How To Write Your First Grant

1. How To Write Your First Grant Penny Cook Director, Strategic Research Initiatives Sara Rockwell, PhD Professor, Therapeutic Radiology and Pharmacology Associate Dean for Scientific Affairs Yale School of Medicine March 31, 2010

2. The Agenda • Challenges • Support • Your responsibilities • Introduction to Sara Rockwell • Writing your application • Questions and answers

3. Planning your application • A highly competitive endeavor that can be subverted by • poor planning, • poor preparation • disorganization • lackluster presentation. 

4. A good reason to get it right Thousands of applications per cycle Planning, Writing, Submitting Receipt & Referral 1-3 Months Peer Review & Scoring 4-8 Months Final Review & Negotiation 9-10 months AWARD

5. PI responsibilities - pre award • Securing your institutional appointment • Obtaining space and resources • Signing Yale’s patent agreement • Filing your COI form • Filing other compliance forms • Completing the application materials • Obtaining letters of support • Adhering to GCA deadlines • Sending proposals to sponsors (some grants)

6. PI responsibilities - post award • Conducting your research as proposed • Directly managing and administering your awards • Authorizing all direct cost expenditures of project funds • Approving all project related expenditures and cost transfers • Ensuring that all charges to an award are appropriate, including salary/wage charges for yourselves and others are charged to the award • Ensuring compliance with Human Subjects Protections; Animal Care and Use; Conflict of Interest disclosures and other responsible conduct of research regulations and guidance.

7. Where To Get Help • Department Business Office • Grant and Contract Administration • Sponsor • Others

8. Departmental Business Office • The business office provides administrative support services to the PI. • Business office staff are the Go to Persons who will: • Assist with proposal preparation • Monitor awards and execute authorized transactions • Keep the PI abreast of policy and sponsor requirements • Develop appropriate local business processes for the administration of sponsored projects • Provide reports to the PI on award status

9. Grant and Contract Administration • Source for resource opportunities • Communicates changes in policy • Reviews for compliance • Negotiates terms and conditions against standards • Primary contact with funding agency both pre and post award • Partners with GCFA upon award

10. Other offices that can help • Office of Research Administration • Strategic Research Initiatives • HRPP Office (HIC/IRB Office) • HIPPA Office • IACUC Office • Safety Office • Conflict of Interest Office • Faculty Office • YCCI • Development Office

11. Important basics • Know the type of application that will be needed (paper or electronic) • Download the necessary forms • Find links to contacts • Know your important deadlines • Develop a general timeline • Understand the guidelines for tracking your application through the process

12. Administration is a major part of the PI’s responsibility and effort PIs spend more than 40% of their time on administrative issues directly related to their research grants • Completing training and requirements (PI training, COI, IRB, RCR) • Writing related research protocols (IRB, IACUC Biosafety, etc.) • Assembling team; ensuring their training • Continuing reviews; reports during project • Managing personnel • Managing finances

13. The Old World: The Mailroom The new world:ERA

14. Electronic Research Administration (ERA) • ERA has made the grants world both easier and more difficult • Standardized formats (in theory) • Complicated routing structures • More PI responsibilities • More non-standard submission dates • If you are submitting an ERA application to Federal agencies watch for ongoing changes to the forms and the submission process. • Leave extra time for electronic submissions • The systems often crash on deadline dates! • Be sure to check your applications progress!

15. Changes at Yale and Beyond • InfoEd • PubMed • Clinical trials.gov • Stem Cell Research • ARRA requirements • Continuing changes in policies, application forms, submission procedures, and review procedures

16. The Writing Process • When to start? • At least three months in advance • Longer for new project • Longer for complex project • Don’t assume that a renewal will be automatic or easy • Competitive renewals are as hard to get as new grants • Sometimes harder, if “new investigator” advantage is lost

17. How to find funding sources • Talk with colleagues • Talk with business office/chair • Talk to Melanie Smith in ORA • Search databases on GCA website • Utilize alert services • Professional society websites • YSM and Yale bulletin boards, list serves, announcements, etc. • Explore options broadly!

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

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

20. Limited competitions • “Scholars awards” • Usually career development grants • Often limited to new faculty • Often very prestigious – big career boost • 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 that interest you

21. Internal competitions • Grants through programs at Yale • Often limited to Yale researchers • Generally in very focused area • Sometimes limited to new investigators • Some Fellowships & Career Development Awards • Some research grants • Generally small • Often for pilot studies • Can be very valuable • Get preliminary data • Establish that you can be an independent PI • Establish your track record of success as a PI

22. A few examples • Brown Coxe Fellowships • Anna Fuller Fellowships • Cancer Center Postdoctoral Fellowships and Pilot Projects • YCCI (CTSA) Scholars Program and CTSA Pilot Projects • Skin Center Pilots • Hematology Pilots

23. Explore all opportunities • Federal Agencies • NIH, NSF, DOD, NASA, others • Small Federal grant programs (R03) • Non Federal sponsors • Foundations • Industry • State and local organizations • Voluntary Health Agencies • Professional Societies • Think and look very broadly

24. 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

25. Responding to an RFA or RFP • Some Requests for Applications and Requests for Proposals are great opportunities; others are not worth the effort • Talk to the contact person • Find out more about the request, the intent, the criteria for funding, and the scope • Find out about the review process – who will be reviewing your grant? • Is money set aside? • How many projects will they fund?

26. Reviewing and Funding are separate actions by independent groups • Study sections/Review panels • Review applications for scientific merit • Prioritize by scientific merit • Program Officers fund projects • Consider the scientific merit • Also consider priorities of program • Consider balance of their portfolio • May “reach” for applications in areas they feel are critical or under funded • May skip applications of “low interest” to their program

27. 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 everything you need to do before submitting the grant

28. Some critical elements to think about beforeyou begin to write • Are you eligible? • Position title • Time in position • Citizenship • Do you have the resources you need? • Skills • Equipment, facilities • Support from your 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 grant applications that can’t fly

29. When 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

30. Writing the application • Format and content vary dramatically for different agencies • 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

31. Watch for special requirements in career development applications • Letters of recommendation • Statement of long range career goals • Statement describing the relationship between this project and your long range professional goals • Plans for course work • Responsible conduct of research • Statistics • Courses related to the research area • Interviews for finalists • Agreement to attend or speak at meetings

32. Important parts of the application • Cover sheet • Abstract or abstracts • Administrative elements • Assurances • Biosketches or CVs • Scientific sections • Letters (sometimes) • Appendices (sometimes)

33. 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

34. Assurances • With most grants you will see a terrifying list of required assurances • Don’t panic: many already have been handled by the institution • You will need to handle • Human subjects protection (HIC; HIPPA) • Animal welfare (IACUC) • Bio Safety, Radiation, Environmental Health (OEHS) • Conflict of Interest and Commitment • Patent assignment • Export Controls • Responsible Conduct of Research (RCR) • Scientific Misconduct

35. Picking a title for your project • Sounds trivial…but isn’t • Length may be quite limited • Be informative: Titles may be used to assign grants to review committees and to individual reviewers • Should be intelligible to non-specialists • Don’t use jargon • Don’t get cute

36. Abstract • Draft first; then edit/rewrite when your 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

37. Lay abstract • Many agencies require lay abstracts • Very important • There may be non-scientists on the review panel • Foundations give these abstracts 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

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

39. Preparing the Biosketch or CV • Format varies with Grant maker • Look for forms and detailed instructions • Follow them exactly • Do not alter order from that specified • Proofread, proofread,proofread • Do not exceed allowed length • Sections usually include • Current position • Education • Personal Statement (NIH: specific to applications) • Professional Experience • Honors and Awards • Publications (NIH: relevance to application)

40. Education and Experience • Generally: start with college • Include areas of study and degrees earned • Non-degree programs and education may warrant inclusion • Include all graduate and postdoctoral training and research • Broad outline: start end dates, institution, city, state, country, mentor • Don’t give details of project or activities • Chronological, but watch order

41. Biosketch: Current position • Current position - be sure it matches that on cover and elsewhere • Use your official University title • Promotion in progress? • List effective date • List only positions that have offered and accepted in writing • You may be ask to provide documentation • If application includes letter from the Chair, Dean or mentor be sure it mentions the promotion.

42. Experience and Awards • Experience goes beyond your primary appointment • Secondary appointments • Advisory boards • Some other experience and activities (e.g. teaching, certain community activities) • Awards and honors • Select with care • Begin with college • Do not include trivial awards • Awards relevant to professional career • Describe if implications may be unclear to an outside observer

43. Publications • Follow instructions for format and content very carefully – great variation • Reviewers will look at • Number of publications (NSF, NIH limit number listed – some want to see all) • Quality of publications Peer reviewed journals? Quality, impact of journals? Full article or brief notes and case reports? • Your position as author • How many authors • Who are the other authors • Warning: Negotiate authorships carefully

44. Publications • Usually allowed • Papers published in peer reviewed journals • Papers in press (this means the paper has been accepted for publication) • Books • 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 new papers after they have been accepted

45. Publications • Look for any restrictions on the number of publications • New NIH Biosketch format specifies a maximum of 15 recent, relevant publications • NSF wants 5 publications relevant to the project • Select with care! • Check formatting requirements • Some agencies also ask for your total number of publications • If you have more publications than can fit into the allowed space, you may want to include an opening statement such as “Selected from a total of 195 publications”

46. Budget • Format and information required varies dramatically • Some agencies specify a fixed budget and define how you must spend it. • Some want budget details • Some want none • Give them what they want • Use the forms or follow the format given in the instructions • Check agency guidelines: whatcosts are allowable and what are not? • You won’t get money for unallowable items • Watch how indirect costs (Facilities and administrative costs) are handled.

47. Developing your numbers • Even if the agency doesn’t want details, work up a 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 actual start date of grant • Don’t “low ball” • Don’t forget indirect costs

48. Future years • Extrapolate from first year budget • 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

49. PROBLEM: Constant budgets • Some agencies fund grants at a constant level for future years • NIH modular grants • Grants with total budget set by agency • May allow carryover of funds • Remember to plan for raises and inflation in deciding how much money you request in the first year • HINT: for a 3 year grant use second year cost estimates, not current year or first year cost estimates to develop the budget for the project

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