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\title{Grants}
\subtitle{An Introduction}
\author{\large ST 810A, Spring 2005}
\vspace*{0.2in}
\institution{\includegraphics[height=0.8cm]{deptlogo}}
\slideCaption{ST 810A, Spring 2005}

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\begin{document}

% Creates the title slide

\maketitle

%  Now start the rest of the slides

\overlays{6}{
\begin{slide}{Outline}

\begin{itemstep}
\item Why?
\item From whom?
\item How?
\item What to write?
\item What happens? 
\item Miscellaneous
\end{itemstep}

\end{slide}
}

\begin{slide}[Glitter]{Why?}
{\red Facts of life 1:} A statistician in academia has multiple
responsibilities, demands on time
\begin{itemize}
\item Collaborative research, teaching, service, consulting
\item {\blue Methodological research}
\end{itemize}

\vspace*{0.2in}

{\red \ldots But:} career advancement and personal satisfaction often
come from success in {\blue methodogical research}

\vspace*{0.2in}

{\red Reason 1:} For {\blue yourself}
\begin{itemize}
\item Grant funding allows one to ``buy time'' for research
\item Success is a form of peer review
\end{itemize}
\end{slide}

\begin{slide}{Why?}
{\red Facts of life 2:} Most universities and other institutions do not
run solely on tuition, endowments, gifts, appropriations, etc., and
there are bills to pay
\begin{itemize}
\item Salaries, infrastructure, supplies, staff, administration,
graduate student funding,\ldots
\item Although a major (although not the only) objective of a
university is to promote research, funding for this is
inadequate (computers, equipment, travel, {\blue time})
\end{itemize}

\vspace*{0.08in}

{\red Reason 2:} For your {\blue institution}
\begin{itemize}
\item Contribute to support of the institution and its research enterprise
\end{itemize}
\end{slide}

\begin{slide}{Why?}
{\red Facts of life 3:} Continuing innovations in statistical
methodology are essential to advances in science
\begin{itemize}
\item New complications, data structures, questions,\ldots
\end{itemize}

\vspace*{0.2in}

{\red Reason 3:} For {\blue science}
\begin{itemize}
\item Free time to do research allows contribution to advance of 
knowledge
\end{itemize}
\end{slide}

\begin{slide}{Why?}

{\red Result:} Most of the funding to support research activities
within a university come from {\blue outside sources}

\vspace*{0.4in}

\begin{center}
{\red \em GRANTS}
\end{center}

\end{slide}

\begin{slide}[Glitter]{From whom?}
{\red Luckily:} Agencies and organizations offer sources of funding
to support (statistical) research, for example
\begin{itemize}
\item {\blue Federal government}: National Science Foundation (NSF),
National Institutes of Health (NIH), Environmental Protection Agency
(EPA),\ldots

\item {\blue Private agencies and industry:} Sloan Foundation, Howard Hughes
Medical Institute, Health Effects Institute, Burroughs Wellcome
Fund,\ldots
\end{itemize}

\end{slide}

\begin{slide}[Glitter]{How?}
{\red Submit a grant application:} A grant application is a document
describing
\begin{itemize}
\item A {\blue research problem}, justifying why it is important, how
its resolution will advance science, why the approach is sound, and
what the impact will be

\item The {\blue qualifications} of the individual(s) submitting the
application

\item A {\blue plan} describing the research and how it will be carried
out, including a timetable, need for personnel and their responsibilities

\item A {\blue budget} request for funds to support the research
activities, and how these funds will be allocated
\end{itemize}

\end{slide}

\begin{slide}{How?}
{\red Mechanisms for submission:}
\begin{itemize}
\item May be in response to a {\blue particular research initiative}
of the funding agency, e.g., {\blue Request For Proposals} (RFP),
{\blue Request for Applications} (RFA), {\blue Program Announcement}
(PA)

\item RFPs and similar requests are generally posted on web sites and
in publications of the agency, have {\blue specific} guidelines, deadlines

\item The agency may also support {\blue investigator-initiated}
research (investigator chooses topic)

\item Investigator-initiated applications may be accepted on a regular,
cyclic schedule posted by the agency
\end{itemize}

\end{slide}

\begin{slide}{How?}
{\red General structure of an application:} Usually, agencies have
{\blue specific forms} to complete and requirements on how the package
is to be organized
\begin{itemize}
\item {\blue Principal Investigator}(s) (PI)

\item Abstract or summary

\item Personnel (including CVs of all key players), research assistants
(graduate students)

\item Budget, details on other research funding

\item Sign-off by university officials (grants are awarded to the {\blue
university}, not to you!)

\item {\blue THE RESEARCH PLAN/PROJECT DESCRIPTION}
\end{itemize}

\end{slide}

\begin{slide}{How?}
{\red Preparing a grant application:} 
\begin{itemize}

\item Administrative stuff

\item The research plan/project description
\end{itemize}

\vspace{0.25in}

{\red Administrative stuff first\ldots}

\end{slide}

\begin{slide}{How?}
{\red Budget:} {\blue Direct costs} are the funds that go directly to 
support research activities
\begin{itemize}
\item Funds to support a portion of salary to free the faculty member
from other responsibilities

\item Fringe benefits (social security, health insurance,\ldots)

\item Travel, supplies (e.g., books), equipment (e.g., computer)

\item Research assistants, consultants
\end{itemize}

\end{slide}

\begin{slide}{How?}
{\red Budget:} {\blue Facilities and Administration} (F\&A) costs
(aka indirect costs, overhead)
\begin{itemize}
\item Support for institutional infrastructure -- buildings, phones, copying,
libraries, postage, network, tuition\ldots

\item Typically calculated as a percentage of direct costs (excluding
certain items such as equipment, tuition)

\item Percentage is negotiated with the agency (NCSU's rate is 46\%)
\end{itemize}

\end{slide}

\begin{slide}{How?}
{\red Internal processing:} 
\begin{itemize}
\item Application must be approved by the university

\item Is the budget correct? Are forms filled out correctly?

\item Application must go through processing and be signed by an
authorized official

\item Agency deadlines for submission are {\blue cast in stone}, so must
allow adequate time for university to process
\end{itemize}

\end{slide}

\begin{slide}{How?}

{\red That's the easy part\ldots}

\vspace*{0.5in}

{\red The Important Part:} The research plan/project description

\end{slide}

\begin{slide}[Glitter]{What to write?}

{\red General considerations:}
\begin{itemize}

\item Almost always a strictly enforced {\blue page limit}
(e.g., 15 pages for NSF, 25 pages for NIH)

\item Must describe background, context for why research is important,
and the research itself {\blue within this limit}

\item {\blue AS USUAL}, clarity, logical flow, organization,
accessibility, completeness, \ldots

\end{itemize}

\end{slide}

\begin{slide}{What to write?}

{\red Research plan/project description:} Format and specific
requirements vary by agency, but in general must 
\begin{itemize}
\item State the specific objectives and expected significance

\item Provide background, place the work in context of the current
state of knowledge and explain how the work will advance it

\item Describe results of previous grants, relevant work already done by the
PI, qualifications

\item Lay out {\blue in detail} what will be done -- should be the 
main focus of the plan!
\end{itemize}

\end{slide}

\begin{slide}{What to write?}
{\red How much detail:} Depends on the agency, e.g.,
\begin{itemize}

\item NIH grants -- excruciating detail

\item NSF grants -- can be more vague

\end{itemize}

\end{slide}

\begin{slide}[Glitter]{What happens?}

{\red Evaluation of applications:} Just like journal articles, grant
applications are {\blue peer-reviewed}
\begin{itemize}
\item Sent to individuals familiar with the area who read, submit
a review, assign a score (NSF)

\item A review panel of experts in the discipline is identified, 
members are assigned to review a subset of applications, write reviews
and assign scores, discuss at meeting (NIH, NSF)

\item Generally two--three main reviewers per application

\item Review criteria depend on agency\ldots
\end{itemize}
\end{slide}

\begin{slide}{What happens?}
{\red What makes a ``fundable'' application?}  Main criteria
\begin{itemize}
\item NIH: Relevance to {\blue real problems}, no ``theory for
theory's sake''

\item NSF: Theoretical, computational advances, more general
\end{itemize}
\end{slide}

\begin{slide}{What happens?}
{\red Decision:} Agency awards grants to applications receiving the
highest scores
\begin{itemize}
\item NIH: formula-driven, small chance for ``special consideration''

\item NSF: {\blue Program directors} have latitude on how to distribute
the \$

\item Number, extent of awards limited by \$ available

\item All applicants (funded or not) receive reviews, score
\end{itemize}

{\red Good idea:} Get to know Program directors/officers
\begin{itemize}
\item Can sometimes help in borderline cases
\end{itemize}

\end{slide}

\begin{slide}{What happens?}
{\red Grant award:} If good news
\begin{itemize}
\item University, PI are notified, agency sends funds

\item An internal university account is set up, funds dispersed into
categories (e.g., salary, travel, equipment)

\item PI must determine how to allocate and spend the \$!

\item Some changes in budget allocations are allowed, must be approved

\item The university must justify and document all activity to the funding
agency
\end{itemize}
\end{slide}

\begin{slide}{What happens?}
{\red Progress:} Most agencies require annual reports of accomplishments,
budget expenditures, changes in plans, changes in personnel, explanation
for unused funds 

\vspace*{0.2in}


{\red Next time:} Success in obtaining one grant is not guarantee
that future applications will be funded!
\begin{itemize}
\item Some agencies require new applications 

\item Others allow ``renewals'' (which must compete like any other
application)

\end{itemize}

\end{slide}

\begin{slide}[Glitter]{Miscellaneous}
{\red Opportunities:} There are {\blue numerous} grant programs available
\begin{itemize}
\item Ordinary research

\item Pilot studies; new research area

\item Training, fellowship

\item Conferences

\end{itemize}
\end{slide}

\begin{slide}{Miscellaneous}
{\red Nowadays:} Obtaining outside funding is {\blue strongly encouraged}
in almost all academic settings
\begin{itemize}
\item As university budgets shrink, faculty grants become more and more
important

\item ``Soft'' versus ``hard'' money: in some academic settings, 
grants are the {\blue main} source of funding (e.g., medical schools, schools
of public health)

\end{itemize}
\end{slide}

\begin{slide}{Miscellaneous}
{\red Advice for new faculty:}
\begin{itemize}
\item The best place to learn about grants is from someone who has been 
successful at getting them!

\item Ask a senior colleague for help!

\item Obtain and study successful applications, note writing style,
level of detail

\item Visit agency websites
\end{itemize}
\end{slide}

\begin{slide}{Miscellaneous}
{\red Summary:} 
\begin{itemize}

\item Success in getting grants is a form of peer review

\item Success in getting grants allows faculty time and bargaining power
\item Grant writing is hard work, but is a wonderful way to focus one's
research ideas!
\end{itemize}
\end{slide}

\end{document}