Strategies & Tactics of Writing
NSF and NIH
Research Grant Proposals
A Seminar
by Beth Schachter, PhD
for the Faculty of The City University ofNcw
May 29, 2009
Bcth Schachtcr Consulting
www.bethschachterconsulting.com
Still Point Coaching & Consulting
www.stillpointcoaching.com
drbethic@rcn.com
1
York
Beth Schachter's background
PhD in molecular/ccll
biology (USC)
Postdoctoral research at UCSF and Columbia, with funding from
American Cancer Society and NIH
Faculty mcmbcr at Mount Sinai School ofMcdicine,
with funding from NIH (ROls), Hirschi
Foundation
Ad 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
Serving Science: CUNY's science cafe. Consultant
(2004-08)
Beth's role at CUNY
Grant writing facilitator
Catalyst for CUNY faculty to tcach, help, and collaborate
with each other
***
Our models for today's seminar - NSF individual research grant and NIH ROI
research grant
Rationale/or focusing on individual research granl.'ifrorn NSF and NIII
The most common large grant to support research in an individual lab
Typically funding comes for 3 yean; (NSF) or 4-5 years (NIH) and the grant is renewable
Preferred by institutional administrators over private foundation grants because these Federal
grants 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 and
the humanities:
For grants from the Federal Government
•
Google (Department
Name + Grants)
•
•
•
For
Visit Web site for National Endowment for the Humanities
Visit Web site for National Endowment for the Arts
Visit www.Grants.gov
grants from non-profit organizations,
Visit The Foundation Center (www.foundationcenter.org)
Key messages for all scholars seeking extramural
grant funding
Align 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 and
administrative 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 time
for 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 that
program officer will want to fund.
If at first you don't succeed, try, try again!
2
Strategies and Tactics of NSF and NIH Research Grant Writing
Strategy -plan:
Find best-fit funding sources, particularly within NSF and NIII
Develop 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 source
Effectively communicate the scientific content
Persuade reviewers/program
officers of the value of your proposal
The NSF and the NIH Research Grants
Planning your grant proposal
The format for the narrative parts of the NSF and NIH research grant proposals
and the future fonnat of the NIH proposal
\Vhat happens to your grant once its submitted to NSF or NIH
lIow your grant gets evaluated for funding (including the new NIH scoring system)
Plamling your NSF or NIH research grant
Give yourself mallY months of part-time work to plan and execute this grant proposal
The planning and execution involve both administrative and scientific tasks
Administrative
Scientific
Develop research questions
Identify Funding source (Including Institutes,
Proi!rams, Reauests)
Dctcnninc what's currently funded in your area and
from whom (E.g. from Institute announc.cmcnts and
from NSF AwardslFinding
Funding and CRISP
databases
..
.
Read:
Background literature on the topic
Successful proposals and their critiques
Failed proposals that have been turned around, and
their critinues
Tum questions into hypotheses and then hypotheses into aims
Or Develop experimental model and determine the milestones
to assess the model
DON'T GO IT ALONE! Select pre-submission
reviewers (Mentor, colleagues both in your field and
outside.) Discuss ideas with them via informal and
formal meetings
Establish relationship with program officer. then
discuss ideas and potential funding opportunities
Identify potential collaborators, co-Pl(s)
Identify missing preliminary
Write draft grant proposalchecking to sec that all key points
are addressed
Revise draft based on feedback from colleagues
and prcoffice ahead
data
- Gather missing preliminary data (Biggest failure for ROlssubmitted too early, before investigator has enough preliminary
data to SUDoort feasibilitv ofaims)'Refine hvoothcses or models
Write manuscript(s) that serve as the basis for this grant
application
In consultation with PO, decide on studv section
Do literature search on members of study section
(and. for NSF. the suggcsted rcviewers) to cover your
bases.
Get critique of draft from collaborators
submission review committee
Deliver IJroposal to Grants/Contracts
on topics that intrigue you
of deadline!
3
Starting point for planning your NSF or NIH research grant proposal
•
When you have some intriguing research questions that you want to study and that have broad
scientific
•
significance
in your field
For an NSF or NIH grant. look for the most appropriate funding Institute and the most appropriate
Program 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
How to make a persuasive
Of
NIH to target your proposal and
case for your research
Starling in Ihis way keeps you mindful a/who you will write your proposal/or-the
Officer as well as the scientific Tel';ewers.
NSF or NIH Program
***
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 the
programs they currently target through RFAs (request for applications) and RFPs (request for
proposals)
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 your area of research .
Crosscutting and NSF-wide
Biological Sciences
Computer & Information Science & Engineering
Cyberinfrastmcture
Education and Human Resources
Engineering
Environmental Research & Education
Geosciences
Integrative Activities
International Science & Engineering
Mathematical & Physical Sciences
Polar Programs
4
in each of the following areas to find programs
Search NSF AWARDS Database (http://www.nsf.gov/awardscarch!)
New York, Active Awards
on Organization: City College. State:
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Each NSF Program Area contains multiple Pro~ram Or:::anizations
For 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.: upportunities
For 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 program
andfunding opportunity section of the NSF Web site
****
CRISP:
Grants
database
maintained
by NIH
CRISP - Computer Retrieval ofInfoffilation on Scientific Projects
is 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 at
the 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 Review
Group, starting year of the grant, duration, etc.
CRISP search page - http://crisp.cit.nih.goV/crisp/crisp_query.gcncratc_scrcen
5
l:!n!..J:or1..U.:r~~
Example: Search CRISP on Research Grants x Queens College x New Grants x 2007-9 in NY
You had 13 hits for the query:
I
Grant
I
Number
I
PI Name
OLGA
Ilmpact
Project
j1R03DA025797-01
~ERWIO,
I'R13NSOS1567.01
ISRUMBERG. JOSHUA
I~arrelsXX
I'R15NS059016-01
/CROll,
)Signaling
SUSAN
11R03AG028277-Q1A2IEDWARDs.
RYAN
11R15Hl096067-Ql
!GLICKMAN HOLTZMAN. NATHAllAIOcfining
!HALPERIN, JEFFREY
11R03NS063182-Q1A
1
endocardial
ICharactertzlng
Trtle
Reward
F,
CircuItry
neUTOoIot.
VEGF.induced
of Veterans
requIrement for myocl'Jrdiai morphoger
Pn
the extractior
under1ying
B_,-havlor_alJeed~aCK.m';'U'~_l}:~r:Q!tatJ,jJe_sQ~~
CAROLYN
11R15GM073678-01
l~izC
!SAVAGE-DUNN, CATHY
in Metastatic
Me<:hanisms
Melanoma
control gcne5 & TGF.bctJ: signaling
C ~i1ns.
Inte_rn.!!LQ-t B~6_!l1_g_r!t9M!.~J9n'.~l}~lJ_T}tt$ of_P!"9_t~p_hQJlP'hata
JON I
I'R03HD056093-01AlfJESSELINOV,
ELENA
!ZAKERI,
underlying
neural mechanisms
PKCalpha.Medlated
!1"R1:iA"6032765.Q1
on Neural
the Health and Mortality
11R15CA125632-Cl1 IROTENBERG, SUSAN
I' R15CA 127974-0'A 1 !SEELING,
Treatment
ITraining E.xecutive Attffition and Motor Skills (TEAMS);
ANDREA
IPVTIE.
mechanisms
Iinvestlgating
1'R21MHOeSB98-01
[,R15EY018951-Q1A1Iu,
of Stimulant
ISOCID-ECONOMIC
IMPACTOf GATEDCOMMUNtn.~
ICe II Death Society SymposIum
ZAHRA
on
Targeting
Cell Death Path
List shows, for example, Grant Type (Research, Program Project, Training), Institute (AI, A/H, DK etc.) as
well as PI. Also, links to Abstract
Many powerful
uses for CRISP - for example:
.Which institutes fund your type of research?
Who has 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 of
research 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 frequently
Ilold group and individual meetings early on
Contact funting agency Program Officer, via e-mail to introduce yourself, then phone, to discuss
your ideas, starting at an early stage
.
To write a fundable grant, you need to know who makes the funding
reeolllmendations/decisions
and what criteria arc used for evaluation:
AtNSF
Program Officer within each program decides on funding based on available $$
Decisions about funding consider:
o How well the proposal fits the Program mission
o The evaluation scores, which consider the Intellectual Merit and Broader Impact. are
submitted by the reviewers to Program Officer
•
Some programs have a standing review panel of academic researchers
•
Some programs have only ad hoc reviewers
•
Some programs have a mixture of standing and ad hoc reviewers
• Ad hoc reviewers for individual grants are suggested to the Program by the
grant PI
6
At NIH
Scientific Rnicn' Committees
(SRGs) evaluate proposals using 5 criteria. They send numerical
scores to Institutes
Program Officers at Institutes decide on funding based on available $$ using scores from study
sections. 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 metabolism
All arc NIH-funded researchers (-20/pancl; all voting members)
Ad hoc experts when needed (also get to vote)
NIH Grant review process
0
Each proposal gets evaluated and scored in detail by 1°,2 & 3° reviewers
5 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 Section
meeting
The Study Section mccIing:
A time for discussion of those proposals deemed likely to get funding, in order to score and rank
them
Discussion of proposals at the meeting involves briefpresentalion by reviewers. During that time,
most committee members - THE OTHER VOTING MEMBERS -- arc scanning the Abstract and
Specific Aims pages of the proposal being discussed.
Only the most meritorious proposals get critiquied at the meeting. Less meritorious proposals get
critiques and scores from reviewers, but arc not discussed at the Study Section meeting. (Also
known as streamlining, triaging)
Take-home message about NIH grant review process:
Address each of the 5 criteria explicitly, using aformatthat
that information.
makes;t easyfor revielvers to quickly locate
Use the Abstract. Specific Aims and Si~nificance sections of your proposal to help ALL
VOTING 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
underway
about how things work at Study Section and the changes that are
Into the Future at NIH:
Starting in early 20ID, research grants (ROls, R03, R21s. etc.) will have a new format:
7
ROts, now 25 pages, will be shorter (possibly 12 pages, duc to reduction mainly in research
section). Grants will be structured so that "the information provided is explicitly aligned with the
review criteria." -- Dr. Alan Willard, NIH In part, that means that the new forms will be designed
so 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 regularly
mformatlOn (Power Pomts and videos) for both applicants and reviewers.
1! updated
****
Crafting an NIH ROI that clearly convey its merits as a research proposal and your
merits as a researcher and team leader:
Adapted/rom The Grant Appli£'ation Writer's JVorkhook
Grant 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/Abstract
Specific Aims
Background & Significance
Preliminary Studies
Research Design & Methods
Suggested order for H/orkingon proposal
Draft bullet outline for Specific Aims
Significance
Research Design & Methods
Preliminary Studies
lfnecessary, revised Specific Aims plan, based on available Preliminary Studies
Write and refine Specific Aims
Background
finalized Specific Aims
Project Sum~lary/Abstract
Specific Aims - Start your proposal here
From NIH document:
List the broad, long-term objectives and the goals of the specific research proposed, for example to test a
stated hypothesis, create a novel design, solve a specific problem, challenge an existing paradigm or
clinical practice, address a critical barrier to progress in the field, or develop new technology that .••
\'ill add
signfficllntly 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 a
broad 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 proposal
Use this section of the proposal to tell the reviewers about the import problem you will address and how
you aim to contribute to the solution.
8
Although this section is called Specific Aims, it's really meant to give a whole story, including an
opportunity for you to tell reviewers about the importance of your ideas, the strength and novelty
of your preliminary data that lead to your central hypothesis, the strength of your team (including
both lab members and collaborators) and the unique strengths of your approach and/or
environment.
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 environment
Specific Aims para~raph: 10) 2-4 Specific aims - including c.g. independent hypotheses or unmet needs
Payoff 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. Environment
Look for ways to work all these concepts into Specific A ims page
TII-: Avoid the most common mistake in writing Specilic Aims ~Putting too much experimental detail
into Specific Aims, at the expense of everything else
Crafting the Specific Aims, bullet by bullet
Opening paragraph
t) Opening sentence - an attention grabber
Try 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 research
Write these points for the whole Study Section, not just the reviewers. who u'i1/know the topic best
3) Knm\o'ledge gap
You are building a case for why your project deserves funding.
abolll what is NOT known abolll this important matter.
Here's where you start telling the reviewer
4) Why Ihis gap is a prohlem
And here's where )'OU make a point about \,"'hythat knowled~e ~ap is of concern, \Vhat progress is
being 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. develop
an 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)!pothesisIn developing your central hypothesis, keep in mind the jhllowing:
\Vhat is it?
•
A generally testable idea withoUl (l predetermined conclusion
9
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 that
your 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 want
to do the work
9) Investigators and environmentWhy are you right person in right place to do the work, given your published work and/or your
preliminary data along with your longstanding and new collaborators, and special
resources/equipment to which you hm'e access?
Investigators and environment arc 2 of the 5 NIH evaluation criteria, so don't miss this
opportunity to include relevant infonnation here
Specific Aims "paragraph"
10) Spl'cine aims - for hypothesis driven, needs driven or hybrid proposals
Here 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 an
early aim gives an unexpected outcome.
• Avoid open-ended plans in which you "obscrve, study, investigate, or describc". Rather, go
fot "identify a mechanism for X by testing the hypothesis that Y works on Z" or "characterize
a 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 the
outcome of the experiments.
In Specific Aims, keep experimental detail to a minimum; give just enough to explain how
each hypothesis will be tested.
Ideally, one or more Aim should have a working hypothesis based on YOUR preliminary
results
All 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?
10
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 of
your 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 single
outcome/expectation statement at the end of the Specific A ims makes it easier for the scanning
reader 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.'1s
it 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 that
outline into thefOllr paragraphs of Specific A ims text.
Background
Background
& Significance
and Significance
section:
Instructions from NIH
3. Background and
Significance
Briefly sketch the background leading to the present application,
critically evaluate existing knowledge, and specifically identify the
gaps that the project is intended to fill. State concisely the
importance
and health relevance
of the research described
in this
application by relating the specific aims to the broad. long-term
objectives. If the aims of the application are achieved. state how
scientific knowledge or clinical practice will he advanced. Describe
the effect of these studies on the concepts, methods. technologies,
treatments, services or preventative interventions that drive this
field. Two to three pages are recommended.
My italics in the above - to point
Background.
alii
that most of these instmctions r~rer to Significance. not to
GIVEN THAT SIGNIFICANCE IS ONE OF TIlE 5 CRITERIA ON WHICH YOU WILL BE
EVALUATED, THIS SECTION NEEDS TO BE EASY TO FIND, EASY TO READ, AND
PERSUASIVE.
11
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 human
healthcare 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 more
Study Section members.
When placing Background following Significance, consider calling the former "Review of
Relevant Literature"
Background
- rcad, discuss, learn about current findings in your field, hut don', write this section until you
know what to include, based onjinalized Spectfic Aims and Research Plan
Significance - Write it early, and revise it as your proposal
evaluating proposals
Background
develops,
because it's among the 5 criteria for
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 and
health 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 clinical
practice 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 the
rest of the paragraph focuses on Significance. The Background should just give the historical
co~text in which you place your research; itt should not review the entire field. That's why it's
advisable 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 essential
to 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 here
both 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.
12
Preliminary Studies
Outline this section next, to help you gather the data you think you will prescnt. Make necessary figures
too. However, save the writing until you have drafted the Research Design and Methods section. That way
you'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 your
proposed efforts at filling a need, etc. Don't present unpublished work/rom others here. Instead, put than
in Background (as unpublished). Include a teller o/permission/agreement/rom
the researchers supplying
the unpublished dalo.
Jfyou propose to usc a technique/approach that is new to you, include your unpublished showing your
successful 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 documenlthat
you can success/ully use the approach
As much as possible. write Preliminary Results section so that the individual subsections correspond to the
individual 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 done
What you have learned
And - particularly for new investigators - why you arc qualified to do the research you will now
describe in the Research Design and Methods section.
NB: ROI grants often get rejected duc to insufficient preliminary results. Seek advice from seasoned grantgetters early in your planning process to assess whether you have enough preliminary results to make a
competitivc 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 that
you can accomplish your proposed Specific Aims
Or. 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 and
Methods 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 work
is 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.
13
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
teU readers that you are placing that in/ormation in a separate section called Statistical Afethods.
10
llo not use the Introduction to Rcsearch Design & Methods to describe the methods. Method~' are less
interesting 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
1.2.2
1.2.3
1.2.4
1.2.5
1.2.1 Study #1 Explanator)' title for the experiment
Stud)' #2 Explanatory title for the experiment
Stud)' #3 Exphmator)' title for the experiment
Expected outcomes
Potential problems and alternative approaches
Specific Aim #2: SAME AS ABOVE ror each Specific Aim
Elc.
Timelinc: Following your research plan and methods, provide a timcline for the plan. in text fonn, or
better yet, as a gmph.
Future Directions: Briefly summarize where you expect to be at the end of the funding period and what
you 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'ise
might 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 the
suggested 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 to
SRA that ad hoc specialist is needed.
Remember that this is a suggestion, not an order. The SRA need<;this information but, in the end, makes
the decision,
14
Resubmitting the ROI that didn't get funded the first time
Only one resubmission is allowed now
Speak with both the Study Section SRA and the Institute PO
SRA can inform, having been at the Study Section mtg
PO 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 grant
You must give rationale for choosing multiple Pis
You must explain governance and structure of leadership team, process for making decisions and
for conflict resolution, etc.
Any of the R-typc grants can usc this mechanism
Alternatives to ROts - the R21 and R03 .
R21 - NIH ExploralorylDeveloprnental Research Grant
a High risk, high payoff grants
a 2 yrs, S275K for thaI period
o 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 2
years of funding can be harely enough jhr junior faculty to get started
R03 - NIlI Small Grant Program
a High risk, high payoff grants
a 2 yrs, up to $50K for that period
o No preliminary data required but can be supplies
Scope of ROJ grants: pilot or feasibility studies, secondary analysis of existing data, small, selfcontained project.
***
A Few Tips on Writing and Editing
\Vriting the (sh***)') first draft
Send 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
block
To 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 vaguely
planned project
15
Boredom - Can occur when you've been thinking too narrowly about the work. Don't be afraid to
think about the larger significance of your work.
Anxiety can come from task innation due to
o
o
Overvaluing the impurtance of getting a current grant funded
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 music
Find a different place to write
Choose a different time of day to \vrite
Exercise and sleep
Free 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 very
reprehensible charity
Write longhand - you read that writing less frequently than \••.hen writing onscreen
At the computer - tum off your monitor
Pause in the middle rather than at the end of a section or thought
Editing
Once your first draft is through, welcome in
Your inner editor
Your co-authors
Your 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, NIH
AND 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 Word
documents
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.
16
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 type
style.
.
Once you'ye established a style guide, put it into the Word template supplied by NIH (or whateyer funding
agency you arc using.)
Follow each paragraph with a blank line, even if you make that line in a tiny font. (While fonts smaller than
11 are unacceptable for the body text in NIH grants, you may usc smaller fonts to create white space
between paragraphs.) As a last resort, if you haven't been able to put a black line between paragraphs. be
sure 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 that
refers to them close-by.
If yon present a complex graphic clement - a figure or modeI- in one place, but then refer to it frequently
later on as well, consider replicating the figure, perhaps in a simplified version so the reader doesn't need to
keep nipping back and forth.
\Vhen it's time to have collaborators read each section of the proposal, ask at least one person to read it
with an eye towards identifying parts that are not clear. Say "when you notice thafyou've had to read a
sentence 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 results
may mean .... "
Usc :u.ti\.'c, not just nassivc vuice
Example: 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 oxidative
burst and phagocytic activities ...
Say:
To understand whether loss of lR affects neutrophil functions, we examined the oxidative burst
and phagocytic activities ...
17
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 the
success of many subsequent molecular biology and biochemical applications, we set out to
investigate the utility of the XX technique for these applications.
Say:
Because we needed to isolate high quality protein and RNA from the epithelial samples for
subsequent 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 and
how 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's
perfonnance 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 scientific
capabilities 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 in
academic isolation but has found immediate applications in numerous industrial projects.
Say:
This scientific capability is not developing in academic isolation. but has found immediate
applications in many industrial projects.
Or sa}':
Interestingly, this scientific capability is not developing in academic isolation, but has found
immediate 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 of
the 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 of
Q 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 several
questions: \Vhat is the origin ofQ cells in relationship to long-lived preQ cells generated in
tcnninal differentiation;? What are the key differences in migration ofQ cells and preQ cells to the
18
bone? And, finally, in what ways do the Q cells and long-lived preQ cells interact differently with
the 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 oxidative
burst and phagocytic activities ...
Say:
To uilderstand whether loss of IR affects neutrophil functions, we examined the oxidative burst
and phagocytic activities ...
Put known (old) information before unknown (new) information
Hen; the writer discusses a defect in muscle that stenu from an abnormal
transcription factor. He presents the unknown (ways in which the abnormal systeJ1
may work) before reporting the known information (how tJle system works in tlte
normal tissue.
Multiple mechanisms such as transcriptional deregulation, aggregate formation, and
mi tochondrial de fici ts have be en profXlsed to explain the pathoge nesis of RAKLand have
been 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 the
fac 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 system
works, laying the groundwork for his description of tlte abnormal situation, which
follows.
In normal individnals, IR, ufXln activation by hormone, functions as a transcriptiona
regulator b y interacting with a variety of CEregulatory proteins. In motor neurons, one of
the key IR co-regulators is the IR-binding protein (IBP), which controls the expression of
VEGF, among other genes. Several mechanisms have been profXlsed to explain the
pathogenesis of RAKL and to suggest fXltential targets for medical intervention. These
me chanisms. whic h need not be m utuallv exc lusive. include transcri otional dere e:ulation.
.~-r------- ---_.r--_.. -----
Simplify Complex Text b,' Rephrasing
Don't say:
However, a more scientific route could be to build a link between why we see what we see and how
it 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's
performance on the skin with our perception of that reality.
I\linimize the use of jargon
Don't say:
In order to achieve this vision we have launched an increased thrust to develop scientific capabilities
19
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 in
academic isolation b:ut has found immediate applications in numerow; industrial projects.
Say:
This scientific capability is not developing in academic isolation, but it has found immediate
applications in many industrial projects.
Or say:
Interestingly, this scientific capability is not developing in academic isolatiun but has found
immediate 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 the
origin ofQ 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 dyregulation of Q cell apoptosis we need to answer several
questions: What is the origin ofQ cells in relationship to long-lived prcQ cells generated in terminal
differentiation? \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 the
stromal microenvironmcnts?
Noun clusters: Their ust' and abuse
Noun 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 confusion
In the sentence
The termillal plasma cell differelltiation alltige" epitope i.\'more ab""dalll in its "atb'e state.
To which noun does its refer'!
***
20
Recommended Grant-Writing
Resources
Grant Writers' Seminars & Workshops
http://www.grantcentral.com/
Including separate manuals for NIH, NSF, USDA
http://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 Review
Video Module II: Grant Writing for Success
http://ora.stan ford.edu/oraJratdlnih
04.asp
While they arc dated, there's still sufficient information in thcm to be vcry valuable.
General Writing Resources
The Science of Scientific \Vriting
If the reader is to gnlJp li/hal the writer means, the writer must understand l./hat the reader needs
George D. Gopen, Judith A. Swan American Scientist
hnp://w\\'w-stat. wharton.upenn.edul-buja/sci
.html
Line by Line: How to Edit Your Own Writing
Claire Kehrwald Cook. Houghton Mimin, 1986.
The Elements of Style, 50th Anv Ed.
William Strunk Jr., E.B. White, Longman, 2008. 128 pp
http://www .amazon .eom/o/ ASIN/0205632645
flow to Write Like a Pro (Paperback)
Barry Tarshis. Signet, 1985.
http://www.amazon.eom/o/ASIN/0451624327
Writing Tools: 50 Essetttial Strategies for Every Writer Roy Peter Clark. Little, Brown
and Company, 2008.
http://www.amazon.com/o/ASIN/0316014990
21
Useful links
Tips for Exploring the NSF Website: Unsolicited Proposals
By Lucy Deckard, Texas A&M Unil'ersity Office of Proposal Development, in Excerpts/rom
Texas A&M
OPD Funding New:deller. Mike Cronan. editor
cohesion. rice. edu!centersandinst/advance/empl
ibraryiTips%20jor%20Exploring%20the%20NSFO./o20
Wehs
ire. doc
NSF Find Funding (http://www.nsfgov/fundingl)
CRISP - Computer Retrieval of Information
http://crisp.cit.nih.gov/
NIH Research
and Award Search (hup://www.nsfgov/fundingf)
on Scientific Projects
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 Officer
To 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 grant
http://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 Proposals
By Lucy Deckard, Texas A&.V University Office 0/ Proposal Del-'elopment, in Excerpts/rom
OPD Funding Newsletter, Alike Cronan, editor
cohesion.rice.edu/centersandinst/ad\'ancc/emplibrary/Tips%20forOAJ20Exploring%20the%20NSF%20
ite.doc )
Drug Monkey - a blog (http://seienceblogs.com/drugmonkey/2009/04/era_commons
Texas A&AI
fVebs
_ 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 professional
grant writer.
http://writedit.wordprcss.com/
22