WRITING DISSERTATION AND GRANT PROPOSALSEpidemiology, Preventive Medicine and Biostatistics

WRITING DISSERTATION AND GRANT PROPOSALSEpidemiology, Preventive Medicine and Biostatistics

Lisa Chasan-TaberUniversity of Massachusetts

Amherst, USA

CRC PressTaylor & Francis Group6000 Broken Sound Parkway NW, Suite 300Boca Raton, FL 33487-2742

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Library of Congress Cataloging‑in‑Publication Data

Chasan-Taber, Lisa.Writing dissertation and grant proposals : epidemiology, preventive medicine and biostatistics /

Lisa Chasan-Taber.pages cm

Summary: “The scientific proposal-writing process can be a daunting experience for graduate students and young researchers. This book covers all aspects of the process, from structure and style to obtaining research grant funding. Organized much like a research proposal, the book covers identifying a research topic, drafting a hypothesis, conducting a literature review, describing methods for data collection and analysis, and presenting the proposal. The final section describes strategies for putting together a winning NIH proposal and responding to reviewer comments. Concepts are illustrated with examples, applications, exercises, and checklists of guidelines”-- Provided by publisher.

Includes bibliographical references and index.ISBN 978-1-4665-1206-1 (paperback)1. Proposal writing in medicine. 2. Epidemiology--Research grants. 3. Public health--Statistical

services--Research grants. 4. Proposal writing for grants. I. Title.

R853.P75C48 2014808.06’661--dc23 2014001359

Visit the Taylor & Francis Web site athttp://www.taylorandfrancis.com

and the CRC Press Web site athttp://www.crcpress.com

v

Contents

Preface xxiAuthor xxiii

1 TenTopTipsforSuccessfulProposalWriting 11.1 Tip#1:StartEarly 11.2 Tip#2:CreateaVisionwiththeHelpofaMentor 21.3 Tip#3:LookatWhoandWhatTheyFundedbeforeYou 31.4 Tip#4:SpendHalfYourTimeontheAbstractandSpecificAims 41.5 Tip#5:ShowThatYouCanPullItOff 61.6 Tip#6:YourMethodsShouldMatchYourAimsandViceVersa 71.7 Tip#7:AProposalCanNeverHaveTooManyFiguresorTables 81.8 Tip#8:SeekExternalReviewPriortoSubmission 91.9 Tip#9:BeKindtoYourReviewers 101.10 Tip#10:IfatAllPossible,ChooseaTopicThatYouFindInteresting! 11

ParTone PreparingtoWritetheProposal 13

2 StartingaDissertationProposal 152.1 PurposeoftheDissertation 152.2 PurposeoftheDissertationProposal 162.3 Step#1:PreliminaryQualifyingExams 162.4 Step#2:Selectinga DissertationTopic 17

2.4.1 AscertainIfOriginalDataCollectionIsRequired 182.4.2 PepTalk 19

2.5 Step#3:ChoosingaChair 192.6 Step#4:ChoosingtheDissertationCommitteeMembers 19

2.6.1 RoleoftheDissertationCommittee 212.6.2 BalanceofResponsibilitiesbetweentheDissertationChair

andtheDissertationCommittee 222.7 Step#5:WritingtheDissertationProposal 22

2.7.1 StructureoftheDissertationProposal 222.7.2 DissertationProposalasaContract 232.7.3 FormatoftheDissertationProposal 23

2.8 Step#6:ProposalDefense 242.9 Step#7:SubmissionoftheProposaltotheGraduateSchool 252.10 Step#8:ConducttheDissertationResearch 252.11 Step#9:DissertationDefense 252.12 Step#10:SubmittheDissertationtotheGraduateSchool 26

vi Contents

2.13 SuggestedTimeline 262.14 Examples 27

2.14.1 Preproposalfora3-PaperModel 272.14.2 DissertationProposalOutline 29

3 HowtoDevelopandWriteHypotheses 313.1 NeedforHypotheses 313.2 MoreabouttheDistinctionbetweenHypothesesand

Specific Aims 323.3 HypothesesShouldFlowLogicallyfromtheBackgroundand

SignificanceSection 333.4 HowtoWriteHypothesesIfthePriorLiteratureIsConflicting 343.5 Guideline#1:AResearchHypothesisShouldNamethe

IndependentandDependentVariablesandIndicatetheTypeofRelationshipExpectedbetweenThem 35

3.6 Guideline#2:AHypothesisShouldNametheExposurePriortotheOutcome 36

3.7 Guideline#3:TheComparisonGroupShouldBeStated 373.8 Guideline#4:WhenYourStudyIsLimitedtoaParticular

Population,ReferencetothePopulationShouldBeMadeintheHypothesis 38

3.9 Guideline#5:HypothesesShouldBeasConciseasPossibleandUseMeasureableTerms 39

3.10 Guideline#6:AvoidMakingPreciseStatisticalPredictionsinaHypothesis 40

3.11 Guideline#7:AHypothesisShouldIndicateWhatWillActuallyBeStudied—NotthePossibleImplicationsoftheStudyorValueJudgmentsoftheAuthor 41

3.12 StylisticTip#1:WhenaNumberofRelatedHypothesesAretoBeStated,ConsiderPresentingTheminaNumberedorLetteredList 42

3.13 StylisticTip#2:BecauseMostHypothesesDealwiththeBehaviorofGroups,PluralFormsShouldUsuallyBeUsed 43

3.14 StylisticTip#3:AvoidUsingtheWordsSignificantorSignificanceinaHypothesis 43

3.15 StylisticTip#4:AvoidUsingtheWordProveinaHypothesis 443.16 StylisticTip#5:AvoidUsingTwoDifferentTermstoRefertothe

SameVariableinaHypothesis 453.17 StylisticTip#6:RemoveAnyUnnecessaryWords 463.18 StylisticTip#7:HypothesesMayBeWrittenasResearch

Questions—ButUseCaution 473.19 HypothesisWritingChecklist 47

4 ConductingtheLiteratureSearch 494.1 HowDoLiteratureReviewsforGrantProposalsDifferfrom

LiteratureReviewsinJournalArticlesorinDissertationProposals? 504.2 WritingaLiteratureReviewIsanIterativeProcess 51

Contents vii

4.3 Step#1:CreatingaLiteratureReviewOutline 514.4 Step#2:SearchingforLiterature(Do’sandDon’ts) 52

4.4.1 ChoosingaRelevantDatabase 534.4.2 WhatTypeofLiteraturetoCollectforEachSectionofthe

LiteratureReviewOutline 534.4.2.1 a.Introduction:publichealthimpactofoutcome

(disease) 534.4.2.2 b.Physiologyofexposure–outcomerelationship 544.4.2.3 c.Epidemiologyofexposure–outcomerelationship 54

4.4.3 ShouldYouCollectEpidemiologicLiteratureThatOnlySecondarilyEvaluatedYourExposure–OutcomeRelationship? 55

4.4.4 CollectingLiteratureforanEffectModificationHypothesis 564.4.5 WhattoDoWhenYourSearchYieldsThousandsofHits 574.4.6 WhattoDoIfThereAreTooFewHits 584.4.7 HowtoRetrieveArticles(Hits) 594.4.8 HowtoScanArticlesforRelevance 594.4.9 EvaluatingYourReferencesforCompleteness 59

4.5 Step#3:OrganizingtheEpidemiologicLiterature—SummaryTables 604.5.1 WhatDataShouldIIncludeinaSummaryTable? 604.5.2 ReviewingtheTabletoIdentifyResearchGaps 624.5.3 ShouldIIncludetheSummaryTableinMyProposal? 63

4.6 Examples 644.6.1 Example#1 644.6.2 Example#2 644.6.3 Example#3 65

5 ScientificWriting 695.1 Tip#1:ConsiderYourAudience 695.2 Tip#2:AvoidUsingtheFirst-PersonSingular 705.3 Tip#3:UsetheActiveVoice 705.4 Tip#4:UseTransitionstoHelpTraceYourArgument 715.5 Tip#5:AvoidDirectQuotationsBothattheBeginningandwithin

theLiteratureReview 725.6 Tip#6:AvoidSayingThe AuthorsConcluded… 735.7 Tip#7:OmitNeedlessWords 745.8 Tip#8:AvoidProfessionalJargon 755.9 Tip#9:AvoidUsingSynonymsforRecurringWords 765.10 Tip#10:UsethePositiveForm 775.11 Tip#11:PlaceLatinAbbreviationsinParentheses;ElsewhereUse

EnglishTranslations 775.12 Tip#12:SpellOutAcronymsWhenFirstUsed;KeepTheirUseto

aMinimum 785.13 Tip#13:AvoidtheUseofContractions 785.14 Tip#14:SpellOutNumbersattheBeginningofaSentence 795.15 Tip#15:PlacementofReferences 795.16 StriveforaUser-FriendlyDraft 80

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5.17 TakeAdvantageofWritingAssistancePrograms 815.18 SolicitEarlyInformalFeedbackonYourProposal 815.19 WhoMustReadYourProposal 825.20 IncorporatingFeedback 825.21 HowtoReconcileContradictoryFeedback 835.22 AnnotatedExample 84

ParTTWo TheProposal:SectionbySection 87

6 Specificaims 896.1 PurposeoftheSpecificAimsPage 896.2 AWordofCaution 906.3 OutlinefortheSpecificAimsPage 90

6.3.1 Paragraph#1:StudyBackgroundandResearchGap 916.3.2 Paragraph#2:SynopsisoftheStudyMethods 936.3.3 Paragraph#3:YourAimsandCorrespondingHypotheses 946.3.4 Paragraph#4:SummaryofSignificanceandInnovation 95

6.4 Tip#1:HowtoDealwiththeOne-PageLimitationfortheSpecificAimsPage 97

6.5 Tip#2:AvoidInterdependentAims 976.6 Tip#3:AimsInvolvingtheUseofanExistingDataset—Pros

and Cons 986.7 Tip#4:ShouldYouAimtoConductAnalyticorDescriptiveStudies? 996.8 Tip#5:HowtoDecideWhethertoIncludeExploratoryor

SecondaryAims 1006.9 Tip#6:Don’tBeTooAmbitious 1006.10 Tip#7:RememberThatAllAimsShouldBeAccompaniedby

Hypotheses 1016.11 Tip#8:IfYouPlantoEvaluateEffectModificationinYour

Methods,ThenIncludeThisasaSpecificAim 1026.12 WhentoConsiderDiscardingYourOriginalAimsandHypotheses 1036.13 AnnotatedExamples 103

6.13.1 Example#1:NeedsImprovement 1036.13.2 Example#2:DoesNotNeedImprovement 105

7 BackgroundandSignificanceSection 1097.1 ReferBacktoYourLiteratureReviewOutline 1097.2 BackgroundandSignificanceShouldBeMadeUpofSubsections

CorrespondingtoEachHypothesis 1107.3 Sectiona:SummarizethePublicHealthImpactofOutcome

(Disease) 1107.4 Sectionb:SummarizethePhysiologyofExposure–Outcome

Relationship 111

Contents ix

7.5 Sectionc:SummarizetheEpidemiologyofExposure–OutcomeRelationship(Describe StudiesinGroups) 1137.5.1 InSummarizingtheEpidemiologicLiterature,Note

theRelationshipsbetweenStudyMethodsandTheirCorrespondingFindings 114

7.5.2 FindingtheResearchGapinthePriorEpidemiologicLiterature 115

7.5.3 HowBigaResearchGapDoINeedtoFill? 1157.5.4 HighlighttheLimitationsofPriorStudiesThatYour

ProposalWillBeAbletoAddress 1167.5.5 WhatShouldYouDoIfthePriorLiteratureIsConflicting? 117

7.5.5.1 Letreviewersknowthatyouareawareof controversies 117

7.5.5.2 Giveclearreasonsfortakingaside 1177.5.6 HighlightKeyStudies 118

7.6 Sectiond:SummarizetheSignificanceandInnovation 1197.7 Tip#1:ShouldYouHaveOneConsolidatedBackgroundand

SignificanceSection? 1207.8 Tip#2:BeSuretoExpressYourOwnOpinionsabouta Prior

Study’sLimitations 1217.9 Tip#3:YouMayRefertoCommentsfromaReviewArticle 1217.10 Tip#4:OccasionallyYouMayProvidetheHistoricalContext 1227.11 Tip#5:SummarizeattheEndofEachSectionintheBackground

andSignificanceSection 1227.12 Tip#6:AvoidBroadandGlobalStatementsintheBackground

andSignificanceSection 1237.13 Tip#7:BeComprehensiveandCompleteinCitations 1237.14 Tip#8:ReferencesShouldDirectlyFollowtheStudiesThatThey

RelateTo 1247.15 Tip#9:IfYouAreCommentingonaTimeFrame,BeSpecific 1257.16 AnnotatedExamples 125

7.16.1 Example#1:NeedsImprovement 1257.16.2 Example#2a:GrantProposalVersionNotinNeedof

Improvement 1287.16.3 Example#2b:DissertationProposalVersionNotinNeed

ofImprovement 128

8 SummarizingPreliminaryStudies 1338.1 WhatArePreliminaryStudies? 1338.2 DoPreliminaryDataNeedtoBePreviouslyPublished? 1348.3 HowtoDescribePreliminaryData 1358.4 UsethePreliminaryStudiesSectiontoDemonstrateEstablished

RelationshipswithYourCoinvestigators 1368.5 WhatIfYouDoNotHavePreliminaryData? 137

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8.6 WhatIfYourPreliminaryDataContradictYourProposedHypotheses? 138

8.7 Double-CheckThatAllYourPreliminaryFindingsRelatetoOneorMoreofYourProposedHypotheses 139

8.8 PitfallsofPreliminaryData 1408.9 WheretoPlacePreliminaryStudiesinanNIHGrantProposal? 1408.10 ShouldIIncludePreliminaryResultsEvenIftheGrantDoesNot

RequireThem? 1408.11 PreliminaryStudieswithinProposalsBaseduponExistingDatasets 1418.12 Tip#1:IncludeTablesandFiguresinthePreliminary

Studies Section 1428.13 Tip#2:WhenDescribingResultsinaTableorFigure,PointOut

theHighlightsfortheReviewer 1438.14 Tip#3:IncludeDescriptiveTablesoftheStudyPopulation 1448.15 Tip#4:DescribePreliminaryFindingsinLayperson’sTerms 145

8.15.1 HowtoDescribeaRelativeRiskinLayperson’sTerms 1468.15.2 HowtoDescribeaBetaCoefficientinLayperson’sTerms 1468.15.3 HowtoDescribeEffectModificationinLayperson’sTerms 147

8.16 StylisticTip#1:DescribeTablesinNumericOrder 1478.17 StylisticTip#2:TrytoDescribeTablesfromToptoBottom 1478.18 StylisticTip#3:SpellOutNumbersThatStartSentences 1488.19 StylisticTip#4:AvoidPresentingConfidenceIntervals

and p-Values 1488.20 StylisticTip#5:AvoidReferringtoYourTablesasActiveBeings 1498.21 StylisticTip#6:TipsforTableTitles 1508.22 PreliminaryStudyExamples 150

8.22.1 PreliminaryStudy#1 1518.22.2 PreliminaryStudy#2 151

9 StudyDesignandMethods 1539.1 GoalsoftheStudyDesignandMethodsSection 1549.2 OverallStrategy 1549.3 IdentifyBenchmarksforSuccess 1559.4 Sectiona:WhatIsYourStudyDesign? 156

9.4.1 ConsideraStudyDesignFigure 1579.5 Sectionb:StudyPopulation(Setting,SubjectAscertainment,

and Eligibility) 1599.5.1 HowtoDescribeSubjectAscertainment 1609.5.2 HowtoDescribeEligibilityCriteria 160

9.6 Sectionc:ExposureAssessment 1619.6.1 HowYourExposureDataWillBeCollected 1619.6.2 ExposureParameterization 1639.6.3 HowtoParameterizeYourVariable 1639.6.4 ValidityofExposureAssessment 1649.6.5 WhattoDoIfThereAreNoPriorValidationStudies 166

Contents xi

9.7 Sectiond:OutcomeAssessment 1679.8 Sectione:CovariateAssessment 1689.9 Sectionf:VariableCategorizationTable 1699.10 PitfallstoAvoid 1739.11 Examples 174

9.11.1 Example#1 1749.11.2 Example#2 176

10 DataanalysisPlan 17910.1 PartI:FrameworkfortheProposedDataAnalysisPlan 179

10.1.1 StarttheDataAnalysisPlanbyRepeatingYourSpecificAimsVerbatim 179

10.1.2 WhatIfAllYourAimsRequiretheIdenticalDataAnalysisPlan? 180

10.2 PartII:ScopeandDepthofProposedAnalyses 18110.2.1 Step#1:AreYourSpecificAimsDescriptiveorAnalytic? 18110.2.2 Step#2:HowWillYouParameterizeYourVariables? 182

10.3 OutlineforaBasicDataAnalysisPlan 18310.3.1 UnivariateAnalysisPlan 18310.3.2 BivariateAnalysisPlan 18510.3.3 MultivariableAnalysisPlan 187

10.3.3.1A.Selectanappropriatemodel 18710.3.3.2B.Specifyhowthemodelwilladjustfor

potentialconfoundingfactors(i.e.,covariates) 18810.3.3.3C.Specifyhowyouwillevaluatepotentialeffect

modifiers 19010.3.4 ExploratoryDataAnalyses 19110.3.5 MockTables 192

10.4 PartIII:BestPractices 19210.5 ExampleDataAnalysisPlanforaDissertationProposal 195

11 PowerandSampleSize 20311.1 Timeline 20311.2 WhatIsPower? 20411.3 KeyCharacteristicsofPower 20411.4 WhenIsItOKNottoIncludeaPowerorSampleSizeCalculation? 20511.5 Step#1:EstimateYourSampleSize 206

11.5.1 BasisforSampleSizeEstimation 20611.6 Step#2:ChooseUser-FriendlySoftwaretoCalculatePower 20711.7 Step#3:RemindYourselfofYourMeasureofAssociation 20811.8 Step#4:CalculateandPresentYourPowerforRatioMeasures

of Association(i.e.,RelativeRisks) 20911.8.1 A.ForCohortandCross-SectionalStudies 20911.8.2 B.ForUnmatchedCase–ControlStudies 21111.8.3 C.HowtoDisplayYourPowerintheProposal 212

xii Contents

11.9 Step#5:CalculateandPresentYourPowerforDifferenceMeasuresofAssociation(i.e., ContinuousOutcomeVariables) 21411.9.1 A.ForCohortandCross-SectionalStudies 21511.9.2 B.HowtoDisplayYourPowerintheProposal 215

11.10 WhatIfYourPowerIsNotAdequate? 21611.11 OtherFactorsThatInfluencePower 21711.12 FinalPepTalk 217

12 reviewofBiasandConfounding 21912.1 First:APepTalk 22012.2 StudyLimitations:Chance,Bias,andConfounding 22012.3 Chance 22112.4 Bias 22212.5 NondifferentialMisclassification 222

12.5.1 NondifferentialMisclassificationofExposure 22212.5.2 NondifferentialMisclassificationofOutcome 223

12.6 SelectionBias 22512.6.1 SelectionBiasinaCase–ControlStudy 22512.6.2 SelectionBiasinaCohortStudy 226

12.7 InformationBias 22612.7.1 InformationBiasinaCase–ControlorCross-

Sectional Study 22712.7.2 InformationBiasinaCohortStudy 228

12.8 Confounding 22912.8.1 ConfoundinginRandomizedTrials 23112.8.2 DifferencebetweenConfoundingandEffect

Modification 23112.8.3 WillYouBeMissingInformationonAnyPotential

ConfoundingFactors? 23212.9 OtherLimitationsSpecifictoCross-Sectionaland

Case–Control Studies 23412.10 Generalizability 234

12.10.1 ReasonstoLimitGeneralizability 23612.11 Exercises 23712.12 IssuesforCriticalReading 239

12.12.1 CohortStudies 23912.12.2 RandomizedTrials 24012.12.3 Case–ControlandCross-SectionalStudies 241

12.13 Examples 24212.13.1 Example#1 24212.13.2 Example#2 244

Contents xiii

13 HowtoPresentLimitationsandalternatives 24513.1 WhichLimitationstoHighlight? 24513.2 PartI:HowtoStrategicallyPresentLimitations—a Fourfold

Approach 24613.2.1 Step#1:DescribethePotentialLimitation 24613.2.2 Step#2:DescribethePotentialImpactof theLimitation

onYourStudyFindings 24713.2.3 Step#3:DiscussAlternatives 24913.2.4 Step#4:DescribeMethodstoMinimizetheLimitation 24913.2.5 ConclusiontoFourfoldApproachtoAddressLimitations 25013.2.6 WheretoPlaceYourStudyLimitationsinaGrantProposal 250

13.2.6.1 Limitationssectionattheendoftheapproach section 251

13.2.6.2 Intermingledlimitationssections 25113.3 PartII:MethodstoMinimizeClassicLimitations—Design

and AnalysisTechniques 25213.3.1 HowtoPresentNondifferentialMisclassification 252

13.3.1.1 Designtechniquestominimizenondifferentialmisclassification 252

13.3.1.2 Analysistechniquestominimizenondifferentialmisclassification 253

13.3.2 HowtoPresentSelectionBias 25313.3.2.1 Studydesigntechniquestominimize

selection bias 25413.3.2.2 Analysistechniquestominimizeselectionbias 254

13.3.3 HowtoPresentInformationBias 25413.3.3.1 Studydesigntechniquestominimize

information bias 25413.3.3.2 Analysistechniquestominimizeinformationbias 255

13.3.4 HowtoPresentConfounding 25613.3.4.1 Studydesigntechniquestominimize

confounding 25613.3.4.2 Analysistechniquestominimizeconfounding 25813.3.4.3 Techniquestominimizelackofdataona

confounder 25913.3.5 HowtoPresentSurvivorBias 26013.3.6 HowtoPresentTemporalBias 26013.3.7 HowtoPresentGeneralizability 261

13.4 Examples 26213.4.1 Example#1 26213.4.2 Example#2 264

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14 reproducibilityandValidityStudies 26714.1 WhyConductaReproducibilityorValidityStudy? 26714.2 WhatIsReproducibilityandValidity? 26814.3 RelationshipbetweenReproducibilityandValidity 26914.4 BothSubjectiveandObjectiveMeasurementToolsRequire

EvidenceofReproducibilityandValidity 27014.4.1 Questionnaires 27014.4.2 ParticularChallengeofBehavioralQuestionnaires 27114.4.3 ObjectiveMeasuresAlsoRequireReproducibility

and ValidityStudies 27214.5 StudyDesignofReproducibilityStudies 27314.6 StudyDesignofValidityStudies 274

14.6.1 SubjectiveComparisonMeasures 27414.6.2 ObjectiveComparisonMeasures 27514.6.3 NumberofAdministrationsoftheComparisonMethod 276

14.7 WritingDataAnalysisSectionsforReproducibility/ValidityStudies 27714.8 WritingLimitationsSectionsforReproducibility/ValidityStudies 278

14.8.1 ThreatstoObservedReproducibilityScores 27914.8.2 ThreatstoObservedValidityScores 28114.8.3 ThreatstoGeneralizability 282

14.9 HowtoInterpretFindingsfromReproducibility/ValidityStudies 28314.10 IssuesofSampleSizeandPowerforaReproducibility

and Validity Study 28414.11 Summary 28414.12 Example 285

15 abstractsandTitles 28715.1 OutlineforProposalAbstract 28715.2 HowtoGetStartedWritinganAbstract 28815.3 WhentoFinalizetheAbstract 28915.4 NIHReviewofanAbstract 29015.5 ExamplesofFundedAbstracts 29015.6 StrategiesforMeetingtheWordCount/LineLimitations 29115.7 Abstract:StepbyStep 291

15.7.1 BackgroundSection 29115.7.1.1Publichealthimpactofoutcome(disease) 29215.7.1.2Physiologyofexposure–outcomerelationship 29215.7.1.3Epidemiologyofexposure–outcomerelationship 293

15.7.2 II.ResearchAims 29415.7.3 III.HighlightsoftheMethodology 29515.7.4 IV.SummaryoftheSignificanceandInnovation 297

15.8 HowtoWriteaTitleforYourProposal 29915.8.1 Tip#1:UseAgency-FriendlyKeywords 30015.8.2 Tip#2:TitlesShouldIncludetheKeyVariables

Being Evaluated 301

Contents xv

15.8.3 Tip#3:TheTitleShouldNotStatetheExpectedResultsof theProposedStudy 301

15.8.4 Tip#4:TitlesShouldMentiontheStudyDesignIf a Strength 302

15.8.5 Tip#5:TheTitleShouldMentiontheStudyPopulationWhenImportant 302

15.8.6 Tip#6:TitlesShouldMentionAnyOtherUniqueFeaturesoftheStudy 303

15.8.7 Tip#7:ATitleShouldBeConsistentwiththeOverallStudyGoal 303

15.8.8 StylisticTip#1:AvoidCleverTitles 30415.8.9 StylisticTip#2:AvoidWritingTitlesasQuestions 304

15.9 Examples 30515.9.1 Example#1 30515.9.2 Example#2:NeedsImprovement 30615.9.3 Example#3:NeedsImprovement 307

16 PresentingYourProposalorally 30916.1 HowtoGetStarted 30916.2 GeneralGuidelines 310

16.2.1 Guideline#1:OrganizethePresentationBasedonYourProposalOutline 310

16.2.2 Guideline#2:HowtoAllocatePresentationTime 31016.2.3 Guideline#3:APresentationCannotHaveTooMany

FiguresorTables 31116.2.4 Guideline#4:HowtoCreateUser-FriendlyTextSlides 31416.2.5 Guideline#5:RecommendedSlideAesthetics 315

16.3 PresentingBackgroundandSignificance 31516.4 PresentingPreliminaryStudiesorFindingsfromthe

Prior Literature 31816.4.1 KeepResultsTablesSimple 31916.4.2 PresentingMockTablesforaDissertationProposal 321

16.5 IncludeBackupSlides 32116.6 GuidelinesforYourSpeech 322

16.6.1 Guideline#1:ConsiderHowYourWordsWillSupplementYourSlides 322

16.6.2 Guideline#2:HowtoDiscussTables/Figures 32216.6.3 ImportanceofRehearsingYourSpeech 32416.6.4 CultivatingaRelationshipwiththeAudience 32416.6.5 Tip#1:Don’tUndercutYourMessage 32516.6.6 Tip#2:TryNottoTalkTooQuickly 32516.6.7 Tip#3:TryNottoSpendTooMuchTimeonEachSlide 325

16.7 ConsiderHowthePresentationWillBeEvaluated 32516.8 ProposalPresentationCritique 326

xvi Contents

ParTTHree Grantsmanship 329

17 ChoosingtherightFundingSource 33117.1 PartI:DevelopingYourGrant-FundingPlan 331

17.1.1 Step#1:LocateaMentorforGrantsmanship 33117.1.1.1 Howtoidentifyamentor 332

17.1.2 Step#2:DevelopYourOverallGrantsmanshipGoal 33217.1.2.1 Planforasteadytrajectoryofgrantsfromsmall

tolarge 33317.1.2.2 Avoidclassicpitfall#1:Don’tskipstraightto

largefundingmechanisms 33417.1.3 PlanforMoreThanOnePotentialFundingPipeline 33517.1.4 ServeasaCoinvestigatoron EstablishedTeams 33517.1.5 AvoidClassicPitfall#2:DoNotProposeOverlyAmbitious

SpecificAims 33617.1.6 AvoidClassicPitfall#3:DoNotEmbedPilotorValidity

StudieswithinaLargerProposal 33617.2 PartII:ChoosingtheAppropriateFundingMechanismforYour

EarlyGrants 33717.2.1 FocusonGrantsTargetedtoEarly-CareerFacultyand

PostdoctoralFellows 33717.2.2 InternalUniversityFunding 33717.2.3 FoundationGrants 33817.2.4 ResourcesforSelectingtheRightFundingSource 33817.2.5 LookatWhoandWhatTheyFundedbeforeYou 33917.2.6 LookatWhoServesasReviewers 339

17.3 PartIII:Step-by-StepAdviceforFindingtheRightFundingSource atNIH 34017.3.1 Step#1:DetermineWhichNIHInstitute’sMission

EncompassesYourTopic 34017.3.2 Step#2:ChooseaFundingMechanismSponsoredby

YourSelectedNIHInstitute 34017.3.2.1 Doctoralandpostdoctoralfellowships(F series)

“RuthL.KirschsteinIndividualNationalResearchServiceAward”(NRSA) 342

17.3.2.2 Traininggrants(Tseries)“RuthL.KirschsteinIndividualNationalResearchServiceAward” 343

17.3.2.3 Careerdevelopmentawards(Kseries) 34317.3.2.4 Loanrepaymentprograms 34517.3.2.5 Researchsupplements 34517.3.2.6 Researchawards(Rseries) 34617.3.2.7 Newinvestigatoradvantages 347

17.3.3 Step#3:ChoosetheCorrespondingFundingOpportunityAnnouncementNumber 34717.3.3.1 ReadtheFOAcarefully! 349

Contents xvii

17.4 ExamplesofChoosingtheRightFundingSources 34917.4.1 Example#1:APostdoctoralResearcherTransitioning

to Early-CareerFaculty 34917.4.2 Example#2:AnEarly-CareerFacultyMember 351

18 SubmissionoftheGrantProposal 35318.1 HowtoViewtheSubmissionProcessOverall 35318.2 PartI:GettingStarted 354

18.2.1 HowFarAheadtoStarttheGrantPreparationProcess 35418.2.2 BegintoAssembletheResearchTeamEarly 355

18.2.2.1 Howtochoosecollaborators 35518.2.2.2 Establishworkingrelationshipswith

coinvestigatorsbeforesubmission 35618.2.2.3 Consideramultipleprincipalinvestigator

model 35618.2.3 SpendHalfYourTimeontheSpecificAimsandProject

Summary(Abstract) 35718.2.4 AllowTimeforExternalReviewPriortoSubmission 35818.2.5 ExternalReview:Chalk-TalkForums 35918.2.6 ExternalReview:MockNIHStudySections 359

18.3 PartII:StrategicTipsforEach ComponentoftheGrantSubmission 36018.3.1 SectionI:ScientificComponent 361

18.3.1.1 I.a.Title 36118.3.1.2 I.b.Projectsummary(abstract) 36218.3.1.3 I.c.Specificaims 36318.3.1.4 I.d.Projectnarrative 36318.3.1.5 I.e.Researchstrategy 36318.3.1.6 I.f.Traininginformationfordoctoraland

postdoctoralfellowships(Fseries) 36518.3.1.7 I.g.Candidateinformationforcareer

developmentawards(Kseries) 36718.3.1.8 I.h.Bibliographyandreferencescited 36918.3.1.9 I.i.Humansubjectsprotection/responsible

conductofresearch 36918.3.1.10 I.j.Inclusionofwomen,minorities,

and children;Targeted/plannedenrollment 37018.3.2 SectionII:NonscientificForms 371

18.3.2.1 II.a.Coverletter 37118.3.2.2 II.b.Facilitiesandotherresources 37218.3.2.3 II.c.Equipment 37218.3.2.4 II.d.Biosketch 37318.3.2.5 II.e.Budgetandbudgetjustification 37418.3.2.6 II.f.Resourcesharingplan 37618.3.2.7 II.g.Appendicesandsupplementalmaterials 37718.3.2.8 II.h.Otherpages 377

xviii Contents

18.3.3 SectionIII:ItemsNeededfromOthers 37718.3.3.1 III.a.Lettersofsupport 37718.3.3.2 III.b.Biosketches 37818.3.3.3 III.c.Consortium/contractualarrangements 379

18.4 PartIII:TimelineforSubmissionofanNIHGrant 379

19 reviewProcess 38119.1 PartI:ReviewProcess 381

19.1.1 ScientificReviewGroup(StudySection) 38119.1.2 RoleoftheScientificReviewOfficer 38219.1.3 StudySectionReviewers 38319.1.4 HowtheStudySectionMembersReviewYourGrant

Application 38419.1.5 ReviewCriteriaforResearchGrants(RSeries) 384

19.1.5.1 Overallimpact 38419.1.5.2 1.Significance 38519.1.5.3 2.Investigator(s) 38519.1.5.4 3.Innovation 38619.1.5.5 4.Approach 38619.1.5.6 5.Environment 386

19.1.6 ReviewCriteriaforCareer DevelopmentAwards(K Series) 38719.1.6.1 Overallimpactforacareeraward 38719.1.6.2 1.Candidate 38819.1.6.3 2.Careerdevelopmentplan/careergoals

and objectives 38819.1.6.4 3.Researchplan 38819.1.6.5 4.Mentor(s),co-mentor(s),consultant(s),

and collaborator(s) 38919.1.6.6 5.Environmentandinstitutionalcommitment

tothecandidate 38919.1.7 ReviewCriteriaforFellowshipAwards(FSeries) 389

19.1.7.1 Overallimpact/meritforafellowshipaward 38919.1.7.2 1.Fellowshipapplicant 39019.1.7.3 2.Sponsors,collaborators,andconsultants 39019.1.7.4 3.Researchtrainingplan 39019.1.7.5 4.Trainingpotential 39119.1.7.6 5.Institutionalenvironmentandcommitment

totraining 39119.1.8 DuringtheStudySectionMeeting 39119.1.9 CommonReasonsforLowScores 39219.1.10 TipsforaSuccessfulReview 392

19.2 PartII:AfterYourApplicationIsReviewed 39319.2.1 Step#1:ReadtheSummaryStatement 39319.2.2 IfYourApplicationWasStreamlined(Unscored) 39419.2.3 Step#2:ContactYourProgramOfficial 394

Contents xix

19.2.4 Appeal 39519.2.5 Funding:WhatDeterminesWhichAwardsAreMade? 395

20 resubmissionoftheGrantProposal 39720.1 PartI:PathwaytoResubmitting 397

20.1.1 WhethertoResubmit 39820.1.2 ContactYourProgramOfficial 39820.1.3 TimingofaResubmission 39820.1.4 NotAllReviewerCommentsAreEqual 39920.1.5 HowMuchRevisionIsNecessary 40020.1.6 StudySectionReviewofResubmissions 400

20.2 PartII:IntroductiontotheResubmission 40020.2.1 GeneralFormatoftheIntroductionPage 40120.2.2 Tip#1:ClearlyConnectYourResponsestoSpecific

ReviewerConcerns 40220.2.3 Tip#2:ResisttheUrgetoDefendYourself 40220.2.4 Tip#3:AvoidDisagreeingwithaReviewer 40320.2.5 Tip#4:IfYouMustDisagreewithaReviewer,Focuson

theScience 40420.2.6 Tip#5:AvoidUsingCostorLogisticsasaRationalefor

NotBeingResponsivetoaReviewerComment 40420.2.7 Tip#6:Multiple-Bullet-PointResponsetoMajor

ConcernsIsHighlyResponsive 40520.2.8 Tip#7:AcknowledgeYourMistakesorLackofClarity 40620.2.9 Tip#8:Don’tSkipAnyReviewerComments 40620.2.10 Tip#9:AvoidCollapsingTooManyReviewerConcerns

intoOneBulletPoint 40720.2.11 Tip#10:BeSuretoMakeChangestotheBodyofthe

Proposal 40720.2.12 StylisticTip#1:UseActive(NotPassive)Voice 40820.2.13 StylisticTip#2:AvoidUseoftheFirstPerson 40820.2.14 StylisticTip#3:Don’tWasteTooMuchSpaceApologizing 409

20.3 PartIII:BodyoftheResubmission 40920.3.1 HowtoIdentifyRevisionstoaGrantProposal 40920.3.2 RereviewthePublishedLiteraturetoCheckforRecent

RelevantPublications 41020.3.3 ObtainRevisedLettersofCollaboration 41020.3.4 UpdateBiosketches:BothYourOwnandThoseofYour

Coinvestigators 41020.4 Examples 411

20.4.1 ProposaltoConductaRandomizedTrialofaPostpartumDiabetesPreventionProgram 411

20.4.2 KAwardProposaltoConductaWeb-BasedInterventionStudytoPreventWeightGaininMen 413

Index 415