Leaping the Hurdles& Navigating the Maze:How to Get FundingFrom DBSB/NICHD

University of Washington

July 30, 2004

Rebecca L. Clark

Demographic and Behavioral Science Branch (DBSB)Center for Population Research (CPR)

National Institute of Child Health and Human Development (NICHD)

National Institutes of Health (NIH)U.S. Department of Health and Human Services

What do I do? Program official at DBSB/NICHD

Migration, population distribution, race & ethnicity, population & environment methods, some centers, most F32s, K01s

Help applicants up until they submit their application, then after their applications are reviewed SRAs handle review, more on this later

What do I do? Manage funded grants for NICHD Write program announcements

and RFAs Help establish DBSB’s (and

NICHD’s) priorities

NIH Overview The mission of the NIH is to

uncover new knowledge that will lead to better health for everyone

27 components (institutes and centers)

$27.3 billion in funding in 2003 4/5 goes to grants and contracts

supporting extramural research

Who funds behavioral & social sciences at NIH?

Total 2002 NIH funding for behavioral and social science research: $2.3 billion

1. National Institute of Mental Health ($403 million)

2. National Institute on Drug Abuse ($400 m)

3. National Cancer Institute ($249 m)

4. National Institute of Child Health & Human Development

($246 m)

5. National Institute on Aging ($209 m)

6. National Institute of Alcohol Abuse & Alcoholism ($171 m)

NICHD Largest single funder of behavioral

and social research on population

Most funding for this research is through the Demographic and Behavioral Sciences Branch (DBSB)

$87.4 million grant funding in FY02

N IA F IC

DBS B 2 O th e rs

C P R 3 O th e rs D S R

N IC H D 2 3 O th e rs C S R

The National Institutes of Health

NICHD: Nat’l Institute of Child Health & Human DevelopmentNIA: Nat’ l Institute on AgingFIC: Fogarty International Center CSR: Center for Scientific ReviewDSR: Division of Scientific ReviewDBSB: Demographic & Behavioral Sciences Branch

What we will cover … Funding opportunities and

mechanisms at NICHD The process: Idea to application The process: Application to funding

Evaluation of scientific merit The funding decision

What program staff can do for you Post-doctoral fellowships

Funding Opportunities and Mechanisms at the NICHD

DBSB always interested in funding research in:

Fertility and contraception

Mortality, morbidity and health

Migration and population distribution

Family and household structure and processes

Marriage and cohabitation

Demographic methods

Economic demography

Behavioral research on HIV/STDs

Fatherhood Population and

environment Child care . . . and more

What kinds of funding can I get? Training and development Research support

Grants for junior investigators: Training and development

F31 Predoctoral Fellowships Minority students Students with disabilities

F32 Postdoctoral Fellowships K01 Mentored Population Research

Scientist Development Award

Grants for junior (& other) investigators: Research R01 Research Project Grant R03 NIH Small Research Grant Program R21 NIH Exploratory/Developmental

Research Grant R15 Academic Research Enhancement

Awards (AREA) S Minority/disability supplements on existing

R01s & other grants SBIR/STTR Small Business Innovation

Research/Small Business Technology Transfer

R03 NIH Small Research Grant

Limited funding/short period of time Examples:

Pilot/feasibility studies Secondary analysis of existing data Small, self-contained research projects Developing research new methodology

or technology

R21 NIH Exploratory/Developmental Research Grant New exploratory and

developmental research projects Examples:

Feasibility studies Unique/innovative use of an existing

methodology to explore a new scientific area

High risk/high payoff

R01/R21/R03 (at NICHD)

Limits R01 R21 R03 Time 5 years 2 years 2 years

Funding cap

$500k/ yr $200k/ yr $275k total

$50k/ yr

Revisions 2 2 1

Page 25 15 10

Review CSR NI H

CSR NI H

DSR NI CHD

Renewable? Yes No No

R15 Academic Research Enhancement Awards Individual research projects

conducted by faculty Involving undergraduate students At institutions without major

recipiency of NIH research grant funds.

Special funding initiatives

Most important thing to remember:

YOU DON’T NEED A SPECIAL FUNDING INTITIATIVE (RFA, PA) TO APPLY FOR FUNDING

I’ll remind you again in a few minutes

Special funding initiatives RFA: Request for Applications PA: Program Announcement How NIH asks researchers to consider

certain topics or areas Also how NIH notifies researchers that

funding mechanisms (e.g., R03s, R21s, K01s) are available

Notices give additional information about RFAs and PAs

RFA versus PA:

RFA PA

NICHD sets aside funds for projects?

Yes Usually not

Special application deadlines?

Yes Usually not

How long active? Until deadlin

e

3 years

Special review panel? Yes Usually not

Examples of RFAs Mind-Body/Interactions and Health Development of Community Child

Health Research Population Research Infrastructure

Program Health, Environment and Economic

Development (HEED)

Examples of PAs:Research topics Social & Demographic Studies of

Race & Ethnicity in the United States Social & cultural dimensions of

health Methodology & measurement in the

behavioral & social sciences Population movement The science & ecology of early

development (SEED)

Examples of PAs:Funding mechanisms NIH Small Research Grant Program

(R03) NIH Exploratory/Developmental

Research Grant Award (R21) Mentored Research Scientist

Development Award (K01)

Not RFA/PA

79%

RFA9%

PA12%

Remember:Relatively few research grants result from RFAs & PAs

DBSB R01s, FY2000

4 things to know about AIDS research funded through DBSB:

Different application deadlines

Different study sections

Money comes from different funding streams

For more information contact Susan Newcomer at:

(301) 435-6981 or

sn19y@nih.gov

Examples of NICHD/DBSB announcements-HIV related Research on HIV/STD prevention

messages Research on social networks and

HIV risk prevention Demographic research on sexual

behaviors related to HIV

The Process: Idea to Application

•A good idea•Before you apply•Rules for writing a grant application•Other things to know and do

The starting point . . .

Have a good idea No amount of grantsmanship

can disguise a weak idea . . .

But poor grantsmanship can kill a good idea

What is a good idea?

A good idea:• Addresses a significant question • Brings something new to the

table • Is focused • Is feasible

Before you apply Look at the DBSB website:

http://www.nichd.nih.gov/about/cpr/dbs/dbs.htm

Talk with program staff about research ideas & funding mechanisms

Read the application (and PA/RFA, if applicable) guidelines

Know the deadlines

Learn from what others have done Get copies of

Successful applications Successful summary statements Unsuccessful summary statements

“Summary statement”= Critique from review group = “Pink sheet”

Find a guide Work with someone who knows the

process Another researcher, outside NICHD

And way, way before you apply: Pick a mentor who will help you launch your career

Now sit down and start writing Here are a few pointers

Know your strengths & weaknesses Write about what you know

Don’t use your first application to completely change research directions

Never change research directions to respond to an RFA or PA

Don’t promise more than you can deliver

Develop a unified proposal

with a sharp focus

1. Theory2. Hypotheses3. Data4. Research and analysis plans should all be carefully integrated

and logically related

Be persuasive Sell your ideas early in the

application Crisply state your specific aims Explain yourself–Don’t assume

reviewers will know what you mean Tell reviewers:

What you want to do Why is it important to do this research

Take your time Don’t rush in an underdeveloped

application to meet a deadline Think through and address

All aspects of your research plan All possible objections to it

Leave time for trusted colleagues to critique your application – several times!

Don’t irritate the reviewers

Follow the directions Don’t be sloppy Don’t use teeny, tiny type Don’t include an appendix as large

as a cow

Other things to know and do

Know the deadlines At NIH, for R01s* and many other

mechanisms: February 1, June 1, October 1 Revisions may have different dates

AIDS applications 3 months later Check application guidelines for

your situation

*Unless RFA

Most common pitfallfor new applicants

Great ambitions … underdeveloped plans

Another common problem Failure to read the instructions

READ the application form READ the RFA, PA, or Notice, if

applicable Specific instructions in an RFA, PA, or

Notice supercede instructions in application form

Myths about applying It’s better to have an established

researcher as PI Shorter project periods are more

likely to be funded It’s a good idea to underestimate

the project’s cost Don’t apply unless there is a PA or

RFA

Why you should apply for NICHD grant funding: It’s hard work to get a grant, but a

GREAT way to support your research. You control the science Grant has few administrative requirements

You get great input from wise people about your research

Prestige of the NICHD/NIH reputation will be associated with your research

Application to funding:How does NICHD decide what to fund?

Process

Brilliantidea

Brilliantproposal

Institution submits

NIH reviews

Get funding

Join FrenchForeign Legion

Revise proposal

Evaluation of scientific merit

Your proposal comes in and gets reviewed

Evaluation of scientific merit separate from funding decision

Evaluation of scientific merit: Run by scientific review

administrators Decision whether to fund:

Program staff (people like me) Advisory council Institute director

Who reviews NIH proposals? A “study section”—there are

dozens Which study section depends on:

Scientific content and methodology Mechanism (e.g., R01, R03, F32, K01 .

. .) Which Institute proposal goes to Whether responding to RFA

What’s a “study section” Top scientists with relevant expertise

from outside NIH Special scientific review administrators

(not me) put together Most applications go to one of the

standing committees that meets three times a year You can look up the rosters to see who is on

Five review criteria Significance Innovation Approach* Investigator* Environment*

*What R01 reviewers are told about evaluating new researchers: Approach: More emphasis on

demonstrating feasibility of techniques/approaches than on preliminary results

Investigator: More emphasis on training and research potential than on number of publications

Environment: Evidence of institutional commitment—resources, time to perform research

Basics of NIH Review

Priority score assigned Numerical rating—Scientific merit of

proposed research relative to "state of the science"

100-150: Outstanding 151-200: Excellent 201-250: Very good 251-300: Good 300-500: Unscored (usually)

What applicant gets after review A score Detailed written comments from at

least 2 reviewers Even if your application is “unscored”

Scored applications: Written summary of discussion from study section meeting SRA prepares

Cover letter with application You can request CSR to:

Assign your application to a particular Institute to consider funding (e.g., NICHD, NIA, FIC)

Mention name of program official you have talked with

Assign your application to a particular study section to review scientific merit

The funding decision

Most research projects

R03s, etc.

DBSB reviews proposal & summary statement, makes funding recommendation

Review byAdvisory Council

NICHD Director

makes final funding decision

What if I don’t get funded?

TRY AGAIN! Nearly all funded investigators have

had proposals blown out of the water . . . But they applied again

Even applications that are “unscored” can receive funding if appropriately revised

Talk to program staff

What Program Staff Can Do for You

What program staff can do for you

Help you before you submit your application

Let you know what your scores are Let you know what happened to

your proposal during study section Help you interpret your summary

statement

What program staff can do for you

For scientific reasons, arrange funding for grants that are a little below the funding line (currently exceedingly rare)

For scientific reasons, recommend adjusting grants’ budgets (also rare)

What program staff cannot do

Serve on the external review panel Run the external review panel Choose the external reviewers Assign your proposal to a

particular review panel

Post-Doctoral Fellowships

Two types T32

Goes to a population training center Often supports both pre- and post-docs

Population center decides who gets post-docs

Sets up own review process

F32 Goes to an individual post-doc Post-doc applicant applies to NIH with help

from prospective post-doctoral institution

Why get an F32 instead of T32? More prestigious You are the principal investigator (PI),

the one who deals directly with NIH You aren’t limited to going to programs

that already have T32 post-doc programs

If you are at an existing T32 program, it frees up funding for others, so they should be really, really grateful to you

Official name Ruth L. Kirschstein National

Research Service Award for Individual Postdoctoral Fellows (F32)

Purpose of F32 program “To help ensure that a diverse pool of highly

trained scientists will be available in adequate numbers and in appropriate research areas to carry out the Nation's biomedical and behavioral research agenda”

“NIH awards individual postdoctoral fellowships (F32) to promising applicants with the potential to become productive, independent investigators in fields related to the mission of NIH constituent institutes and centers.”

Eligibility U.S. citizen, non-citizen national, or

legal permanent resident No temporary visa holders

Completed doctorate Sponsoring institution and

appropriate sponsor (a.k.a. mentor or supervisor)

2 rules and 1 strong suggestion NO MORE THAN 3 years total post-

doc support from NIH (T32 + F32)* MUST be full-time*

Exceptions require formal waiver, given under extraordinary circumstances only

SHOULD NOT BE where you got your Ph.D.: Be prepared to strongly justify

Stipends “Subsistence allowance” Level depends on number of full

years of experience after doctorate Levels usually updated annually Paid through sponsoring institution

Other benefits Tuition and fees (some limits) Institutional allowance

$5,500/year Research supplies, equipment, health

insurance Other training costs

“Extraordinary” training costs under “exceptional circumstances”

Other ways to get money into your pocket Supplements from your university

Allowed, but strict rules Compensation for services

Allowed, but strict rules Educational loan/G.I. Bill

Fine Concurrent awards

Not if federal

Service payback 1 month of service for each month

of support for first year Second year of post-doc pays pays

back for first year of post-doc

Leave policy Paid vacations, sick leave, and

parental leave all allowed

4 application rules Use the fellowship application form

(PHS 416-1) Applications must include 3 sealed

letters of reference Applications must include detailed

plans about instruction in responsible conduct of research

Check the receipt dates

Who reviews the application Study section at NIH’s Center for

Scientific Review (CSR) Program staff at an Institute (e.g.,

NICHD)

Review criteria MAJOR

Candidate Sponsor and training environment Research Proposal Training potential

MINOR Protection of human subjects from research

risk; inclusion of women, minorities, children; care and care and use of vertebrate animals in research

Candidate Previous academic research

performance Potential to become “important

contributor” to science

Sponsor and Training Environment Quality of training environment Qualifications of mentor for

research training proposed

Research Proposal Merit of scientific proposal Relationship to candidate’s career

plans

Training Potential Value of proposed fellowship vis-à-

vis candidate’s needs in preparing for career as an independent researcher