GRANTS 101:GRANTS 101:

Everything you want to Everything you want to know about the NIH grants know about the NIH grants process but are afraid to process but are afraid to

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David Armstrong, Ph.D. Chief, Scientific Review Branch, NIMH

DEPARTMEN

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UM AN SE RV I CE S U SA

Take-Home MessageTake-Home Message

CommunicateCommunicate with NIH staffwith NIH staff with investigatorswith investigators with institutional administratorswith institutional administrators

http://www.nih.govhttp://www.nih.gov

National Institutes of HealthNational Institutes of Health

Much of the Much of the biomedical research biomedical research in the United States in the United States is supported by the is supported by the Federal Federal Government, Government, primarily the primarily the National Institutes National Institutes of Health (NIH)of Health (NIH)

FY 2005 Funding By Mechanism (dollars in billions)

Spending at NIH $4.7

Spending Outside NIH $24.1

Total budget$28.8 billion 16% supports

6,000 NIH scientists

84% supports212,000 scientists At over 3,000 UniversitiesAnd Institutes

Finding Your Way at NIHFinding Your Way at NIH

Comprised of 27 Comprised of 27 Institutes and Institutes and CentersCenters

Similar in some Similar in some ways, but not allways, but not all

Each has its own Each has its own mission, budget, mission, budget, activities, activities, priorities, and ways priorities, and ways of doing thingsof doing things..

A Typical Institute/Center

Office of the ICDirectorNational

AdvisoryCouncil

Board ofScientific

Counselors

Extramural Intramural

LaboratoryStudies

ClinicalStudiesReviewProgram

Grants

Manage-ment

What is the Mission of NIMH?What is the Mission of NIMH?

NIMH’s Mission is to reduce the burden of mental illnessand behavioral disorders through research on mind, brainbehavior.

■ Through the support and conduct of research on mental disorders and the underlying basic science of brain and behavior

Ensuring rapid and effective dissemination and use of research results to improve prevention, intervention, treatment, and policy

Multidisciplinary Research at NIMH Multidisciplinary Research at NIMH

is Supportedis Supported

PsychologistsPsychologistsPsychiatristsPsychiatristsNeuroscientistsNeuroscientistsEpidemiologistsEpidemiologistsPhysician Physician

ScientistsScientistsAnthropologists Anthropologists Social WorkersSocial WorkersSociologistsSociologistsNursesNursesNutritionistsNutritionistsNeurologists Neurologists

and more!and more!

How do we set priorities?How do we set priorities?

■ Relevance – what do we need?

■ Traction – where are the opportunities?

■ Innovation – what is new?

Relevance +Traction + Innovation = IMPACT

Overall Peer Review Overall Peer Review ProcessProcess

What, Who, WhenWhat, Who, When What is the application What is the application

process?process? Who is the right person Who is the right person

to contact?to contact? When should I contact When should I contact

someone?someone?

Dual Review System for Grant Applications

First level of reviewScientific Review Group - Provides initial scientific merit review of grant applications - Rates applications and makes recommendations concerning level of support and duration of award

Second level of review

Council - Makes recommendations to IC staff concerning funding - Evaluates program priorities and relevance - Advises on policy

WOW! What a great idea

The NIH Grant Process

Investigator initiated research is coreto the NIH grant process

Preparation of the ApplicationPreparation of the Application

Who at your home institution can help youWho at your home institution can help you Other investigatorsOther investigators Institutional Officials/AdministratorsInstitutional Officials/Administrators

Who at NIH can help youWho at NIH can help you Project Officer/Program ChiefProject Officer/Program Chief Scientific Review Administrator (SRA)Scientific Review Administrator (SRA) Grants Management Specialist/OfficerGrants Management Specialist/Officer

Who/What is a Project Who/What is a Project Officer/Program Chief?Officer/Program Chief?

Project Officer/Program Chief Project Officer/Program Chief is a scientist is a scientist andand administrator administrator manages grants, contracts, manages grants, contracts,

cooperative agreementscooperative agreements identifies needs in scientific identifies needs in scientific

areasareas identifies scientific areas of identifies scientific areas of

special interest and special interest and communicates interestcommunicates interest

monitors scientific progress monitors scientific progress and reports program and reports program accomplishmentsaccomplishments

advocates for the best scienceadvocates for the best science

Who/What is a Scientific Who/What is a Scientific Review Administrator?Review Administrator?

Scientific Review AdministratorScientific Review Administrator is a scientist is a scientist andand administrator administrator manages the review of grants, manages the review of grants,

contracts, cooperative agreementscontracts, cooperative agreements appoints members to initial review appoints members to initial review

groups/study sections/special groups/study sections/special emphasis panelsemphasis panels

responds to questions about review responds to questions about review at Advisory Councils and Board at Advisory Councils and Board meetingsmeetings

prepares summary statements prepares summary statements reflecting IRG recommendationsreflecting IRG recommendations

if Referral Officer, refers applications if Referral Officer, refers applications to study section for review and to to study section for review and to Institute for acceptance into programInstitute for acceptance into program

January/FebruaryJune/July

October/November

The NIH Grant Process (cont)

SF424

Writing a grantapplication can be

very time consuming

Preparation of the ApplicationPreparation of the Application Help from other investigatorsHelp from other investigators

Discuss ideas, critique applicationDiscuss ideas, critique application Discuss their experience w/ the NIH Discuss their experience w/ the NIH

application processapplication process Help from Institutional Help from Institutional

Officials/AdministratorsOfficials/Administrators Register for eRA Commons for electronic Register for eRA Commons for electronic

submissionsubmission Prepare budgetPrepare budget Identify sources of funding in addition to Identify sources of funding in addition to

NIHNIH Identify electronic sources of informationIdentify electronic sources of information

Preparation of the ApplicationPreparation of the Application

Help from NIH Project Help from NIH Project Officer/Program ChiefOfficer/Program Chief Discuss science/proposed Discuss science/proposed

projectproject Discuss NIH Institute’s Discuss NIH Institute’s

degree of interest in degree of interest in proposed projectproposed project

Discuss application and Discuss application and review processreview process

Discuss funding mechanismsDiscuss funding mechanisms

Preparation of the ApplicationPreparation of the Application Key Questions for Prospective Key Questions for Prospective

InvestigatorInvestigator

1. What do you intend to do?1. What do you intend to do?

2. Why is the work important?2. Why is the work important?

3. What has already been done?3. What has already been done?

4. How are you going to do the 4. How are you going to do the work?work?

Preparation of the ApplicationPreparation of the Application Develop your ideaDevelop your idea

Survey the literatureSurvey the literature Contact Investigators working on Contact Investigators working on

topictopic Prepare a brief concept paperPrepare a brief concept paper Discuss with colleagues/mentorsDiscuss with colleagues/mentors

Prepare to do the projectPrepare to do the project Develop preliminary dataDevelop preliminary data Present to Present to

colleagues/mentors/studentscolleagues/mentors/students

Preparation of the ApplicationPreparation of the Application

What makes a successful application?What makes a successful application? Significance (Does the study address an Significance (Does the study address an

important problem?)important problem?) Approach (conceptual framework, Approach (conceptual framework,

design, methods, analyses, problems design, methods, analyses, problems and alternatives)and alternatives)

Innovation (Is the project original and Innovation (Is the project original and innovative?)innovative?)

Investigators (training, suitability for Investigators (training, suitability for project)project)

Environment (unique features, Environment (unique features, collaborations, institutional support)collaborations, institutional support)

The NIH Grant Process (cont)

Center for Scientific Review receiving center

Soon all grant applicationswill be received electronically

Submission Website at:http://era.nih.gov/ElectronicReceipt

The Future: Electronic Research The Future: Electronic Research Administration (eRA)Administration (eRA)

NIH’s vision for the 21NIH’s vision for the 21stst century. century. Infrastructure for conducting interactive Infrastructure for conducting interactive

electronic transactions for the receipt, electronic transactions for the receipt, review, monitoring, and administration of review, monitoring, and administration of NIH grant awards.NIH grant awards.

Integrates the external system, Integrates the external system, NIH eRANIH eRA Commons and the internal system, Commons and the internal system, IMPAC IIIMPAC II..

https://commons.era.nih.gov/commons/index.jsp https://commons.era.nih.gov/commons/index.jsp

What is Grants.gov?What is Grants.gov?

The Federal government’s single, online portal for any person, business, or State, Local and Tribal government to to electronically:electronically: Find Grant Opportunities Apply for Grants

A cross-agency initiative involving 900 grant programs 26 grant-making agencies Over $350 billion in annual awards

Why transition? It’s the law…Why transition? It’s the law…

Public Law (PL) 106-107 Federal Financial Assistance Management

Improvement Act of 1999 Improve the effectiveness and

performance of Federal financial assistance programs

Simplify Federal financial assistance application and reporting requirements

Improve the delivery of services to the public

Preparing for Submission –Preparing for Submission –RegistrationRegistration

Grants.gov Applicant institutions must complete one time

only registration Good for electronic submission to all Federal

agencies Detailed instructions at:

http://grants.gov/GetStarted Grants.gov registration requires institutions to:

Obtain a Data Universal Numbering System (DUNS) number

Register in Central Contractor Registry (CCR)

Registration not required to find funding opportunity or download application package, only to submit completed application

Preparing for Submission Preparing for Submission ––Registration (cont)Registration (cont)

It is critical for institutions to begin this registration process at least 4 weeks before applications are due!

eRA Commons■ PI’s must work through their

institutions to register■ Applicant institutions must

complete one-time only registration

■ PI’s currently registered only for IAR must work through their institutions for full Commons registration

The NIH Grant Process (cont)

1 R01 MH 123456 01 A1

NewApplication

Individual Research Grant

Institute

Serial number

GrantSupport Year

Amended

CSR’s x-ray security facility

The NIH Grant Process (cont)

Scientific Review Administrator Reviewe

r

Just ten more reviewers to recruit and the roster is complete.

Just 5 morereviewers torecruit

Criteria for Selection of Peer Reviewers

■ Demonstrated Scientific Expertise■ Doctoral Degree or Equivalent■ Mature Judgment ■ Work Effectively in a Group Context■ Breadth of Perspective■ Impartiality■ Interest in Serving■ Adequate Representation of Women

and Minority Scientists

The NIH Grant Process (cont)

Critique IAR

Finished!This is hardwork.

The NIH Grant Process (cont)

Score (100-500)Human subject concernsInclusion criteriaVertebrate animal concernsBudget

First level of review

Confidentiality

■ Review materials and proceedings of review meetings represent privileged information to be used only by consultants and NIH staff.

■ At the conclusion of each meeting, consultants will be asked to destroy or return all review-related material.

■ Consultants should not discuss review proceedings with anyone except the SRA.

■ Questions concerning review proceedings should be referred to the SRA.

The NIH Grant Process (cont)

Summary statement eRA

Scientific Review Administrator

Summary StatementSummary Statement

Overall resume and summary of discussionOverall resume and summary of discussion Essentially unedited critiquesEssentially unedited critiques Priority score and percentile rankingPriority score and percentile ranking Budget recommendationsBudget recommendations Administrative NotesAdministrative Notes Animal/Human Subjects ConcernsAnimal/Human Subjects Concerns Concerns about Gender, Minority, Child Concerns about Gender, Minority, Child

InclusionInclusion

The NIH Grant Process (cont)

Second level of reviewNational Advisory Mental Health Council

Wow a166 – WillI get paid?

Yippee!! Now I only have to worryabout gettingtenure.

When Preparing an ApplicationWhen Preparing an Application

Never assume that reviewers “will know what Never assume that reviewers “will know what you mean”you mean”

Refer to literature thoroughly Refer to literature thoroughly State rationale of proposed investigationState rationale of proposed investigation Read instructionsRead instructions Include well-designed tables and figuresInclude well-designed tables and figures Present an organized, lucid write-upPresent an organized, lucid write-up Obtain pre-review from faculty at your Obtain pre-review from faculty at your

institutioninstitution

Common Problems in Common Problems in ApplicationsApplications

Lack of new or original ideasLack of new or original ideas Absence of an acceptable scientific rationaleAbsence of an acceptable scientific rationale Lack of experience in the essential methodologyLack of experience in the essential methodology Questionable reasoning in experimental Questionable reasoning in experimental

approachapproach Uncritical approachUncritical approach Diffuse, superficial, or unfocused research planDiffuse, superficial, or unfocused research plan Lack of sufficient experimental detailLack of sufficient experimental detail Lack of knowledge of published relevant workLack of knowledge of published relevant work Unrealistically large amount of workUnrealistically large amount of work Uncertainty concerning future directionsUncertainty concerning future directions