1. Summer School on Longitudinal and Life Course Research August 25-29 2014, Amsterdam 1 Prof. Dr. Matthias Richter Institute of Medical Sociology Martin-Luther-University Halle-Wittenberg m.richter@medizin.uni-halle.de SMI MLU | Institute of Medical Sociology Getting started... Developing your first research proposal

2. Our aims for today 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… A crash course and personal report on: 2 Matthias Richter | Getting started!

3. 3 The plan for the next 90 minutes Part 1. Introduction: The grant writing process Part 2. YOUR questions My suggestion:

4. 4 Why bothering about grants? Research grants are the dominant way for academic researchers to get resources to focus on research. Grants are important! Matthias Richter | Getting started!

5. 5 Pursuing for grant funding is competitive so many researchers and ideas, so little money The success rate is generally low (20-30%) However... Matthias Richter | Getting started! Medical Research Council, UK

6. 6 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! Matthias Richter | Getting started!

7. 7 Grant writing has become as science and profession Matthias Richter | Getting started!

8. 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!

9. Part 1. the grant writing process Part 1. The grant writing process 9 Matthias Richter | Getting started!

10. The life cycle of funding 1 Idea Proposal Evaluation Funding decision Approval: Project Realisation of Idea End of project/renewal Publication of results Exploitation of results 10 Matthias Richter | Getting started!

11. 11 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? Matthias Richter | Getting started! The life cycle of funding 2

12. What is first? First comes... The project idea! 12 Matthias Richter | Getting started!

13. 13 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 Matthias Richter | Getting started!

14. 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!

15. Concept/structure: application & proposal 15 Concept/structure: application & proposal Matthias Richter | Getting started!

16. 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!

17. Concept and structure: application and proposal 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 The proposal is like a body: 17 Matthias Richter | Getting started!

18. Concept/structure: application & proposal Information about the project in detail The body… Summary Proposed project Project plan Annexes Signatures/declarations Approvals Supplementary Information 18 Matthias Richter | Getting started!

19. The head – the abstract/summary 19 1. The head – the abstract/summary Matthias Richter | Getting started!

20. The head – the abstract/summary Information about project topic Title Keywords Research project summary 20 Matthias Richter | Getting started!

21. 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 The head – the abstract/summary 21 Matthias Richter | Getting started!

22. 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 The head – the abstract/summary Matthias Richter | Getting started!

23. 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 The head – the abstract/summary Matthias Richter | Getting started!

24. 24 2. The torso – the proposed project The torso – the proposed project Matthias Richter | Getting started!

25. 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!

26. 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!

27. 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!

28. 28 The torso – the proposed project Matthias Richter | Getting started!

29. 29 3. The heart – the project plan The heart – the project plan Matthias Richter | Getting started!

30. 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!

31. 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 The heart – the project plan Project Description 31 Matthias Richter | Getting started!

32. Give real technical “meat”, so an expert reader could (without reading your doubtless- excellent 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 The heart – the project plan Matthias Richter | Getting started!

33. 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 The heart – the project plan Matthias Richter | Getting started!

34. The project plan: one example 34 Matthias Richter | Getting started! 1 2 3

35. 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!

36. Work schedule: another example 36 Matthias Richter | Getting started!

37. The heart – the project plan 37 Matthias Richter | Getting started!

38. 38 4. The extremities – the annexes The extremities – the annexes Matthias Richter | Getting started!

39. 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!

40. 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!

41. 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 (3 rd party contracts, use of data bases etc.) 41 Matthias Richter | Getting started!

42. 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!

43. 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!

44. 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 The extremities – the annexes 44 Matthias Richter | Getting started!

45. 45 Submission... ! Submission: proposal and application Matthias Richter | Getting started!

46. 46 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 Matthias Richter | Getting started!

47. 47 Submission: proposal and application Cover letter Proposal/Application - adhere to numbering system of guidelines - number of copies - specified fonts - unbound Appendices Matthias Richter | Getting started!

48. 48 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 Matthias Richter | Getting started!

49. 49 Evaluation... ! Evaluation of proposals Matthias Richter | Getting started!

50. 50 Evaluation of proposals Who participates in the evaluation? Administrator Reviewer – external expert Boards Advisory boards – expert panel Decision boards Matthias Richter | Getting started!

51. 51 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 non- experts… 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. Matthias Richter | Getting started!

52. 52 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 Matthias Richter | Getting started!

53. 53 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 What will be evaluated? Matthias Richter | Getting started!

54. 54 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. What will be evaluated? Matthias Richter | Getting started!

55. 55 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! What will be evaluated? Matthias Richter | Getting started!

56. Evaluation Procedures Part A. 56 Proposal submission Check for formal criteria RejectionEvaluation Matthias Richter | Getting started!

57. Evaluation Procedures Part B. 57 Proposal External Expert written evaluation Program manager External Expert written evaluation External Expert written evaluation Matthias Richter | Getting started!

58. Evaluation Procedures Part C. 58 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 Matthias Richter | Getting started!

59. Evaluation Procedures (German Research Foundation – DFG) 59 Matthias Richter | Getting started! http://dfg.de/download/pdf/foerderung/antragstellung/begutachtung/dfg_begutachtungsverfahren_130715_en.pdf

60. 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!

61. 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!

62. 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!

63. 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!

64. 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! Characteristics of a successful proposal 64 Matthias Richter | Getting started!

65. … Thank your very much for your attention!... and now (Part 2.): your questions! 65 Matthias Richter | Getting started!

66. Some recommendations 66 Matthias Richter | Getting started! The Complete Idiot's Guide to Grant Writing, 3rd Edition. Waddy Thompson. 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 Ellen KarshArlen Sue Fox Grant Writing for Dummies. Beverly A. Browning Beverly A. Browning Grant Writing DeMYSTiFieD. Mary Ann Payne Mary Ann Payne Writing the NIH Grant Proposal: A Step-By-Step Guide. William Gerin, Christine H. Kapelewski, Jerome "Boe" Itinger William GerinChristine H. KapelewskiJerome "Boe" Itinger