Grant Reviewers' Perspectives and Expectations

1. What Do Grant Reviewers Really Want, Anyway? Robert Porter, Ph. D. Proposal Development Team University of Tennessee www.research.utk.edu reporter@utk.edu VG G E F

2. Provide insights into the perspectives of grant reviewers - Needs and expectations - Likes and dislikes - Recommendations to grant writers Help Research Administrators with proposal development responsibilities to coach PIs more effectively Workshop objectives

3. Overview of grant review processes at NSF and NIH - Proposal volumes - Number of reviewers - Awards and success rates - Review processes Summary of reviewer research findings - Key expectations - Characterizations of strong proposals - Common grant writing mistakes - Lessons learned - Impact on grant writing - Advice to proposal writers Topics

4. NSF Overview An independent Federal agency Funds research and education in most fields of science and engineering Annual budget: ~ $7 billion; Receives 55 - 65,000 proposals each year Proposal success rates have leveled off at 23-25% in recent years

5. Number serving on panels: 15,500 Mail reviewers : 30,500 Serving on both: - 4,200 Total: 41,800 1 st time reviewers : 9,400 NSF Reviewers (2010)

7. What is the intellectual merit of the proposed activity? What are the broader impacts of the proposed activity? Program specific criteria may be listed in the program announcement General NSF Review Criteria

8. 1) How important is the proposed activity to advancing knowledge and understanding within its own field or across different fields? * 2) How well qualified is the proposer to conduct the project? 3) To what extent does the proposed activity explore creative, original, or potentially transformative concepts ? 4) How well conceived and organized is the proposed activity? 5) Is there sufficient access to necessary resources ? Intellectual Merit 5 strands *Strongest emphasis in new definition

9. 1. What may be the benefits of the proposed research to society ? * 2. How well does the activity advance discovery and understanding while promoting teaching, training and learning ? ** 3. How well does the proposed activity broaden the participation of women and underrepresented groups ? (Diversity) 4. To what extent will it enhance the infrastructure for research and education , such as facilities, instrumentation, networksand partnerships? 5. Will the results be disseminated broadly to enhance scientific and technological understanding ? Broader Impacts 5 strands *New emphasis in 2013 **Integration of education with research required of all NSF proposals!

10. NSF: Possible rankings by reviewers Remember: Only those proposalswith a majority of Excellents are likely to be funded; POS have some flexibility VG G E F Excellent Very Good Good (not good!) Fair Poor Individual rankings : Panel recommendation : HIGH PRIORITY MEDIUM PRIORITY LOW PRIORITY DO NOT FUND

11. NSF: Awards: 13,000 Declines: 43,000

12. Directorate New Awards Funding Rate Median Annual Award Mathematical And Physical Sciences 2,669 28% $115,000 Social, Behavioral & Economic Sciences 1,257 22% $101,000 Computer & Info Science & Eng 1,586 24% $150,000 Geosciences 1,686 35% $124,000 Engineering 2,375 18% $100,000 Biological Sciences 1,556 19% $172,000 Education & Human Resources 930 18% $147,331 Proposal Success Rates by Directorate: FY2010 Average NSF success rate (2010): 23%

13. NIH Mission To acquire new knowledge to help prevent, detect, diagnose, and treat disease and disability, from the rarest genetic disorder to the common cold.

14. A Collection of Institutes: (DHHS > PHS > NIH) National Cancer Institute (NCI) National Institute of Aging (NIA) National Institute on Drug Abuse (NIDA) National Heart, Lung and Blood Institute (NHLBI) National Human Genome Research Institute (NHGRI) National Institute of Environmental Health Sciences (NIEHS) National Institute of Allergies and Infectious Diseases (NIAID) National Institute of Neurological Disorders and Stroke (NINDS) National Institute of Biomedial Imaging and Bioengineering (NIBIB) National Institute of Arthritis and Musculoskeletal and Skin Diseases (NIAMS) National Institute on Deafness and Other Communication Disorders (NIDCD) National Center for Complementary and Alternative Medicine (NCCAM) National Institute of Child Health & Human Development (NICHD) National Institute of Dental and Craniofacial Research (NIDCR) National Institute of Alcohol Abuse and Alcoholism (NIAAA) National Institute of General Medical Diseases (NIGMS) National Institute of Mental Health (NIMH) National Library of Medicine (NLM) National Eye Institute (NEI) (and several more!)

15. NIH FY 2013 Budget $31 Billion Research Project Grants 55% $17 billion Training 3%

16. NIH Funding Priorities Number of people who have a disease Number of deaths caused by a disease Degree of disability produced by a disease Degree to which a disease cuts short a life Economic and social costs of a disease Need to act rapidly to control spread of a disease Lesson: Cite data to quantify impact of disease on health, society and the economy

17. Number of Reviewers 1999 - 2008

18. Proposal Success Rates 1998 - 2013

19. If GO... Read the SF424 Application Guide carefully Contact the Research Office; establish working relationship Be prepared to address 5 traditional NIH review criteria - Significance : ability of project to improve health - Approach : feasibility of methods & budget - Innovation : originality of your approach* - Investigator : qualifications and experience of investigator(s) - Environment : suitability of facilities, equipment & institutional support Plus the NEW criterion: IMPACT ! *NB: too much innovation can be risky

20. Peer Review: New Scoring System Old 1 to 5 scale replaced by a 9-point scale (1 = Exceptional and 9 = Poor) Most important new score will be the final IMPACT rating: (1 to 9) Ratings will be in whole #s only; no decimals Reviewers will also provide numerical ratings for each of five traditional NIH criteria: - Significance - Investigator(s) - Innovation - Approach - Environment

21. New Scoring System, contd Preliminary score: Reviewers send in their scores for the 5 present traditional criteria, plus the final IMPACT score Note: Impact score is an independent rating, not an average of the 5! Applications in the lower half are less competitive, and will N ot be D iscussed PIs of ND proposals WILL receive all scores from individual reviewers, but no overall IMPACT score After discussing competitive proposals, reviewers may change their scores Reviewer scores are averaged, x 10, for a range of 10 90 Average IMPACT scores are then percentiled for final ranking to determine funding order

22. New Scoring System, contd Definition of 9 point scale:

23. NIH Study Section Video www.csr.nih.gov/

24. Survey: Fairness of NIH Peer Review (2013)

25. Profile of Reviewers Interviewed: 16 Senior faculty at Virginia Tech; 10 men, 6 women 12 full professors (2 Associate Deans for Research); 4 associate professors Disciplines: Physical Sciences and Engineering, Social and Behavioral Average number of review panels served: 10 Top funding agencies: NSF, NIH, USDA, DoD Average awards earned in five years: 8.3 (1999 2004) Average dollars awarded : $2.2 million What Do Grant Reviewers Really Want, Anyway?

26. 1. Learning the ropes in order to write better proposals To see how the game is played To pick up on what reviewers like and dont like 2. Service to science I benefitted from this process and felt I had to give back. This was a way I could contribute to the high quality review process at NIH. 3. Keeping current: A good way to keep up with the discipline and learn about future directions. 4. Professional networking: Building a network of professional contact with peers and program managers at sponsor agencies Reviewers motivation: Why volunteer so much time? Answers:

27. Receive anywhere from 20 to 100 proposals (~2 weeks ahead) Assigned as primary or secondary reviewer on 6 to 8 (written reviews required) Average 35 hours reading and writing (range 15 to 60) While most said they were prepared themselves, writing up to the last minute not uncommon: Preparation for panel meeting We spend the first hour standing around drinking coffee while these folks are still pecking away at their keyboards.

28. Also look for: a) Writing that is clear and concise (concise being most common descriptor) b) Interesting, innovative ideas that will contribute to the field c) Solid preliminary data showing the approach has promise d) A crisp, specific project description with a well thought out research plan e) Evidence that the PI is well qualified to do the research Note: First impressions are critical: The abstract must sell the grant. If I dont get interested by the first page, the proposal is lost. Big picture must be compelling: I get to the gestalt, the big picture first. If I like it, then Ill go on to the details. If I dont, Im done reading. Reviewer expectations at first reading: Strong consensus: They want to learn very quickly what the project is all about and whether it fits program objectives.

29. a) Document is neat, well organized and easy to read; b) A good fit; shows how project will achieve program goals; c) Provides fresh insight into an important problem; d) Writing communicates enthusiasm and commitment; e) Evidence the PI knows the field; f) Convincing preliminary data; g) Feasible work plan with appropriate budget What are the characteristics of a good proposal?

30. To generate interest and enthusiasm to match the writers: You want the feeling This is really great, this study has to be done. Its like a fire in the belly, or knocking your socks off. It makes you want to say, Darn, I wish I had thought of this! Should be a good learning experience: The best proposals teach. Proposal must speak to the reviewer:

31. Most common: Inappropriate writing style: - Vague and unfocused :Takes me too long to figure out what they want to do - Dense academic prose : Written like a journal paper - Verbosity: Small fonts and crowded margins Other mistakes: a) Incomplete response to the program solicitation; b) Writer does not understand state of the art; c) Project too ambitious, global in scope; d) Research plan is vague (Trust me syndrome); e) PI lacks proven competence to do the research Special annoyance: Sloppiness, lack of proofreading! Common proposal writers mistakes:

32. While disgruntled PIs sometimes accuse panels of being biased: Reviewers rate objectivity highly: Bias seen as nil or nonexistent System isnt perfect, but its the fairest one possible. Panel dynamics are democratic and self-correcting Very difficult for any one person or group to dominate BUT: Occasionally there is some favoritism to senior researcher based on past record (funding on the come) Objectivity of review panels:

33. Other improved skills : a) A simpler, livelier writing style b) Key points laid out very early c) Clear organization with frequent section headings d) Use of more visual illustrations Impact of Review Panel Experience on Grant Writing: Consensus: Service on review panels dramatically improves proposal writing You learn to put the reviewers hat on. You know what the panel is looking for; you can hear their discussion in your head while youre writing. I used to write to a peer; now I write to a committee. And I make it easy to read!

34. 1. Communicate with grant program officers before deciding to write; establish a relationship. 2. Study, study, study the program call. 3. Make your proposal easy to read. 4. Start much earlier than you think you have to. 5. Make sure you know whats already been done. 6. Write in an accessible way that can be understood by a diverse group. 7. Dont take rejection personally. 8. Get in the habit of resubmitting. Reviewers advice to proposal writers:

35. Peer review strengths: System epitomizes democratic self-determination (Researchers chart their own future direction) Panels are diverse, assuring a good cross section of ideas Despite weaknesses, still best means to preserve scientific integrity Summing up The research community decides its own fate by determining what good science is.

36. Peer review weaknesses: Strongly opinionated panelist can exert undue influence on group Veto effect: Just one less than enthusiastic comment by a discussion leader can doom a proposal Workloads can be heavy; hard to give a fair hearing to large number of proposals in single batch Gender tax: Women especially pressured to participate more often Splitting hairs: With intensifying competition, many decisions based on minor qualities Incrementalism: Panels stay safe, too often shy away from more daring ideas Summing up (contd)

37. Summing up (contd) Final recommendations from reviewers: Allow more time for panel meetings Find ways to recruit more reviewers, lighten work load Allocate more money to exploratory, high risk work

38. Some good news NIH has: Reduced maximum proposal page lengths by half Introduced more flexible scoring for New and Early Stage investigators Required reviewers to provide written feedback to all PIs on five major review criteria NSF has: Placed increasing emphasis on transformational potential in its review process Implemented RAPID and EAGER awards Recently: