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Grants
and
Grantsmanship
Human Resources for Grantsmanship Training
MentorsColleagues working in your fieldScientists working in other fieldsResearch administratorsProgram officers at funding agenciesAnyone skilled in expository writing
Albert Einstein College of Medicine
Office of Grant Support
Location: Belfer 917
(718) 430-3642
www.aecom.yu.edu/ogs
NIH COMPETING RPG* APPLICATIONS: TRENDS IN NUMBER, AWARDS AND SUCCESS RATES FY 1998-2007
0
5
10
15
20
25
30
35
40
45
50
1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Nu
mb
er
of
Ap
plicati
on
s a
nd
Aw
ard
s
(in
th
ou
san
ds)
Fiscal Year
0%
5%
10%
15%
20%
25%
30%
35%
40%
Su
ccess R
ate
Number Reviewed Number Awarded Success Rate
RPG 4
*RPG activity code in R00, R01, R03, R15, R21, R22, R23, R29, R33, R34, R35, R36, R37, R55, R56, RL1, RL5, RL9, P01, P42, PN1, UC1, UC7, U01, U19, U34, DP1, DP2, RL1, RL2, RL5, RL9. Also includes RPGs from NLM as of FY07.
Types of Funding
Contract Project originates with funder
Stresses deliverables
Cooperative Agreement
Contract-Grant hybrid
Funder has programmatic input
Grant Project originates with grantee
Few deliverables
Gift Noncompetitive
Unrestricted
Cost Accounting Standards
e.g.
Consistency in Estimating, Accumulating, and Reporting Costs
Consistency in Allocating Costs Incurred for Same Purpose
Allocation of Direct and Indirect Costse.g. Criteria for determining how costs are charged or
allocated to cost objectives.
The Costs of Research
Direct Costs Indirect Costs
SALARIES
FRINGE BENEFITS
CONSULTANTS
EQUIPMENT
SUPPLIES
TRAVEL
PATIENT COSTS
ANIMALS
SUBJECT COSTS
PUBLICATION COSTS
SERVICE CONTRACTS
SPACE
UTILITIES
CUSTODIAL SERVICES
SECURITY
LIBRARY
ANIMAL FACILITIES
INFORMATION SYSTEMS
SHARED RESEARCH FACILITIES
IRB
IACUC
BIOSAFETY
PAYROLL
PURCHASING
GRANT MANAGEMENT
The Costs of Research
Direct Costs
Total Costs = +Indirect Costs
Direct CostsIndirect Costs = X
(estimated) Indirect Rate
The Costs of Research
Example:
Annual Direct Costs = $100,000
Indirect Rate = 70%
Total Annual Costs = $170,000
Total Budget Request = $100-170K
Assurances and Certifications Human Subjects Animal WelfareHandicapped IndividualsSex DiscriminationAge DiscriminationEthical ConductIntellectual Property Human Embryonic Stem CellsDrug-free WorkplaceCombating Trafficking in PersonsConflict of InterestDelinquent Debt
InstitutionalReview(REQUIRED)
to address budgetarypriorities and
regulatory obligations
Pre-Submission Review of Grant Applications
Principal Investigator
IRB
Biosafety
IACUC
Finance
Administrators
ScientificReview(OPTIONAL)
to maximizecompetitiveness
to maximizecompetitiveness
Proofreaders
MentorsExperts ?
Non-Experts?
OGS
PresentationReview(OPTIONAL)
“The institution should provide a document on institutional
letterhead that describes its commitment to the candidate and
the candidate’s career development, independent of the
receipt of the award. The document should include the
institution’s agreement to provide adequate time and support
for the candidate to devote the proposed protected time to
research and career development for the entire period of the
proposed award. The institution should provide the
equipment, facilities, and resources necessary for a structured
research career development experience. It is essential to
document the institution's commitment to the retention,
development and advancement of the candidate during the
period of the award. “ [NIH K Award Guidelines]
Basic Steps for Success
1. Come up with a great idea.
2. Find an appropriate funding source.
http://www.infoed.org/new_spin/spin.asp
http://www.grantsnet.org/
http://grants.nih.gov/grants/guide/index.html
http://www.gpoaccess.gov/fr/browse.html
http://www.grants.govhttp://www.aecom.yu.edu/ogs/FundingSources/privatefunding.htm
http://www.aecom.yu.edu/ogs/FundingSources/funding.htm
Types of Funders
Federal Government
State Government
Voluntary Health Orgs (aka Public Charities)
Professional Associations
Private Foundations
Corporate Foundations
Corporations (Direct giving programs)
Individuals
Types of Grants
Fellowship
Research
Training
Career Development
Travel
Equipment
Construction
Program/Service
Types of NIH Grants
R-series = Research Grants
R01- Research Project Grant
R21- Exploratory/Developmental Grant
R03- Small Grant
K-series = Research Career Development Grants
K23- Mentored Patient-Oriented RCDA
K08- Mentored Clinical Scientist RCDA
aka “Grant Mechanisms”
Basic Steps for Success
1. Come up with a great idea.
2. Find an appropriate funding source.
3. Discuss your idea with a program officer at
the funding agency.
Know Your Funder
Area of funding interest
Type of funding
Typical size of grants
Application and review procedure
Eligibility restrictions:Type of institution Previous awardeesCitizenship GeographyFaculty status Age/Sex/EthnicityPrior funding Cost sharing
Know Your NIHese
PA vs. RFA
NINDS R03 vs. NICHD R03
Feb-June-Oct vs. March-July-Nov
Success Rate vs. Percentile Rank
SRA vs. Program Officer
eRA vs. IRG
Revision vs. Resubmission
Basic Steps for Success
1. Come up with a great idea.
2. Find an appropriate funding source.
3. Discuss your idea with a program officer at
the funding agency.
4. Follow the application guidelines.
Basic Steps for Success
1. Come up with a great idea.
To prove that an idea is great, you must show:
Need [Should it be done?]
Feasibility [Can it be done?]
Great Idea Checklist-Need-
Important problem?
Potential for major impact in the field?
Original concept or approach?
Great Idea Checklist-Feasibility-
Methods appropriate to Aims?
PI and team trained to carry out work?
Potential problems acknowledged?
Great Idea Checklist-Feasibility-
Good scholarly environment?
Institutional commitment?
Useful collaborative arrangements?
NIH Criteria for Review of Research Grant Applications
Significance 3 questions
Approach 2 questions
Innovation 3 questions
Investigator 2 questions
Environment 3 questions
http://grants.nih.gov/grants/peer_review_process.htm
Basic Steps for Success
1. Come up with a great idea.
2. Find an appropriate funding source.
3. Discuss your idea with a program officer at
the funding agency.
4. Follow the application guidelines.
5. Write a research plan that is clear, focused,
convincing, complete and realistic.
Components of the Research Grant Application
ScientificResearch Plan:
Specific Aims
Background/Significance
Preliminary Data
Methods
Human Subjects
Vertebrate Animals
Literature cited
Appendices
AdministrativeFace page/Title Abstract (summary +
relevance)
Key Personnel
Budget
Biosketch
Other Support (JIT)
Resources
Checklist
A. Specific Aims
List the broad, long-term objectives and the goal of the specific research proposed, e.g., 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.
Specific Aims• Well-defined objectives from which the project
is derived and level of success is determined.
• Should present a framework that helps to organize the rest of the Research Plan.
• Often used by reviewers as an initial triage tool.
Specific Aims• Clearly presents a gap in knowledge that
will be filled by the proposed work.
• For NIH applications, does not confuse “significance” with “health relevance”.
Specific Aims• Be brief and specific.
• Make each Aim a single sentence.
• Add detail paragraph under Aim if needed.
• Most successful applications have 2-4 specific aims.
Specific Aims• Often begins with an opening paragraph
that summarizes the problem, background, rationale, and long-term goals.
• Should be understood by scientists outside your field. Provides a summary for non-primary reviewers. The less technical information is presented first.
Specific Aims• Should make the reader eager to read the
rest of your application.
• MUST make the primary reviewer eager to read the rest of your application.
• The most important page in most applications. Should be the first page written and the last page revised.
Reviewer-Friendly Writing• Good paragraphs are easy to read and easy to skim:
• Topic sentence• About 8 lines• Expected buzzwords and phrases• No more than one big idea (unless there is strong
logical flow)• Active vs Passive voice ?
• Serif vs sans serif typefaces ?
Reviewer-Unfriendly Writing• Bad grammar.
• Misplaced modifiers and confusing antecedents.
• Jargon, acronyms, and abbreviations.
• Sending the reviewer to the lexicon.
• Long, abstract, pretentious, Latin-laced circumlocutions when a short, concrete description will work.
• Insufficient or unclear justification for significance of problem.
• Too little detail about proposed studies.
• Too much work proposed.
• Failure to make preliminary data the cornerstone of Specific Aims
Common Reasons for Poor Reviews(First Time Applicants)
Basic Steps for Success1. Come up with a great idea.
2. Find an appropriate funding source.
3. Discuss your idea with a program officer at
the funding agency.
4. Follow the application guidelines.
5. Write a research plan that is clear, focused,
convincing, complete and realistic.
6. Have experts and non-experts read your
proposal before submission.
Basic Steps for Success1. Come up with a great idea.
2. Find an appropriate funding source.
3. Discuss your idea with a program officer at
the funding agency.
4. Follow the application guidelines.
5. Write a research plan that is clear, focused,
convincing, complete and realistic.
6. Have experts and non-experts read your
proposal before submission.
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