Writing Collaborative Grant Applications ~ A Framework for Success

Collaborative Initiatives Symposium

University of Puerto Rico – MayagüezOctober 19, 2012

Kathy Doyle Grzech, M.A.

University of KentuckyProposal Development Office

© Kathy Doyle Grzech, UK Proposal Development Office, 2012

Workshop Goals

To facilitate your success in securing funding To share strategies in developing collaborations To explore qualities of a competitive application

What constitutes a competitive grant application? What components contribute to success?

To examine successful proposal strategies To offer insights on effective grant-writing

Topic Overview

Why should I apply for a grant? Collaborate? NIH support for collaboration Features of competitive collaborative applications Strategic action to catalyze collaboration Mission fit—sponsor priorities and project goals Assessing readiness to propose Managing external review “Communicating” with reviewers Goals and objectives Rationale Approach Other key proposal content

Grants allow you to…

Achieve intellectual or programmatic goals.

Implement change in your… Institution,

Environment,

Society.

Advance your field.

Travel.

Obtain resources/assistance w/ current activities.

Why Should I Apply for a Grant?

What is more…grant funding is increasingly part of the currency of an academic career!

“…the process of knowledge creation has fundamentally changed.”

“Teams increasingly dominate solo authors in the production of knowledge.”

“…across nearly all fields.”

“Teams typically produce more frequently cited research than individuals do….”

Why Should I Collaborate?

The Increasing Dominance of Teams in Production of Knowledge, Wuchty et al. Science 18 May 2007: Vol. 316 no. 5827 pp. 1036-1039 DOI: 10.1126/science.1136099

Collaborations that cross traditional disciplinary boundaries can…

Expand the nature of research questions you ask.

Leverage synergies across disparate disciplines.

Address particularly intractable problems.

Enable far more complex analyses.

Deepen the final insights generated by a study.

Why Should I Collaborate?

NIH: Increasingly health-related research involves teams that vary in…size, hierarchy, location of participants, goals, disciplines, and structures.

Key NIH mechanisms facilitate team science.

Multi-PD/PI** option… Encourages and supports interdisciplinary and other

team science.

Allows shared responsibility and authority for leading a project.

Maximizes PI potential to respond to 21st century challenges and opportunities.

Supplements, rather than replaces, the traditional single PD/PI model.

NIH* Support for Collaboration

*National Institutes of Health

**Multiple project directors/principal investigators

http://grants.nih.gov/grants/multi_pi/

Key NIH mechanisms facilitate team science.

Collaborative R01… Linked group or set of R01s, usually one R01 per

participating PD/PI

Coordinated and interlocked applications from each

Common Research Statement section, summary statement  for each PI

Requirements…

Rationale for applying as a collaborative study

Role of each site in the project

Approach to project management

Elements unique to any of the sites

NIH* Support for Collaboration

Sample Collaborative R01 FOAs

Collaborative R01s for Clinical and Services Studies of Mental Disorders and AIDS (Collaborative R01) - PAR-12-278

 Collaborative Clinical Trials in Drug Abuse (Collaborative R01) - PAR-10-099

 Investigator Initiated Multi-Site Clinical Trials (Collaborative R01) - PAR-10-096

NIH Support for Collaboration

Key NIH mechanisms facilitate team science.

Excerpts from NIH peer review criteria… Investigators. If the project is collaborative or multi-

PD/PI, do the investigators have complementary and integrated expertise?

Innovation. Does the application challenge and seek to shift current research or clinical practice paradigms…?

Environment. Will the project benefit from unique…collaborative arrangements?

NIH Support for Collaboration

Elements of a Competitive Proposal

Competitive Proposal

Strong Idea

Strong EvidenceStrong Presentation

Strong ScienceStrong Team

And for Collaborative Proposals…

To recapitulate—strong idea, strong evidence, strong science, strong presentation, and…

Strong collaborative teamEvidence of complementary expertise that…

Enables novel insightsEnables complex approaches

Documentation of… Prior history of collaborationShared planning/proposal developmentCommitments to…

•Collaborate•Support the work in concrete areas

A truly collaborative proposal engages key collaborators early in project development efforts!

And for Collaborative Proposals…

Success depends heavily on…

Strong leadershipThe larger the collaboration, the greater the need for a single leader to provide…

AuthorityAssessment of core strengths / weaknessesCoordination of shared contributionsExternal interactions (e.g., external advisorygroup, external review)Tactical and administrative responsibilities

And for Collaborative Proposals…

Success depends heavily on…

Strong leadership (cont.)A strong leader brings the group along:

Pushes cross-fertilization among disciplinesMonitors progressManages team responses to new developments

Focused initiativeShared vision of what could beStrategic team action to achieve the vision…

Align strengths optimallyAddress weaknessesSolicit external feedbackReact to feedback

Which Comes First? Chicken or Egg?

Collaborative projects typically develop in one of two ways…

Strong collaborative idea/team drives a funding search for an appropriate grant program.

Subscription funding databases

InfoEd SPIN

Community of Science

NIH Guide to Grants and Contracts

Grants.gov

Intriguing funding opportunity announcement(FOA) inspires development of a collaboration.

Cross-Fertilization of Ideas

Don’t wait for collaborative opportunities…Act!

Cross-fertilization—a dynamic strategy to…Catalyze exploration of areas of common interest.Refine a potential concept with new endpoints, etc.

Pointed, low-effort strategies that work!Set up regular research program meetings (20-min. slots for each PI presentation).

Invite others to your meetings.Garner invitations to their meetings.

Set up bi-monthly luncheons.Develop hypotheses to share with one another.Listen and offer expertise/input!

Structure the approach—facilitate the interactions through your research development office!

Examples

Safety/Toxicity Assessment of Ceria (A Model Engineered Nanoparticle) to the Brain, EPA RD-83377201-0, Yokel – pharmaceutical technology, PI; Butterfield – chemistry, Co-I; Graham – applied energy research, Co-I; Grulke – chemical and materials engineering, Co-I, subcontract PI - medicine

Diffuse Optical Monitoring of Head and Neck Tumor Therapy, NIH R01CA149274, Yu – biomedical engineering, PI; Kudrimoti – radiation medicine, Co-I; Stevens – diagnostic radiology, Co-I

Geometry of Gene Cophylogenies as Relates to Genome Evolution and Speciation, NIH R01GM08688, Yoshida – statistics, PI; Jaromczyk – computer science, Co-I; Schardl – plant pathology, Co-I

Mechanisms of Wnt/beta-catenin inhibition by resveratrol and its derivatives, NIH R21CA139359, Liu – cancer biology, PI; Evers – surgery, Co-I; Watt – analytical chemistry, Co-I

Genetic Markers Associated with Epithelial Ovarian Cancer and Hypodontia, NIH R03DE021438, Morford – oral health science, PI; Desimone – gynecologic oncology, Co-I; Fardo – biostatistics

Activity 1—Identifying Synergy

Multiplier Effect of Collaboration

Keep an eye on less obvious outcomes of the collaboration), i.e., nurture your long-term prospects! Development of new multi-

faceted research thrust that multiplies your… Potential for future grant

awards Avenues for publication Potential to generate new

collaborators, emphases Network of possibilities from

your expanded scope and the contacts of your collaborators

New grants

New publications

New collaborators

New emphasis

Proposal Planning

The extramural funding scene…

Huge numbers of potential sponsors—federal and private grantors—each with…

Different missions and priorities Different programs and funding emphases Different funding mechanisms

Your goal—match your team’s idea to the right sponsor and the right program!

Sponsors are only interested in your project if it meets their need or solves their problem!

Know the sponsor! Do your research—review carefully…

Sponsor web pages Mission statement History Scope of grant-making activity

Talk extensively with funded investigators. Read and reread the funding opportunity

announcement (FOA).

Assessing Mission Fit

Mission fit is critically important to funding success!

Assessing Mission Fit

As you study the FOA, carefully analyze…

Goals/purpose of the specific program Topics or issues of interest (funding priorities) Integrative or interdisciplinary priorities/potential Target populations Review criteria

Against… Your project concept and goals Your own professional capabilities

Expertise and experience Collaborative relationships

Your institutional capacity Campus/partner environment/infrastructure Human resources/administrative support

Analyze the match (your goals—their needs) Why would the sponsor want to “buy” your idea?

Check the FOA—what kinds of team science is the sponsor seeking?

Do my objectives/activities link to sponsor goals?

What else has the sponsor funded? Review abstracts/successfully funded proposals.

What kinds of collaborating institutions were represented by the awardees?

To what degree is team science represented in funded projects?

Focus on Sponsor Priorities

Lack of good project/mission fit usually results in rejection!

Focus on Sponsor Priorities

Note key phrases/themes: “Collaborative teams of investigators”

“Approaches which synergistically combine…”

“Models of collaboration”

“Integration across domains”

“Requires multidisciplinary teams”

Let these “buzzwords” shape… Your project concept.

The make-up of your team of collaborators.

Collaborations can be as simple as… a multi-PI R21 ($275,000 total for two years) to highly complex large-scale projects.

Verifying Mission Fit

Once you target a sponsor…

Contact the program official listed in the program solicitation to discuss your project concept. Alignment of project with program focus Any recommendation for a specific…

Institute at NIH Directorate at NSF Program at a private foundation

Contacting the Program Official

Email the program contact to request a time to call.

In the email, identify…~ Yourself, your expertise,

your institution

~ Your project concept, i.e., send a brief abstract or concept paper

Funding begets funding! Build a track record by starting small. Each award instills confidence that you can…

Manage the funds of others responsibly Complete a proposed project successfully Build on previous work to accomplish even greater

outcomes

Persistence pays! Rejection is part of the process. Those who succeed submit again and again

and again.

Cardinal Rules of Grant-Seeking

Cardinal Rules of Grant-Seeking

NIH success rates by submission status…

Act on a cardinal rule of grant-seeking: persistence pays!

FY

New R01 Equivalent Grants by Submission No.

Success Rate

2011 Original (-01) 12.7%

2011 First Amendment (-01A1) 39.2%

http://report.nih.gov/success_rates/index.aspx

Are You Ready to Propose?

If you find yourself proposing… Ideas without processes for implementation Potential collaborators with no evidence of commitment Several “to-be-named” roles

Plans to…Recruit key collaboratorsIdentify gaps or assess needsIdentify evidence-based methods to carry out theaims…

…you are probably not yet ready to write the proposal.

A competitive proposal is …

a detailed, step-by-step action plan!

Avoiding “Holes” in a Proposal

The grant-writing process takes place after significant planning of the details… Gap or needs analysis Identification of collaborators and project team Collaborator commitments and documentation of

complementary synergistic expertise Collection of preliminary data—preferably collaboratively

collected data—to support your rationale Extensive project development involving committed

collaborators

Think “shovel-ready” – in short, you have laid extensive groundwork, and the proposed project is ready (or almost ready) to launch!

Eye on the Reviewers!

To be an NIH-funded investigator, you must look like one! (Substitute any sponsor—the game is the same.) Let reviewers “recognize” you as someone who knows

how to play the game. This means...

You (i.e., your grant application) must…

Reflect your knowledge of NIH conventions. Speak the “language” of the agency

Specific aims (NIH) or objectives (NSF)

Significance and innovation (NIH) or intellectual merit, broader impact, integration of research and education (NSF)

Follow “the formula”—the layout of a typical NIH application as specified in the FOA.

In short, write for an NIH audience.

.

Eye on the Reviewers!

Read and follow the guidelines strictly! Use the outline structure provided in

the FOA—you deviate at your own risk! Include all specified content. Use the sponsor’s section

headings. Avoid long, unbroken expanses of text.

Judicious use of “white space” Blank lines between paragraphs Short “digestible” blocks of text

Be “reviewer friendly”, i.e., make specific content easy to find!

Eye on the Reviewers!

Use the 4-S strategy of audience-centered communication for discussion points! Signpost – Signal upcoming content with subheadings,

boldface or italic type, figures, diagrams, charts.

State – Open with a key point or topic sentence.

Support – Cite supporting evidence for each statement.

~ Tell (state) – then show! (support)

Summarize – Pause periodically to interpret and lead reviewer thinking.

Make complex content easy to digest!

Eye on the Reviewers!

Team science creates special needs to convince reviewers because it... Transcends traditional boundaries

Proposes bold new directions Uses synergy to create “new” disciplines or alter

approaches within existing ones (e.g., neuro-economics)

You must demonstrate to reviewers that the collaboration is both appropriate and effective.

Clearly convey both collaborative history and potential!

Eye on the Reviewers!

For example…

Collaborative R01s require… Rationale for multi-site collaboration.

History of collaboration, particularly as it informs or drives preliminary…

Instrument development.

Data collection.

PI and his/her environment—complementary and integrated

Clearly convey both collaborative history and potential!

Activity 2—Selling the Team

Activity 2—Selling the Team

Writing the Multi-Pl Plan

Roles/areas of responsibilities of the PIsJustification of collaborative relationshipCoordination of fiscal and management areasProcess for decision-making

Scientific directionAllocation of resources

Team communicationsPublication and intellectual property policiesProcedures for resolving conflicts

What it is… “Summative” conversation with…

Program officers Reviewers Public (if funded)

“Mini” version of the proposal Covers each major component Captures the essence of the review criteria

~ Do discuss review criteria fully in the narrative! Addresses a wide variety of audiences

Provide a Snapshot of Your Work!

Executive summary, abstract, project summary… “…a rose by any other name….” (Shakespeare)

Write it

last!

What Else Goes in My Application?

Clear goal statementsWell-defined problem statement or rationale…

Supported by dataMost often presented as a “gap” in the field

Detailed set of project activities…Direct alignment of proposal content with

review criteriaMeaningful evaluation measuresCarefully justified budgetDirect link between budget items and narrative

Writing the Specific Aims Page

The Specific Aims page must… Market your idea Build a convincing case for funding Generate reviewer support for the project concept

Paragraph 1: Set the context/frame the problem

Paragraph 2: Propose a solution.

Paragraph 3: Briefly summarize your approach.

Paragraph 4: Summarize the overall impact.

By the end of the Specific Aims page reviewers are either sold on the project—or not!

Need and Solution

1) Identify a critical need in highly compelling terms. Opening “hook” sentence to begin the flow of logic, orient

reviewers to the context, provide direction “Knowns” – the current state of knowledge

“Unknown” – gap in current state of knowledge

Problem statement – direct indication of compelling need

2) Outline a solution (idea). Project goal (aligned with agency mission) Central hypothesis Basis for hypothesis (preliminary work + literature) Rationale (why?)

Approach and Outcomes

3) Lay out the approach. Project-specific aims or objectives

Logically related Not dependent on success of other aims/objectives

Logical step-by-step development of activities to fulfill the aims/objectives

4) Summarize the overall impact. Direct statement of expected results Expected benefits/impact of the outcomes…

Brief mention of Significance Brief mention of Innovation

Goal vs. Objective

Goals… Indicate overarching long-range direction. Provide broad statement of the targeted outcome.

~ Examples:

…to determine the role of changing marriage and family practices in shaping international migration.(The Reciprocal Dynamics of Family Transformation through International Marriage Migration; PI—Cole, University of Chicago; NSF award 1060807)

…to assess the long-term effect of [intimate partner violence] during pregnancy on early childhood health.

(Early Childhood Development in Relation to Intimate Partner Violence During Pregnancy; PI—Chen, Medicine/Dentistry of New Jersey-New Jersey Medical School, NIH R03 HD058249)

Consensus is critical for team science—write goals and objectives collaboratively!

Goal vs. Objective

Objectives… Break the goal down into smaller units Provide specific, measurable actions to achieve

the goal Outcome objectives…

Express intended results or accomplishments Focus on changes in policy, a system, the environment,

knowledge, attitudes, or behavior

Task-based or process objectives…

Focus on the activities to be completed Represent concrete steps in the implementation process

Sample Outcome Objectives

Outcome objectives…~ Examples:

…to determine if self-monitoring of daily eating and physical activity habits using a personal digital assistant (PDA), with or without a tailored feedback intervention, is superior to using a paper diary in terms of promoting and maintaining short and long-term weight loss.

(Improving Self-Monitoring in Weight Loss with Technology; PI—Burke, University of Pittsburgh at Pittsburgh, NIH R01DK071817)

Sample Objectives

Task-based or process objectives…~ Example:

… to create concerted patient care and clinical research workflow models, designed to promote awareness, information sharing and reuse…; establish a standards-based knowledge base of business rules to support the re-engineered care/research workflow model….

(Developing flexible EHR Plug-Ins to Re-Engineer Clinical Care and Research Workflow, PI—Bigger, Columbia University Health Sciences, NIH R01 LM0101815)

…to develop and validate a novel non-contact diffuse optical system for early hemodynamic assessment of ulcer development in deep tissues.

(Non-contact Diffuse Optical Assessment of Pressure Ulcer and Therapy, PI—Yu, University of Kentucky, NIH R21AR062356)

Task-based or process objectives…~ Example:

…to analyze the network assembly of vascular derivatives in hydrogels.

(CAREER: Hypoxia and Extracellular Matrix Remodeling in Vascular Differentiation and Network Assembly; PI—Gerecht, Johns Hopkins University, NSF award 1054415)

…to characterize (qualitatively and quantitatively) trophic interactions between major plankton groups in the euphotic zone and rates of, and contributors to, carbon export [in the Sargasso Sea.]

(Collaborative Research: Plankton Community Composition and Trophic Interactions; PI—Richardson, University of South Carolina, NSF award 1030345)

Writing Effective Objectives

Non-SMART objectives invite reviewer criticisms…

The scope is too ambitious. It is not clear that the applicant can achieve the

objectives during the project period. The objectives are not easily measured and,

thus, the expected outcomes are doubtful.

Know where your work is headed! Ensure your objectives are SMART… Specific Measurable Achievable Realistic Time-bound

Specific aims or objectives drive the application!

Project Rationale

A strong project rationale builds on a… Specific problem statement or Gap in the current state of the field

Provides a context or frame of reference for the work Underscores the importance of the goals/objectives Uses compelling language and statistics to describe…

Extent/degree of problem Need for the project and its urgency Impact of leaving the problem unaddressed Populations affected

The discussion of rationale (Why?) helps you sell the project.

Joshua Bell at the metro… “By most measures, he was nondescript: a

youngish white man in jeans, a long-sleeved T-shirt and a Washington Nationals baseball cap. From a small case, he removed a violin. Placing the open case at his feet, he shrewdly threw in a few dollars…and began to play.”

By Gene Weingarten

Washington Post Staff Writer

Sunday, April 8, 2007

http://www.washingtonpost.com/wp-dyn/content/article/2007/04/04/AR2007040401721.html

Tell Your Reviewer That It’s Important!

Never leave your reviewers to determine the impact themselves!

Success Is In the Details!

A competitive proposal… Starts with a good idea but develops the

idea into a very detailed action plan. Clearly indicates who, what, why, when, and

how…and it does so in highly specific detail.

Strong

ProposalGood Idea Action Plan

Position your proposal content as far as possible along the “Good Idea → Action Plan” continuum by laying out very specific details of the work.

Review Criteria Rule!

Study the review criteria. Are your responses to the criteria easy to find? Are the criteria thoroughly addressed? Are all criteria addressed? Did you seek outside review of the narrative

“against” the guidelines?

Evaluate! Analyze and interpret data, or evaluate program activities. Identify specific tools and measures linked to objectives. Identify an expert evaluator—internal or external—but not you!

Other Key Proposal Content

Sustain! Describe future studies, applications, other funding. Embed within a center, institute, or college. Conceive the project as a model for others.

Disseminate! Identify products, outcomes, or findings Deliver project deliverables. Share—publish, present, teach, post, reach out.

Identify precise areas of project value Merit or quality Worth or cost-effectiveness Significance or impact

Determine… What to evaluate (program and context) What performance aspects to judge What standards must be reached What evidence or indicators to use What conclusions are justified How outcomes will drive improvement

http://www.cdc.gov/eval/framework.htm

Evaluate Your Work!

What happens when it’s over? Program evaluation matters!

Sponsors/reviewers increasingly want to see… Formal expertise with data analysis and interpretation

Statistician Expert evaluator

Robust plan for critically analyzing the outcomes Formative/summative assessments Discussion of statistical measures Thoughtful discussion of conclusions to be drawn

Evidence-based measures appropriate to the standards of the discipline

Theoretical underpinnings of the analytical approach

Evaluate Your Work!

Budget sufficient funds for evaluation, or… risk undermining your work!

Identify directly and specifically… The products of your work The anticipated end users The overall benefit

Address sponsor’s expectations for sharing… Publication Presentation Participation in awardee network Application or translation to other settings Foundations for future studies by others

Share Your Work!

What did you create? New knowledge? Novel tools? Innovative approaches?

Consider ways to sustain the value of your creation… Future studies (think research program, not project) Existing resources to support sustainability Impact in building capacity or enabling translation External factors that support continuation

Lay groundwork for institutional buy-in… By senior administrators

Institutional assurances/commitments Other stakeholders or playmakers

Share and Sustain Your Work!

What did all that money buy? Plans to sustain matter!

Managing External Review

External review prior to submission is critical! AKA Red Team review

Pick toughest reviewers you can get…

People who will give great feedback

People who are engaged, so easier to keep engaged

Set parameters for “guided” review by red team reviewers.

Specify the section you wish feedback on.

Specify 4-5 issues you are struggling with.

But send the whole draft proposal in as polished a state as possible.

Managing External Review

AKA Red Team review (cont.) External/internal advisors/reviewers (or both) can

“play the heavy,” i.e., deliver the bad news.

Pressure on team to deliver quality content when other colleagues will see their work

Motivation to team to talk, regroup, revise

“Swap” reviews by collaborators create cohesiveness.

Within-the-team review

Inside knowledge of the project concept, so particularly informed review

Eye to alignment with the central concept

Successful sample proposals are invaluable!

Internet Resources

Writing Good Goals and Smart Objectiveshttp://www.cdc.gov/HealthyYouth/evaluation/resources.htm#5

“All About Grants” Tutorials(National Institute of Allergy and Infectious Diseases)

http://funding.niaid.nih.gov/ncn/grants/

Program Evaluation Toolkithttp://projectreporter.nih.gov/reporter.cfm

U.S. Department of Agriculturehttp://www.fsis.usda.gov/oppde/peis/Evaluation/Types.htm

User-Friendly Handbook for Mixed Method Evaluationshttp://www.nsf.gov/pubs/1997/nsf97153/start.htm

Identify successful projects—request sample proposals.

Your Questions?