NIH Proposal

NIH Grant Resources

Grants.gov - All grant opportunitieshttp://www.grants.gov/

Grant Guidehttp://deainfo.nci.nih.gov/extra/extdocs/gntapp.htm

PHS 424 Grant Instructionshttp://grants1.nih.gov/grants/funding/424/index.htm

NIH Instituteshttp://www.nih.gov/icd/

•National Cancer Institute (NCI) - Est. 1937

•National Eye Institute (NEI) - Est. 1968

•National Heart, Lung, and Blood Institute (NHLBI) - Est. 1948

•National Human Genome Research Institute (NHGRI) - Est. 1989

•National Institute on Aging (NIA) - Est. 1974

•National Institute on Alcohol Abuse and Alcoholism (NIAAA) - Est. 1970

•National Institute of Allergy and Infectious Diseases (NIAID) - Est. 1948

•National Institute of Arthritis and Musculoskeletal and Skin Diseases (NIAMS) - Est. 1986

•National Institute of Biomedical Imaging and Bioengineering (NIBIB) - Est. 2000

•Eunice Kennedy Shriver National Institute of Child Health and Human Development (NICHD) - Est. 1962

•National Institute on Deafness and Other Communication Disorders (NIDCD) - Est. 1988National Institute of Dental and Craniofacial Research (NIDCR) - Est. 1948National Institute of Diabetes and Digestive and Kidney Diseases (NIDDK) - Est. 1950National Institute on Drug Abuse (NIDA) - Est. 1973National Institute of Environmental Health Sciences (NIEHS) - Est. 1969National Institute of General Medical Sciences (NIGMS) - Est. 1962National Institute of Mental Health (NIMH) - Est. 1949National Institute of Neurological Disorders and Stroke (NINDS) - Est. 1950National Institute of Nursing Research (NINR) - Est. 1986National Library of Medicine (NLM) - Est. 1956

NIH Centers

•Center for Information Technology (CIT formerly DCRT, OIRM, TCB) - Est. in 1964

•Center for Scientific Review (CSR) - Est. in 1946•John E. Fogarty International Center for Advanced Study

in the Health Sciences (FIC) - Est. in 1968•National Center for Complementary and Alternative

Medicine (NCCAM) - Est. in 1999•National Center on Minority Health and Health

Disparities (NCMHD) - Est. in 1993•National Center for Research Resources (NCRR) - Est. in

1962•NIH Clinical Center (CC) - Est. in 1953

RESEARCH PLAN• Purpose

• Describe the what, why, and how of the proposal

• Core of the proposal and will be reviewed with particular care

• The what will be Part 1: Specific Aims. What are the overall goals?

• The why, Part II: Research Strategy. How will you approach the problems?

• The how, Part III: Innovation. What is novel about the project?

• Part IV: Approach. The assessment of this research plan will largely determine whether or not the proposal is favorably recommended for funding

• Recommended Length: The maximum length of the research plan is usually 1 page for I and 12 pages for II-IV.

• Content: The research plan should answer the following questions:

• What do you intend to do?

• Why is this worth doing? How is it innovative?

• What has already been done in general, and what have other researchers done in this field?

• What will this new work add to the field of knowledge?

• What have you (and your collaborators) done to establish the feasibility of what you are proposing to do?

• How will the research be accomplished? Who? What? When? Where? Why?

RESEARCH PLAN

• Make sure that all sections are internally consistent and that they dovetail with each other

• Use a numbering system, and make sections easy to find

• Lead the reviewers through your research plan

• One person should revise and edit the final draft.

• Show knowledge of recent literature and explain how the proposed research will further what is already known.

• Emphasize how some combination of a novel hypothesis, important preliminary data, a new experimental system and/or a new experimental approach will enable important progress to be made.

• Establish credibility of the proposed principal investigator and the collaborating researchers.

RESEARCH PLAN

RESEARCH PLAN PART 1

• Specific Aims

• Purpose: The purpose of the specific aims is to describe concisely and realistically what the proposed research is intended to accomplish.

• Recommended Length: The recommended length of the specific aims is one page.

• Content: The specific aims should cover:

• broad, long-term goals;

• the hypothesis or hypotheses to be tested, and

• specific time-phased research objectives.

• Suggestions:

• Generally, the Specific Aims section should begin with a brief narrative describing the long-term goals of the project and the hypothesis guiding the research. This is followed by a numbered list of the Aims.

• State the hypothesis clearly. Make sure it is understandable, testable and adequately supported by citations in the Background and by data in the Preliminary Results Sections. Be sure to explain how the results to be obtained will be used to test the hypothesis.

• Show that the objectives are attainable within the stated time frame.

RESEARCH PLAN PART 1

• Be as brief and specific as possible. For clarity, each aim should consist of only one sentence. Use a brief paragraph under each aim if detail is needed. Most successful applications have 2-4 specific aims.

• Don't be overly ambitious. A small, focused project is generally better received than a diffuse, multifaceted project.

• Be certain that all aims are related. Have someone read them for clarity and cohesiveness.

• Focus on aims where you have good supporting preliminary data and scientific expertise.

RESEARCH PLAN PART 1

RESEARCH PLAN PART II• Research Strategy

• Purpose: The purpose of the research strategy section is to state the problem to be investigated, the rationale for the proposed research, the current state of knowledge relevant to the proposal and the potential contribution of this research to the problem(s) addressed.

• Recommended Length: Approximately 2-3 pages

• Content: The background and significance section should cover:

• the rationale for the proposed project;

• the state of existing knowledge, including literature citations and highlights of relevant data;

• gaps that the project is intended to fill

• Suggestions

• Make a compelling case for your proposed research project. • Why is the topic important?

• Why are the specific research questions important?

• How are the researchers qualified to address these?

• Establish familiarity with recent research findings. • Avoid outdated research

• Use citations not only as support for specific statements but also to establish familiarity with all of the relevant publications and points of view

• Your application may well be reviewed by someone working in your field. If their contributions and their point of view are not mentioned, they are not likely to review your application sympathetically

RESEARCH PLAN PART II

• Innovation

• How does the proposed research move the field forward?

• What new technological or intellectual developments might come from the research?

• Can this work lead to new technologies or medicines?

• One to two pages recommended

RESEARCH PLAN PART III

RESEARCH PLAN PART IV

• Approach

• Purpose: The purpose of the preliminary results section is to describe prior work by the investigators relevant to the proposed project

• In a new application, the preliminary results are important to establish the experience and capabilities of the applicant investigators in the area of proposed research and to provide experimental support for the hypothesis and the research design.

• In a renewal application, this section requires a progress report describing studies performed during the last grant period

• Recommended Length: The recommended length of the approach section is 4-6 pages.

• Content: This section should include the following:• most importantly, a description of recent studies by the

applicant investigators that establish the feasibility and importance of the proposed project (i.e., preliminary results)

• a brief description of older published studies by the applicant that provide important background information relevant to the proposed project

• results of previous studies by the applicant not directly relevant to the proposed project if they are needed to establish the applicant's competence and experience with the experimental techniques to be used in the proposed project

RESEARCH PLAN PART IV

• Suggestions• All Tables and Figures necessary for the presentation of

preliminary results must be included in this section of the application.

• Figures and Figure legends must be legible. There are specific limits on type size given in the application instructions, but beyond these rules, the critical factor is whether the data are legible and convincing to the reviewers.

• Do not dwell on results already published. Summarize the critical findings in the text. Provide a PDF of a cited manuscript in the Appendix only if it is not published in a publicly accessible journal, or has been accepted but not yet published.

RESEARCH PLAN PART IV

• Research Design and Methods

• Purpose: The purpose of the research design and methods section is to describe how the research will be carried out. This section is crucial to how favorably an application is reviewed.

• Recommended Length: The recommended length of the research design and methods section is 4-6 pages.

RESEARCH PLAN PART IV

• Content: The research design and methods section should include the following:

• an overview of the experimental design;

• a detailed description of specific methods to be employed to accomplish the specific aims;

• a detailed discussion of the way in which the results will be collected, analyzed, and interpreted;

• a projected sequence or timetable (work plan);

• a description of any new methodology used and why it represents an improvement over the existing ones;

• a discussion of potential difficulties and limitations and how these will be overcome or mitigated;

• expected results and alternative approaches that will be used if unexpected results are found

• precautions to be exercised with respect to any procedures, situations, or materials that may be hazardous to personnel or human subjects.

RESEARCH PLAN PART IV

• Number the sections in this part of the application to correspond to the numbers of the Specific Aims.

• Give sufficient detail. Do not assume that the reviewers will know how you intend to proceed.

• Avoid excessive experimental detail by referring to publications that describe the methods to be employed. Publications cited should be by the applicants, if at all possible.

• If relevant, explain why one approach or method will be used in preference to others. This establishes that the alternatives were not simply overlooked. Give not only the "how" but the "why."

• If employing a complex technology for the fast time, take extra care to demonstrate familiarity with the experimental details and potential pitfalls. Add a co-investigator or consultant experienced with the technology, if necessary.

• Document proposed collaborations and offers of materials or reagents of restricted availability with letters from the individuals involved.

RESEARCH PLAN PART IV

ASSURANCES

• Purpose: The purpose of the assurances section is to ensure that the applicant organization will comply with all relevant Federal laws and guidelines.

• Recommended Length: A special form must be completed for the assurances section.

• Human Subjects Research

• Research on Transplantation of Human Fetal Tissue

• Research Using Human Embryonic Stem Cells

• Women and Minority Inclusion Policy

• Inclusion of Children Policy

• Vertebrate Animals

• Debarments and Suspension

• Drug Free Workplace

• Lobbying

• Non-Delinquency of Federal Debt

• Research Misconduct

ASSURANCES

• Civil Rights

• Handicapped Individuals

• Sex Discrimination

• Age Discrimination

• Recombinant DNA, including Human Gene Transfer Research

• Financial Conflict of Interest

• Smoke-Free Workplace

• Prohibited Research

• Select Agent Research

• Principal Investigator Assurance

HUMAN SUBJECTS

• Purpose: The purpose of this section describing the involvement of human subjects is to ensure the protection of the rights and welfare of people who participate in research projects.

• Recommended Length: There is no specified length, but be succinct.

• Content: See Supplemental Instructions for Preparing the Human Subjects Section of the Research Plan in the SF 424 or PHS 398 application to determine whether this section is required or your human subjects research is exempt.

• Provide a complete description of the proposed involvement of human subjects as it relates to the work outlined in the Research Plan section. • If an exemption has been designated on the face page, enough detail still

must be provided to allow the determination of the appropriateness of the exemption.

• You must provide sufficient information for reviewers to determine that the proposed research meets:• the requirements of the DHHS regulations to protect human subjects from

research risks (45 CFR Part 46);

• NIH and NCI policy requirements for Data and Safety Monitoring for Clinical Trials, if applicable;

• the ClinicalTrials.gov requirements, if applicable;

• the requirements of NIH policies on inclusion of women, minorities, and children; and

• the requirements of NIH policy on reporting race and ethnicity data for subjects in clinical research.

HUMAN SUBJECTS

• If the application involves the Inclusion of Women and Minorities, complete the Targeted/Planned Enrollment Table

• A justification is required if there is limited representation of children, women, and minorities

• Peer review and NIH program staff will consider this justification in their evaluation of your application

• Failure to address this issue will impose a bar, making any award until all the concerns raised by the integrated review group (IRG) have been resolved

HUMAN SUBJECTS

VERTEBRATE ANIMALS

• Purpose: The purpose of this section describing the use of vertebrate animals is to ensure the humane treatment of live animals involved in the proposed research.

• Recommended Length: No specified length, but be succinct.

• Content: • Provide a complete description of the proposed use of vertebrate animals as it

relates to the work outlined in the Research Plan section

• There are five points that must be addressed in this section.

• Procedures, species, strains, sex, ages and number of animals to be used

• Justification for the species used

• Veterinary care

• Methods for alleviating pain, discomfort and distress, and justify not using analgesics

• Methods of euthanasia and endpoint euthanasia criteria

• Failure to address any of these areas will delay any award until these issues have been resolved.

RESOURCES AND ENVIRONMENT

• Purpose: The purpose of the resources and environment section is to describe the resources, facilities, and support available to the researcher.

• Recommended Length: There is no specified length, but be succinct.

• Suggestions• Make sure the resources and environment section addresses all

requirements of the proposed research plan.

• Justify any reliance on resources external to the research.

• Make sure all subcontractors and consortium members have the capability to perform the tasks assigned to them.

• Make certain your resources and budget requests are consistent.

OVERALL CONSIDERATIONS

• Observe application guidelines strictly.

• Use basic English and avoid jargon.

• Make sure all acronyms are spelled out when used initially.

• Observe the type size and page limitations strictly; do not use a small font.

• Arial, Helvetica, Palatino Linotype, or Georgia in 11 point or larger

• Include only those graphs, tables, etc., that are essential to the narrative; these should complement the text and be appropriately inserted.

• Make sure all citations are complete: title, authors, book or journal, volume number, inclusive pages, year of publication.

• Include a section on Resource Sharing Plans, including sharing model organisms or genome wide association studies, if appropriate.

• Have an outside reader review the proposal for clarity and consistency.

• Proofread carefully by reading aloud. Do not rely on computer "spell check" to point out mistakes.

• Be consistent with terms, references, and form writing style.

• Be sure that your application is received by the appropriate deadline.

• You have two chances to get funded!

NSF Grant Proposalhttp://www.nsf.gov/publications/pub_summ.jsp?

ods_key=gpgUpdate 3 OCT 2010

http://www.nsf.gov/pubs/policydocs/pappguide/nsf11001/gpg_index.jsp?WT.mc_id=USNSF_179

NSF Directorates• Directorate For Biological Sciences (BIO)

• Division Of Biological Infrastructure (DBI)

• Division Of Environmental Biology (DEB)

• Division Of Integrative Biology And Neuroscience (IBN)

• Division Of Molecular And Cellular Biosciences (MCB)

• Plant Genome Research Program

• Emerging Frontiers (EF)—Bio's Virtual Division

• Directorate For Computer And Information Science And Engineering

• Directorate For Education And Human Resources

• Directorate For Engineering

• Directorate For Geosciences

• Directorate For Mathematical And Physical Sciences

• Office Of Polar Programs

• Directorate For Social, Behavioral, And Economic Sciences

Eligibility • Universities and Colleges

• Nonprofit, Nonacademic Organizations

• Museums

• Laboratories

• Observatories

• For-Profit Organizations - National need

• State and Local Governments - Usually education related

• Unaffiliated Individuals

• the proposed project is sufficiently meritorious and otherwise complies with the conditions of any applicable proposal-generating document;

• the proposer has demonstrated the capability and has access to any necessary facilities to carry out the project; and

• the proposer agrees to fiscal arrangements that, in the opinion of the NSF Grants Office, ensure responsible management of Federal funds.

• Foreign Organizations - rarely

• Other Federal Agencies - usually requires association with other eligible investigators

Merit Review Criteria for the Selection of Research and

Education Projects• What is the intellectual merit of the proposed activity?

• How important is the proposed activity to advancing knowledge and understanding within its own field or across different fields?

• How well qualified is the proposer (individual or team) to conduct the project?

• To what extent does the proposed activity suggest and explore creative and original concepts?

• How well conceived and organized is the proposed activity?

• Is there sufficient access to resources?

• What are the broader impacts of the proposed activity?• How well does the activity advance discovery and understanding while

promoting teaching, training, and learning?

• How well does the proposed activity broaden the participation of underrepresented groups (e.g., gender, ethnicity, disability, geographic, etc.)?

• To what extent will it enhance the infrastructure for research and education, such as facilities, instrumentation, networks, and partnerships?

• Will the results be disseminated broadly to enhance scientific and technological understanding?

• What may be the benefits of the proposed activity to society?

• Integration of Research and Education• One of the principal strategies in support of NSF's goals is to foster

integration of research and education through the programs, projects, and activities it supports at academic and research institutions.

• These institutions provide abundant opportunities where individuals may concurrently assume responsibilities as researchers, educators, and students and where all can engage in joint efforts that infuse education with the excitement of discovery and enrich research through the diversity of learning perspectives.

• Integrating Diversity into NSF Programs, Projects, and Activities• Broadening opportunities and enabling the participation of all citizens--

women and men, underrepresented minorities, and persons with disabilities--is essential to the health and vitality of science and engineering.

• NSF is committed to this principle of diversity and deems it central to the programs, projects, and activities it considers and supports.

Merit Review Criteria for the Selection of Research and

Education ProjectsNSF staff will give careful consideration to the following in making funding decisions:

NSF Proposal Preparation and Submission Mechanisms

• NSF FastLane System• The NSF FastLane System uses Internet/Web technology to facilitate the way

NSF does business with the research, education, and related communities

• The NSF FastLane System may be used for proposal preparation, file update, submission and status checking, project reporting, and post-award administrative activities.

• All FastLane functions are accessed by using a Web browser on the Internet

• Grants.gov• Grants.gov provides a single Government-wide portal for finding and

applying for Federal grants online.

• Proposals submitted via Grants.gov must be prepared and submitted in accordance with the NSF Grants.gov Application Guide

• The Grants.gov Application Guide contains important information on:

• general instructions for submission via Grants.gov, including, the Grants.gov registration process and Grants.gov software requirements;

• NSF-specific instructions for submission via Grants.gov, including creation of PDF files;

• grant application package instructions;

NSF Programs and Funding Opportunities

• Dear Colleague Letter• Dear Colleague letters are intended to provide general information to the

community, clarify or amend an existing policy or document, or inform the NSF proposer community about upcoming opportunities or special competitions for supplements to existing awards. In addition, they are often used to draw attention to an impending change in NSF policies or programs.

• Program Description• The term "program description" includes broad, general descriptions of

programs and activities in NSF Directorates/Offices and Divisions. Program descriptions are often posted on Directorate/Division websites to encourage the submission of proposals in specific program areas of interest to NSF.

• Program descriptions, like program announcements, utilize the generic eligibility and proposal preparation instructions specified in the Grant Proposal Guide (GPG), as well as the National Science Board (NSB) approved merit review criteria.

• Program Announcement• Program announcements and program descriptions are the primary

mechanisms used by NSF to communicate opportunities for research and education support, as well as to generate proposals.

• Program Solicitation• The term "program solicitation" refers to formal NSF publications that

encourage the submission of proposals in specific program areas of interest to NSF.

• They generally are more focused than program announcements, and normally apply for a limited period of time.

• Competition among proposals is more precisely defined than with program announcements, and proposals received compete directly with each other for NSF funding.

NSF Programs and Funding Opportunities

• Program Solicitation (cont.)• Program solicitations are issued when the funding opportunity has one or

more of the following features:

• Provides supplemental proposal preparation guidance or deviates from the guidelines established in the Grant Proposal Guide;

• Contains additional specially crafted review criteria relevant to the program;

• Requires submission of a letter of intent or preliminary proposal;

• Deviates from (or restricts) the standard categories of eligible proposers;

• Limits the number of proposals that may be submitted by any organization and/or researcher/educator;

• Specifies additional award conditions or reporting requirements;

• Anticipates use of a cooperative agreement; or

• Permits inclusion of the payment of fees to awardees, when appropriate.

NSF Programs and Funding Opportunities

Proposal Preparation Instructions

Conformance with Instructions for Proposal Preparation

• It is important that all proposals conform to the instructions provided in the GPG.

• Conformance is required and will be strictly enforced unless an authorization to deviate from standard proposal preparation requirements has been approved.

• NSF may return without review proposals that are not consistent with these instructions.

• NSF must authorize any deviations from these instructions in advance of proposal submission.

Format of the Proposal

• Proposal Pagination Instructions• FastLane does not automatically paginate a proposal

• Each section of the proposal that is uploaded as a file must be individually paginated prior to upload to the electronic system.

• Proposal Margin and Spacing Requirements• The proposal must be clear, readily legible, and conform to the following

requirements:

• Use one of the following typefaces identified below:

• Arial, Courier New, or Palatino Linotype at a font size of 10 points or larger

• Times New Roman at a font size of 11 points or larger

• Computer Modern family of fonts at a font size of 11 points or larger

• A font size of less than 10 points may be used for mathematical formulas or equations, figure, table or diagram captions and when using a Symbol font to insert Greek letters or special characters. PIs are cautioned, however, that the text must still be readable;

• No more than 6 lines of text within a vertical space of 1 inch; and

• Margins, in all directions, must be at least an inch.

• Page Formatting• Single-column format for the text.

• While line spacing (single-spaced, double-spaced, etc.) is at the discretion of the proposer, established page limits must be followed.

• The guidelines specified above establish the minimum type size requirements; however, PIs are advised that readability is of paramount importance and should take precedence in selection of an appropriate font for use in the proposal.

• Small type not in compliance with the above guidelines may be grounds for NSF to return the proposal without review.

• Adherence to type size and line spacing requirements also is necessary to ensure that no proposer will have an unfair advantage, by using smaller type or line spacing to provide more text in the proposal.

Format of the Proposal

Sections of the Proposal

• Cover sheet

• Project Summary

• Table of Contents

• Project Description

• References

• Biographical Sketches

• And even more...

Sections of the Proposal• Cover sheet

• Awardee and Performing/Research Organization

• Program Announcement/Solicitation/Description Number

• NSF Unit of Consideration

• Remainder of the Cover Sheet• Title of Proposed Project

• Budget and Duration Information

• PI Information and co-PI Information

• Previous NSF Award

• Other Federal Agencies

• Awardee Organization Information

• Performing/Research Organization

• Other Information

Sections of the Proposal

• Project Summary• The proposal must contain a summary of the proposed activity suitable for

publication, not more than one page in length.

• It should not be an abstract of the proposal, but rather a self-contained description of the activity that would result if the proposal were funded.

• The summary should be written in the third person and include a statement of objectives and methods to be employed.

• It must clearly address in separate statements (within the one-page summary):

• the intellectual merit of the proposed activity; and

• the broader impacts resulting from the proposed activity.

• It should be informative to other persons working in the same or related fields and, insofar as possible, understandable to a scientifically or technically literate lay reader.

• Proposals that do not separately address both merit review criteria within the one-page Project Summary will be returned without review.

Sections of the Proposal

• Table of Contents• A Table of Contents is automatically generated for the proposal by the

FastLane system.

• The proposer cannot edit this form.

Sections of the Proposal• Project Description (15 page limit)

• The Project Description should provide a clear statement of the work to be undertaken and must include objectives, relation to longer-term goals of the PI's project, relation to the present state of knowledge in the field, to work in progress by the PI under other support and to work in progress elsewhere.

• The Project Description should outline the general plan of work, including a clear description of experimental methods and procedures and plans for preservation, documentation, and sharing of data, samples, physical collections, curriculum materials and other related research and education products.

• It must describe as an integral part of the narrative, the broader impacts resulting from the proposed activities, addressing one or more of the following as appropriate for the project:

• how the project will integrate research and education by advancing discovery and understanding while at the same time promoting teaching, training, and learning;

• ways in which the proposed activity will broaden the participation of underrepresented groups (e.g., gender, ethnicity, disability, geographic, etc.);

• how the project will enhance the infrastructure for research and/or education, such as facilities, instrumentation, networks, and partnerships;

• how the results of the project will be disseminated broadly to enhance scientific and technological understanding;

• and potential benefits of the proposed activity to society at large.

• References Cited

• Biographical Sketch(es)• Professional Preparation

• Appointments

• Publications

• A list of: (i) up to 5 publications most closely related to the proposed project; and (ii) up to 5 other significant publications, whether or not related to the proposed project.

• Synergistic Activities

• A list of up to five examples that focuses on the integration and transfer of knowledge as well as its creation.

• innovations in teaching and training;

• contributions to the science of learning;

• development and/or refinement of research tools;

• computation methodologies, and algorithms for problem-solving;

• broadening the participation of groups underrepresented in science, mathematics, engineering and technology

• Collaborators & Other Affiliations

Sections of the Proposal

• Budget

• Current and Pending Support

• Facilities, Equipment and Other Resources

• Special Information and Supplementary Documentation

• Vertebrate animals

• Human subjects

Sections of the Proposal