Transcript Folie 1

MLU | Institute of Medical Sociology
Summer School on Longitudinal and Life Course Research
August 25-29 2014, Amsterdam
IMS
Getting started...
Developing your first research proposal
Prof. Dr. Matthias Richter
Institute of Medical Sociology
Martin-Luther-University Halle-Wittenberg
[email protected]
1
Matthias Richter | Getting started!
Our aims for today
A crash course and personal report on:
How to Write a Grant Proposal
for a lot of money
AVOIDING: to spend a lot of time and get really
depressed when your grant gets rejected…
2
Matthias Richter | Getting started!
The plan for the next 90 minutes
My suggestion:
Part 1.
Introduction: The grant writing process
Part 2.
YOUR questions
3
Matthias Richter | Getting started!
Why bothering about grants?
Grants are important!
Research grants are the dominant way for
academic researchers to get resources to
focus on research.
4
Matthias Richter | Getting started!
Pursuing for grant funding is competitive
However...
• so many researchers and ideas, so little money
• The success rate is generally low (20-30%)
Medical Research Council, UK
5
Matthias Richter | Getting started!
The challenge of grant writing
For some people the prospect
of writing a grant proposal is akin
to the prospect of having all your
teeth pulled!
But there is help... today and elsewhere!
6
Matthias Richter | Getting started!
Grant writing has become as science and profession
7
Matthias Richter | Getting started!
First things first…
Write a proposal in two weeks? Never do it!
Solution:
1. Plan to write your grant as early as possible
2. Leave enough time for modification
3. Never submit your application if it is not your best
effort
- One application can be revised only 2 times
- A failure will produce a bad record
- Revision will take at least 6 months
8
Matthias Richter | Getting started!
Part 1. the grant writing process
Part 1.
The grant writing process
9
Matthias Richter | Getting started!
The life cycle of funding 1
Proposal
Evaluation
Idea
Funding decision
Approval: Project
End of project/renewal
Exploitation
of results
Realisation of Idea
Publication
of results
10
Matthias Richter | Getting started!
The life cycle of funding 2
1.
Before you start writing
What do you want? What do you need?
2.
Writing a proposal step by step
Characteristics/essentials of a good proposal
3.
Submission of a proposal
To be in time
4.
Evaluation of proposals
Procedures
The view of reviewers
5.
The decision
What next?
11
Matthias Richter | Getting started!
What is first?
First comes...
The project idea!
12
Matthias Richter | Getting started!
What is a good idea?
What Do You Need?
A good Idea
•
•
•
•
An idea whose time has come
An idea in the news
An idea which has relevance
An idea which links research and
practice/policy goals
13
Matthias Richter | Getting started!
Selecting project /project ideas
Check of project ideas:
•
•
•
•
•
•
•
•
•
Important and needed
Novel
Not too much controversy
You have a strong background
Doable
Large room for new methodology
You have plenty of preliminary data
Easy to establish a collaboration team
Does the project fit with YOUR own objectives !
14
Matthias Richter | Getting started!
Concept/structure: application & proposal
Concept/structure:
application & proposal
15
Matthias Richter | Getting started!
Concept/structure: application & proposal
In general...
1.
Information about proposed project
2.
Information about yourself
(Description of your research/scientific experience)
3.
Information about collaborators/co-applicants
(project support)
4.
Appendices (List of publications, Collaboration
agreement, CV etc)
16
Matthias Richter | Getting started!
Concept and structure: application and proposal
The proposal is like a body:
•
•
•
•
•
Title/summary – the head that guides it all
Proposed project – the torso
Project plan – the heart, that makes it move
Annexes/supplementary info – the extremities
of the proposal
Scientific environment - the dress for support
17
Matthias Richter | Getting started!
Concept/structure: application & proposal
Information about the project in detail
The body…
Summary
Signatures/declarations
Annexes
Project plan
Proposed project
Approvals
Supplementary Information
18
Matthias Richter | Getting started!
The head – the abstract/summary
1. The head – the abstract/summary
19
Matthias Richter | Getting started!
The head – the abstract/summary
Information about project topic
•
•
•
Title
Keywords
Research project summary
20
Matthias Richter | Getting started!
The head – the abstract/summary
• Very important (some reviewers will evaluate your application
mainly by reading Abstract and Specific Aims)
• It should summarize the whole application
• Use concise and clear sentences
• Emphasize the specific aims
21
Matthias Richter | Getting started!
The head – the abstract/summary
Max. one page, please!
• Start with a one-page summary, that tells the
whole story
• Remember: most of your readers will only read
this page
• This page is worth 10x the other pages.
Every word is precious.
22
Matthias Richter | Getting started!
The head – the abstract/summary
How to do it?
• Clearly state your long-term goal
• Review the background of this area and unsolved
problems
• Clearly state your objective(s) of this project and why you
select this objective
• Summarize your specific aims and anticipated results
• State the significance of this project
23
Matthias Richter | Getting started!
The torso – the proposed project
2. The torso – the proposed project
24
Matthias Richter | Getting started!
The torso – the proposed project
2.1 State of the Art
•
•
•
•
•
Starting point of the project
What is currently known in your field, what is
missing?
State the main idea of your proposed research!
Quote the most important relevant work of yourself,
other researchers!
Expected advances the project will bring!
25
Matthias Richter | Getting started!
The torso – the proposed project
2.2 Preliminary work
•
•
•
•

Summary of relevant work of you, your group and of
collaborators to support feasibility of proposed research
(i.e. highlight your expertise!)
Point out results of your publications/thesis as well as of your
collaborators
References to
- your own publications
- other scientists/collaborators
Add relevant publications
Create confidence in your ability to perform proposed
research successfully
26
Matthias Richter | Getting started!
Factors to create confidence...
•
•
•
•
•
•
•
Publication/track record
To be known by other researchers
Comprehensive knowledge of state of the art in the
field
Quality and quantity of preliminary results
Design a convincing concept
Expertise of proposed methodology
Realistic estimates to perform project:
-
time
workload
costs
personnel need
27
Matthias Richter | Getting started!
The torso – the proposed project
28
Matthias Richter | Getting started!
The heart – the project plan
3. The heart – the project plan
29
Matthias Richter | Getting started!
The heart – the project plan
•
Scientific program
- Allover concept, how proposed research
will be performed
- Follows logical phases of implementation
of project
•
•
Work packages and tasks
Risk management and quality assurance
30
Matthias Richter | Getting started!
The heart – the project plan
Project Description
• Narrative (Up to 15 pages including figures and appendices,
but not references or budget justification, CV, or
supplementary documentation)
–
–
–
–
–
–
–
Previous Work
Hypotheses
Proposed Work
Methods
Time Table
Deliverables
Qualifications of personnel
31
Matthias Richter | Getting started!
The heart – the project plan
• Give real technical “meat”, so an expert
reader could (without reading your doubtlessexcellent papers) have some idea of what the
project is about
• Many, many grant proposals have impressive
sounding words, but lack almost all technical
content. Rejected!
32
Matthias Richter | Getting started!
The heart – the project plan
Offer objective evidence that it’s a promising
idea:
• Results of preliminary work
• Publications
• Applications
Strike a balance: you don’t want the reader to
think “they’ve already solved the problem”.
33
Matthias Richter | Getting started!
The project plan: one example
1
2
3
34
Matthias Richter | Getting started!
The heart – the project plan
Work packages and tasks
Work schedule
•
Divided into tasks with timelines
•
State specific objectives of each task
•
State the work program to reach this objective
•
State anticipated outcome
•
Set milestones
•
Charts and tables are useful
Risk management
•
Always think plan B if it does not work the way you think
Methodology
•
Summarize the major methods to be used
•
Emphasize the different expertise and technologies brought by
you/collaborators
35
Matthias Richter | Getting started!
Work schedule: another example
36
Matthias Richter | Getting started!
The heart – the project plan
37
Matthias Richter | Getting started!
The extremities – the annexes
4. The extremities – the annexes
38
Matthias Richter | Getting started!
The extremities – the annexes
Declaration and signatures
•
Declaration that you have not requested funding for this
project from any other source and that you will inform the
funding agency immediately if you do so
•
Signature of all applicants
That’s easy! No, it is NOT!!!
39
Matthias Richter | Getting started!
The extremities – the annexes
Your obligations:
Annexes you have to provide
•
•
•
•
•
•
TECHNICAL APPENDIX (Budget)
CV
List of publications
Declaration
Formulary with personal and professional data
Educational background, copies of exams
40
Matthias Richter | Getting started!
Budget categories
Direct costs
•
•
•
•
•
•
Personnel (no certain amounts but positions)
Equipment
Consumables (often lump sum, give annual amounts)
Travel (visit to cooperators, conferences, give annual amounts)
Publication expenses
Other costs (3rd party contracts, use of data bases etc.)
41
Matthias Richter | Getting started!
Budget categories – Direct costs
Justification of costs
•
•
•
•
What do I need?
Why do I need it?
How long am I going to use it?
To which extend will I use it...
42
Matthias Richter | Getting started!
The extremities – the annexes
Your obligations:
Prerequisites for carrying out the project
•
•
•
•
Team
Cooperation
Scientific equipment available
Statement of the director of the institute that she/he is
informed of the application and will support its
implementation (!)
43
Matthias Richter | Getting started!
The extremities – the annexes
Collaboration
For collaborations, attach a letter of consent
• From each co-PI or consultant, not from their
organizations
• Letters should clearly state the willingness of
participation, the collaborative work, and the
expertise or methodologies or equipments
provided
44
Matthias Richter | Getting started!
Submission: proposal and application
Submission... !
45
Matthias Richter | Getting started!
Submission: proposal and application
Submission
• Most often in electronic format AND
• By regular mail – signed original paper version
Consider
• Deadline
• Extra time before submission to obtain all
necessary approvals and signatures
46
Matthias Richter | Getting started!
Submission: proposal and application
• Cover letter
• Proposal/Application
-
adhere to numbering system of guidelines
number of copies
specified fonts
unbound
• Appendices
47
Matthias Richter | Getting started!
Submission: proposal and application
Stop!
Give to somebody to read
Best:
•
•
1 person who is familiar with the subject
1 person who does not know anything about
your work
48
Matthias Richter | Getting started!
Evaluation of proposals
Evaluation ... !
49
Matthias Richter | Getting started!
Evaluation of proposals
Evaluation of proposals
Who participates in the evaluation?
•
•
•
Administrator
Reviewer – external expert
Boards
Advisory boards – expert panel
Decision boards
50
Matthias Richter | Getting started!
Audience
• With luck, your proposal will be read carefully by
two or three experts. You must convince them!
• But it will certainly be read superficially by nonexperts… and they will be the panel members. You
absolutely must convince them too.
• Some influential readers will be non-experts, and will
give you one minute maximum.
51
Matthias Richter | Getting started!
What will be evaluated?
The external experts, members of the evaluation panel and the
research council will evaluate the following aspects:
Scientific quality
•
•
•
•
•
Current scientific interest and impact of the project (scientific
significance)
Novelty of the proposed research approach and research questions
Suitability and originality of the methods to be used
Experience and past performance of the applicants
Specific abilities of the applicants for the proposed project
52
Matthias Richter | Getting started!
What will be evaluated?
Relevance
•
•
•
•
Significance for science but also policy and practice
Communication strategy for research results to potential users
(dissemination/exploitation)
Balanced distribution of duties, competences and responsibilities
(if different partners)
Contribution to (inter)national embedding and networking
53
Matthias Richter | Getting started!
What will be evaluated?
Management/Budget
•
•
•
The project proposal includes a clearly defined research objective,
research results and indicators to track progress towards objectives.
The cost/benefit ratio of the project is comparatively favourable.
The research plan is realistic, the project is feasible.
54
Matthias Richter | Getting started!
What will be evaluated?
Evaluation procedures
•
Basis for the evaluation is the written proposal
•
Oral information can not always be taken into account in
panel discussions – do not reply on them, everything
important should be submitted in writing
•
Be reluctant to approach possible reviewers or members of
the reviewer board directly – gives a negative impression!
55
Matthias Richter | Getting started!
Evaluation Procedures
Part A.
Proposal submission
Check for
formal criteria
Rejection
Evaluation
56
Matthias Richter | Getting started!
Evaluation Procedures
Part B.
Proposal
External Expert
written evaluation
Program manager
External Expert
written evaluation
Program manager
External Expert
written evaluation
57
Matthias Richter | Getting started!
Evaluation Procedures
Part C.
Program manager
Proposal &
2-3 written evaluations
Panel expert
Evaluation of proposal & written reviews
Written synthesis
Expert panel
Discussion & comparative evaluation
Ranking of proposals
Recommendation of funding decision
Decision board
Funding decision
58
Matthias Richter | Getting started!
Evaluation Procedures (German Research Foundation – DFG)
http://dfg.de/download/pdf/foerderung/antragstellung/begutachtung/dfg_begutachtungsverfahren_130715_en.pdf
59
Matthias Richter | Getting started!
The decision
Rejection!
•
•
•
•
No reason, to drop your head
Continue!
The more the better
Who asks many times, increases the chances
of success
60
Matthias Richter | Getting started!
The decision
Constructive analyses!
There are a 1000 reasons
•
•
•
•
•
•
•
Political?
Budget?
Too ambitious
State of art not adequate
Relevance unclear
Methods unclear
Etc...
61
Matthias Richter | Getting started!
The decision
Inquire!
•
•
•
•
•
•
A phone call cannot hurt
Commonly you gain information that is not
given in the writing
After a proposal is before a proposal
Discuss critics with your colleagues
Rewrite the proposal
Take the critics constructively into account
62
Matthias Richter | Getting started!
The decision
Approval!
Congratulation
The start of the project... New questions
•
•
•
How do I get the money? How is funding administered
How can I use the money? Are there changes possible?
How do I have to report about the use of the my grant
money
63
Matthias Richter | Getting started!
Characteristics of a successful proposal
•
•
•
•
•
•
•
•
Brilliant idea
Strong title and summary – catches interest
Compliance with all relevant aspects of
- Submission
- Evaluation
Clear, concise, well structured, easy to read
Convincing concept
Realistic cost estimates
Complete proposal with all required appendices
Submission in time! Consider deadlines!
64
Matthias Richter | Getting started!
…
Thank your very much for your attention!
... and now (Part 2.):
your questions!
65
Matthias Richter | Getting started!
Some recommendations
The Complete Idiot's Guide to Grant Writing, 3rd Edition.
Waddy Thompson.
The Only Grant-Writing Book You'll Ever Need: Top Grant Writers and
Grant Givers Share Their Secrets.
Ellen Karsh , Arlen Sue Fox
Grant Writing for Dummies.
Beverly A. Browning
Grant Writing DeMYSTiFieD.
Mary Ann Payne
Writing the NIH Grant Proposal: A Step-By-Step Guide.
William Gerin, Christine H. Kapelewski, Jerome "Boe" Itinger
66