G t W iti fGrant Writing for Success...G t W iti fGrant Writing for Success HldIPlPhDHarold I. Perl, Ph.D. NIDA Michael A. Sesma, Ph.D. NIMH with inspiration from Coelho, Sorensen,

G t W iti fGrant Writing for SuccessSuccess

H ld I P l Ph DHarold I. Perl, Ph.D.NIDA

Michael A. Sesma, Ph.D.NIMHNIMH

with inspiration from Coelho, Sorensen, Frascella & Levitin

“Anatomy” of Grant Process“Anatomy” of Grant Process

Program StaffProgram Staff ProgramProgramResearcherResearcher

AnnouncementAnnouncementor RFAor RFA

IdId

CollaboratorsCollaborators

Grant ApplicationGrant Application(R01 R03 R21(R01 R03 R21ev

isio

nev

isio

nev

isio

nev

isio

n IdeaIdeaInstitutionInstitution

(R01, R03, R21,(R01, R03, R21,K01, K08, etc.)K01, K08, etc.)

$$

Re

Re

Re

Re

NationalNationalAdvisoryAdvisoryProgram StaffProgram Staff

CSRCSRReferralReferral

CouncilCouncilProgram Staff Program Staff ReferralReferral

and Review and Review

Urban Myth of GrantsmanshipUrban Myth of GrantsmanshipUrban Myth of GrantsmanshipUrban Myth of Grantsmanship

It is not a process by which bad ideas getIt is not a process by which bad ideas get transformed into good ones …

rather it is more often the … rather, it is more often the case of a good idea disguised as a bad onebad one.

Wh t D t i Whi hWh t D t i Whi hWhat Determines Which What Determines Which Grants Are Funded?Grants Are Funded?Grants Are Funded?Grants Are Funded?

•• Scientific meritScientific merit•• Scientific meritScientific merit

Program considerationsProgram considerations•• Program considerationsProgram considerations

A il bilit f f dA il bilit f f d•• Availability of fundsAvailability of funds

Components of a SuccessfulComponents of a SuccessfulComponents of a SuccessfulComponents of a SuccessfulGrant Application Grant Application –– Bottom Line!Bottom Line!

•• Strong IdeaStrong Ideagg

•• Strong ScienceStrong Science•• Strong ScienceStrong Science

•• Strong ApplicationStrong Application

Principles of SuccessPrinciples of SuccessPrinciples of SuccessPrinciples of SuccessUnderstand the agency mission– Every IC is different!

Secure collaborators (mentors) to ( )complement your expertise and experience– Don’t compete … collaborate!Don t compete … collaborate!

Learn and practice the skills of writing applications for grant fundsapplications for grant fundsUnderstand the peer review processTake control of your life and career!

Understanding the MissionUnderstanding the MissionUnderstanding the MissionUnderstanding the Mission

Mission of each NIH IC is based andMission of each NIH IC is based and defined in law

Authorizations (periodic)– Authorizations (periodic)– Appropriations (annual)

IC t bli h ifi h hICs establish specific research emphases– Legislative mission– Current state of science

Use the Web to find out!

www nih govwww.nih.gov

www nida nih govwww.nida.nih.gov

The MissionThe Mission

The Mission

News, News, Highlights &Highlights &Highlights, & Highlights, & Health InfoHealth InfoReflect the Reflect the Mi iMi iMission Mission PrioritiesPrioritieswww.nimh.nih.gov

Funds go to research prioritiesFunds go to research priorities

www nih govwww.nih.gov

grants1.nih.gov/grants/oer.htm

grants1.nih.gov/grants/guidegrants1.nih.gov/grants/guide

grants1 nih gov/grants/guide/listserv htmgrants1.nih.gov/grants/guide/listserv.htm

CRISPCRISPComputer Retrieval of Information on Scientific ProjectsProjectsSearchable database of federally supported biomedical researchbiomedical research Locate experienced NIH-funded investigators in your area of interestyour area of interest

• Potential mentors/collaboratorsIdentify IC(s) that fund research you want to doIdentify IC(s) that fund research you want to doAnalyze current IC portfolio

• Research areas with few funded projectsResearch areas with few funded projects• Research areas with many funded projects

crisp.cit.nih.gov

Application Development Strategy

Act (Plan)Act (Plan)

ThinkThink

WriteWrite

So WHY Plan?So WHY Plan?So WHY Plan?So WHY Plan?

You’re more likely to getYou re more likely to get …Good concept and a compelling scientific questionquestionAppropriate NIH InstituteAppropriate review committeeAdequate time to complete q p– A major stress reducer!

A better grant applicationA better grant application

PrePre--Submission Planning Submission Planning TimelineTimeline

call NIH

RememberRemember Before you startBefore you startRemember … Remember … Before you startBefore you start

Talk to Program staff at appropriate ICTalk to Program staff at appropriate ICRead instructions for application form

SF 424 R & R PHS 398– SF 424 R & R or PHS 398Know your audience – Which review committee is most likely to get

your application?Propose research about which you are passionate and totally committed to doing

Are You a “New Investigator”?Are You a “New Investigator”?Are You a New Investigator ?Are You a New Investigator ?NIH fosters research independence of early career investigatorsDefinition: Has not previously served as PI p yon any PHS grant – Except for R03, R15, R21 or mentored K awardsp , ,

Get special considerations during peer review and IC funding decisionsreview and IC funding decisionsResource web site with further information

grants1.nih.gov/grants/new_investigators

The Formula for Writing a The Formula for Writing a Successful Grant ApplicationSuccessful Grant ApplicationSuccessful Grant ApplicationSuccessful Grant Application

42√X 63 7β 29ZY2 $42√X + 63.7β + 29ZY2 = $

Good IdeaGood IdeaGood IdeaGood Idea

Does it address an important problem?Will scientific knowledge be advanced?Does it build upon or expand current p pknowledge?Is it feasibleIs it feasible …– to implement?

to investigate?– to investigate?

Good GrantsmanshipGood GrantsmanshipGood GrantsmanshipGood Grantsmanship

Grant writing is a learned skill– Writing grant applications standard operating– Writing grant applications, standard operating

protocols and manuals of procedures that get approved are learned skills pp

– Writing manuscripts that get published in peer reviewed journals is a learned skill

Grantsmanship is a full time job– Learn about the grant application processLearn about the grant application process


Knowing what to do and how to do itBeing willing to do what is necessaryBeing willing to do what is necessaryDoing what is necessaryUnderstanding the institute and missionUnderstanding peer review processg p p


Contact NIH program staff earlyAssess IC interest & “goodness of fit”Assess IC interest & goodness of fitAre there related FOAs?S hi b it i d t t b tSearching web sites is good start … but follow up with personal contactSend a 2 – 3 page concept paper

Good GrantsmanshipGood GrantsmanshipGood GrantsmanshipGood GrantsmanshipWhat’s a Concept Paper?

Facilitates productive discussion with Program Official

Study GoalsStudy Goals– You want support from which IC to do what?

Problem/Background– Why does this topic need study?

Significance – Why this is important to the field?

Research QuestionWh t h th ill t t?– What hypotheses will you test?

Design/Analysis – What study design and statistical approach do you propose?

TeamTeam – Who will be the key participants and collaborators?


Collaborate with other investigatorsinvestigators– Fill gaps in your expertise

and trainingand training– Add critical skills to your

team“Team Science” is the new direction

Multiple Principal Multiple Principal InvestigatorsInvestigators

Si l PI d l d t l k llSingle PI model does not always work well for multi-disciplinary, collaborative researchRecognizes contributions of full teamIn place for most submissions to Grants.govp gImplications for “New Investigator” statusA complex issue Talk to your NIH programA complex issue – Talk to your NIH program contact if you consider multiple PIs !

grants1.nih.gov/grants/multi_pi


N t ll ll b tiNot all collaborations require Multiple PIsSingle PIs can still do multi-disciplinary team science


Show your draft application to a colleague

Show your draft application to a colleague who does not already know what youwho does not already know what you intend to do

Show your draft application to a colleague who is not your best friendwho is not your best friend


Your draft reviewers need to understand– What you intend to doWhat you intend to do– Why you believe it is important to do – Exactly how you are going to do itExactly how you are going to do it

If they don’t get it, you must revise your applicationapplicationLeave enough time to make revisions

Good PresentationGood PresentationGood PresentationGood Presentation

3 Simple Steps:

Read the application instructions carefullyRead the application instructions carefullypp yDon’t forget …

read the application instructions carefully... read the application instructions carefully


Title– Captures the essence of goals and objectives– Captures the essence of goals and objectives

AbstractConcise presentation of the project– Concise presentation of the project

– Statement of significance – Hypotheses and research questions– Hypotheses and research questions– Methods and analyses

Some reviewers may see only theseSome reviewers may see only these

Application TitleApplication TitleApplication TitleApplication Title

Clear and descriptiveClear and descriptiveClear and descriptiveClear and descriptive

Application TitleApplication TitleApplication TitleApplication Title

Clear and descriptiveClear and descriptiveClear and descriptiveClear and descriptive

Hooks the reader!

AbstractAbstractAbstractAbstract

Presents the big picturePresents the big picturePresents the big picturePresents the big picture

Concisely!Concisely!Concisely!Concisely!… Concisely!… Concisely!… Concisely!… Concisely!

Ab t tAb t tAbstractAbstract

… is a 2… is a 2ndnd “Hook” “Hook” ---- another another opportunity to grab the readeropportunity to grab the reader… is a 2… is a 2ndnd “Hook” “Hook” ---- another another opportunity to grab the readeropportunity to grab the readeropportunity to grab the readeropportunity to grab the readeropportunity to grab the readeropportunity to grab the reader

If reviewers are not excited about If reviewers are not excited about your application after reading the your application after reading the abstractabstractabstract…abstract…


Organize the Research Plan to answer 4 essential questions:essential questions:

What do you intend to do?

Why is the work important?

What has already been done?

How are you going to do the work?How are you going to do the work?

Developing a Strong ResearchDeveloping a Strong ResearchDeveloping a Strong Research Developing a Strong Research PlanPlan

Specific Aims

Grab the reader immediatelyGrab the reader immediately

State long-term objectivesg j

Explicit hypotheses and research tiquestions

Keep the hypotheses limitedp yp

Concise outline of entire project


Background and SignificanceBackground and Significance

Why is this research important?

Expands on the specific aims

Identifies key themes of literature and links to specific aims

Critically analyzes existing literature

Documents solid theoretical basis for your study


Preliminary Studies/Progress ReportHow previous work -- by you your teamHow previous work -- by you, your team, and others -- leads to this study

D t t i tDemonstrate your experience, competence and likelihood of continued success

Must flow logically from literature review and major themes of the problem area


Research Design and MethodsResearch Design and MethodsStart with overview of research design and hypotheses (if appropriate)hypotheses (if appropriate)

Be explicit and thorough in discussing – intervention or system to be studied

– target population

– inclusion and exclusion criteria

– independent and dependent variables

– all measures and instruments


Research Design and Methods (cont )Research Design and Methods (cont.)Does your plan flow logically from the lit t i d i t di ?literature review and prior studies?How will each hypothesis be evaluated?Do your measures capture the variables needed to test hypotheses?needed to test hypotheses? Why did you choose those measures?M th d d l t t hMethods and analyses must match


Research Design and Methods (cont )Research Design and Methods (cont.)Power analysis is clear and appropriate to th h ti ( d ff t i )the research questions (and effect size)How will you deal with attrition and missing data?Acknowledge the weaknesses andAcknowledge the weaknesses and compromises in your designExplain any unusual statistical proceduresExplain any unusual statistical procedures– Be sure that you know how to do them


S C MiSome Common Miscues:

Failure to …Document why the problem is important

Distinguish empirical findings from speculation

Critically analyze key themes in literatureCritically analyze key themes in literature

Consider alternative perspectives

Read, understand, and cite the crucial studies


Address the 5 review criteria

Significance

ApproachApproach

Innovation

Investigator

EnvironmentEnvironment


SIGNIFICANCED thi t d dd i t tDoes this study address an important problem? If the aims are achieved, how will scientific knowledge be advanced? What will be the effect on concepts or methods that drive this field?


APPROACHA th t l f k d iAre the conceptual framework, design, methods, and analyses adequately d l d ll i t t d ddeveloped, well-integrated, and appropriate to the aims of the project?Does the applicant acknowledge potential problem areas and consider alternatives?


INNOVATIOND th j t l l tDoes the project employ novel concepts, approaches or methods? Are the aims original and innovative? Does the project challenge existing p j g gparadigms or develop new methodologies or technologies? g g


INVESTIGATORAre the investigators appropriately trained andAre the investigators appropriately trained and well suited to carry out this work? Is the work proposed appropriate to the experience level of the principal investigator and other researchers? Does the investigative team bringDoes the investigative team bring complementary and integrated expertise to the project (if applicable)?p j ( pp )


ENVIRONMENTDoes the scientific environment in which theDoes the scientific environment in which the work will be done contribute to the probability of success?probability of success? Do the proposed experiments take advantage of unique features of theadvantage of unique features of the scientific environment or employ useful collaborative arrangements?collaborative arrangements? Is there evidence of institutional support?


Provide well-focused research planKeep specific aims simple … and specificLink hypotheses to specific aimsLink hypotheses to specific aimsExplain method to test every hypothesisDon’t wander from the main themeA conceptual model can clarify ideasA conceptual model can clarify ideas


Be realistic … not overly ambitiousDiscuss potential problem areas Discuss possible solutionsDiscuss possible solutions– Explain rationale for your decisions

Be explicitBe explicitReviewers cannot read your mind … Don’t assume they know what you intend


Prepare a reviewer-friendly applicationB ll i d d lBe well organized and clear

Use logical transitions between sectionsg

Add section headings -- major and minor

Make tables and figures easy to view

Eliminate all mispeelings and type-O’sEliminate all mispeelings and type O s


Prepare a reviewer-friendly applicationB ll i d d lBe well organized and clear

Use logical transitions between sectionsg

Add section headings -- major and minor

Make tables and figures easy to view

Eliminate all misspellings and typo’sEliminate all misspellings and typo s

Actual Reviewer CommentsActual Reviewer CommentsActual Reviewer Comments Actual Reviewer Comments YouYou Really Don’t Want to SeeReally Don’t Want to See

“This application is characterized by ideas that are both original andideas that are both original and scientifically important…

…unfortunately the ideas that are scientifically important are not originalscientifically important are not original and the ideas that are original are not

scientifically important ”scientifically important.

Actual Reviewer CommentsActual Reviewer CommentsActual Reviewer Comments Actual Reviewer Comments YouYou Really Don’t Want to SeeReally Don’t Want to See

“In addition to proposing a researchIn addition to proposing a research design that is a fishing expedition …

… the application also proposes to use… the application also proposes to use every type of bait and piece of tackle ever known to mankind.”ever known to mankind.

More Reviewer CommentsMore Reviewer Comments YouYouMore Reviewer Comments More Reviewer Comments YouYouWant to AvoidWant to Avoid

There is not a clear hypothesis …

The specific aims do not test the hypothesis…p yp

The specific aims depend on results from previous aims…p

The proposal is overly ambitious…

It’ t l th i ti t d thIt’s not clear the investigator can do the proposed experiments…

P li i d t i l kiPreliminary data is lacking…

More Reviewer CommentsMore Reviewer Comments YouYouMore Reviewer Comments More Reviewer Comments YouYouWant to AvoidWant to Avoid

The studies are more descriptive than mechanistic…

The Background section is missing key publications and experimental findings…

Alternative approaches or interpretation of data are inadequately described…

E i t l d t il l ki h tExperimental details are lacking or have not been adequately described…

This is not the appropriate grant mechanismThis is not the appropriate grant mechanism…

Good ReviewGood ReviewGood ReviewGood Review

Increase your chances of a good review

Make sure your application presents wellM k li ti t thMake sure your application goes to the right review group*Try to keep your reviewers happy

* Consult with Program Officer


Get to the right review groupTitle abstract specific aims all point to theTitle, abstract, specific aims all point to the main goals of your projectAtt h l ttAttach a cover letter – suggest IC and review group assignment*– outline areas of key expertise needed for

appropriate reviewf– do not name specific reviewers

* Consult with Program Officer


Keep your reviewers happyReviewers work late at night Help them stay alert and interested p yMake your application easy to read and easy to understandeasy to understandConvince them to advocate for your idea

G t th id !– Get them on your side!

Good LuckGood LuckGood LuckGood Luck

Results from:Good Ideas Good GrantsmanshippGood Presentation Good ReviewGood Review

What will make your grantWhat will make your grantWhat will make your grant What will make your grant application experience application experience

most unpleasant? most unpleasant? Failure to take care of things th t d t lthat are under your control

This will lead to needless frustrationThis will lead to needless frustration and lack of success

BeBe PPROACTIVEROACTIVEBe Be PPROACTIVEROACTIVE

PPLAN AheadLAN Ahead

PPPPLAN AheadLAN Ahead

Be Be PPERSISTENTERSISTENTPPBe Be PPERSUASIVEERSUASIVE

Don’t Forget to talk with Don’t Forget to talk with PP OOyour your PPROGRAM ROGRAM OOFFICERFFICER

“Anatomy” of Grant Process“Anatomy” of Grant Process

Program StaffProgram Staff ProgramProgramResearcherResearcher

AnnouncementAnnouncementor RFAor RFA

IdId

CollaboratorsCollaborators

Grant ApplicationGrant Application(R01 R03 R21(R01 R03 R21ev

isio

nev

isio

nev

isio

nev

isio

n IdeaIdeaInstitutionInstitution

(R01, R03, R21,(R01, R03, R21,K01, K08, etc.)K01, K08, etc.)

$$

Re

Re

Re

Re

NationalNationalAdvisoryAdvisoryProgram StaffProgram Staff

CSRCSRReferralReferral

CouncilCouncilProgram Staff Program Staff ReferralReferral

and Review and Review

Ten Simple Rules toTen Simple Rules to remember when planning, p gwriting and submitting your

applicationapplication

Rule #1Rule #1

DO NOT write the application for Yourselffor Yourself

Unless you are going to fund it lfyourself

You MUST convince the entire review committee

and the funding agency

Rule #2 STUDY SECTIONS DO NOT

FUND APPLICATIONS!FUND APPLICATIONS!

INSTITUTES FUNDINSTITUTES FUNDAPPLICATIONS!

Rule #3Rule #3

You must Excite the reviewers and the funding agency

Rule #4Rule #4

Reviewers are never wrong,Reviewers are never right;Reviewers are never right;they simply provide an assessmentthey simply provide an assessment

of material that you provided in your applicationin your application

Rule #5Rule #5

Comments in the summary statement are never aboutstatement are never about

you as a person.y pThe comments are about the material h id d i li ithat you provided in your application

and the way in which you provided the i f tiinformation

Rule #6Rule #6

The comments in the summary statement only list some of thestatement only list some of the weaknesses …. not all of the

kweaknesses.When you revise your application useWhen you revise your application use the time as an opportunity to improve the entire applicationthe entire application.

Rule #7Always contact NIH staff before

Rule #7Always contact NIH staff before you submit an application and preferably when you are in the planning stagesplanning stages.

M k th t i lf dMake sure that you give yourself and the NIH staffer enough time to work

ith t thwith together.

Rule #8Rule #8

Focus Your Applicationpp

State a Clear HypothesisState a Clear Hypothesis,Make sure the Specific Aims

T t Y H th iTest Your Hypothesis

Rule #9P M h i ti

Rule #9 Propose Mechanistic, Scientifically-RelevantScientifically-Relevant

Experimentsp

that will clearly and significantlythat will clearly and significantly address an important research

questionquestion

Rule #10Rule #10

Secure a Mentor(s)Who can provide advice andWho can provide advice and

guidance

Secure a Collaborator(s)Who can provide needed experimental expertisep p

More Web ResourcesMore Web Resources

Funding OpportunitiesFunding OpportunitiesFunding OpportunitiesFunding Opportunities

Sites with important information:Sites with important information:

http://grants.nih.gov/grants/index.cfmhttp://grants.nih.gov/grants/index.cfm

http://grants.nih.gov/grants/welcome.htm#introductionhttp://grants.nih.gov/grants/welcome.htm#introductionhttp://grants.nih.gov/grants/welcome.htm#introductionhttp://grants.nih.gov/grants/welcome.htm#introduction

http://deainfo.nci.nih.gov/funding.htmhttp://deainfo.nci.nih.gov/funding.htm

http://deainfo nci nih gov/extra/extdocs/grantrevprocess htmhttp://deainfo nci nih gov/extra/extdocs/grantrevprocess htmhttp://deainfo.nci.nih.gov/extra/extdocs/grantrevprocess.htmhttp://deainfo.nci.nih.gov/extra/extdocs/grantrevprocess.htm

http://www.niaid.nih.gov/ncn/grants/default.htmhttp://www.niaid.nih.gov/ncn/grants/default.htm

http://www.niaid.nih.gov/ncn/grants/charts/default.htmhttp://www.niaid.nih.gov/ncn/grants/charts/default.htm

http://www.niaid.nih.gov/ncn/glossary/default.htmhttp://www.niaid.nih.gov/ncn/glossary/default.htm

grants1.nih.gov/grants/grant_tips.htm

grants.nih.gov/grants/glossary.htm

http://www3.cancer.gov/admin/gab/links.htmhttp://www3.cancer.gov/admin/gab/links.htm

deainfo.nci.nih.gov/consumer.htm

deainfo.nci.nih.gov/extra/extdocs/gntapp.htm

www.niaid.nih.gov/ncn/grants/

http://era.nih.gov/

https://commons era nih gov/commons/https://commons.era.nih.gov/commons/

http://era.nih.gov/virtualschool/http://era.nih.gov/virtualschool/

grants2.nih.gov/grants/policy/nihgps_2003

grants2.nih.gov/grants/policy/nihgps_2003

1

2

5

6

3

44

http://era.nih.gov/ElectronicReceipt/

Office of Extramural Researchhttp://grants.nih.gov/grants/oer.htm

New “Parent” FOA page added forNew “Parent” FOA page added for quick reference to unsolicited applications.

Enter search criteria or

Select Advanced

Search

http://grants.nih.gov/grants/guide/index.html

http://grants.nih.gov/grants/guide/parent_announcements.htm

S l h FOA bSelect the FOA number to open the announcement.

eSubmissioneSubmissionAutomated Training TutorialsAutomated Training TutorialsAutomated Training TutorialsAutomated Training Tutorials

––eRA Commons RegistrationeRA Commons Registration––Completing an Application Package Completing an Application Package Completing an Application Package Completing an Application Package

(Grants.gov)(Grants.gov)––Find & Download a Funding OpportunityFind & Download a Funding Opportunity––Check Submission Status & View Check Submission Status & View

Assembled Application (PI & SO Assembled Application (PI & SO versions)versions)versions)versions)

era nih gov/ElectronicReceipt/training htmera.nih.gov/ElectronicReceipt/training.htm

eSubmissioneSubmissionFrequently Asked Questions Frequently Asked Questions era.nih.gov/ElectronicReceipt/faq.htmera.nih.gov/ElectronicReceipt/faq.htmAvoiding Common Errors Avoiding Common Errors era nih gov/ElectronicReceipt/avoiding errorsera nih gov/ElectronicReceipt/avoiding errorsera.nih.gov/ElectronicReceipt/avoiding_errors.era.nih.gov/ElectronicReceipt/avoiding_errors.htmhtmPresentations, Quick Reference Materials, Brochures, Presentations, Quick Reference Materials, Brochures, DropDrop--in newsletter articles in newsletter articles era.nih.gov/ElectronicReceipt/communication.era.nih.gov/ElectronicReceipt/communication.htmhtmhtmhtmTraining Videos, Videocast ArchivesTraining Videos, Videocast Archivesera.nih.gov/ElectronicReceipt/training.htmera.nih.gov/ElectronicReceipt/training.htmg p gg p g