If you have suggestions for updating or revision of these Guidelines, please email Donna Willis with details.
The purpose of this guide is to assist those with little or no experience of applying for research funds. It is by no means comprehensive, e.g. it assumes the initiative for the research comes from the applicant and does not cover post-graduate research grants.
The Guide is not a substitute for the guides produced by the major funding bodies or for the necessary prior consultations with colleagues and with potential grant givers.
It is difficult, even for those with experience, to be sure exactly why some applications for research funding will fail whilst others succeed. Likewise the history of any particular application may well be unique, thus making it difficult to discern patterns which may aid the would-be researcher.
Different funding agencies may well take public initiatives to encourage particular types of research e.g. ESRC and some Government Departments. Nowadays research applications are subjected to much tighter scrutiny, and awards are made subject to quite specific conditions, often as binding contracts. Moreover cut-backs in public expenditure mean that academic researchers will often be competing with government researchers for government funds.
Allied to changes in economic conditions is a change in the mood of some of the larger funding agencies. There has been a tendency to favour research which is seen as ´timely´ and relevant to current national or local problems. It is by no means uncommon for inexperienced researchers to find themselves in severe difficulties mid-way through a project because they seriously under-estimated the time, costs and complexity involved in planning, conducting and managing social research. This is particularly true of survey research (see Appendix).
We strongly recommend members contemplating research to consult people with extensive relevant experience, not only before making grant applications but also during the research itself.
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The stages from thinking of a project to getting a grant are roughly:
- Draft a proposal for yourself and interested colleagues working out what you are trying to do in theoretical terms and in terms of methodology and resources.
- Identify likely sources of funds, get details of their schemes, deadlines, application forms, etc.
- Check carefully and take advice on the standard conditions associated with funding from a particular body. Then get a host institution to administer funds, etc., e.g., a university or college.
- Write a second draft in the appropriate format with costings, after discussion with colleagues and administrators.
- Talk to the administrators and officers of the funding body. If a government department or agency, approach them as early as possible.
- Submit a final proposal.
For the absolute beginner this process could well take up to eighteen months from start to finish and so advance planning and knowledge of deadlines is essential. It is probably true to say that very few grants go to people without previous experience and/or to those who submit research proposals ´cold´ without prior discussion with and advice from funding agencies.
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Funding sources are concerned with: Whether your proposal is of significance and/or within their terms of reference. Some bodies may be willing to fund ´ideas´, others only projects of immediate policy relevance or practical benefit.
Some will fund for a ´pilot´ study initially. This is one area to be identified prior to formal application; Whether you are capable of carrying out the proposal. Be realistic in terms of the scope and necessary skills involved in relation to your experiences and resources (especially time) and your obligations to your employer during the research period; Whether the project as described is feasible in terms of the resources requested.
Evidence of access to data and clarification of problems of confidentiality with reference to Data Protection legislation where appropriate, both in obtaining and disseminating information, will be expected. Again, a realistic time scale giving scope for delays should be drawn up.
Most application forms are for relatively short summaries of the proposed research. They are more interested in what you propose to do than in a detailed account of what you have done. Proposals under consideration are normally read by several people, not all of whom will have the time or inclination to read a mammoth tome. Supporting or elaborative material should be in separate appendices.
The referees are chosen for their familiarity with the areas of research and are likely to be aware of any duplication Most major funding agencies maintain a close and effective liaison and this is another way of preventing duplication. You will be expected to be aware of research currently being done elsewhere in the field. If there is similar research, then you will need to make out a strong case for replication.
The proposed form of publication of results should normally be included in the proposal, e.g., whether commercial or academic circulation is intended. The requirements as to annual and final reports (with regard to content) should be established with the funding sources. Questions of copyright and confidentiality - recent legislative changes concerning copyright in the spoken word may affect social research - and where appropriate, the Official Secrets Act should be clarified.
It may be of help if some statement of intent is made regarding availability of research material to others on completion of the project. If survey research is involved you may wish to deposit your data and accompanying documentation with the ESRC Survey Archive at Essex University. This is a requirement for all ESRC funded surveys.
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In addition to the major funding agencies there is a number of smaller institutions who may have funds, particularly if you do not require a very large sum of money or if your project has an applied aspect. Useful sources of information are:
- Economic and Social Research Council, Research Funding (also bi-Monthly Social Sciences Now from the ESRC); single copies available from ESRC, Polaris House, North Star Avenue, Swindon, SN2 1UJ.
- Booth, J D L (ed.) (1975), Directory of Grant-Making Trusts, London: Charities Aid Foundation.
- Fitzherbert, L & Eastwood, M (1989), A Guide to Major Trusts, London: Directory of Social Change.
- Rees, T & Davies, S (1985), ´Sources for funding for research abroad in the social sciences´, Social Research Unit, School of Social and Administrative Studies, 62 Park Place, Cardiff, CF1 3AS.
Most of the major sources produce their own guides for applicants. It is vital to read the small print, as schemes differ significantly as to what may or may not be covered by a grant.
If your project falls within the scope of several funding agencies, it may be useful, at least during the preliminary stages, to apply to several sources of funds at once. Most bodies ask for this to be declared but it will not necessarily be held against your application.
Many academic institutions have their own research budget and may be willing to fund small or pilot studies, so it may be as well to check this source of funding.
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One of the most problematic questions in any research project is - who actually does the work? Essential early decisions are, how much involvement in the project do you intend to have (or can you have) in relation to current commitments, and what kind of employed workers are appropriate?
Careful consideration needs to be given to personnel questions at this stage. The application should state precisely the allocation of time and responsibilities of the team. Conditions of service and statements of professional conduct which will apply to research staff should be clearly stated.
The employing institution, the head of the department, and the applicant, should produce a clear written statement relating to time allocation and responsibility for carrying out and writing up the research.
There are three main patterns of ´applicant involvement´:
- Research Grant Holder, already employed, wanting to direct the research team. This pattern is the norm for ESRC grants and others on which limited term contract research staff are employed.
Two main closely related considerations are:
What time commitment and involvement is either wanted or can be realistically achieved by you?
What level and duration of research assistance and what kind of relationship with research staff is envisaged?
Legislation relating to employment has created some unpleasant problems for potential employers and employees alike. If you propose to employ a researcher for two years or more, the legal representatives of the host institution will need to be closely involved since questions of redundancy will arise at the end of the term of employment. This is a thorny area and a reference to such matters demonstrates that you have at least anticipated the problem.
- Researcher already employed wanting to do their own research. For the fortunate few, a sabbatical leave, with or without replacement, or leave of absence without pay may be negotiated. Most universities have guidelines.
ESRC Personal Research Grants Scheme, a Leverhulme Scheme, and a few others can be used for full-time paid leave of absence or a replacement salary, usually for one year and generally for senior people. It is not usually possible to get a part-time salary or extra research workers under these schemes.
Whatever the source it is important to discuss this option with your head of department (or equivalent) well in advance of arranging funds, so that teaching cover can be assured. Most departments will not grant leave of absence for more than one member of staff at any one time.
- Researcher not employed and in need of own salary to do/direct research project.
For some grant giving bodies it is not absolutely necessary for the holder of a research grant to be already employed by an academic institution or university. What is necessary is for the individual to be affiliated to such an institution for the grant to be administered. Such grants are unlikely to be given to anyone without at least some previous experience. Suitable sponsors or associated research advisors should be sought.
Affiliation to an academic institution may or may not, depending upon the individual arrangement, incur costs to that institution, largely in the form of overheads (see Section 9 below). Therefore early discussions with the heads of affected departments and the administration is necessary.
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It may be appropriate to employ casual clerical assistance in addition to a secretary, or for all members of a research team to share in this work. It is not acceptable to expect a secretary to fulfil the function of a research assistant or vice versa. It is important to delineate the different types of work and to cost accordingly.
Many large-scale projects, especially those involving surveys, will require computer programming assistance and carefully organised documentation of the type associated with archiving. You should ascertain whether this support is available within your department and also that, if necessary, you can gain access to a statistician. If there are no facilities, you will probably need to include such staff in your application. In any case you may be expected to reimburse other departments for using the time of their staff.
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It is obviously essential to work out precisely what resources are necessary to make the project viable. While there is no point in asking for an unnecessarily large sum there is equally no point in cutting the budget so tightly that you cannot carry it out.
Advice on costing can and should be obtained from the secretariats of the grant-giving bodies, the Finance Officers or other appropriate persons in the host institutions and experienced researchers. The signature of an authorised officer is usually required on research applications.
Fund-giving agencies differ in their specifications of what grants may cover and how they are administered. General points to check include:
Inflation-proofing and/or allowance in the sum allocated.
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It cannot be assumed that funding bodies allow for automatic implementation of both annual salary increments and new settlements. The position should be established at the outset, and arrangements for payment of such increments made with the host institution accordingly.
For self, research workers and secretaries. In most universities there are nationally agreed scales for all categories of staff and these should be adhered to. An appropriate salary scale (for researchers) and the standard appropriate scales (for researchers) and the standard secretarial scales (for secretaries) should cover most situations.
In addition to basic salary it will be necessary to allow for annual increments to basic salaries - which should be made on the appropriate points of recognised scales - and for superannuation and national insurance. Consult the Finance Officer of the host institution before you calculate the sum.
Other costs. Inflation should normally also be allowed for in recurrent costs, e.g. postage and travel likely to be incurred during the project.
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Between categories in the budget. There may be limits to the extent to which you can transfer unspent monies (particularly salaries) without prior approval from the funders.
From year to year. If a project lasts for more than a year you will probably be asked for an annual budget either in the original proposal or for each year. This may be only a formality or it may mean that unspent money cannot be freely carried over from one year to the next.
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Expect to pay the established rate for the job and allow for training and preparation. Where appropriate, travel subsistence and London allowance should be allowed for.
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This should include not only interviews, etc. formally specified in the proposals, but pilot interviews, visits to other institutions and libraries and, if appropriate, visits to you. Most universities have established norms, particularly for subsistence. Regulations as to the use of cars should be checked with both the institution and the grant givers if this will be a substantial item.
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Some grant conditions specially exclude attendance at conferences. Others only allow for those at which papers are given which are strictly relevant. It is probably reasonable to request attendance at two per year for each research workers, including the director, if they are shown to be relevant.
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This is partly dependent on your host institution. Most sources assume you already have desks, filing cabinets, computers, typewriters, etc., and will only provide them in exceptional circumstances. Tape recorders, transcribing machines, calculators, etc., may sometimes appropriately be bought.
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Again it is imperative to check what proportion of these are expected to be carried by host institutions. Most grants only cover costs specific to the research. (Telephone and reprographics may be excluded).
In estimating requirements be realistic, particularly if you will need large quantities of interviewing schedules or mail questionnaires. The latter involve ideally at least a pre-piloting, piloting and the final questionnaire. All of these involve printing, postage (including follow-up letters and return stamps) and coding and analysing.
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Check to see if data programming and computer time can or will be provided free by the host institution; otherwise allow for it (Commercial services can give estimates for data preparation).
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Most grant sources will not contribute towards the cost of publication. However, some private trusts do publish research or commission or assist the researcher in so doing, e.g. subsidising a commercial publisher to take on a book of limited circulation.
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The application should state clearly who will be responsible for writing up the research and the appropriate credit that will be given to all those who have carried out the research.
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In universities there is normally an administrative section with specific responsibility for research proposals, and often an academic Research Committee (e.g. a sub-committee of Senate). Proposals often have to be approved by these bodies as well as by heads of department. They require time, and they vary considerably in the extent to which they help or hinder projects.
In the past most host institutions have accepted the overheads incurred as a result of research grants, e.g. by providing space, paying for lighting and heating, etc. This is now increasingly less likely to be the case and host institutions require a charge for overheads to be made, though most may be a sliding scale as between commercial, research council and charitable funding bodies. Some grant sources accept these charges, others do not.
If you are trying to affiliate to an institution rather than being a tenured member of staff then this question of overheads will have to be carefully worked out beforehand. Consent to affiliation may be made conditional on there being no cost to the institution concerned.
Particularly in institutions where there is not a special section for research grant administration, records of expenditure may not be kept in an accessible manner. Therefore, if and when you get the grant and start on the research, it is as well to be prepared to keep track of your own expenditure.
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The role of the sample survey in sociological research is frequently questioned, yet the most recent study shows that 60 per cent of all funded social research projects in Britain involve surveys and these represent 75 per cent of the costs of such research. If you wish to tackle a sample survey in your project you are strongly recommended to read the Code of Conduct of the Market Research Society.
Advice and assistance with survey proposals can be obtained from the Survey Research Unit at the University of North London.
It is not always necessary to collect fresh data or to do a separate survey. Many of the questions you want to ask will have been asked before, and the surveys will be in an archive somewhere. You should write to the Director of the ESRC Survey Archive at Essex University.
Another common and useful procedure is to use one of the many omnibus surveys conducted by commercial research organisations. A monthly list is published in the Market Research Society Newsletter. The M.R.S. also publishes an annual register of commercial organisations offering survey research and related services.
Sample computing surveys and other moderately large data sets almost invariably involve the use of a computer. Early decisions about whether to use the mainframe or PC are essential. It is imperative that you consult your local computer centre to ascertain what types of machine and software (programs) are available to process and analyse your data; this also will include the format your data need to be in. If you have no computer centre, or if it is not suitable for your needs, it may be possible for you to use a commercial organisation.
There are packaged programs to process and analyse data. By far the most widely used and easiest to use is the Statistical Packages for the Social Sciences (S.P.S.S.) There is a proliferation of SPSS manuals, and the pace of development rapid. Contact SPSS House, 5 London Street, Chertsey, Surrey KT16 8AP for the most up-to-date details.
Advice on computing is available from the independent Study Group on Computers in Survey Analysis (Rowe and Hall, 1978). If you intend to use a package consult your computer services department. Whichever computer program you opt for, you should specify it in your application. Software for handling qualitative material has also become available in recent years (see Tesch, R (1990) Qualitative Research: analysis types and software tools, Falmer Press).
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