community members’ guide to submitting a …...community members’ guide to submitting a...
TRANSCRIPT
Community Members’ Guide to Submitting A Community-Engaged Research Federal Grant Application
More information is available at www.tuftsctsi.org. If you have specific questions or would like to speak with one of our team members, please contact us at [email protected].
CONTRIBUTORS:
Tufts CTSI
Laurel K. Leslie, MD, MPH
Christina Mulé, PhD
Carolyn Rubin, EdD
Nathan Allukian, BA
Joe Hodgkin, BA
Marcia Izzi, MPH
Joseph Braitsch II, MRP
Community Partners
Chien-Chi Huang, MS
Megan Cheung, RN, LICSW
Vivien Wu, BA
Mei-Hua Fu, MS, MEd
Alex Pirie, BA
2
Contents Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Glossary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
HelpfulAcronyms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
INTRODUCTION 11
What Is Community-Engaged Research?
ModelsofCommunity-EngagedResearch . . . . . . . . . . . . . . . . . 12
ExamplesofCommunity-EngagedResearch . . . . . . . . . . . . . . . 14
COMMUNITY-ACADEMIC PARTNERSHIPS 16
How to Build Community-Academic Partnerships
AspectsofCommunity-AcademicPartnershipDevelopment . . . . . . . . . . . . . . . . . . . . . . . . 16
LearningaboutthePossibilitiesofCommunity-AcademicResearchPartnership . . . . . . . . . . . . . . . . . . . 17
EstablishGuidelinesandStrategiestoGuideInteractionswithAcademicResearchers . . . . . . . . . . . 18
BuildandMaintainRelationships . . . . . . . . . . . . . . . . . . . . . . 19
EstablishaClearCommunity-AcademicResearchPartnership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
COMMUNITY-ENGAGED RESEARCH APPLICATION 23
Administrative Logistics
ApplicationProcessChecklist . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
Pre-applicationProcess . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
ApplicationProcess . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
3
Pre-ApplicationProcess . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
TaxExemption . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
DataUniversalNumberingSystem(DUNS) . . . . . . . . . . . 24
eRACommonsIdentificationNumber . . . . . . . . . . . . . . . . 25
FacilitiesandAdministration(F&A)Rates . . . . . . . . . . . . 26
ApplicationProcess . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
KnowingtheLandscapeofPotentialFunding . . . . . . . . . 26
LetterofIntent(LOI) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
NegotiatingRoles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
HumanSubjectsResearchEthicsRequirements . . . . . . . 29
MemorandumofUnderstanding . . . . . . . . . . . . . . . . . . . . . 29
ConflictsofInterest(COI) . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
Budget&BudgetJustification . . . . . . . . . . . . . . . . . . . . . . . 30
Biosketches . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
LetterofSupport(LOS) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
GrantText . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
ConclusionsforAdministrativeLogistics . . . . . . . . . . . . . . . . . . . 31
ETHICS & BEST PRACTICE IN RESEARCH 33
Why Is Research Ethics Important?
InstitutionalReviewBoard(IRB)&FederalwideAssurance(FWA) . . . . . . . . . . . . . . . . . 33
ConflictsofInterest(COI) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
HealthInsurancePortabilityandAccountabilityAct(HIPAA) . 36
RESEARCH BUDGET & BUDGET JUSTIFICATION 38
Developing a Research Budget & Justification
HowtoDevelopaBudget . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
ExistingResources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
NeededResources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
FacilitiesandAdministration(F&A)Rates . . . . . . . . . . . . . 40
UnderstandingYourSpecificRoleintheGrantProcess . 40
SharingGrantFunds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
HowtoDevelopaBudgetJustification . . . . . . . . . . . . . . . . . . . 42
SuccessfullyCollaborating:TheCriticalRoleofCommunication . . . . . . . . . . . . . . .45
CONCLUSION 46
4
Overview
This guide is intended for community-based organiza-
tions that are interested in community-based research
partnerships with academic researchers (defined herein
asresearchersaffiliatedwithacademicuniversitiesandacademic
medicalcenters) .Itwasdevelopedaftercommunity-basedorga-
nizationsandacademic researchersexpressed interest inhaving
a resource that outlines the steps required to submit a federal
grantapplicationtofundingagenciessuchasNational Institutes
ofHealth(NIH),CentersforDiseaseControlandPrevention(CDC),
AgencyforHealthcareResearchandQuality(AHRQ),andPatient
CenteredOutcomesResearchInstitute(PCORI) .
Oneoftheprimarygoalsofthisguideistohelpstreamlinethe
processofmeetingfederalresearchgrantapplicationrequirements
forcollaborationsbetweencommunitymembersandresearchers .
Inthisguide,youwillfind
nInformationaboutcommunity-engagedresearch
nInformationyouneedtobuildcommunity-academic
researchpartnerships
nInformationyouneedtoprepareafederalcommunity-
engagedresearchapplication
nUsefultipsandexamplestoguideyouthroughfederal
grantsubmissions .
TheguideisaproductoftheCenterforAligningResearchers
andCommunities forHealth (ARCH)ofTuftsClinicalandTrans-
lational Science Institute (CTSI) . If after reading this guide you
are interested inpursuingacommunity-academic researchpart-
nership, please contact Tufts CTSI for more information . If you
wouldlikespecificconsultation,pleasecompletearequestform:
http://informatics .tuftsctsi .org/pims/request .htm .
Weencourageyoutoexploreourwebsite:www.tuftsctsi.org .
5
Glossary 501(c)(3):Anorganizationwiththisstatus isexemptfromsome
formsoffederalincometax .Thisstatusisreservedfororganiza-
tionsworkingfor“religious,charitable,scientific,testingforpublic
safety, literary, or educational purposes, or to foster national or
internationalamateursportscompetition(butonlyifnopartofits
activitiesinvolvetheprovisionofathleticfacilitiesorequipment),
or for thepreventionofcruelty tochildrenoranimals” [26USC
501(c)(3)]) .Organizationswith501(c)(3)statusarenotallowedto
campaignforpoliticalcandidatesorlegislation .Doingsowillresult
intheirtax-exemptstatusbeingrevoked .Moreinformationabout
501(c)(3) taxexemptstatuscanbe foundathttp://www .irs .gov/
Charities-&-Non-Profits/ .
Allowable Costs: Allowablecosts areexpenses that are reason-
ableandnecessary .
Award:Federal fundinggranted intheformofanaward isgen-
erallygrantedinannual installmentsandallowsformoreflexibil-
ityandadjustmentthanfederalfundinggrantedintheformofa
federalcontract .Ateamisheldtolessspecificexpectationsand
consequencesforchangesintheprojectwhenitisfundedthrough
anaward .
Biosketch:Aformsubmittedwithanapplicationforfundingthat
summarizestheeducationandexperienceofaresearcher .Thisis
shortandshouldaimtohighlighttheexperiencethatmakesthe
researcherastrongapplicantforthegrantinquestion .Thetem-
plate for theNational InstitutesofHealth (NIH)biosketchanda
sample can be found at http://grants .nih .gov/grants/funding/
phs398/phs398 .pdf .
Budget Justification Form:Aformthatprovidesanarrativeexpla-
nation for each of the components mentioned in the budget; it
explains,or“justifies,”thecostofthework .Eachitemshouldbe
6
explainedbyitsnecessitytoachievetheaimoftheproject,pro-
videsufficientdetailthatdescribesthework,howitrelatestothe
cost,andlinkstotheaim .
Commons ID: ACommonsIDor“eRACommonsID”isanidentifi-
cationnumberrequiredofallinvestigatorssubmittingapplication
toNIH .ItisimportanttorequestanIDwellinadvanceofyourgrant
submissiondeadlinebecausetheprocessofobtaininganumber
cantakeweeks .FormoreinformationoneRACommonsIDnum-
ber,visithttp://era .nih .gov/commons/faq_commons .cfm .
Conflict of Interest:Asituationinwhichinvestigatorsinaresearch
study have a relationship or interest that may conflict with the
goalsoftheproject .Conflictsofinterestshouldbeavoidedatall
costsoraccountedforinprojectproposals .
Consultant:Inagrantapplication,aconsultantisanindependent
(i .e .,he/sheisunaffiliatedwithanotherinstitution)individualfrom
outside the applying institution who will be participating in the
researchandwhowillbepaidforhisorherservices .
Contract:Federalfundinggrantedinacontractiscontingentupon
meetingveryspecificrequirements .Oftenthefundingwillbedeliv-
eredininstallmentsasthegroupmeetsbenchmarksestablishedin
thecontract .Iftheprojectdoesnotproceedaspromised,theteam
willbe subject to legalorfinancial consequences .Contractsare
usuallypaidforonacostreimbursementbasis .
Cost Principles: Costprinciplesarechargesthatcannotbecharged
tograntsandareconsideredunallowableexpenses(e .g .,alcohol) .
Data Universal Numbering System (DUNS): This is a registra-
tion system for businesses that is used by governments around
theworld,includingtheU .S .government .Fundingsourcesusually
requireapplicants tohaveaDUNSnumber .Anorganizationcan
obtain a unique, nine-digit DUNS number by applying to Dun &
Bradstreet,thegroupthatassignsthem,athttp://www .dnb .com/
get-a-duns-number .html .
Direct Costs:Whenapplyingforfundingforaproject,directcosts
makeuptheportionofyourgrantthatisspentsolelyonthecost
ofthatproject .Examplesincludethesalariesandbenefitsofstaff
memberswhoworkfulltimeonthatproject,thecostofsupplies
thatareusedexclusivelyforthatproject,ortravelforthepurpose
ofworkingonthatproject .
7
Electronic Research Administration (eRA) Commons:This isan
onlineportaladministeredbytheU .S .DepartmentofHealthand
HumanServices(HHS) .Itsfunctionistomovethegrantapplica-
tionandapprovalprocess (the “grant lifecycle”)online,making
itmoreefficient .Applicants forgrantscansubmitmaterialsand
reviewtheirprogressthroughthetool,whilegranteescanupdate
applicantsandrequestfurtherinformation .TheeRAcommonscan
beaccessedathttps://commons .era .nih .gov/ .
Facilities and Administration (F&A):Afundingapplicationmust
also account for indirect costs, which come from spending that
supports your project, but not exclusively . For example, if your
teamissharingabuildingwithpeopleworkingonotherprojects,
thentheheat,rent,electricity,andphonebillsforthatbuilding,as
wellassalariesofmaintenancestaff,aresupportingyourproject,
butnotexclusively .Rateagreementshaveformulae forcalculat-
ingtheindirectcostofaproject .Institutionsnegotiatetheserates
withthefederalgovernment .
nFoundationsoftensetanindirectrateatapercent
ofthetotalprojectaward(0,10,12,15%) .Thesemay
rangefrom0to100% .
nCommunity-basedorganizationscanalsorequestindi-
rectcosts—itisimportanttodecideasanorganization .
Federalwide Assurance (FWA):Anagreementwith thegovern-
ment tocomplywith federal standards forethical researchwith
humansubjects .AnFWAisrequiredfororganizationsthatconduct
humansubjectsresearchsupportedbyorpaidforbyanyagency
of theU .S .DepartmentofHealthandHumanServices (HHS) .A
projectconductedatanorganizationwithanFWAisapprovedby
anInstitutionalReviewBoard,whichhelpsresearchstayincompli-
ancewithfederalregulationsandprotecthumansubjects .Instruc-
tionsforobtaininganFWAnumbercanbefoundathttp://ohrp .cit .
nih .gov/efile/FwaStart .aspx .
Health Insurance Portability and Accountability Act (HIPAA):This
1996federallawputinplaceasystemfortheprotectionofpatient
privacy .Healthcareprovidersmustbetrainedbytheirinstitutions
intheseprivacypractices .AsummaryoftheHIPAARulecanbe
found at http://www .hhs .gov/ocr/privacy/hipaa/understanding/
summary/index .html .
8
Human Subjects Training Requirements:Thecurriculumaninsti-
tution requires researchers tocomplete if theyareworkingwith
humansubjects .Theserequirementsaredesignedtobeincompli-
ancewiththeregulationsregardinghumansubjectsresearchlaid
outbytheU .S .DepartmentofHealthandHumanServices(HHS),
includingHIPAA .
Inflation: If a project will take place over years, the researchers
andfundersmaytaketheincreaseinpricesoverthattime(infla-
tion) intoaccountwhenplanningfunding .Adjustingfor inflation
increasestheprojectedcostofaproject;however,somefunding
agencieshavediscontinuedinflationary increases . It is important
toconsiderthiswhenyoudraftyourinitialbudget .
Informed Consent: Participants in medical research must give
researchers their documented consent to participate . For this
consenttobe“informed,” itmustbeproventhatallthe implica-
tionsofparticipatinginthestudywereexplainedtoparticipants;
theyunderstoodtheexplanation;andtheyagreedtoparticipate
withafullunderstandingofwhattheywereagreeingto,without
beingcoerced inanyway .Foraproject toproceed, researchers
mustdemonstratetotheirpotentialfundingsourcestheirplansfor
obtaininginformedconsentfromparticipants .InstitutionalReview
Boardsareexpectedtoreviewastudy’s informedconsentplans
beforeapprovingit .
In-Kind:Anin-kindparticipantinaprojectissomeonewhodoes
notexpect reimbursement forhisorher role .This is sometimes
referredtoas“cost-sharing .”
Institutional Review Board (IRB): A committee that reviews
researchinvolvinghumansubjects .TheIRBisresponsibleforpro-
tectingthesafety,rights,andwelfareofhumansubjects,aswellas
ensuringcompliancewithregulationsandpoliciesforhumansub-
jectsresearch .Thefederalgovernmentsetsstandardsforthecom-
positionandfunctionofreviewboardsthroughtheFoodandDrug
AdministrationandtheDepartmentofHealthandHumanServices .
Information about Tufts IRB can be found at http://viceprovost .
tufts .edu/HSCIRB/ .
Letter of Support:Thisisadocumentsubmittedbyaninstitution
orsupporter(butwrittencooperativelybythecollaborators)and
submittedwithagrantapplication . Itdemonstratesthatthecol-
laboratorwhoisnottheprimarygrantsubmitter isonthesame
9
page,knowshisorherrole,andispledginghisorhersupportto
theproject .
Memorandum of Understanding (MOU) or Memorandum of
Agreement:Thisisanexternaldocumentdraftedbycollaborators
onaprojectthatspecificallydefinestherolesofeachcollaborator
andwhatisexpectedofeachofthem .Thisisanimportantstepin
collaborating,sinceitpreventslaterdisagreementsoverresponsi-
bilities .MOUsareusuallydefinedinthesubcontractpackages .A
guide towritingamemorandumofunderstanding fromtheU .S .
DepartmentofHealthandHumanServicescanbefoundathttp://
aspe .hhs .gov/daltcp/reports/mouguide .htm .
Office for Human Research Protections (OHRP):Thebranchof
the U .S . Department of Health and Human Services (HHS) that
oversees ethical standards for human subjects research . OHRP
approvesIRBsandgrantsfederalwideassurances(FWAs)toinsti-
tutions conducting human subjects research supported by HHS .
OHRP’s tools for investigators can be found at http://www .hhs .
gov/ohrp/policy/investigators/index .html .Abrochureforpotential
research participants can be found at http://www .hhs .gov/ohrp/
education/brochures/3panelfinal .pdf .
Prime Institution: Whenmultipleinstitutionsororganizationsare
involvedinagrantapplication,oneinstitutionmustbedesignated
as the prime institution, and funding for the other institution(s)
must be requested via a subcontract to be administered by the
primeinstitution .Theprimeinstitutionistypicallytheorganization
bywhichtheprimaryinvestigatorisemployed .
Subcontract/Subaward:Whentheprimeinstitutionwantstocol-
laboratewithresearchersatanotherinstitution,asubcontract,or
subaward,mustbearrangedsothatfundingcangotobothinsti-
tutions .An important requirement is that the rolesofallparties
areclearlydefined .Thedifferencesbetweencontractsandawards
(discussedabove)applytosubcontractsandsubawardsaswell .
10
Helpful Acronyms
Researchprojectsmayinvolvealotofresearchjargon,which
canbeachallengewhencommunitygroupsandresearchers
collaborate . We compiled a list of acronyms that are commonly
usedinresearchprojects,whichmaybehelpfulforyou .
ACRP:AssociationofClinicalResearchProfessionals
AHRQ:AgencyforHealthcareResearchandQuality
Biosketch:BiographicalSketch
CBO:Community-BasedOrganization
CBPR:Community-BasedParticipatoryResearch
CEnR:Community-EngagedResearch
COI:ConflictofInterest
CTSA:ClinicalandTranslationalScienceAward
DUNS:DataUniversalNumberingSystem
eRA Commons:ElectronicResearchAdministrationCommons
IAA:InstitutionalAuthorizationAgreement
IIA:IndividualInvestigatorAgreement
LOI:LetterofIntent
F&A:FacilitiesandAdministrativeCosts
FDA:FoodandDrugAdministration
FWA:FederalwideAssurance
HHS:DepartmentofHealthandHumanServices
HIPAA:HealthInsurancePortabilityandAccountabilityAct
IRB:InstitutionalReviewBoard
NIH:NationalInstitutesofHealth
OHRP:OfficeforHumanResearchProtections
PI:PrincipalInvestigator
RFA:RequestforApplications
FOA:FundingOpportunityAnnouncement
RFP:RequestforProposals
MOU:MemorandumofUnderstanding
11
INTRODUCTION
What Is Community-Engaged Research?
Community-engaged research (CEnR) is defined as
research that engages in “the process of working col-
laborativelywithandthroughgroupsofpeopleaffiliated
by geographic proximity, special interest, or similar situations to
addressissuesaffectingthewell-beingofthosepeople”(Centers
forDiseaseControldefinition,1997) .
Inthisbroaddefinition,“community”canincludeavarietyof
stakeholders,including
nCommunityleadersandstaffincommunity-based
organizations
nProviders,supportstaff,andadministratorsin
locationslikeclinics,hospitals,mentalhealthsystems,
long-termcarefacilities,schools,andhome-based
programs
nPatientsandtheirfamilies
nIndividualsandgroupspayingfor,purchasing,or
settingpolicyaboutwell-beingandhealth .
CEnRisincreasinglyseenasanessentialstrategyforadvanc-
ing innovative, high-quality research . Communities, researchers,
and federal government funding agencies recognize the advan-
tagesofCEnR,whichincluderesearchthat
nIsfeasibletoconductinreal-worldsettings
nIsrelevanttocommunityneeds
nCanbedisseminatedandimplementedinreal-world
settings
nBalancesscienceandaction .
12
OnekeyprincipleofCEnRisanassets-based approach.CEnR
acknowledgestherearesynergisticassets,orstrengths,thatcom-
munities and researchers collaboratively bring to the table . This
asset-based approach relies on respectful, open communication
andshareddecision-making .
AsecondkeyprincipleisthatCEnRisaction-oriented. CEnR
seeks to link research to changes in practices, systems, or poli-
cies .Often,CEnRincludescommunityleaders,staffincommunity-
basedorganizations,patients,advocacygroups,andcommunity
members aswell as academic researchers from colleges/univer-
sitiesdoing research together to improvehealthofunderserved
populations,geographicalcommunities,orpatientgroups .
A third key principle is capacity-building. Inherent in the
establishmentandmaintenanceofcommunity-academicresearch
partnershipsistheneedtobuildthecapacityforbothcommunity
andacademicpartnerstoworksynergisticallywitheachother .
CommunitymembersvaryintheirrolesinCEnR .Theymay
nIdentifytheneedforresearchonaparticulartopic
nBringthattopictotheattentionoffunderslikethe
federalgovernmentorfoundations,orresearchersat
universities
nCommissionresearch
nServeasco-investigatorsonresearchprojectswith
academicresearchers
nServeonsteeringcommitteesoradvisorypanels,pro-
vidingtheirperspectivesontheresearchbeingcon-
ductedandhelpingtointerpretanyfindings
nRecruitcommunitymemberstoparticipateinresearch
nCollectdataforresearch(conductingneedsassess-
ments,surveys,focusgroups,andinterviews)
nDisseminateresearchfindingstotheirconstituency
nAdvocateforsystems,policy,andpracticechanges
thataresupportedbyresearchfindings .
Models of Community-Engaged Research
CEnRliesonacontinuumandmayvarybywhoowns,oper-
ates,andconductstheresearch .Itacknowledgesthatthere
TheCTSAProgramatNIH:OpportunitiesforAdvancingClinicalandTranslationalResearchhttp://www .iom .edu/Reports/2013/The-CTSA-Program-at-NIH-Opportunities-for-Advancing-Clinical-and-Translational-Research .aspx
PrinciplesofCommunityEngagement,SecondEditionhttp://www .atsdr .cdc .gov/communityengagement/pdf/PCE_Report_508_FINAL .pdf
More information and free materials on CEnR is available at
13
aremultipleapproachesforcommunitymemberstoengagewith
academic researchers: Theapproachchosenwill dependon the
identifiedgoalofthecollaboration,theexpertiseofeachcollabo-
rator,andavailableresources(seeFigure1) .
Often,anacademicresearchermayleadaprojectwithacom-
munitygroupservinginmoreofanadvisoryorconsultancycapac-
Shared Leadership
•Strongbidirectionalrelationship
•Finaldecisionmakingisatcommunitylevel
•Entitieshaveformedstrongpartnershipstructures
•Outcomes:Broaderhealthoutcomesaffectingbroadercommunity .Strongbidirectionaltrustbuilt
Collaborate
•Communityinvolvement
•Communicationflowisbidirectional
•Formspartnershipswithcommunityoneachaspectofprojectfromdevelopmenttosolution
•Entitiesformbidirectionalcommunicationchannels
•Outcomes:Partnershipbuilding,trustbuilding
Involve
•Bettercommunityinvolvement
•Communicationflowsbothways,participatoryformofcommunication
•Involvesmoreparticipationwithcommunityonissues
•Entitiescooperatewitheachother
•Outcomes:Visibilityofpartnershipestablishedwithincreasedcooperation
Consult
•Morecommunityinvolvement
•Communicationflowstothecommunityandthenback,answerseeking
•Getsinformationorfeedbackfromthecommunity
•Entitiesshareinformation
•Outcomes:Developsconnections
Outreach
•Somecommunityinvolvement
•Communicationflowsfromonetotheother,toinform
•Providescommunitywithinformation
•Entitiescoexist
•Outcomes: Optimally,establishescommunicationchannelsandchannelsforoutreach
Reference:Modifiedbytheauthorsfromthe“PrinciplesofCommunityEngagement,SecondEdition .”
Incre
ase
d L
eve
ls o
f C
om
mu
nit
y I
nvo
lve
me
nt,
Im
pact,
Tru
st, an
d C
om
mu
nic
ati
on
Flo
w
Figure 1:ContinuumofCommunity-EngagedResearch
14
ity .Overthelastseveraldecades,community-based participatory
research (CBPR)hasincreasinglygainedinternationalrecognition
as a means of creating social change . In CBPR, the entire pro-
cessisjointlyownedamongresearchersandcommunitygroups .
Othernames for this typeof research includecommunity-based
participatoryactionresearchandparticipatoryactionresearch .A
third model of CEnR also occurs when community groups con-
duct research at their organization with one or more academic
researchersservingasconsultantsoradvisors .
Examples of Community-Engaged Research
CEnRtopicareasmaybeidentifiedbycommunitygroups(e .g .,
thepublic,communityagencies,patients,patients’ families,
providers, etc .), academic researchers, or community-academic
partnerships .BelowareexamplesofCEnRresearchprojectsthat
arecommunityinitiated,researcherinitiated,orjointlydeveloped .
Theprinciplesofengagementdiscussedabovearealsodemon-
stratedthroughtheseexamples .
Example 1: Youhaveidentifiedagrowingneedinyourcommunity.
Youwanttounderstanditscausesanddeveloppotentialinterven-
tions.Youmaywanttocollaboratewithacademicresearchersto
conductresearchthatwillhelpmeettheneedsofyourcommunity.
You and your organization are excited to engage in an in-depth
researchproject.
Helenarunsanafter-schoolprogramandiscommittedtopre-
ventinggangviolenceinhercommunity .Shewouldliketoapply
forlargefederalgrantsorfoundationgrantstopursueherefforts .
Sheislookingforacollaborativeresearchpartnershipwithanaca-
demicresearcheratthelocaluniversity .Helenawillinitiateconver-
sationswithanacademicaboutherresearchideas .Shemaywant
tobealeaderoftheresearchprojectoruseaCBPRapproach .
Example 2: Youareaskedbyaresearchertohelpwitharesearch
study.Yourtasksmayincluderunningfocusgroups,findingpeople
toparticipateinthestudy,orparticipatinginaninterviewasakey
stakeholder.
Fredworksforahousinginitiativeandisaskedbyresearch-
erstofindpeopletoparticipateinastudyonasthmatriggersin
low-incomehousing .BecauseFred iscentral to thedailyopera-
tionsofhisorganization,histimeismostlyspentonfront-lineser-
vices .Fredisalsoveryinterestedintheimpactofmoldycarpets
Community-BasedParticipatoryResearch:ConferenceSummaryhttp://www .ahrq .gov/news/events/other/cbpr/index .html
DevelopingandSustainingCommunity-BasedParticipatoryResearchPartnerships:ASkill-BuildingCurriculumhttp://depts .washington .edu/ccph/cbpr/index .php
WellesleyInstitute http://www .wellesleyinstitute .com/presentations/cbr_100_series/
More information and free materials on CBPR are available at
15
onpeoplelivinginthepublichousinginhisarea .Hemaychooseto
servemoreofanadvisoryroleontheresearchprojectandbeless
hands-onfortheday-to-dayactivitiesoftheproject .Alternatively,
hemayfeelthisprojectissynergisticwithhisorganization’smis-
sion,therearesufficientresourcestocoverhisshiftingworkload,
andhewantsmoreinvolvementwiththeresearchteam .Fredcan
decidehislevelofinvolvementintheproject .
Example 3: Youwouldliketoconsultwitharesearcheraboutavail-
abledataregardingneedsinyourcommunityormethodstostudy
aninterventioninyourorganization.
MaiisinterestedinpeersupportgroupsforAsianwomenwith
breastcancerandhasanideaforherorganization .Shewouldlike
tofindoutwhathasbeenpublishedonpeer supportprograms
withAsianwomenandmethodsforpossiblysettingupandevalu-
atinganintervention .Maiwasnotoriginallylookingforapartner-
shiptodoresearch;however,sherealizeshowlittleisknownabout
caringforAsianwomenwithbreastcanceranddecidestojointly
submitagrantproposalwiththeresearcher .
Example 4: Anacademicresearcherisexploringriskfactorsrelated
tosocioeconomicstatusandparentingpractices.Theresearcher
seekshelpindisseminatinginformationtothecommunity.
Juan isthedirectorofacommunitymentalhealthcenter .A
researcher is completing a study regarding parenting practices
among socioeconomically disadvantaged families . In addition to
producing academic manuscripts, the researcher is producing a
seriesoffactsheetstosharewiththecommunity .Theresearcher
seeksJuan’ssupporttodisseminatetheinformationtothecom-
munity . Juan invites the researcher to talk with his community
mentalhealthcenterstaffaboutthecontentandtoneofthefact
sheet,andpossibilitiesfordistributingthefactsheetsatcommu-
nityevents .
“Chapter3:SuccessfulExamplesintheField,”PrinciplesofCommunityEngagement,secondeditionhttp://www .atsdr .cdc .gov/communityengagement/pdf/PCE_Report_508_FINAL .pdf
More CEnR examples are available at
16
How to Build Community- Academic Research Partnerships
COMMUNITY-ACADEMIC PARTNERSHIPS
Collaborating on research can be an exciting experience
andapowerfultoolforfurtheringthegoalsofyourorga-
nizationandcommunity .Itiscriticaltoacknowledgethat
buildinganeffectivepartnershipbetweenyourorganizationand
academicpartnerstakeshardwork,time,andresourcesfromboth
parties .Communityorganizationsandacademicinstitutionshave
differentculturesandmissions .Developingacommunity-academic
researchpartnershiprequirescloseattentiontobothofthem .
Aspects of Community-Academic Partnership Development
Before enlisting in a research partnership, it is important to
consider four aspects of community-academic partnership
development:
nLearnaboutthepossibilitiesforcommunity-academic
partnership
nEstablishguidelinesandstrategiesthatwillguide
interactionswithacademicresearchers
nBuildandmaintainrelationships
nEstablishaclearcommunity-academicresearch
partnership .
We discuss each of these four aspects of community-
academicpartnershipdevelopmentinmoredetailbelow .
Theconvening
organization“must
havesufficient
organizational
capacity,commitment,
leadership,andvision
tobuildaneffective
coalition .”
(Butterfoss,2007,p .254)
17
Learning about the Possibilities of Community-Academic Research Partnership
Thefirstaspectisaimedatbetterunderstandingthepossibilities
ofcommunity-academicresearchpartnerships .Asacommunity-
basedorganization,theaimistoevaluateyourgoalsinpartnering
withanacademicresearcheranddetermineiftherearepossible
synergies with an academic researcher’s goals . You will need to
knowwhether researchfitswithyourorganization’soverarching
mission, strategic plan, and goals . Here are some questions you
mightaskyourselfasacommunity-basedorganization,andques-
tionsyoumightdiscusswithyourpotentialacademicpartners:
Community-Based Organization
Academic Partner
Mission & Goals
•Howwouldresearchhelpmyorganizationachieveitsgoalsandobjectives?
•HowcanIguidetheresearchprojecttobeconsistentwithmyorganization’smission?
•Doourorganizationalvision,mission,andvaluesalignwiththeacademicresearchers’vision,mission,andvalues?
•Whatareourgoalsfordoingresearchtogether?
•Whatarethegoalsandobjectivesofourpartnership?
•Howmightourpartnershiphelpuseachbetterachieveourowngoalsandobjectives?
•Whoarethekeystakeholdersinourpartnership?
•Howcanthesekeystakeholderstakepartintheresearchprocess?
•Howcanweguidetheresearchprojecttobeconsistentwiththemissionofourrespectiveorganizations?
Benefits & Risks
continued on next page
•Howmightmyorganizationbenefitfromaresearchproject?
•Whataresomeofthebenefitsanddrawbacksofresearch?
•Dotheacademicresearchersunderstandourcommunity’schallenges/needs?Ifnot,aretheyopentolearning?Howcanwehelpthemtobetterunderstandourchallenges/needs?
•Whatwillweeachgainthroughthispartnership(e .g .,opportunitiesforstaffdevelopment,learninghowtobestanswerresearchquestions,connectionstokeystakeholders,etc .)?
•Doweeachhavesignificanttimeandenergytodevotetoanewresearchprojectandpartnership?
18
Establish Guidelines and Strategies to Guide Interactions with Academic Researchers
Community agencies or organizations are often asked to assist
withresearchendeavors(e .g .,theymaybeaskedbygraduatestu-
dentswhoneedstudyparticipantsinordertocompletetheirdis-
sertations, or they may be asked by academic researchers who
wanttocollaborativelyaddresssomeresearchquestion) .Commu-
nityagenciesororganizationsneed toestablishguidelinesand/
orstrategiesforhowtheywillmanagerequestsandhowtheycan
effectivelybuildrelationshipswiththeirresearchpartners .Build-
Community-Based Organization
Academic Partner
Benefits & Riskscontinued
•Whataresomeofthechallenges/needsoftraditionalacademicresearchthatImaycomeacrossasIworkwithanacademicresearcher?AmIopentolearning?Howcantheybetterhelpustounderstandtheirchallenges/needs(e .g .,fundingtimelinesandlimits,producingscientificresults,publishinginprofessionaljournals,etc .)?
•Isthereaprocessinplacethatissensitivetobothofourchallenges/needs?
•Whataresomeofthebenefitsanddrawbacksofcommunity-academiccollaborativeresearch?Howmightweaddressthedrawbacksinordertomakethispartnershipsuccessful?
Ability & Resources
•Howwillparticipatinginaresearchpartnershipimpactourday-to-dayoperations?Willthisprojectmeanaddingstafforreorganizingourresources?Ifso,whataretheconsequences(positiveandnegative)ofparticipating?Isitworthourefforts?
•Howwillthestudy’sbudgetaddressourspecificneedforextratraining,staffing,and/oradministrativeresourcesnecessarytoconducttheresearch?
•Inwhatwaysareourrespectiveorganizationspreparedandreadytoengageinanewresearchprojectandpartnership?
•Whathuman,financial,andtechnicalresourcesareneededforagoodandhealthyresearchpartnership?
•Howwillthestudy’sbudgetaddressthepotentialneedforextratraining,staffing,and/oradministrativeresourcesnecessaryforboththecommunityandtheresearchmemberstoconducttheresearchproject?
•Howwilltheresourceswehaveorwillreceivebesharedfairlybetweenus?
Note: Questionsmodifiedfromthe“SelfAssessmentToolforCommunity-EngagedResearch”locatedontheTuftsCTSIwebsite:http://www.tuftsctsi.org/Services-and-Consultation/Community-Engagement/Community-Engagement-Tools-and-Resources.aspx.
19
inga relationshipwithanacademic researcheroftengoesmore
smoothlyifbothgroups
nTakethetimetolearnabouteachother’sworkbefore
proposingprojects
nCometothetablewithoutassumptionsabouteach
other’sprioritiesorinterests
nMoveforwardatanappropriatepace,withoutrushing,
andasklotsofquestionsthroughouttheprocess
nProposeprojectsthathavearangeofpossibleideas
andallowforflexibility .
Someinstitutionshavepublisheddocumentswithguidelines
for how they will do research with academic researchers . These
mayhelpwithnegotiatinghowyouwillworktogether .Forsamples,
pleasego tohttp://www .tuftsctsi .org/Services-and-Consultation/
Community-Engagement/Community-Engagement-Tools-and-
Resources .aspx#SampleDocs .
Build and Maintain Relationships
A community organization’s relationship with researchers will
likelybeginwithone-on-oneconversations,eitherscheduledout
ofmutualinterestorperhapsresultingfromeventsinthecommu-
nityattendedby individuals frombothparties .Onechallenge in
movinganideaforwardisscalinguparelationshipthatisperson-
to-persontoonethat isorganization-to-organization .Whentwo
people form a mutually beneficial relationship and are excited
aboutworkingtogether, ithelps forcommunity-basedorganiza-
tionsandacademicresearchersto
nMeetone-on-onetoshareideasaboutcollaboration .
nAsktogetrespectiveorganizationsonboard .Arethey
likelytoshareourenthusiasmandvision?
nConsiderwhatstepsneedtobetakentogettheproj-
ectapprovedbyeachrespectiveorganization .What
isthestructureoftheorganization,andhowaredeci-
sionsmade?Isitnecessarytomeetwithagovernance
committee,fundraising/developmentcommittee,or
programevaluationcommittee?
Establishingorganizationalsupport,orbuy-in,andestablish-
ing clear research goals can take considerable time . During this
process it is helpful to keep formal and informal conversations
20
going with your academic partners to assist with strengthen-
ing your relationship . Once you have established organizational
support, you are ready to begin discussing specific community-
academicresearchpartnerships .
Establish a Clear Community-Academic Research Partnership
Once you have built a relationship with an academic researcher
andhavecommittedtoacollaborativeresearchgoal,youmaybe
readytoestablishapartnershiparoundaspecificproject .However,
establishingaclearunderstandingofyourpartnershipiscriticalto
asuccessfulresearchrelationship .Theengagementprocessmust
behonest,andexpectationsmustbeclear,aseffortshavefloun-
deredinthepastduetotheabsenceoftransparencyandreciproc-
ity .Youwillwanttoclearlydelineaterolesandadecision-making
process .Belowaresomequestionsthatwillhelpyouthroughout
thisprocess:
nAretheroles,responsibilities,andexpectationswithin
ourpartnershipclearlydefinedandunderstoodby
everyone?Aretheseexplainedinwriting(e .g .,Who
willdowhat?Whowillultimatelyberesponsible?
Whenwehaveconflictsaboutrolesandresponsibili-
ties,howwillthosebehandled?)?
nWhatkindofdecision-makingprocesswillbeused
throughoutourpartnership(e .g .,ledbycommunity
organizationmembers,ledbyacademicresearchers,
jointlyledbybothcommunityorganizationandaca-
demicresearchers)?
nHowwillfundingbesharedacrosspartners?Ifthe
fundingagencyproposescutstothebudget,howwill
decisionsbemadeaboutthosecuts?
nHowwillthemanypartsoftheresearchproject(e .g .,
definingstudyquestions,writingproposals,designing
methods,analyzingresults,distributingfindings)be
dividedbetweenthecommunityorganizationandthe
academicpartners?
nWhowillhaveownershipofthedatacollectedthrough
theresearchproject,intellectualrightsoftheresearch
produced,andauthorshipofresearchpapers?
21
nWhatistheextentofthecommunity-academic
researchpartnership(i .e .,Isthisalong-termpartner-
ship?Isthisatestcasewherewearelearningabout
eachother?Areweinterestedinthepartnershiponly
foraspecificgrantapplication?)?
Fundamentaltoallofthesequestionsistrust .Doyouhavea
relationshipinwhichyoucantrusteachothertonegotiatedecisions
togetherthatareassynergisticaspossible,withintheconstraints
ofyourdifferentorganizations,overthecourseofthecommunity-
academic research relationship? Once these partnership issues
are addressed, community-academic partners can move toward
addressingconcreteresearchquestions .Werecommendpartners
consultthe“WorkingTogetherforResearchThatMatters:Stepsto
Building Successful Research Partnerships” model developed by
thecityofLawrence,Massachusetts,andschematicallyportrayed
onthefollowingpage .
Note: TheWorkingTogetherModelwascreatedbyLawrenceleadersandcanbefoundathttp://www .tuftsctsi .org/Services-and-Consultation/Community-Engagement/Community-Engagement-Tools-and-Resources .aspx#SampleDocs .
22
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23
Administrative Logistics
COMMUNITY-ENGAGED RESEARCH APPLICATION
Writingagrantapplicationcanbeachallengingpro-
cess . In addition to developing research questions
thatarecompetitiveforgrantfunding,community-
academicpartnersneedtomanagelogisticalissues .Manyofthese
logisticswillneedtobeaddressedconcurrently,whichresults in
numerous,simultaneouslymovingparts .Belowisagrantapplica-
tionchecklisttohelpguideyouthroughtheprocess:
Application Process Checklist
Pre-application Process
nIhaveestablishedlinkageswithresearchers .
nMyorganization’smissionalignswiththegoalsof
thisresearch .
nMyorganizationisonboardfortheprojectandhas
theresourcestocommittotheproject .
nMyorganizationhastax-exemptstatus(e .g .,501(c)(3)
orother) .
nMyorganizationhasaDataUniversalNumbering
System(DUNS)number .
nMyorganizationhasaneRACommonsidentification
number .
nMyorganizationhasanestablishedfacilitiesand
administration(F&A)rate(alsoknownasindirect
costrate[IDC]) .
24
Application Process
nIamawareofpotentialfundingopportunities .
nIhaveidentifiedapotentialfundingsourceandsenta
letterofintent .
nIknowthetitles,roles,andexpectedpayofallcollab-
oratorsintheproject .
nIhavediscussedhumansubjectresearchethics
requirementsandinformedconsentwithmy
collaborators .
nIhaveco-writtenandsignedamemorandumofunder-
standingwithmycollaborators .
nIhavediscussedpotentialconflictsofinterestwithmy
collaboratorsandcompletedconflictofinterestforms .
nIhavedevelopedabudget,takingintoconsideration
directandindirectcosts,inflation,andallocationof
fundsamongcollaborators .
nAllcollaboratorshaveappropriatebiosketchesready .
nIhavecompletedaletterofsupportifIamnotthe
principalinvestigator(PI) .
nIhavewrittenthegranttextthatIamresponsiblefor .
Severaloftheaboveitemswerediscussedinearliersectionsof
thisguide(e .g .,howtobuildcommunity-academicpartnerships) .
Thissectionincludesinformationtohelpguideyouthroughaddi-
tionalaspectsofthegrantapplicationprocess .
Pre-Application Process
Tax Exemption
Mostcommunity-basedorganizationsalreadyhaveestablishedtax
exemptionbecauseoftheirnon-profitstatus .Ifyourorganization
doesnotyethavetaxexemption,youwillneedtoobtain501(c)
(3)orothertax-exemptstatusthroughtheInternalRevenueSer-
vice(IRS) .PleaseseeIRSpublication“TaxExemptStatusforYour
Organization”athttp://www .irs .gov/pub/irs-pdf/p557 .pdf .
Data Universal Numbering System (DUNS)
ADataUniversalNumberingSystem(DUNS)numberisaunique,
nine-digit identification number . It is free for all organizations
25
requiredtoregisterwiththeU .S .federalgovernmentforcontracts
orgrantsandisnecessaryforyourorganizationtoreceivegrant
funding .YoumayrequestaDUNSnumberviathewebbyvisiting
http://fedgov .dnb .com/webform/index .jsp .
eRA Commons Identification Number
Principal Investigators (PI)andsigningofficials (SO) fromappli-
cantorganizationsneedtohaveaneRACommonsaccount,asdo
otherpeoplewhomaybeassistingintheprocessofgrantapplica-
tionsubmission .ToregisteraninstitutionwithineRACommons,
1. On the Commons home page (https://public .era .nih .gov/
commons/public/login),selecttheRegister Grantee Organi-
zationlink .
2. ReadtheinstructionsandclicktheRegister Nowbutton .
3. Completethe informationfields for the Institution Informa-
tion and Accounts Informationsections,notingthefollowing:
nAllfieldsfollowedbyaredasterisk(*)arerequired .
nAminimumofoneaddressline(Street1)isrequired .
nTheInstitutionNamemaycontainamaximumof100
characters .
nAnOfficial’sTitlemaycontainamaximumof240
characters .
nTheUserNamemusthaveaminimumofsixcharacters
(numbersandletterscanbecombinedbutnospaces
canbeused) .Usernamesmaynotexceedthemaxi-
mumof20characters .
nTheAccountsAdministrator(AA)positionandinfor-
mationisoptional .Whencompletinginformationfor
theAA,fillintherequiredaccountinformationfields
andsubmit .
nTheDUNSNumberisaunique,nine-digitidentification
forsinglebusinessentities .
4. Verify that all entered information is correct before select-
ingSave,whichgeneratesacompletedregistrationformwith
signatureanddatelines .
5. Print,sign,anddatetheregistrationform .
6. FaxthecompletedregistrationformtoNIHat301-451-5675 .
howtorequestaDUNSnumber,andtoaccessotherhelpfulresourcesrelatedtothisguide,pleasevisit:http://www .tuftsctsi .org/Services-and-Consultation/Community-Engagement/Community-Engagement-Tools-and-Resources/Community-Members-Guide-to-Submitting-a-Research-Grant-Application .aspx
For information on
26
NIHwillsendanemailtothedesignatedSOthatcontainsa
hyperlinktoverifytheSO’semailaddress .
7. ClicktheemailhyperlinktoverifytheSOemailaddress .
Theemailverificationscreenconfirmsthattheemailaddress
providedfortheSOisvalid .NIHthenreviewstheregistration,
whichisnowpendingapproval .
8. OncetheSO’semailaddressisconfirmedandtheregistration
request is reviewedby theNIH,asecondemail is sentstat-
ingthestatusoftheapplication(eitherapprovedorrejected)
and,ifapplicable,providingahyperlinktoconfirmandcom-
pletetheregistrationprocess .Ifapproved,selectthehyperlink
inthemessagetofinalizetheregistrationprocess .Oncethe
institution information isconfirmed,the lasttworegistration
emails are sentwith theCommonsusername inoneanda
temporarypasswordforloggingintotheCommonssystemin
another .After successfully logging intoCommonsusing the
temporary password provided in the final email, the user is
promptedtochangethepasswordinaccordancewiththeNIH
passwordpolicy .
Facilities and Administration (F&A) Rates
Itisimportanttoestablishafacilitiesandadministration(F&A)rate
beforeyousubmitagrantapplication,asitisamajorcomponent
of your budget . Please refer to the Research Budget & Budget
Justificationsectionofthisguideforadditionalinformation .
Application Process
Knowing the Landscape of Potential Funding Opportunities
Now that youhaveestablisheda community-academic research
partnershipandyouunderstand the logisticsofgrantwriting, it
istimetolookforfundingopportunitiestosupportyourresearch
projects .Fundingopportunityannouncements(FOA)andrequests
forproposals(RFP)frequentlybecomeavailable;however,these
announcementscanbeunpredictable .Itisessentialthatcommunity-
academicresearchpartnerssharetheresponsibilityofsearching
for fundingopportunities . FederalFOAscan be found at http://
www .grants .gov/web/grants/search-grants .html, a website that
Federalfundingsourceshttp://www .grants .gov/
AssociatedGrantMakershttp://www .agmconnect .org/
Foundations .orgwww .foundations .org/grantmakers .html
Fundsnet .comhttp://www .fundsnetservices .com/
TheFoundationCenter’s“PhilanthropyNewsDigest”http://foundationcenter .org/pnd/rfp
For Additional Sources of Funding, go to
27
organizes funding opportunities from 26
federal agencies . Within the public health
sector,community-academicpartnersmight
be most interested in FOAs from the U .S .
DepartmentofHealthandHumanServices
(HHS)(seeFigure2) .
Once you have identified a funding
opportunity,thereareafewdetailsthatwill
requirespecialattention:
Unique rules, requirements, culture, and
language. Each funder, whether a foun-
dationoranagencywithinthe local,state,
or federal government, has its own rules,
requirements, culture, and language . It is
essential to find someone with expertise
whocanhelpyou .
Short timelines. Withshiftingmarketsand
budgetchallenges,recentcallsforresearch
havebeenissuedwithveryshortturnaround
times . Being able to efficiently respond to
requests for applications is critical, but it
can stress organizations and relationships
among community groups and academic
researchers .
Limited infrastructure support for commu-
nity members to participate in the grant
application process. There is an expecta-
tion that academic researchers have fiscal
and/oradministrativehelpwithdevelopingandsubmittinggrant
applications . Many community-based organizations do not have
thisfiscaloradministrative support inplace .Academicuniversi-
tiesalsomaylacktheresourcestoprovideinfrastructuresupport
tocommunitystakeholderstoparticipateinthegrantapplication
process .
Letter of Intent (LOI)
Aletterofintent(LOI)proposestheresearchprojectyourteamwill
beconductingandyourplanstoapplyforfunding .Somefunding
agencieswillrequestthatyousubmitanLOI,andothersmaynot .
Figure 2:U .S .DepartmentofHealthand
HumanServices(HHS)FundingAreas
28
Itiscriticalthatyoureadcarefullyallrequestsforproposals(RFPs)
todeterminewhetheranLOIisnecessary .Formoreinformationon
howtowriteanLOI,visithttp://www .nimh .nih .gov/funding/grant-
writing-and-application-process/letter-of-intent .shtml .
Negotiating Roles
Health research is usually conducted by teams . Common terms
usedby foundations,governmentalagencies,anduniversities to
identify different team members are listed and defined below .
In community-academic collaborations, the research teams are
dividedintostrategicpositionsthatareassignedappropriatelyso
thatrolesandtasksaresuitableforeachteammember’sskillset .
Itwillbehelpfultotalkabouteachperson’srolewithinyourpro-
posed researchprojectbecause this informationwillneed tobe
clearlyoutlinedinyourgranttext .
UNIVERSITY COMMUNITY
Principal Investigator (PI):Thisistheleaderofaresearchteam .ThePIisultimatelyresponsibletothefundingsourcesforthecompletionofprojects .SometimesfundingopportunitiespermittwoequivalentPIs,called“DualPIs .”Inacommunity-basedparticipatoryresearch(CBPR)grant,theremaybeanacademicianandacommunitymemberservingasDualPIs .
Co-Investigator:AninvestigatorwhoisinvolvedinthescientificresearchinadditiontothePI .Co-investigatorscannotallocateuseoffundsintheprojectwithoutwrittenapprovalofthePI .Theymaybecommunitymembersorresearchscientists .
Research Scientist:Auniversityfacultymemberwhoworksonordirectsresearch,oftenfull-time .Dependingontheinstitution,aresearchscientistmayalsobecalledanAssistant,Associate,orFullProfessor .Researchscientistsmayhavetheirsalariescoveredbytheiruniversities .Alternatively,someresearchscientistsareon“softmoney,”whichmeanstheirsalariesareusuallycoveredbyresearchgrants .
Research Assistant/Associate/Coordinator:Theseindividualsworkonresearchprojectsunderthesupervisionofamoreseniorfacultymember .Assistantsusuallyhavesomeexperience;associatesandcoordinatorsmayhaveanadvanceddegree(e .g .,MPH,Master’s) .
Community Outreach/Coordinator/Surveyor: Thispositionisusuallyinthe“field”andservesasfrontlinestaffontheproject(assistswithrecruitment;conductingsurveys,focusgroups,etc .) .
Consultant: Consultantsprovideuniqueinsightintothecommunitythatwillhelpfacilitatetheresearchproject .Thisrolecanprovideavarietyofservicesfromlanguagetranslationstoexploringculturalsensitivities .
Advisory Panel/Member of the Board: Peopleservinginthisroleprovidetheirperspectivesontheresearchbeingconductedandhelptointerpretanyfindings .
29
Human Subjects Research Ethics Requirements
Itisessentialthatcommunity-basedorganizationsdiscusshuman
subjectsresearchethicsrequirementsandinformedconsentwith
theircollaboratorsbeforesubmittingagrantapplication .Thefund-
ingagencywillwanttoknowhowyouwillprotecthealthinforma-
tionandyourparticipants .PleaserefertotheEthics & Best Practice
in Researchsection(page33)ofthisguideformoreinformation .
Memorandum of Understanding
A memorandum of understanding (MOU) is an external docu-
mentdraftedbycollaboratorsonaprojectthatspecificallydefines
therolesofeachcollaboratorandwhatisexpectedofthem .This
is an important step in collaborating since it prevents later dis-
agreementsoverresponsibilities .MOUsareusuallydefinedinthe
subcontractpackages .WhendevelopinganMOU, it ishelpfulto
considerthefollowingquestions:
nAretheroles,responsibilities,andexpectationswithin
yourcollaborationclearlydefinedandunderstoodby
everyone?Aretheseexplainedinwriting?
nWhatkindofdecision-makingprocesswillbeused
throughoutyourcollaboration(e .g .,ledbycommunity
organizationmembers,ledbyacademicresearchers,
jointlyledbybothcommunityorganizationmembers
andacademicresearchers)?
nHowwillyouhandleconflict?
nHowwillthemanypartsoftheresearchproject(e .g .,
definingstudyquestions,writingproposals,designing
methods,analyzingresults,distributingfindings)be
dividedamongthecollaborators?
nWhowillhaveownershipofthedatacollected
throughyourresearchproject,intellectualrightsof
theresearchproduced,andauthorshipofresearch
papers?
nHowwillyoudistributeproducts,shareresults(e .g .,
publishedpapers,topicpapers,presentations),and
communicatemessagestorelevanttargetaudiences
(includingotherresearchers,funders,government
agenciesandrepresentatives,stakeholders,andthe
community)?
30
nWhentheprojectends,howwillyoumakesurethat
resourcesareavailablefrominternaland/orexter-
nalsourcestocontinueyourresearchprojectand
collaboration?
AguidetowritinganMOUfromtheU .S .DepartmentofHealth
andHumanServicescanbefoundathttp://aspe .hhs .gov/daltcp/
reports/mouguide .htm .
Conflicts of Interest (COI)
Aconflictofinterest(COI)isasituationinwhichinvestigatorsin
aresearchstudyhavearelationshiporinterestthatmayconflict
withthegoalsoftheproject .COIsshouldbeavoidedatallcostsor
accountedforinprojectproposals .COIsshouldbediscussedwith
research collaborators, and all team members should complete
aCOIform .Most institutionshavetheirownCOIforms .Referto
thehttp://grants .nih .gov/grants/policy/coi/websiteforadditional
information .
Budget & Budget Justification
A budget and budget justification are necessary to and critical
componentsofeachgrantproposal .PleaserefertotheResearch
Budget & Budget Justificationsection(page38)ofthisguidefor
moreinformation .Youmayalsorefertothehttp://grants .nih .gov/
grants/funding/phs398/phs398 .htmlwebsite forupdated,fillable
forms .
Biosketches
Abiosketchisaformthatsummarizestheeducationandexperi-
enceofaresearchteammember .Thisisshortandshouldaimto
highlighttheexperiencethatmakestheresearcherastrongappli-
cantforthegrantinquestion .ThetemplatefortheNationalInsti-
tutesofHealth(NIH)biosketchandasamplecanbefoundhere:
http://grants .nih .gov/grants/funding/phs398/phs398 .pdf .
Letter of Support (LOS)
IfyouarenotthePIonagrantapplication,youmayneedtowrite
aLetterofSupport(LOS) .Thisletterdescribesyourcommitment
totheprojectandwhatyouwillspecificallybedoing .Thegoalsof
anLOSareto
nSpecifywhattheconsultant/collaboratorwillcontrib-
utetotheresearch
31
nConvincethereviewerthattheconsultant/collaborator
willfulfilltherequest
nConveyenthusiasmforthework
nLendcredibilitytoyourproposal .
As long as your letter demonstrates specifically what you
willbecontributingtotheproject,thereisnorightorwrongway
todraft a strongLOS .Furtherguidancecanbe foundathttp://
viceprovost .tufts .edu/grantwriting/resources/letter-of-support/ .
Grant Text
Youmaybeaskedtocontributetotheactualgranttext .Forexam-
ple,youmaybeassignedtowriteaspecificaimoftheresearch
projectortoprovideadescriptionofyourorganization(e .g .,mis-
sion,targetpopulation,activities,space,funding)aspartofyour
roleintheapplicationprocess .Makesureyouareawareofdead-
linesandwhetheryouareabletomeetthem .Grantapplications
areateameffort,andallcollaboratorsneedtorespondtorequests
responsibly .
Inadditiontotheprocessofdevelopinggranttext,itisessential
thatwritersfollowtheguidelinesspecifiedbythefundingagency,
suchasthenumberofpagesandtheformatforreferences .These
guidelinesshouldappearwithintherequestforproposalsandon
thefunder’swebsite .
Finally, before submitting any grant application, it is critical
thatseveralpeopleproofreadthedocumentfortyposandclarity .
Ifareaderneedstopauseandrereadaparticularsection,itislikely
confusingorpoorlywritten . Inthiscase it isworth investingthe
timetostrengthenthatparticularsection .Asageneralrule,you
donotwanttooverlytaxthegrantreviewers .Insteadofrereading
yourapplication,thereviewersaremorelikelytodeductpoints .
Conclusions for Administrative Logistics
Every grant application requires attention to many logisti-
caldetails,andtheycanbedifficulttoprioritize .Community
organizationsshouldprepare themselves forgrantopportunities
by addressing all of the pre-application process items before a
request forproposal ismadepublic .Thiswillallowyouto focus
onmoreimportantaspectsofthegrantproposal,ratherthanget-
tingboggeddowninthedetails(e .g .,applyingfortaxexemption) .
32
Additionally, these pre-application process items take time and
maypreventyoufromsubmittingyourgrantproposalbeforethe
deadline .Althoughtheprocessmayseemdaunting,onceyouhave
submitted one grant application, each one thereafter should be
easier .
33
Why Is Research Ethics Important?
ETHICS & BEST PRACTICE IN RESEARCH
When people participate in research studies, that
researchistermed“humansubjectsresearch”todif-
ferentiate it from other research, such as research
withbacteriaoranimals .Humansubjects research raisescritical
ethical issues focused on how we protect research participants
fromharm .Severalprocessesare inplacetoensureethicalcon-
ductofresearchthatinvolveshumansubjects .Thefollowingitems
shouldbeconsideredwhenresearchproposalsaredraftedand/or
afterproposalsarefunded:
nInstitutionalReviewBoard
nConflictsofInterest(COI)
nHealthInsurancePortabilityandAccountabilityAct
(HIPAA) .
Institutional Review Board (IRB) & Federalwide Assurance (FWA)
Duringthe20thcentury,anumberofeventsoccurredwhere
ethicalconcernswereraisedabouttheresearchconducted .
Some examples include research conducted in concentration
campsduringWorldWarII,researchwithAfrican-Americansinthe
Tuskegeestudy,andresearchwithhospitalizedchildrenwithdevel-
opmentaldisabilities .Inresponse,theU .S .governmentpublished
the BelmontReport in1979,establishingtheethicalframeworkfor
humansubjectsresearchintheU .S .TheBelmontReportspecifi-
callycalledforresearchtoconformtotheprinciplesofrespectfor
persons,beneficence(i .e .,concernforthewelfareofresearchpar-
ticipants),andjustice .In1991,theCommonRule(officiallytermed
45CFRpart46)waspublished,givingadditionalprotections to
34
vulnerablepopulationsincludingpregnantwomen,humanfetuses,
neonates,children,andprisoners .Inaccordancewiththeseethical
mandates,academic institutionswererequiredtosetup Institu-
tional Review Boards (IRBs)tooverseehumansubjectsresearch
studiesandreviewthesestudiestomakesuretheyareconducted
inanethicalmanner .
Every institutionthatconductsfederallyfundedhumansub-
jects research is required to enter into an agreement called a
Federalwide Assurance (FWA) . An FWA provides an assurance
of compliance, usually negotiated with the U .S . Department of
HealthandHumanServices(HHS),thattheorganizationwillfol-
lowtheethicalprinciplesoutlinedintheBelmontReportandthe
CommonRule .TheOfficeofHumanResearchProtections(OHRP)
withinHHS isresponsibleforoverseeingFWAs,registering IRBs,
andenforcingcompliancewiththeCommonRule.
Communityorganizationsparticipatinginresearcharerequired
tocomplywiththeseregulations .Somecommunityorganizations
mayneedtoobtaintheirownFWAandhavetheirownIRBs;others
mayobtainanFWA,butrelyonanotherorganization’sIRB .
If a communityorganization is relyingonanotherorganiza-
tion’s IRB, there are two types of agreements to keep in mind:
IndividualInvestigatorAgreement(IIA)andanIRBAuthorization
Agreement(IAA) .Theseagreementsareeasilyandoftenconfused
becauseoftheirsimilaracronyms .
An Individual Investigator Agreement (IIA) is a written
agreementbetweenaprincipal investigatorat theFWA-assured
institution,likeamedicalhospitaloruniversity,andorganization/
individuals outside of the assured institution (e .g ., community
agencyorserviceorganization) .Theprincipalinvestigatoratthe
FWA-assuredinstitutiondirectsandsupervisestheresearchactivi-
tiestobeperformedbythecollaboratingindividualinvestigator(s)
outsideof theassured institution (e .g .,acommunityagency) . In
essence,acommunityagencywithoutFWA-assurancewillbecov-
eredundertheFWAoftheassuredinstitutionthroughtheIIA .An
IIAisappropriateforsmallcommunityagenciesororganizations
thatareparticipatinginresearchandhavenointentionofcontinu-
ing their research beyond their current involvement (i .e ., do not
plantoapplyforfederalfundsortoconductafollow-upstudy)and
arenotnamedresponsibleforoverseeingtheresearchactivities .
Through an IIA, the collaborating individual investigator(s)
confirmthefollowing:
35
nThecollaboratingindividualinvestigatorisnotworking
foranorganizationwithanFWA
nTheconductoftheresearchispermittedatthat
organization
nThecollaboratingindividualinvestigatorandhis/her
organizationwillabidebythedecisionsoftheIRBand
thepoliciesoftheassuredinstitution
nThecollaboratingindividualinvestigatorandhis/her
staffwillcompleteanyethicaleducationaltraining
required(e .g .,manyinstitutionsrequireresearchers
tocompletetheCollaborativeInstitutionalTraining
Initiative[CITI]forHumanSubjectsResearchonline
training) .
An IRB Authorization Agreement (IAA) is a written agree-
ment between two organizations that are FWA-assured . In this
agreement,oneorganization(OrganizationA)agreestoserveas
the IRBof record for ahuman subjects researchproject for the
secondorganization(OrganizationB),whichcedestheresponsi-
bilityoftheIRBreviewtothefirstorganization .Eachorganization
retainsresponsibilityforitsownresearchers’conductintheeyes
ofthegovernment .Thisdocumentmustbekeptonfilebyboth
partiesandprovidedtoOHRPuponrequest .
OrganizationAagreesto:
nProvideanIRBreviewthatwillmeetthehumansub-
jectprotectionrequirementsofOrganizationB’sFWA
nFollowagreed-uponproceduresforreportingits
findingandactionstoappropriateofficialsatOrgani-
zationB
nMakeavailablerelevantminutesofIRBmeetingsto
OrganizationBuponrequest .
OrganizationBagreesto:
nEnsurecompliancewiththeIRB’sdeterminationsand
withthetermsofitsOHRP-approvedFWA
nEnsureproperconductoftheresearchbyits
investigators
nReportnecessaryinformationabouttheconductof
thestudytotheIRBatOrganizationA .
36
SpecificquestionsshouldbedirectedtotherespectiveIRBs
ofanyorganizationsparticipatingintheresearchproposal .Please
note:theIndianHealthService(IHS)maintainsitsownprocesses
for research conducted at HIS facilities or with IHS staff and
resources(seelinkinsidebaratleft) .
Conflicts of Interest (COI)
The term“conflictof interest” (COI) in research refers tosit-
uations in which personal or financial considerations may
compromise or cloud a researcher’s professional judgment in
conductingor reporting research .COI isdifferent from research
misconduct(i .e .,fabrication,falsification,andplagiarism) .Evenif
researchersareconductinghigh-quality research, concernshave
beenraisedaboutthepotentialbiasesthatresearchersmayhave
in interpretingresults .Forexample,aresearcherwhogivestalks
forapharmaceuticalcompanywithregardtopsychotropicmedi-
cationuseinadultsmaybeinadvertentlybiasedintermsofhow
heorsheinterpretsresearchdata .
Asnewchallengesarisewithhumansubjects research,new
requirementsareinstituted,withthegoalofmakingsureresearch
is conducted in an ethical manner . Newer requirements include
that all named investigators complete conflict of interest forms
describinganypossible financial or relational interests thatmay
influenceastudy .
Health Insurance Portability and Accountability Act (HIPAA)
The Health Insurance Portability and Accountability Act
(HIPAA)PrivacyRuleestablishestheconditionsunderwhich
protectedhealthinformation(i .e .,anypersonallyidentifiableinfor-
mation about a patient including name, address, social security
number,anddateofbirth)maybeusedordisclosedbycovered
entities(e .g .,healthplans,hospitals,clinics)forresearchpurposes .
ThePrivacyRulealsodefinesthemeansbywhichindividualsmust
beinformedofusesanddisclosuresoftheirmedicalinformation
forresearchpurposes,andtheirrightstoaccessinformationabout
themheldbycoveredentities .Whereresearchisconcerned,the
PrivacyRuleprotectstheprivacyofindividuallyidentifiablehealth
information,whileatthesametimeensuringthatresearcherscon-
TheBelmontReporthttp://www .hhs .gov/ohrp/humansubjects/guidance/belmont .html
TheCommonRulehttp://www .hhs .gov/ohrp/humansubjects/commonrule/
HIPAAPrivacyRulehttp://www .hhs .gov/ocr/privacy/hipaa/understanding/special/research/research .pdf
UnderstandingCommunity-BasedProcessesforResearchEthicsReview:ANationalStudyhttps://ccph .memberclicks .net/assets/Documents/FocusAreas/ajph .2010 .194340v1 .pdf
IndianHealthService(IHS)InstitutionalReviewBoard(IRB)Checklisthttps://www .ihs .gov/Research/pdf/irb-form .pdf
More information related to research ethics is available at
37
tinuetohaveaccesstomedicalinformationnecessarytoconduct
vitalresearch .Toaccesshealthinformation,researchersmusthave
IRBapproval .Todiscloseprotectedhealthinformation,research-
ersmusthavebothdocumentedIRBapprovalandpatientconsent .
38
Developing a Research Budget & Justification
RESEARCH BUDGET & JUSTIFICATION
Whenpreparingyourorganizationforsubmittingafed-
eralgrantapplication,youwillneedtodecidewho
willsubmittheapplicationasthe“lead”or“prime .”
Forfederalgrants,theleadistypicallytheacademicresearcher’s
institutionbecauseofeligibilityrequirements,andbecausefederal
grantsoftenhavemoreadministrativerequirementsthanprivate
andfoundationfunding .Mostresearchinstitutionshaveadminis-
trativestaffexperiencedinnavigatingthesecomplexapplications .
Iftheacademicinstitutionfunctionsasthelead,itisimportant
todevelopyourbudgetintandemwiththatinstitutionwhilemain-
tainingconsistencywiththeexistingfinancial,administrative,and
fundraisingproceduresofyourorganization .Developingaproposal
without considering these items could yield a non-competitive
proposal or cause an administrative burden and/or unwanted
organizationalchallenges if thegrant is funded .Closecollabora-
tiveworkontheinitialproposalbudgetisimportantbecausecom-
munitypartnersmaybeawareofadditionalcoststhatacademic
researchersmayormaynotknowabout .
Onetypeofadditionalcostistranslation .Whenworkingwith
non-English–orlimited-English–speakingcommunities,thetrans-
lationofconsentforms(andthentranslationbackintoEnglish)is
necessarytoensureconceptsareappropriatelycapturedinanother
language,oratranslatorisn’tusingatermparticulartoonearea
thatisn’tusedinanotherarea .Forexample,theword“depression”
has no comparable word in Chinese . As another example, some
phrasesusedbySpanish-speakingnatives inMexicomaynotbe
used by Spanish-speaking natives in the Caribbean; alternative
wordingmayneedtobeconsidered .
39
How to Develop a Budget
Developingastrongbudgetiscriticaltoobtaininggrantfund-
ing .On theonehand, it is important tobeconservative in
yourbudget .Ontheotherhand,itisimportantthatyourequest
adequatedollars for theproposedproject .With the recenteco-
nomic downturn, some funded applications have had their bud-
getsreduced .Therearealsoinstancesoffundingbeingreduced
duringthegrantperiodbecauseoffederalbudgetreductions .This
isalmostimpossibletoplanfor,butshouldbetakenintoaccount .
Thereareafewconsiderationstokeepinmindwhendevelop-
ingabudget,including:
nWhatresourcesdoyoualreadyhavetocommittothe
project?
nWhatresourcesdoestheproposedprojectneedin
termsofstaffing,supplies,travel,andothermaterials?
nTowhatextentdoyouneedtofactorinfacilitiesand
administration(F&A)rates(i .e .,indirectcosts)?
nWhatistheorganization’srole(i .e .,prime,subcontract,
orconsultant)andwhataretheexpectations?
nHowwillfundsbesharedacrosscommunity-academic
researchpartners?
Wediscusseachoftheseareasinthesectionsthatfollow .
Existing Resources
Community-academicresearchpartnersmayalreadyhaveanum-
berof resources thatprovidesupport toa researchproject .For
example,acommunity-mentalhealthclinicmaybereceivingreim-
bursementforitsclinicalcarethroughinsurancebilling .Therefore,
onewouldcautionagainstrequestingfundstocoveraclinician’s
clinicaltime .Similarly,aresearchermayhaveaccesstowork-study
studentswhomayassistonaprojectbutrequireasmallerstipend
thanresearchassistants .
Needed Resources
Althoughitisimportanttobeconservativewhencreatingabud-
get,itiscriticalthatcommunity-academicresearchteammembers
accountforallofthenecessarymoneytheywillneedtosuccess-
fullycarryouttheirproposedresearch .Inexperiencedgrantwriters
mayforgetmiscellaneousdetailswithintheirbudgets,whichcan
40
laterresultinunderfundedwork,soitishelpfultohaveamentor
reviewyourapplicationmaterialsbeforethesubmissiondeadline .
Resourcesyoumaywanttoconsiderinclude
nSalaryandfringesupportforpersonnel(fringe
includesinsurance,disability,sick/vacationtime,etc .)
nConsultants
nEquipment(e .g .,software,iPads,etc .)
nTravel(relatedtothestudyifconductingsitevisits,
reimbursingstudyparticipants’travelcosts,orrelated
topresentingatconferences)
nConferenceregistrations
nProjectcosts(e .g .,remunerationforparticipants,tran-
scriptionservices) .
Facilities and Administration (F&A) Rates
BudgetsalsoneedtotakeintoaccountFacilitiesandAdministra-
tion(F&A)rates .F&Aratesincludeindirectcoststhatcannotbe
allocated to a specific research project . These include the costs
of rent,phones, internet,accounting,custodial services,building
depreciation,andotherutilities .WithregardtoF&Arates,some
large not-for-profit organizations such as universities, hospitals,
and larger social service agencies have an approved negotiated
F&A rate with the federal government, which can be anywhere
from15%to65%orhigher .Theseorganizationshavesuccessfully
coordinatedarigorousproposalprocessbetweentheiradministra-
tion,boardofdirectors,andafederalagency .
Othernot-for-profitorganizationsmayneedtoestablishtheir
ownF&Arate .Thislinkoffersmoreguidance:http://www .fcadv .org/
sites/default/files/Sample%20Indirect%20Cost%20Proposal%20
Format .pdf .
Understanding Your Specific Role in the Grant Process
Whendevelopingyourbudget,beginbyunderstandingyourrole
intheresearchproject .Acommunityorganizationcanplayanyof
afewdifferentrolesinsubmittingafederalgrant,suchaslead,or
prime,organizationorsubcontract,orconsultant(definedbelow):
Applicant or Prime Institution: Whenmultipleinstitutionsororga-
nizationsareinvolvedinagrantapplication,oneinstitutionmust
41
bedesignatedastheprimeinstitution,andfundingfortheother
institutionsmustberequestedviaasubcontractorconsultancyto
beadministeredbytheprimeinstitution .Theprimaryinvestigator
istypicallyemployedattheprimeinstitution,whichhastheadmin-
istrativecapacitytomeetfederalfundingrequirements .
Subcontract/Subaward: WhenthePrimeinstitutionwantstocol-
laboratewith individuals at another institution, a subcontractor
subawardmustbearranged .Animportantrequirementisthatthe
rolesofallpartiesbeclearlydefined .Thereisgenerallyakeyper-
sonnel section written into the subcontract that describes who
fromtheorganizationwillbeprovidingwhatservices,atwhatper-
centtime,andforwhatduration .Asasubcontract,theorganization
isrequiredtosubmitseveralgovernment-issuedforms(discussed
below)andaformalbudget .Academicinstitutionalgrantadmin-
istrationdepartmentshaveexperiencewiththeseformsandcan
provideclarityandsupportforacommunity-basedorganization .
Oftenthereisspecificlanguagetobeused(suchas“Primeorga-
nization”)thatagrantsadministrationdepartmentwillknowwell
andcanexplaintoorganizationsthatmaynothavebeenexposed
to this typeof languagebefore . It isworthnoting that someof
theseformsandspecific languagemaybenewtothe investiga-
toraswell,particularlyifheorsheisnewtocommunity-engaged
researchorhasneverbeforesubmittedagrantwithasubcontract .
Consultant: Inagrantapplication,aconsultantisanindependent
individualororganizationfromoutsidetheprimeinstitutionthat
willbepaidhourlyforservicesprovidedfortheproject .Thecon-
sultantwillneedtoprovideasocialsecuritynumber(foranindi-
vidualconsultant)orataxidentificationnumber(ifthepayment
willbegoingtoanorganization)ontheappropriateforms .
Sharing Grant Funds
It is essential that the community-based organization and aca-
demic partners have open and clear communication about the
budget(e .g .,bothpartiesreviewandsignoffonthebudgetpro-
posalbefore it is submitted toa funding institution) .Discussing
howgrantfundsshouldbesplitorallocatedcanbeuncomfortable .
Whengrant fundsareallocated tocertainpeople (regardlessof
theirorganization),theyneedtobeclearaboutwhatthosefunds
arepayingforthemtodo .Jobdescriptionsshouldbeclearand
specify certain responsibilities (e .g ., study recruitment,datacol-
42
lection, data management, manuscript preparation, etc .) and/or
deliverables(e .g .,monthlyprogressreport,publicationofresults,
etc .) . If a community-based organization is shouldering most of
the research responsibilities, it makes sense that more research
dollarsareallocatedtoit; ifmoreoftheresearchresponsibilities
areassumedbytheacademicpartners,moredollarsmayneedto
beallocatedtothem .
How to Develop a Budget Justification
Abudget is a simple representation of what a specific and
definableprojectwill cost inorder tobe successful .Costs
thatareenteredintoabudgetmustbe
Allowable: Allowable expenses are reasonable and necessary,
allocable to sponsored projects, given consistent treatment and
conformtoany limitationsorexclusionssetforth intherelevant
federalregulations(ifapplicable),thesponsoredagreement,and
theacademicinstitution’spolicy .
Allocable: Anexpenseisallocableifitisincurredsolelytoadvance
theworkundertheagreement,orifitbenefitsboththesponsored
agreementandotherworkof the institution, inproportions that
canbeapproximatedthroughuseofreasonablemethods .
Reasonable: Acostisreasonableifitisonethataprudentperson
wouldhaveincurredunderthecircumstancesprevailingwhenthe
purchasewasmade .
Consistently treated: Costs incurred for the same purpose, in
like circumstances, must be treated consistently as either direct
or indirect (F&A) costs . This means that if an organization nor-
mally includesanexpenseaspartof itsF&Arate,then it should
not includethatsameexpenseasadirectcostinaproposal .For
example,ifabusinesslistsphonesaspartofitsF&Arate,itcannot
includephonesasadirectcostinagrantproposal .
Abudgetjustificationisawrittendocumentthatexplainsin
detaileachof the items includedandexplainswhytheproject’s
successrequireseachitem .Differentfederalagenciesusedifferent
formsandhavedifferentbudgetingguidelines .TheU .S .Depart-
mentofHealthandHumanServices(HHS)isacommonsupporter
ofacademicandmedicalcenterresearch,sotheexamplesbelow
useasetofitsforms .Itisimportanttoreadthroughthenoticeof
fundingavailabilitycarefullyandtolearnthebudgetrequirements
43
foryourspecificgrantsubmission .Ifyourorganizationisactingas
aconsultantorasubcontract,itisessentialtocoordinatethebud-
getdevelopmentandformproductionwiththeprimeinstitution .
The HHS grant application guidelines are called PHS 398
Guidelines .Nomatterwhattheorganization’srole,thefollowing
formswillneedtobecompletedbyyouorbytheprimeinstitution:
nFormPage4
nFormPage5
Oncetheseformsarecompleted,theprimeinstitutionwilllist
thesumofthesecostslistedintheFormPage4sandFormPage
5s under “Consultant Costs” or “Consortium/Contractual Costs .”
Yourformsandjustificationwillbeincludedinthebudgetsection
ofthefinalproposal .
Form Page 4:
Tocompletethispageitishelpfultohavethebudgetplannedand
broken out by year including staffing, salary allocation, and any
othernecessarycosts .
Afewthingstonote:
nBudgetstofederalagenciesoftenuseanacademic
calendartodefineaperson’spercenteffortonaproj-
ect .Thiscanbeveryconfusing,butyoucanusea
basicformula:every10%ofafull-timeequivalent(e .g .,
fourhoursina40-hourworkweek)isequivalentto1 .2
monthsintheacademiccalendar .
nIncreaseincostsfromyeartoyearfrominflationisnot
allowed .
nTheprimeinstitutionmayhaveaceilingamountfor
yourengagement .
nBespecificinthejustificationandhavecleardelivera-
blesforthecosts .
Consultant:Iftheorganizationisconsultingonanapplication,the
primeinstitutionwillfill inthetotalcostsonFormPage4inthe
ConsultantCostssection .Itisimportantfortheconsultanttopro-
videanhourlyratetotheprime institutionthatcanbesubstan-
tiatedwithaclear formula .Aconsultantcanalsoworkwith the
primetodraftthescopeofworkatthisstagetoensuretheformula
relatesbacktotherequiredwork .
44
Example Formula for Consultant Hourly RateAnorganizationwasaskedbyanotherorganizationtoconsulton
aproject . It is expected that the scopeof serviceswill take the
organization40hourstocompleteandrequireboththedirector
andprogrammanager .Theprimeinstitutionrequestedanhourly
ratetouseinthepreparationofthebudget .Belowisatablethat
outlineshowthisiscalculated:
Theorganization’shourlyrateis$127perhour .Smallercom-
munityorganizations,particularlythoseengagedindirectservice
oremergencyresponse,oftenhaveadifferentandlessstructured
approachtohowtimeiscounted .Thistopicshouldbediscussed
withtheacademicresearchpartnersothatallpartnersareclear
abouttheirrespectivecommitments .
Subcontract:Iftheorganizationisasubcontractonanapplication
thenitwillneedtocompleteitsownFormPage4foreachofthe
yearsoffunding .Thesameplanningandmethodologyisusedin
creatingtheseforms .However,insteadoflistinganhourlyrate,the
actualcostsareputontheforms .Also,asasubcontract,anorga-
nizationisallowedtoincludeindirectcostsontheforms .
PERSONNEL
Budget Item NoteBase Salary
Fringe @25% Total
Monthly Rate
Hourly Rate @180 Hours/Month
Total # Hours
Total Cost
CheryilynSarkisian
Director/KeyPersonnel 75,000 18,750 93,750 7,813 43 40 1,736
DemiGuynes
ProgramManager 42,000 10,500 52,500 4,375 24 40 972
ResearchSupplies
SurveyPrinting,ParticipantIncentives 2,000
TotalDirectCosts 4,708
F&A RateUsedis8% 377
TotalCost 5,085
HourlyCostfor40Hours 127
45
Form Page 5:
Consultant:Aconsultingorganizationdoesnotneedtocomplete
thisform .
Subcontract:Asubcontractorganizationneedstocompletethis
summarypageusingtheinformationenteredintheseparateForm
Page4documents .
Successfully Collaborating: The Critical Role of Communication
Workinginacommunity-academicresearchpartnershipcan
be a rich and mutually beneficial experience . Establish-
ingopenandcompletecommunicationduringtheproposalwrit-
ingprocessisessentialforaproductiveandcollaborativeresearch
relationshipover thecourseof the fundedgrant . If specificsare
discussed,defined,andagreeduponatthebeginningoftheproj-
ect,itwillbeeasiertomanageunexpectedeventsandchallenges
encounteredalongtheway .
46
Conclusion
Thisguidewasdevelopedforcommunity-basedresearch-
ers by academic and community partners . It provides a
foundationforcommunity-engagedresearchandhowto
successfullysubmitacommunity-academicresearchgrantappli-
cation . We hope this guide will be helpful in fostering mutually
beneficial community-academic partnerships and research proj-
ects .Formoreinformation,pleasevisithttp://informatics .tuftsctsi .
org/pims/request .htmtosubmitarequest .
LeslieLK,MuléCM,RubinCL,AllukianN,HodgkinJ,IzziM,BraitschJ,HuangC,CheungM,WuV,FuM,PirieA .CommunityMembers’GuidetoSubmittingaCommunity-EngagedResearchFederalGrantApplication.Boston,MA:TuftsClinicalandTranslationalScienceInstitute,TuftsUniversity;2014 .
Citation for this publication