Gaining Funding for research
Published by the Universities of Edinburgh, Glasgow and Strathclyde
Acknowledgements
The material in this booklet has been developed from discussion groups and interviews with the research staff of Glasgow and Strathclyde Universities
The advice and contributions of Dr Avril Davidson, Mr Keri Davies, Mrs Pat Duncan, Prof George Gordon, Mrs Janice Reid, Ms Cheryl Teague, Dr Alan Taylor, Dr. Nigel Thorpe and Mrs Sheila Thompson are acknowledged.
The advice of the project Steering Group: Prof Michael Anderson, University of Edinburgh; Dr Nuala Booth, University of Aberdeen; Dr Ian Carter, University of Glasgow; Ms Jean Chandler, University of Glasgow; Dr Avril Davidson, University of Glasgow; Prof George Gordon, University of Strathclyde; Prof Caroline MacDonald, University of Paisley; Prof James McGoldrick, University of Dundee; Dr Alan Runcie, University of Strathclyde; Prof Susan Shaw, University of Strathclyde; Dr Alan Taylor, University of Edinburgh; Prof Rick Trainor, University of Glasgow is also acknowledged.
The project was funded by the Scottish Higher Education Funding Council.
Other titles in Series
Gathering and Evaluating Information from Secondary Sources
Preparing the Research Brief
Interpreting and Documenting Research and Findings
© Universities of Edinburgh, Glasgow and Strathclyde 1999
Cartoons D. Brown & W. L. Wilson
ISBN 0 85261 688 0
Printed by Universities Design and Print
Introduction
This booklet is one of a series of booklets aimed at researchers in the early stage of their career cycle. This booklet is primarily targeted at post-graduate students completing their doctoral studies, postdoctoral postdoctoral researchers. We would like to highlight that not all research sponsors will accept applications from ‘non-tenured’ staff. Terms and conditions may vary between research funding bodies.
The booklet is in two parts:
Submitting a Research Proposal: subdivided into the four sections of The Research Grant, UK Funding Bodies, European Funding and Contract and Collaborative Research Funding from Industry, which have been written with advice from specialists in the respective fields.
Practical Advice on Fundraising: subdivided into the two sections of Gaining Funding for Research and Identifying Sources of Funding.
The booklets have been written with the intention that they should possess ‘dipability,’ rather than being designed to be read through at a sitting. This has the advantage that any single section can be read in isolation without need to refer to other parts of the booklet, but has the disadvantage that there is an element of repetitiveness between sections.
The booklet is not intended to be exhaustive or definitive. The issues raised are those which most exercised the minds of the researchers providing the comments for its preparation. These comments do offer interesting contrasts of opinion, either because commentators disagreed about the way to approach a certain issue, or because researchers from different subjects took different approaches in their methodology. The nature of the examples provided in the booklet are a reflection of the interests of those taking part in the discussions and interviews, and possess no greater significance than that.
Please note that raising funds is the central theme of the discussion within this booklet. However, in some fields finding a book publisher can take on a significance equivalent to raising funds in, for example science or engineering. Thus some of the comments pertain specifically to finding a publisher.
Contents
Submitting a Research Proposal 4
The Research Grant 4
Introduction 4
The idea 4
Preparation 5
Initial sources of advice 5
Identifying the funding body 6
The grant proposal 6
Assessment 8
The decision 8
The award 9
Post award 9
Summary 9
UK Funding Bodies 10
Research Councils 10
Charities and Trusts 12
Government Departments and Agencies 13
European Funding 13
Contract and Collaborative Research Funding From Industry 18
Introduction 18
Types of Industrial Funding 18
Exploitation of Intellectual Property 21
Practical Advice On Fundraising 22
Introduction 22
Gaining Funding For Research 22
When you are writing a proposal, how do you decide which aspects of the proposal to emphasise? 22
How do you identify the correct format for the proposal, and how do you identify relevant from irrelevant material? 24
How do you evaluate the importance of the potential results? 27
How do you identify/deal with sources of opposition to a project? 29
What are the most likely reasons to make research impractical? 30
How could you improve negotiating, and other fund raising, skills? 31
How do you confirm that your research is in line with the relevant ethical/regulatory standards? 33
Identifying Sources of Funding 35
How do you identify areas of research likely to attract new funding? 35
How do you identify suitable sources of funding for your new proposal? 37
Where are the best sources of advice on costing projects, writing projects, negotiating projects, terms and conditions? 39
What cues do you use before/after initial contact to decide if a source may be likely/unlikely to provide funding? 40
Have you experienced, or are you likely to experience, unacceptable conditions being associated with offered funding? 41
Summary: A Few Do’s and Don’ts 43
References 45
Appendix 1 - Useful Internet Sites 47
Research Councils: 47
Other Useful Web Addresses: 47
Appendix 2 - Useful Publications 48
Submitting a Research Proposal
The Research Grant
Introduction
An externally funded research project brings responsibilities and resource implications to the institution. It is therefore essential that you are familiar with all the issues, which can be involved in applying for funding, to prevent problems occurring and to ensure that both you and your institution are protected against unwise or unlawful commitments. At an early stage in planning a research proposal you and your potential partners should therefore consult all Heads of Department involved to obtain approval for the project and space to work in the Department(s). You must also alert whichever part of the University’s Central Administration is appropriate that an application for research funding is being prepared. This is generally the "research support office", which may be known by a variety of names. Whatever it is called, research support will generally be able to offer both practical help in preparing the proposal (see below) and will explain the University’s requirements for "hosting" your work including arranging appropriate formal signatures.
Regardless of the eventual source of non-industrial funding, the route to gaining research funds can be similar, although application procedures and time scales may vary considerably. The general route to applying and being awarded research funding is:
· The idea
· Preparation
· Identifying the funding body
· The grant proposal
· Assessment
· The decision
· The award
· Post award
The idea
What do I want to do? Is my idea novel and original? Will the work lead to a significant advance in the area of research? Has anyone done similar work? Should I begin a completely new line of research and carry out a pilot study? Should I continue in my same line of research and build on data which I have already collected? Should I set up a collaborative project with another laboratory? What do I need money for? How much will it cost? How long will the work take? Why should my work be funded?
These are only a few of the questions you should ask yourself when formulating your ideas. The important thing is that you sit down and gather together your thoughts and ideas. You must present a well thought out and organised case for support if you are to have any chance of being funded.
Having thought through your ideas, determine into which category of research it falls: basic research, strategic research, applied research or technology development. The type of work you wish to undertake will in large part determine who eventually funds it. No matter how good your idea, will anyone want to fund it? Your work must be relevant to the mission and aims of the funding body to whom you are applying.
Preparation
Before you put pen to paper, discuss your ideas with colleagues, seek advice, do a literature search and acquire as much information as you can. If you are making your first application for research funding it can seem a daunting exercise. Tap the expertise of your colleagues. Many will have substantial experience in gaining research funding. Even if you have made many applications, ask your colleagues how they have fared with recent grant applications to that particular funding body. By putting time and effort into preparing and planning your application, you should save yourself time later on (as the deadline becomes ever nearer).
Initial sources of advice
Advice and expertise is readily available from a number of other people and sources, both within and outwith your institution.
There are a range of offices within an institution which are likely to be able to provide advice on application, these range from Research Support to European Liaison. The range of advice research support can provide includes:
· Advice from professionals in your own institution, particularly your Research Support staff, on the institution’s research policies and procedures.
· Information on a range of sponsors and funding bodies.
· Costing and pricing advice.
· Advice on protection of Intellectual Property Rights (IPR)
· Advice on the terms and conditions relating to specific funding bodies and sponsors.
· Negotiation of specific terms and conditions.
· Check with colleagues and heads of department as to where sources of advice are located, and most institutional web sites will tell you who to contact for advice and information in this area.
Contact your likely source of funding. Make sure the funding body will fund your area of research and check if it will answer any specific queries you may have. Some will request a one page abstract of your proposed research before deciding if it is interested in your area of work. Familiarise yourself with its funding policies. Research Council and Charity committee secretaries and programme managers are good contacts to make, and are happy to provide such guidance. These contacts can be particularly important where an area of work bridges more than one committee or funding body.
Identify and make use of your collaborators (both internal and external) in putting your research grant application together. Many will have had previous experience of gaining research funding from a variety of sources.
Somewhere in your institution there is likely to be a list of those staff who serve on funding bodies - you should familiarise yourself with that list. Staff on funding body committees can provide you with a direct insight into how individual funding bodies and committees operate. Remember that they are bound by the confidentiality of the organisation with which they are involved.
Identifying the funding body
Some funding bodies have clearly defined aims or programmes of research, e.g. Arthritis and Rheumatism Council (ARC). Others have no detailed list of areas covered, e.g. The Leverhulme Trust and The Royal Society. Find out all you can about your potential source of funding. Information you need to take into account includes:
· Current objectives of the funding body.
· Current trend of projects funded.
· Success rates - both for your institution and generally.
· Average size of awards.
· Closing dates for submissions.
· Who has previously been awarded funds?
· What is the review process and who decides what is to be funded?
· What do they fund in terms of resources and overheads?
Such information should be available from the funding body directly, via newsletters, annual reports, application guidelines and any other literature that they may produce. This information is usually only a phone call or an Internet site away (Appendix 1).
Will the funding body you are approaching fund your particular type of research? Basic or fundamental research will mainly be funded from Government sources, i.e. Research Councils and Government Departments. Some charities have an interest in basic research (e.g. The Wellcome Trust). Strategic research may be funded from a number of different areas, e.g. Government Departments, charities, industry. Applied research will, in the main, be funded by industry and commerce, although this sector is becoming increasingly interested in funding basic research.
Having identified a few funding bodies, be selective. You will probably have to make a number of applications to ensure that at least one of them is successful. Do not just apply to a funding body because they are there, and do not adjust your proposal superficially just to make it seem suitable for a particular funding body. Funding bodies are aware of the increased competition to gain funding, and are aware of some applications going to several funding bodies. Make sure that the funding body meets your requirements, and that you meet its requirements. Wrongly, or badly, targeted applications waste everybody’s time and will cause no end of frustration.
Have you approached a funding body previously and been successful? If so, it is likely that it may fund you again if it was happy with your work. If, on the other hand, problems have arisen with your projects in the past, you may be unlikely to be funded. Funders will remember you!
The grant proposal
Most funding bodies, apart from industrial sources, have application forms, application guidelines, and instructions on how to fill in their application forms. If there is no application form, as is the case with a few charities, it is suggested that you construct an application based on the standard application form of another funding body e.g. a Research Council, the British Academy or the Wellcome Trust. This will help you define your project, as well as creating a good impression with the funding body. Do not leave the funding body in any doubt about any aspect of your work.
Some sponsors still require a permanent member of staff to be the lead investigator on the grant, and indeed for the CRS not to be named as a co-author if their salary is being requested (check with funding body).
The appropriate application form should be completed and accompanied by a case for support. This should constitute the bulk of your application, and should cover the points listed. Different funding bodies may have different requirements and as such this list is not definitive.
· State the aims, objectives, benefits and highlight the originality of your approach early in the proposal.
· Describe the work leading up to this project. This should include what you propose to do, other developments in the field, where you fit in, what is new and unique about your approach and why you should be funded. You may state who you are and your track record. However, most funding bodies require a curriculum vitae (CV) for each applicant.
· Define your objectives, methods, evaluation techniques and above all show that you have thought the programme of work through. Do not be over ambitious; be realistic. Inclusion of a project timetable, or plan, can be useful, and in some cases is required.