How To Write Your First Grant

1. How To Write Your First Grant Penny Cook, Executive Director, Grants and Contracts Sara Rockwell, Ph.D., Director, Office of Scientific Affairs Professor of Therapeutic Radiology and Pharmacology Sponsors: Office of Academic Development Grants and Contracts Office of Scientific Affairs July 27, 2005

2. Today • The funding environment today • Your support • Business Office • Grant and Contract Administration • Other • Your responsibility • Introduction to Sara Rockwell • Writing your application • Questions and answers

3. Where To Get Help • Department Business Office • Grant and Contract Administration • Other • Sponsor

4. The Funding Environment Today • Competitive • Reduced Budgets and/or years of support • Falling paylines • ERA • Collaborative multidisciplinary • Clinical relevance

5. Departmental Business Office • May provide assistance in: • Budget preparation • Administrative pages • Obtaining endorsement letters • Preparing proposal summary sheet (Prosum) • Procuring signatures • Post award financial management

6. Grant and Contract Administration • Research available support • Communicate changes in policy • Review grants and contracts for policy and compliance • Negotiate terms and conditions • Require complete application at time of submission • Primary contact with funding agency pre and post award • GCFA

7. Other Support • HIC • HIPPA • IACUC • Safety Office • Conflict of Interest Office • OCR

8. Sponsor Life Cycle (NIH example) Center for Scientific Review (CSR) 10,000 applications/cycle Assignment 4 months Integrated Review Group (IRG) Assignment Streamlining Study Section Priority Score Summary Statement 3 months Advisory Counsel 3 months Award

9. PI Responsibilities • Appropriate institutional appointment • Obtain space and resources • Signed patent agreement • Complete application materials • Obtain Letters • Adhere to GCA deadlines • Send proposal to sponsor • Manage post award administration • Compliance reviews/training

10. The writing process from the Principal Investigator’s perspective • When to start? • At least three months in advance • Longer for new project • Longer for complex project • Don’t assume that at the end of a project cycle that renewal is automatic

11. Deadline day in the NIH mailroom

12. Where to find out about funding sources • Talk with colleagues • Talk with business office/chair • Talk to Melanie Smith • Databases on Grants and Contracts website • Alert services • Professional society websites • YSM and Yale bulletin boards, announcements, e-mail list serves, etc.

13. Research Grants and Career Development Awards • Research grant: focus is on project • Career development award: focus is on potential of applicant • Different focus • Different requirements • Even when you use the same project for both you will write them differently

14. Youcan(and probably should) apply for more than one grant for a project • “Pay line” is often at ~20% • Same project to different agencies • Research project plus career development award • Acknowledge overlap in “other support” sheets • If they are all funded • Open champagne • Decide which award (or awards) to accept and which to decline

15. Limited competitions • “Scholars awards” • Usually career development grants – often limited to new faculty • Institution or department may be allowed only 1 or 2 two candidates • Internal competition to select Yale’s nominee(s) • List on Grants and Contracts website • Melanie Smith can send you information on those of interest to you

16. Internal competitions • Grants through programs at Yale or YSM • Often limited to Yale researchers • Generally in focused area • Fellowships and research grants • Generally small • Often for pilot studies • Sometimes limited to new investigators • Can be very valuable • Get preliminary data • Establish independence and track record

17. Where to start: Gather information about possible grantmakers • Grantmaker’s areas of interest • Grantmaker’s policies • Amount and duration of funding • Deadlines • Instructions • Application forms • Procedures used to review grants • Time until funding • Probability of funding

18. Responding to an RFA or RFP • Some RFAs and RFPs are great opportunities; others are not worth the effort • Talk to the contact person • Find out more about the request and the intent and scope • Ask about review process -special panel or regular study sections? • Is money set aside? • How many projects will they fund?

19. Reviewing and Funding are separate actions by independent groups • Study sections • review applications for scientific merit • prioritize by scientific merit • Institutes and Programs fund projects • consider the scientific merit • also consider priorities of program • consider balance of their portfolio • may “reach for” applications in critical areas • may skip applications of “low interest” to program

20. Gather the information needed to plan and develop your application • Literature related to project • Resources needed for project • Techniques needed • Possible collaborators and mentors • People who can be asked to write letters • Cost and budget information • Make a list of the things you will need to do before submitting grant

21. Some critical elements to think about beforeyou begin to write • Are you eligible? • Do you have the resources you need? • Skills • Equipment, facilities • Support from department, institution • If not, can you get them? • What scope of project can you perform with your resources and time? • Don’t waste your time preparing grants that can’t fly

22. If you have questions • Talk to Grants and Contracts • Contact the grantmaker • Program people (scientists) • Administrators • Talk to your business office • Talk to experienced investigators in your field of research • Senior investigators • Young investigators, a couple years ahead of you • Successful applicants for same grant

23. Writing the application • Format and content varies dramatically • Read the instructions • Follow them to the letter • May need to alter focus • May need to alter scope to match money and time available • One size does not fit all…or even most

24. Parts of the application • Cover sheets • Abstract or abstracts • Administrative elements • Assurances • Biosketches or CVs • Scientific sections • Letters (sometimes) • Appendices (sometimes)

25. The cover sheet • Specific to agency and grant type • Will have very specific format and instructions • May require very specific (and sometimes very bizarre) information • Some you will not know • Go to Grants and Contracts website and business office for help • May require signatures and assurances • Must be complete and accurate

26. Assurances • With most grants you will see a terrifyinglist of required assurances • Don’t panic: many will already have been handled by the institution • You will need to handle • Human subjects protection • Animal welfare • Safety • Conflict of interest and commitment • Patent assignment • Will require reviews/approvals at Yale and may require discussion in the application

27. Picking a title for your project • Sounds trivial…but isn’t • Length may be quite limited • Make it informative: titles may be used to assign grants to review committees and reviewers • Should be intelligible to a non specialist • Don’t use jargon • Don’t get cute

28. Abstract • Draft first; rewrite when application is almost done • May be the most important part of application • Used to assign reviewers • Read by all reviewers on panel • The abstract should summarize your project, describe its importance, and make the reader excited about reading the application and funding the project

29. Lay abstract • Many foundations require a lay abstract • Very important • There may be non-scientists on the review panel • Some foundations give these to their donors • Can be difficult to write • Write it for an intelligent non-scientist • Describe project in non-technical terms • Emphasize importance and relevance • Ask some non-scientists to read and critique your draft of this abstract

30. CV or Biosketch • Very important element of any grant • Critical for career development awards • Primary reviewers will examine this carefully • Other reviewers will look at it before and during meeting - especially if there are questions or problems • Different from resume, full academic CV • Focus tightly on information relevant to your research career and to the project

31. Preparing the Biosketch or CV • Funding agency may provide a form and detailed instructions • Follow them exactly • Do not alter order from that specified • Proofread, proofread, proofread • Do not exceed allowed length • Sections usually included • Current position • Education • Professional Experience • Honors and Awards • Publications

32. Education and Experience • Generally: start with college • Include areas of study and degrees earned • Non degree programs and education may warrant inclusion • All graduate and postdoctoral training and research should be included • Broad outline: start end dates, institution, city and state, mentor • Don’t give details • Chronological, but watch order

33. Biosketch: Current position • Current position - be sure it matches that on cover and elsewhere • Use official University titles only • Promotion in progress? • List effective date • List only those made in writing • May be ask to provide documentation • If application includes letter from the Chair or Dean, be sure it mentions the promotion.

34. Experience and awards • Experience goes beyond your primary appointment • Secondary appointments • Advisory boards • Awards and honors • Select with care • Begin with college • Do not include trivial awards • Awards relevant to professional career • Describe if implications unclear to outside observer

35. Publications • Follow instructions for format and content very carefully • Reviewers will look at • Number of publications • Quality of publications • Peer reviewed journals? • Quality, impact of journals? • Full article or brief notes and case reports? • Position as author • How many authors? • Who are the authors? • Negotiate authorships carefully

36. Publications • Include • Papers published in peer reviewed journals • Papers in press ( this means accepted for publication) • Book chapters, papers in proceedings, reviews (may be separate) • Abstracts - maybe. Specify and list separately • Do not include • Papers in preparation • Papers submitted but not yet accepted Plan ahead - submit early Can sometimes send newly accepted papers after acceptance

37. Publications • NIH: “All publications in last 3 years and representative earlier publications pertinent to this application” • If you have more publications than can fit into the allowed space, include an opening statement such as “Selected from a total of 195 publications” • Some agencies ask for the total number of publications

38. Budget • Format and information required varies dramatically • Some agencies specify a fixed budget and define how you must spend it. • Some want details • Some want none • Give them what they want • Use the forms or follow the format given in the instructions • Check agency guidelines: what costs are allowable and what are not?

39. Developing your numbers • Even if the agency doesn’t want details, work up a detailed budget so you know what you can do with the funds available • Use real numbers • Real salaries and fringes • Real costs of supplies, animal care, etc • Include everything you will need • Extrapolate costs to start date of grant • Don’t “low ball” • Don’t forget indirect costs

40. Future years • Extrapolate from first year • Consider changes in project over time - the science and the budget should always correspond • Project future salaries as accurately as possible • Include expected raises and promotions • business office can help here • Increase other costs to allow for inflation

41. PROBLEM: NIH modular grants • NIH now funds modular grants at a constant level for future years • Allows carryover of funds • Remember to plan for raises and inflation in deciding how many modules you request in the first year • E.g. for 3 year grant use second year cost estimates, not current or first year cost estimates to develop the budget

42. Budget justification • Format and detail required vary greatly • Follow instructions carefully • Should justify your costs in terms of the science of the project • Will be examined by study section members (scientists) during their review • Will be examined by business people later

43. Time and effort of investigators is often examined closely • Does it match the scientific activities you have described? • Do you have enough time from the essential people? • Do you have all the skills you need? • Do you have enough technical support? • A problem with many first applications is that the project cannot possibly be done with the time and resources available

44. Expectations on time and effort • Percent Salary = Percent Effort • If not, you must justify the difference • No effort is allowed without salary support • You cannot have more than 100% professional effort • All Yale assignments • All external professional activities • Watch time and effort carefully

45. Resources and Environment • Space • Equipment • Core facilities • Departmental • School of Medicine • University • Expertise and facilities available from your co-investigators • External resources to be used

46. Resources and Environment • For critical resources and expertise that you don’t have yourself, get letters of collaboration • You have an advantage by being at Yale • Many talented scientists, willing to share their expertise and resources • Great core facilities • E.g. Keck center • Internationally known • Available on fee for service basis • If you’re going to use them, say so

47. Scientific Sections • Format varies with sponsor • Follow instructions exactly • Conform to required length • Can be shorter • Can never be longer • Don’t try to get around length limits by using tiny fonts, small margins or appendices. • Many agencies return such grants without review • Even if they don’t, the reviewers are usually ruthless

48. Scientific sections of an NIH RO1 application • Specific Aims • Background and Significance • Preliminary Data • Research Plan and Methods • Literature Cited • Appendices - sometimes

49. Specific Aims • Short paragraph describing overarching goal of project • Brief list of specific things you plan to accomplish during the project • 3 - 5 Aims • May have sub-aims • length 1/2 to 1 page • Broad overview of goals, hypotheses to be tested and approaches to be used, in telegraphic form

50. Background and Significance • Give scientific background and context for project • Establish importance and novelty of proposed project • Review prior work in area of project and literature related to the project • Goals of this section • Orient reader to subject and importance of project • Prove your knowledge of the area through a solid review and objective citation of prior related work