Berkeley Research Development Office

Introduction to Grant

Proposals and Funding

Erica WhitneyAssociate Director

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Today’s Goals

§  Introduce types of grants and sources of funding.

§  Explain the jargon surrounding research funding.

§  Introduce the process of applying for a grant.

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Future Workshops

§  Postdoctoral Fellowships§  Writing Your Specific Aims§  Writing Your Research Proposal§  Scientific Writing§  Peer Review

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Types of Grant Funding

§  Grant

– vs. Fellowship

– vs. Award

– vs. Gift

– vs. Contract

– vs. Cooperative agreement

§  Types of Grants– Research grant – Travel grant– Conference grant– Curriculum

development grant

– Collaborative grant – Dissertation grant– External vs. internal

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Sources of Funding

§  Federal Government:– National Institutes of Health– National Science Foundation– Department of Energy– Department of Defense– Etc.

§  State/Local Government§  Corporations§  Foundations§  Your university (internal funds)

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Types of Grant Funding at Berkeley

SPO Annual Report Fiscal Year 2015

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Sources of Grant Funding at Berkeley

SPO Annual Report Fiscal Year 2015

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Sources of Grant Funding

SPO Annual Report Fiscal Year 2015

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Why Do I Want a Grant?§  Need money to do your research:

– Equipment– Supplies– Personnel– Travel

§  Build a record of funding§  Employment, tenure/promotion§  Salary§  Prestige§  Respect

§  Sucker for punishment

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Why Do I Want a Grant?

§  Faculty Members– Summer salary– Equipment– Supplies– Personnel– Travel– Course Buyout– Build a record of funding

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Why Do I Want a Grant?

§  Graduate Students and Postdoctoral Researchers– Stipend/Summer salary– Tuition/Fees– Materials, recharge, etc.– Travel (e.g., for conferences or collaborations)– Independence– Prestige

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How Do I Get a Grant?

§  Find a grant to apply for.§  Write a grant proposal.

Your Name Here!

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OK—Seriously.�How Do I Get a Grant?

§  Define your research question.§  Define your need.§  Match your research question to a granting

agency that has a mechanism to meet your needs.§  Write a grant proposal.

§  Edit the grant proposal.§  Edit the grant proposal again.

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Timeline for Proposal Preparation

Inouye, S. K. et. al. Ann Intern Med 2005;142:274-282

FIG. 1. Minimum timeline for funding of a "perfect" grant application to the national Institutes of Health.

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Grantsmanship Jargon

Words to understand:§  Grantsmanship§  Sponsor§  RFA/RFP/PA/FOA§  PI (Principal Investigator)§  Co-PI/Co-I§  Consultant§  Collaborator§  Key personnel/senior personnel

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Grantsmanship Jargon

§  Sponsored Projects Office (SPO)§  Program Officer§  Scientific Review Officer (SRO)/Scientific

Review Administrator (SRA)§  Study Section/Review Panel

§  Pink sheets/Summary Statement

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Grantsmanship Jargon

§  Person months/percent effort§  F&A/Facilities and Administrative Costs§  Direct, indirect, total, modified total direct

costs§  Cost sharing

§  Subcontract

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Steps in Proposal Writing

§  Define your research question§  Define your needs§  Match your research question to a funding agency§  Read the Instructions§  Write your proposal§  Edit your proposal§  Submit your proposal§  Wait patiently…..§  Get $$$$$

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Define Your Research Question

§  Identify a gap in knowledge in your field.

§  Identify a problem whose solution will be a big step forward for the field, rather than an incremental step.

§  Discern whether or not someone else has already asked your question.

§  Choose a problem that is going to matter to more people than just you.

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Define Your Needs

§  What do I need in order to do my research that I don’t already have?

§  How much do I need?

§  Who do I need to help me?

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Match Your Research Question to an Agency

§  Each funding agency has a mission.– Your research must address their mission.– You can talk with them ahead of time to seek

their advice on whether your topic is a good fit.§  Identify the right type of grant for your research

question.– E.g., an equipment grant, career development

grant, etc.

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Finding Funding Opportunities

§  Use a database.– pivot.cos.com– grants.gov

§  Go directly to the sponsor’s website.–  http://grants.nih.gov/funding/index.htm

§ http://www.cancer.gov/grants-training

§  Sign up for email alerts.

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Read the Instructions

§  Format varies with sponsor.

§  Follow instructions exactly.

§  Don’t try to get around length limits by using tiny fonts, small margins, or appendices.

– Many agencies reject such grants without review.

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Write the Proposal

§  First, read the instructions.§  After that, read them again.§  Then, make sure that you follow them.§  Use the active voice where possible.

§  Write to your audience.

§  Make sure you give yourself plenty of time before the deadline.

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Edit the Proposal

§  Have others read and critique your proposal.§  Donut rely on spell-check.§  If English is not your first language, have a

native English speaker read your proposal.§  Quid pro quo: edit your colleagues’ proposals

as well.

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What Goes in a Grant Proposal?

§  Most include (may use different terms or order):- Abstract- Problem statement- Specific aims/goals- Background- Research plan- Preliminary data/feasibility- Timeline- Resources and facilities- Personnel list and biosketches/CVs- Budget

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What Goes in a Grant Proposal?

§  Traditional format for science proposals:– Specific Aims– Background and Significance– Preliminary Data– Research Design and Methods

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What Goes in a Grant Proposal?

§  NIH has a specific format for the research plan:– Specific Aims– Research Plan

§ Significance

§ Innovation§ Approach

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What Goes in a Grant Proposal?

§  Fellowship proposals may also include:– Personal Statement– Training/Career Development Plan– Letters of Recommendation– Test scores/Transcripts

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What Goes in a Grant Proposal?

§  Funders may have a specified format.

§  Sometimes an RFA will have a specified format that deviates from the agency’s regular format.

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Writing the Proposal

§  READ THE INSTRUCTIONS!

§  FOLLOW THE INSTRUCTIONS!

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Who Else is Involved?

PI writes proposal

Research Administrator

prepares budget

Proposal routed to SPO

SPO approves and submits

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How are proposals reviewed?

§  Peer review, by and large.– 3-5 people will review it.– Agency has set review criteria.– Provide written critiques and a numerical

score.

§  Peer review plus stakeholders.– For some foundations and agencies (e.g.,

CIRM).§  In-house review.

– For some foundations.

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How are proposals reviewed?

§  In-person meetings.§  Internet meetings.§  Teleconference.§  Written comments sent in.

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NIH Review Criteria

§  Significance: Does this study address an important problem? If the aims of the application are achieved, how will this advance scientific knowledge? What will be the effect of this study on the concepts or methods that drive this field?

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NIH Review Criteria

� Approach: Are the conceptual framework, design, methods, and analyses adequately developed, well integrated, and appropriate to the aims of the project? Does the applicant acknowledge potential problem areas and consider alternative tactics? For applications designating multiple Project Directors/Principal Investigators (PDs/PIs), is the leadership approach, including the designated roles and responsibilities, governance and organizational structure consistent with and justified by the aims of the project and the expertise of each of the PDs/PIs?

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NIH Review Criteria

§  Innovation: Does the project employ novel concepts, approaches or methods? Are the aims original and innovative? Does the project challenge existing paradigms or develop new methodologies or technologies?

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NIH Review Criteria

§  Investigators: Are the PD/PI(s) and other key personnel appropriately trained and well suited to carry out this work? Is the work proposed appropriate to the experience level of the PD/PI(s) and other researchers? Do the PD/PI(s) and investigative team bring complementary and integrated expertise to the project (if applicable)?

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NIH Review Criteria

§  Environment: Do(es) the scientific environment(s) in which the work will be conducted contribute to the probability of success? Does the proposed study benefit from unique features of the scientific environment or subject populations, of employ useful collaborative arrangements? Is there evidence of institutional support?

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NIH Review Process

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NSF Peer Review Criteria

§  Intellectual Merit: The Intellectual Merit criterion encompasses the potential to advance knowledge; and

§  Broader Impacts: The Broader Impacts criterion encompasses the potential to benefit society and contribute to the achievement of specific, desired societal outcomes.

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NSF: Five Review Elements

Review elements for both criteria:1. What is the potential for the proposed activity to:

a. advance knowledge and understanding within its own field or across different fields (Intellectual Merit);

b. benefit society or advance desired societal outcomes (Broader Impacts)?

2. To what extent do the proposed activities suggest and explore creative, original, or potentially transformative concepts?

3. Is the plan for carrying out the proposed activities well- reasoned, well-organized, and based on a sound rationale? Does the plan incorporate a mechanism to assess success?

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NSF: Five Review Elements

4. How well qualified is the individual, team, or institution to conduct the proposed activities?

5. Are there adequate resources available to the PI (either at the home institution or through collaborations) to carry out the proposed activities?

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NSF Staff Review Criteria

§  Integration of research and education.§  Integrating diversity into NSF programs,

projects, and activities.

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NSF Merit Review Criteria Guiding Principles

§  All NSF projects should be of the highest quality and have the potential to advance, if not transform, the frontiers of knowledge.

§  NSF projects, in the aggregate, should contribute more broadly to achieving societal goals.

§  Meaningful assessment and evaluation of NSF funded projects should be based on appropriate metrics, keeping in mind the likely correlation between the effect of broader impacts and the resources provided to implement projects.

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NSF Review Process

Proposal Preparation & Submission

90 days

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Proposal Review & Processing 6 months

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Award Processing 30 days

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Resources

Lots of guidance found here: http://vcresearch.berkeley.edu/brdo/resources-and-training-proposal-development