Friendly Advice for Your First NSF Pre-proposal

It is going to be okay. Very okay.

Let's start with the important information that until last month I, like anyone who needs to read this post, had never applied for, let alone received, US National Science Foundation research funding. Having been out of the US for most of my time since earning my Ph.D., and other extenuating circumstances, kept me from applying to this extremely important source of funds. As with my posts on applying for NIH and ERC funding (which I didn't get), I'm writing this not as an expert, but because most people who write advice on applying for NSF funding are to varying degrees experts, and have been doing it for so long that they have no idea what us newbies might not know. I've never been on an NSF panel, I've never been to NSF, and all my attempts to talk to NSF employees have been unsuccessful. I am, like you, an outsider. So I learned a lot along the way, much of it later than I should have, and I'd like to share some key points. Before we begin, let's take a moment to contemplate this bodacious caterpillar I found in the University of Wisconsin Arboretum last summer:

 

Wow!

Alright, now that you remember that you love science, and brim with important and exciting questions about the world, let's delve.

1. NSF, we can agree, does not have the funds to support more than a small fraction of the grant applications they receive. Other huge governmental funders of science, like NIH, are in a similar situation. (I am assuming here, perhaps in vain, that the US government under El Presidentisimo continues to invest in funding basic research at some meaningful level.) This is a problem not only in terms of almost-everybody-doesn't-get-funded, but in terms of the phenomenal amount of time that scientists squander writing unsuccessful grant applications. In many cases, months of each year are spent applying for funding that is not available. On the flip side, NSF has to harness huge amounts of scientists' time to serve on committees, wading through the reams of applications finding reasons to reject as many of them as possible.

NSF has attempted a partial solution to this problem: the preliminary application. Basically, one starts by writing a short (four pages of text, plus many ancillary documents, including a one page Project Summary) version that has to be approved by a committee before one is invited to submit a full application. Most applicants (about 75%, in the program I'm applying to) only have to write the short version before being rejected, and the committees mostly have to read piles of short applications, with relatively few longer ones coming after that.

2. Writing the preliminary application was honestly not that bad. Several reasons: No budget is required, and many of the ancillary documents that NSF needs before they can fund anyone don't get submitted until your preliminary proposal is approved. More importantly, I have good collaborators, who are in practice writing these things. There is a huge amount to know about NSF specific 'grantsmanship.' When the committee gets to our application, after having already scanned scores of others, they will be both eager to find something really interesting that keeps them awake, and eager to find some reason that the thing can be rejected, so that they can get it over with. They will be looking for key phrases that everyone should have, and possible pitfalls indicated by things only people who have served on these committees (or maybe only that particular committee) know about. In short, it would be tremendously surprising if someone who just had phenomenal scientific ideas but no insider guidance as to the evaluation process ever got funding. I am lucky to have had that guidance; while it means I did a lot of rewriting to try to conform to a culture I've never encountered, it also, hopefully, means we have some chance of being invited to submit a full proposal. If so, that's what I'll be doing this summer, again with about a 20-25% chance of success.

3. As with any funding application, reading past successful applications to the same program is important. Notice not only the language used, the level of methodological detail given, and the structure of the proposal, but also the scope and scale of the proposed science.

4. Write, and revise, the one page Project Summary, and make sure everyone in the project agrees on it, before bothering with the longer Project Description. I made the mistake of drafting the Project Summary, receiving only minimal feedback on it from one of my collaborators, then writing the rest of the grant. By the time I got more extensive feedback from this collaborator, I had only a few days to reconsider the scope of the work being proposed and extensively rewrite. The proposal ended up much better for it, but I could have gotten a lot more sleep if I'd pushed for more feedback after writing just the summary.

5. The whole thing really isn't that much writing. Given that one knows what one is doing, and has good communication with collaborators, a good draft can be banged out in a couple of solid days.

6. In most cases, the one page Summary has to be uploaded as unformatted text, and it takes up more space the way NSF automatically formats it than it would if you or I formatted it according to their rules. I, and a few people I've talked to, ended up hacking down the one page summary very shortly before the deadline when we figured this out.

7. In order to apply, you need an "NSF ID." Looking on the NSF web page, you will find lots of information on retrieving your NSF ID, what to do if you have two NSF IDs, whether NSF ID is the same thing as various other identifiers NSF has used in the past, and so on. You will not find any information about how to get an NSF ID if you don't already have one. If you call NSF to ask how to get one, they will be so confused by you that they won't be able to help you, as if you had called to ask how to breath in before speaking. You just do it, and you must already know how. So I will tell you the secret: somewhere in your university or other approved research organization, there is some individual with the official power to communicate with NSF to get you your very own NSF ID. You will have to find out who that person is and request the NSF ID several days before the application deadline. My collaborator at another university didn't get a reply to his request until a few hours before we submitted, and we were actively discussing what would happen if we had to leave him off the PI list. Don't let that happen to you.

8. Which reminds me of another important point. I was advised to contact the NSF Program Officer for my application when I had a nearly final Project Summary worked up. As mentioned above, that didn't happen until less than a week before the grant deadline, at which point the Project Officers were all swamped by others trying to meet the same deadline. I emailed the Program Officer, and got back a very short email, but never got to talk with her. Finishing your Project Summary early will allow you to get input from your Project Officer.

9. Be smart, work very hard, and have extremely good luck.

A strange sort of consolation

Last year about this time I was working feverishly on a grant application to the National Institute on Aging (NIA), one of the National Institutes of Health. The specific grant I and my collaborators applied for is called an R21 (Exploratory/Developmental); it is sort of a starter grant for people who need money to do the background work to develop the proven methods and concepts you need to apply for their main type of grant, the R01. We submitted the application last winter, and got the fairly positive feedback from the scientific committee in the summer. They ranked it as being in the top 13% of applications in terms of scientific merit. Not wonderful, not terrible. By far the best (I am told) of the R21s reviewed by this particular scientific committee. This roughly means that if they funded 13% of the applications (all R##s combined), we would likely get funded.

In the fall we heard that our application had undergone final administrative review, but we didn't get any yea or nay answer until January, after the grant would have started, when they told us that we wouldn't get the grant this year but please improve a few things that the reviewers complained about and resubmit.

In preparing the application last year, I read a blog post saying that applications for R21s and R03s (another smaller grant) were pretty much a waste of time. The way the review process works, they are in direct competition with R01s, which are by their nature more mature projects, and are given 12 pages instead of 6 to make their case. Less money+less space+less mature project= very small chance of a small payoff was the argument. We decided the type of work we were proposing was exactly what the R21 was intended for, and was exploratory/developmental enough to have little chance at an R01, so we would go ahead and just try to beat the odds. (He may have run out on his last three wives, but surely he'll change for me!)

Even this rather fierce looking hawk wouldn't have gotten an R21

As of the beginning of this year, and as of now, all US federal agencies don't know what their budget for the current year is. What do you do when you don't know if you have money to spend? You don't spend it. So it turns out the NIA funding rate for R03s and R21s for this years is a whopping 0%. Yep, every single application for those types of grants was rejected. Some R01s were funded, but not so many. I try not to think of the absurd amount of time I put into writing my 0% chance of success application. We won't be resubmitting our R21 grant this year, and I don't plan to submit more applications to NIH in the near future. I do hope Congress gets their act together some time soon. There are an awful lot of American scientists in Europe these days.

Friendly advice for your first NIH grant application

I've just submitted my first National Institutes of Health grant application (or rather administrators at my collaborator's university have submitted an application that I wrote most of). In preparing to write it, I read a lot of online advice ranging from the general 'how to write an NIH grant' to the specific 'the clause-structure I use while writing my cover letter for maximizing the chances that it will be sent to my preferred review committee.' People who regularly apply for NIH money refer to NIH funded research as an industry, and like any industry, there is a lot to know to compete successfully. NIH pays or invites some people to write advice on 'good grantsmanship' and many others, for a variety of reasons (perhaps on their blogs) write advice essays. Most of this advice starts with a paragraph or two along the lines of, "I've been conducting NIH funded research since 1982, and am currently involved in seven NIH funded projects, four as PI (Primary Investigator). I've served on 12 review panels and helped to amend the rules on permissible administrative expenditures on research grants in 2002 and again in 2006." And so on. The message is, "I am an expert on NIH funding applications and therefore qualified to advise you." While these people certainly are qualified and anyone planning to apply should read as much of their advice as bearable, there are two points I would like to make about this that they may not have considered. The first is that the way they write their advice, including the way they lay out their qualifications, reads very much like an NIH application. It makes me wonder if becoming expert in these applications makes it hard to write a love letter that isn't in the form of a funding application."Specific Aim 2: Produce a rapid natural release of endorphins, aiding current pleasure, speeding forgetfulness of discomfort and fomenting pair-bonding."

Second, and more seriously, I have the impression that none of these people nor the people writing the instruction books or the FAQs on the NIH websites have any memory of what it is like to not already know how to apply for NIH funding. The instruction book is full of rules that are explained not in terms of what you have to do, but in terms of how what you have to do is different than what it was before the changes to regulation #SF5326BB777. They use all sorts of words that are normal English words but don't mean what they normally mean, without explaining, because however NIH usually uses a word is its normal meaning to them. (This, by the way, is very close to the technical definition of jargon).

So I'd like to offer a few pieces of advice to people considering applying for their first NIH grant. I am not an expert, have never served on (or been invited to serve on) a review panel and may or may not ever have any NIH funding, but when I was a kid my dad worked just a few blocks from NIH headquarters, and I once spilled an incredibly powerful neurotoxin on myself inside an NIH laboratory. Before I start, consider this unrelated photo (of a 2.5 inch long weevil I once found in my hair) that helps to break up the text:

Notice that its sharp mouth parts are at the end of its huge nose. Cool huh?

Okay, here goes:

1. Before doing anything else, ask yourself if you can spare the two or three hundred working hours your first NIH application is likely to take you. If you can't, don't. Subsequent applications may take an order of magnitude less time, but this is going to be a slog.

2. Before doing anything second else, find colleagues who know all about applying for NIH grants and buy them beer, chocolate, whatever it takes. Wash their cars, baby-sit their kids, fix their refrigerators, do their laundry. This will save you so much time. If you are very lucky your department/institute/whatever may even have someone whose job includes guiding you through the process. If so, flowers and a gift-certificate to a nearby spa are in order. If you can by any means obtain copies of past successful grants to use as Rosetta Stones in figuring out what the instructions mean, then you have some chance of retaining your sanity.

3. Next, find out who is your SO (Signing Officer, an administrator officially authorized to sign legal documents on behalf of your organization). You don't submit the grant, the SO does. She also has to do various other registration tasks, meaning that they need to know that you will apply several weeks before you actually do. If you just found out that the deadline is in three weeks, relax. There will be another deadline some months in the future, and by then you may have found some other way to fund your work. The SO will need all the forms you are to prepare at least a week before the official due date, as there are a whole bunch of other forms they have to fill out seperately.

4. Don't panic. Download the 264 page instruction book (a.k.a. "SF424 (R&R)

Application Guide for NIH and Other PHS Agencies"). Here is a picture of a moorhen to help you not panic as you download:

Can you see how long its toes are? Fricken' long. Imagine soaking your extra-long toes in a nice summer pond.

5. Do not print out the instruction book. It is 264 pages. You will need to constantly jump from section to section to hunt down the clues and riddles needed to fill out each of the approximately 30 forms you will complete. Keep it digital so you can search for relevant terms.

6. Do print out this glossary of NIH terms. Then read it. Then read it again to see if you understand it any better. Keep in mind that while necessary, this glossary is wildly incomplete, because NIH people can't guess what terms non-NIH people won't understand. Also keep in mind that when they use a term to define itself, they mean well.

7. The National Institutes of Health are called "Institutes" because they have quite a few different topic-specific Institutes, plus a bunch of Centers and several Divisions. You are supposed to know which of these is most likely to be interested in funding your work, contact the appropriate PO (program officer) and pitch it to them before then writing in your cover letter than you contacted that PO and she encouraged you to apply to that Institute, Center or Division. There are very detailed guidelines you should follow in writing to that PO. You are supposed to already know which PO within the appropriate branch is the appropriate PO. The only way I found of finding this out was to spend countless hours on the NIH web pages learning about the structure of NIH, then countless more hours reading those pages before making a wild (and wrong) guess. Luckily the person I wrote to (who wasn't even at the Institute I thought she was at) directed me to another person, who told me that I was heading the wrong way. Eventually I made a decision.

8. Go through the instruction book and make a list of all the forms and attachments you will need. Depending on the specifics, there could be anywhere from 15 to infinity of them. On your list, make notes as to the purpose of each form and what is an attachment to which extension to which sub-form. Also note which parts you have to do and which parts the SO has to do, and then confirm this with the SO. Then look at these pieces in the pile of example applications you've gathered.

9. Don't plan any vacations for before the due date. Plan a vacation for after the due date.

10. You may notice that I have not yet mentioned anything about science. At least once a week, think about the scientific goal of your application. It is very easy to lose track of the fact that there is some reason you are putting yourself through this.

news

First the bad news:
I will not get the grant. The interview went well, but the Human Sciences committee included no one with knowledge of my field (either of my fields, really), and my claims that no one else is focusing on this important topic, while true, were not entirely believed. Out of >60 applicants, I am told they interviewed 10 and will fund three.

Second, the good news:
I have been encouraged to apply for a nearly identical grant in the Biology section, deadline this Monday. If I don’t get that, I have been generously offered enough funds to recruit a couple of grad students and a post-doc, while keeping my current position. So one way or another I will have a research group, although not necessarily one as well funded or official as I would have had.

Public Science

The government, in its many forms, funds a large portion of academic science. This has given many people the idea that taxpayers should have access to the output of that science. But in many cases the output is a publication in a subscription journal, which non-subscribers don't have digital access to. Somebody up and said, "Hey, we paid for that research, we want access to it." So NIH has reached understandings with many of the corporations that publish scientific journals saying that if an author was funded by the NIH while working on any part of a paper, the journal has to make that article free to the public, even if the rest of the journal is subscription only.

This works out great for me. My fellowship is through National Institute on Aging, part of NIH. So any journal article I publish while I am on fellowship, or based on data I gathered while on fellowship, can't be hidden from the eyes of non-subscribers.

Writing to the audience

One of the most basic pragmatic points of writing is tailoring the language one uses to one's intended audience. I would use different words in a text book for first graders than in a paper sent to a scientific journal, even if the exact same concept was being communicated. I have to estimate the assumptions, interests, background knowledge, tolerance for jargon and a host of other parameters about my readers in order to write in the most useful voice and tone.

This becomes a problem when I don't know who my audience is. I am applying for a DAAD research grant, and while I know I need to submit four copies of my proposal, I have no information on the four people who will be reviewing it. They may be four evolutionary biologists, in which case I would like to write a fairly detailed and technical proposal, using all the appropriate terminology, so as to show that I know my topic and have detailed plans. They may be four non-biologists, but still natural scientists. They may be social-scientists, or a mix of academics from all fields. They may be (although I doubt it) four German first-graders, in which case I would write a very different proposal. But as I don't know who they are, I have been trying to write a proposal which is appropriate to all of these groups, and finding it nearly impossible. How does one write an audience-neutral grant application?