting the (sh***)') first draftSend your inner editor out to run an errand.Don't let her back in until a draft is done.

\Vrifcr's block - 110\\' professional \Hiters deal with writer's blockTo cope with writer's block, you need to work v.,'ithinthe anxiety <-> boredom zone

Anxiety - A block that comes from grandiose expectations of success combined with a vaguelyplanned project

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Boredom - Can occur when you've been thinking too narrowly about the work. Don't be afraid tothink about the larger significance of your work.

Anxiety can come from task innation due to

o Overvaluing the impurtance of getting a current grant fundedo Underestimating your own ability to write a fundable grant

To conquer task inflation, focus on the work at hand, not on the imagined reaction to the proposal.

To treat, ifnot to conquer, \\Titer's block, do sOOlcthinJ: diffcrcnl:

Listen to instrumental musicFind a different place to writeChoose a different time of day to \vriteExercise and sleepFree write (and prewrite)Set small goals, then meet them

Ways to avoid editing while writing

Set small, readily attainable goals, possibly with penalties for failure - 250 word or $$ to a veryreprehensible charityWrite longhand - you read that writing less frequently than \••.hen writing onscreenAt the computer - tum off your monitorPause in the middle rather than at the end of a section or thought

EditingOnce your first draft is through, welcome in

Your inner editorYour co-authorsYour colleagues, to act as surrogates for your intended audience (the journal editors, reviewers,and the readers of your published paper).

****

Make your grant proposal easy to read

FOLLOW THE GUIDELINES GIVEN BY THE FUNDING INSTITUTION. NSF, NIHAND MOST OTHER AGENCIES GIVE RULES ABOUT FORMAT, FONT SIZE,ETC.

Make sure your figures and legends look crisp and clear as print-outs of pdf or Worddocuments

If you arc using a word-processing program rather than a desk-top printing program,don't right-justify. You can end up with funky spacing. If you insist on right-justifying,make sure to have auto-hyphen running.

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Don't bury important concepts in the middle of paragraphs where they can be missed.

Make your grant proposal easily read by reviewers with tired eyes. For example,establish a style guide for the entire document, such as the following:

MAJOR ITEM

Sub-mujor item

Lesser elements

Using a formal outline style for heads and subheads is fine, hut don't get carried away with 1.2.43 typestyle. .

Once you'ye established a style guide, put it into the Word template supplied by NIH (or whateyer fundingagency you arc using.)

Follow each paragraph with a blank line, even if you make that line in a tiny font. (While fonts smaller than11 are unacceptable for the body text in NIH grants, you may usc smaller fonts to create white spacebetween paragraphs.) As a last resort, if you haven't been able to put a black line between paragraphs. besure to indent each paragraph.

\Vhen you have complex, long lists, consider putting them into tables.

Make sure that your figures, with attached legends are informative on their own, but keep the text thatrefers to them close-by.

If yon present a complex graphic clement - a figure or modeI- in one place, but then refer to it frequentlylater on as well, consider replicating the figure, perhaps in a simplified version so the reader doesn't need tokeep nipping back and forth.

\Vhen it's time to have collaborators read each section of the proposal, ask at least one person to read itwith an eye towards identifying parts that are not clear. Say "when you notice thafyou've had to read asentence twice, put a mark by it."

***Ways to improve your writing

\Vrite in clear, simple sentences.

Keep the qualifiers to a minimum. Don't say "These results may possibly mean ...•• Just say "These resultsmay mean .... "

Usc :u.ti\.'c, not just nassivc vuiceExample: In a report on IR knockout mice amI the consequences on various cell types

Don', ,my:To understand whether neutrophil functions are affected by loss oflR, we examined the oxidativeburst and phagocytic activities ...Say:To understand whether loss of lR affects neutrophil functions, we examined the oxidative burstand phagocytic activities ...

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Turn long, passin' senh'nccs into short. active oo<.'s

DOll " .iiiay:The fact that the film microstructure affects appearance is readily seen in Fig. l.Say:Figure 1 shows how film microstructure alTects appearance.

Put known (old) information hefon unkno,'"n (new) information, and shorten the text

Don', say:Because the protein and RNA isolated from the epithelial samples will playa critical role in thesuccess of many subsequent molecular biology and biochemical applications, we set out toinvestigate the utility of the XX technique for these applications.Say:Because we needed to isolate high quality protein and RNA from the epithelial samples forsubsequent assays, we investigated the utility of the XX technique for these applications.

SimplifY complex text h" rephrasing

Don', say:However, a more scientific route could be to build a link between \vhy we see what we see andhow it connects to the perception of appearance of product performance.Say:However, a more scientific route could be built, which links the physical reality of the product'sperfonnance on the skin with our perception of that reality.

l\1inimin the usc of jargon

Don', say:In order to achieve this vision we have launched an increased thrust to develop scientificcapabilities to ...Say:We plan to hire and train 130 scientists to research and develop the new widget

I\linimize wordiness

Don', SQ)':An interesting aspect of development of this scientific capability is that it is not happening inacademic isolation but has found immediate applications in numerous industrial projects.Say:This scientific capability is not developing in academic isolation. but has found immediateapplications in many industrial projects.Or sa}':Interestingly, this scientific capability is not developing in academic isolation, but has foundimmediate applications in many industrial projects.

Clearer text isn't always shorter text. Try breaking long sentences into shorter ones.

Don " sa)':To understand the basis for dysregulation of Q cell apoptosis therefore requires an elucidation ofthe origin of Q cells in relationship to long-lived preQ cells generated in terminal differentiation,the differential migration ofQ cells and preQ cells to the bone, and the differential interactions ofQ cells and long-lived preQ cells with the stromal microenvironments.Say:Therefore, to understand the basis for dysrcgulation ofQ cell apoptosis we need to answer severalquestions: \Vhat is the origin ofQ cells in relationship to long-lived preQ cells generated intcnninal differentiation;? What are the key differences in migration ofQ cells and preQ cells to the

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bone? And, finally, in what ways do the Q cells and long-lived preQ cells interact differently withthe stromal microcnvironmcnts?

Usc active rather than passive verbs

Example: In a report on TR knockdut mice and the consequences on various cell types

Don't say:To understand whether neutrophil functions are affected by loss ofIR, we examined the oxidativeburst and phagocytic activities ...Say:To uilderstand whether loss of IR affects neutrophil functions, we examined the oxidative burstand phagocytic activities ...

Put known (old) information before unknown (new) information

Hen; the writer discusses a defect in muscle that stenu from an abnormaltranscription factor. He presents the unknown (ways in which the abnormal systeJ1may work) before reporting the known information (how tJle system works in tltenormal tissue.

Multiple mechanisms such as transcriptional deregulation, aggregate formation, andmi tochondrial de fici ts have be en profXlsed to explain the pathoge nesis of RAKLand havebeen profXlsed to be the targets of medical intervention. Among these hYfXltheses,transc ription disturbanc e, such as IR-binding prote in (IBP).mediate d VEG F expression,induced by longeF-fXllyG-IR aggregates appears to be more convincing, supp:Jrted by thefac t that transc riptional de regula tion has be endemonstrated in fXllyG relate d disease s.

In the re-write, tltewriter tells what is known about how tlte normal systemworks, laying the groundwork for his description of tlte abnormal situation, whichfollows.

In normal individnals, IR, ufXln activation by hormone, functions as a transcriptionaregulator b y interacting with a variety of CEregulatory proteins. In motor neurons, one ofthe key IR co-regulators is the IR-binding protein (IBP), which controls the expression ofVEGF, among other genes. Several mechanisms have been profXlsed to explain thepathogenesis of RAKL and to suggest fXltential targets for medical intervention. Theseme chanisms. whic h need not be m utuallv exc lusive. include transcri otional dere e:ulation..~-r------- ---_.r--_.. -----Simplify Complex Text b,' RephrasingDon't say:

However, a more scientific route could be to build a link between why we see what we see and howit connects to the perception of appearance of product performance.

Say:However: a more scientific route could be built that links "thephysical reality of the product'sperformance on the skin with our perception of that reality.

I\linimize the use of jargonDon't say:

In order to achieve this vision we have launched an increased thrust to develop scientific capabilities

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to ...

We plan to hire and train 130 scientists to research and develop the new widget

Minimize wordiness

Don't say:An interesting aspect ofdeveloprnent of this scientific capability is that it is not happening inacademic isolation b:uthas found immediate applications in numerow; industrial projects.Say:This scientific capability is not developing in academic isolation, but it has found immediateapplications in many industrial projects.Or say:Interestingly, this scientific capability is not developing in academic isolatiun but has foundimmediate applications in many industrial projects.

Turn long. passiv(.'sentcnccs into short, activc oncs

/Jon 't say:The fact that the film microstructure affects appearance is readily seen in Fig, 1.Say:Figure I shows how film microstructure affects appearance.

Break long sentenccs into shortcr on(.'s:

/Jon 't sa.r:To understand the basis for dyreguhltion of Q cell apoptosis therefore requires an elucidation of theorigin ofQ cells in relationship to long-lived preQ cells generated in terminal differentiation, thedifferential migration ofQ cells and preQ cells to the bone, and the differential interactions ofQcells and long-lived preQ cells with the stromal microenvironments.Say:Therefore, to understand the basis for dyregulation of Q cell apoptosis we need to answer severalquestions: What is the origin ofQ cells in relationship to long-lived prcQ cells generated in terminaldifferentiation? \Vhat arc the key differences in migration of Q cells and preQ cells to the bone?And, finally, in what ways do the Q cells and long-lived preQ cells inleract differently with thestromal microenvironmcnts?

Noun clusters: Their ust' and abuseNoun clusters. gruups of nouns used to modify other nouns.Example: T-cell receptor

Is it a receptor on T-cells or for T-cells? Only the cognoscenti know for sure!

Rule of thumb: For the first use of the noun cluster term, write it out in full aftcr the use of the tenn.The .''iUrfacereceptor Oil T-('ells that a/loH',fjthe ('ell:;to rc('ugllize illfected ho .••t cells

Noun clusters and undefined pronouns: A recipe for confusionIn the sentence

The termillal plasma cell differelltiation alltige" epitope i.\'more ab""dalll in its "atb'e state.To which noun does its refer'!

***

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Recommended Grant-Writing Resources

Grant Writers' Seminars & Workshopshttp://www.grantcentral.com/

Including separate manuals for NIH, NSF, USDAhttp://www.grantcentral.com/workbooks.html

NIl I Funding Opportunities, Peer Review and Grant Writing, by Anthony Coelho, PhD(Then, in 2004, NIH's Review Policy Officer, NIH)Presented two seminars at Stanford:Video Module I: Scientific Peer ReviewVideo Module II: Grant Writing for Successhttp://ora.stan ford.edu/oraJratdlnih 04.aspWhile they arc dated, there's still sufficient information in thcm to be vcry valuable.

General Writing Resources

The Science of Scientific \VritingIf the reader is to gnlJp li/hal the writer means, the writer must understand l./hat the reader needsGeorge D. Gopen, Judith A. Swan American Scientisthnp://w\\'w-stat. wharton.upenn.edul-buja/sci .htmlLine by Line: How to Edit Your Own WritingClaire Kehrwald Cook. Houghton Mimin, 1986.The Elements of Style, 50th Anv Ed.William Strunk Jr., E.B. White, Longman, 2008. 128 pphttp://www .amazon .eom/o/ ASIN/0205632645flow to Write Like a Pro (Paperback)Barry Tarshis. Signet, 1985.http://www.amazon.eom/o/ASIN/0451624327Writing Tools: 50 Essetttial Strategies for Every Writer Roy Peter Clark. Little, Brownand Company, 2008.http://www.amazon.com/o/ASIN/0316014990

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Useful links

Tips for Exploring the NSF Website: Unsolicited ProposalsBy Lucy Deckard, Texas A&M Unil'ersity Office of Proposal Development, in Excerpts/rom Texas A&MOPD Funding New:deller. Mike Cronan. editorcohesion. rice. edu!centersandinst/advance/empl ibraryiTips%20jor%20Exploring%20the%20NSFO./o20 Wehsire. doc

NSF Find Funding (http://www.nsfgov/fundingl) and Award Search (hup://www.nsfgov/fundingf)

CRISP - Computer Retrieval of Information on Scientific Projectshttp://crisp.cit.nih.gov/

NIH Research Project Grant Program (RO I)http://grants.nih.gov/grants/funding/rOl .hlm

http://grants.nih.gov/grants/funding/r21.htm

At NIAID - an extensive glossary http://www.niaid.nih.gov/ncn/glosS3D./dcfault.htm#numbcr

At NIAID - When to contact a Program OfficerTo assess the enthusiasm of the Institutes about your research area and discuss potential application topics,etc., etc., etc!http://v,,vl\J,l.niaid.nih.gov/ncn/grants/charts/chcckyo.htm

At NIAID - The Research Plan - a suggested strategy for writing your ROt granthttp://W\vw.niaid.nih.gov/ncn/grants/cyclc/part05.htm#a2

Sample ROls Applications and Summary Statements (now dated but still useful)http://www.niaid.nih.gov/ncn/grants/app/dcfault.htm

Tips for Exploring the NSF Website: Unsolicited ProposalsBy Lucy Deckard, Texas A&.V University Office 0/ Proposal Del-'elopment, in Excerpts/rom Texas A&AIOPD Funding Newsletter, Alike Cronan, editorcohesion.rice.edu/centersandinst/ad\'ancc/emplibrary/Tips%20forOAJ20Exploring%20the%20NSF%20 fVebsite.doc )

Drug Monkey - a blog (http://seienceblogs.com/drugmonkey/2009/04/era_commons _oddity.php)DrugMonkey is an NIH-funded biomedical research scientist.PhysioProf is an NIH. funded basic scicnce faculty member at a private medical school.

Medical Writing, Editing and Grantsmanship - Timely, useful infonnation and advice from a professionalgrant writer.http://writedit.wordprcss.com/

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