Project Description – Project Proposals

[First name  last name, city of all applicants]

[Project title]

Project Description
Sections 1-3 must not exceed 17 pages in total.

1	Starting Point

State of the art and preliminary work

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2	Objectives and work programme

2.1	Anticipated total duration of the project

36 months

2.2	Objectives

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2.3	Work programme incl. proposed research methods
For each applicant

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2.4	Handling of research data

In this section, the DFG expects a project-related, research-relevant examination of the planned handling of research data. The mere listing of IT technical information no longer corresponds to the current requirements. The DFG has published the following RDM key topics, which are provided with the relevant key questions and internal TUC explanations in the checklist mentioned above.  

1. Data Description
2. Documentation and data quality
3. Storage and technical backup during the course of the project
4. Legal Obligations and Framework
5. Data exchange and permanent accessibility of data
6. Responsibilities and Resources

Please note the TUC internal hints (https://www.fdm.tu-clausthal.de/weiterfuehrende-links/anforderungen-der-foerderer/die-dfg-checkliste) and, if necessary, take further advice from the TUC data management officer.
In the following, the handling of research data is  outlined as an example on the basis of a partly internal research paper on books contaminated with arsenic. Please adapt the descriptions to your research request.

The handling of research data in this project is carried out in accordance with university guidelines. There is no data available for the project from previous work on re-use. During the project period, the following data will be generated. Photos will be generated in JPEG format for documentation purposes. Measurement data from X-ray fluorescence analysis must be stored in the instrument software in the proprietary NDT format. Mass concentrations of the chemical elements and spectral data are then exported as a CSV file. Evaluations, presentations and written publications are prepared on the basis of the raw data and are available in OPJU, XLSX, PPT, DOCX and PDF formats, among others. All samples, measuring and working equipment used, experiments and metadata are entered as data objects in the electronic laboratory notebook elabFTW made available at Clausthal University of Technology and thus documented. All data and files generated in this project are named according to a fixed scheme and are stored redundantly in a project folder structure on the NAS system provided by the computer center of TU Clausthal. The estimated data volume is approx. 60 MB. The necessary storage space is provided by the computer center of the TU Clausthal. Project results and the data necessary for reproduction are published under open licenses for reuse and thus made available to the public. For the publication of the data, the publication server of the TU Clausthal or the Zenodo repository are ideal. A dedicated subject repository is currently not known; re3data  will be used to search for new developments during the course of the project. All published data and results receive a DOI. The data is stored for at least 10 years in the NAS system of the TU Clausthal computer center. There are no direct costs for research data management (RDM). Support is provided by the FDM team of the TU Clausthal. The project management is responsible for the publication, findability and curation of the data, even beyond the project period.

2.5	Relevance of sex, gender and/or diversity

In this section, the DFG does not expect any discussion of general questions about equal opportunities, as these have already been answered positively for all TUC applicants through the recognition of the DFG codex. Rather, a project-related discussion of the question of whether the diversity of people by whom the specific research will be carried out will have an influence on the research results is expected. Likewise, the group of people for whom the research results are intended could, for example, have been selected too one-sidedly or not all relevant aspects have been taken into account. 

Further explanations, text examples and contact persons can be found in this TUC-internal compilation: https://www.sft.tu-clausthal.de/fileadmin/SFT/documents/Forschungsf%C3%B6rderung/Antragstellung/Geschlecht_und_Vielf%C3%A4ltigkeit_in_der_Forschung_TUC.pdf

The following is an exemplary text for an (experimental) project.

Within the scope of this research project, no investigations are carried out on or about humans or animals or with material taken from humans or animals or data related to them. The research results should be usable for people, but only in an indirect way, in which the project results will be used as starting point for technical applications. In this respect, there is no direct relevance of gender or diversity with regard to the research result. The people who carry out the modelling act according to specified, standardized analysis instructions and measurement methods. In this respect, individual results dependent on the sex, gender or diversity of the experimenters are not to be expected here.

3	Project- and subject-related list of publications
Works cited from sections 1 and 2, both by the applicant(s) and by third parties. Please include DOI/URL if available. A maximum of ten of your own works cited may be highlighted; font at least Arial 9 pt.

[Text] 

Please note that titles and (order of) authors  must be used unchanged (as they are stated in the original publication, no abbreviations, no "et al.)"! If possible, also specify one DOI for each publication.

4	Supplementary information on the research context
Section 4 et seq. must not exceed 8 pages.

4.1	Ethical and/or legal aspects of the project
The DFG may expect an assessment from the TUC's own "ethics committee". If you suspect that these aspects and questions are relevant to your project, you can contact the Commission for Scientific Responsibility and Good Scientific Practice for a supportive assessment. In section 4.1.5, this also includes both, dual use aspects and cooperation with foreign countries within the scope of the planned project!

4.1.1	General ethical aspects

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4.1.2	Descriptions of proposed investigations involving humans, human materials or identifiable data

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4.1.3	Descriptions of proposed investigations involving experiments on animals

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4.1.4	Descriptions of projects involving genetic resources (or associated traditional knowledge) from a foreign country

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4.1.5	Explanations regarding any possible safety-related aspects
In this section, the DFG expects a project-related discussion based on the DFG checklist for dealing with risks in international cooperation (tasks: see also comment section): https://www.dfg.de/download/pdf/dfg_im_profil/geschaeftsstelle/publikationen/stellungnahmen_papiere/2023/risiken_int_kooperationen_en.pdf. 

At the same time, dealing with the risks should in no way prevent the project - even if the result of the own examination/reflection is that there are security-relevant aspects due to, for example, the involvement of a "critical country", in that case the applicants should justify that it is (for scientific reasons) still “worth it” to carry out the project with exactly these partners and not to look for alternative partners.   

4.1.5.1	“Dual Use Research of Concern”; foreign trade law

a)	In terms of foreign trade law, our reflection with the help of the BAFA statements on “Export Control and Academia” has shown that

... the planned work and expected results demonstrate significant fundamental relevance in the sense of fundamentally new findings and can therefore be assigned to basic scientific research that does not require approval.

... our planned research does not affect any of the goods or technologies listed in the BAFA handbook. The BAFA work aid for determining non-controlled technology was used for this assessment.

b)	Moreover, the applicants checked whether the expected research results would produce knowledge, products or technologies that could be directly misused for significantly harmful purposes in the sense of dual use research of concern.

Regarding the research topic, and taking into account the DFG checklist for dealing with risks in international collaborations, we can constate that ...

... no evidence was found that would enable third parties to misuse our results in this sense.

... certain clues [if applicable: explain!] were found that could enable third parties to misuse our results. The Commission for Scientific Responsibility and Good Scientific Practice at Clausthal University of Technology examined our considerations and came to the conclusion that ... [explain, if applicable: attach commission's written statement].

4.1.5.2	Risks in international cooperation

If you are not planning to cooperate with foreign partners in this project (see Chapter 4.6), this section can be skipped as "not applicable". 

Our reflection on the foreign research partners planned for the research project has shown that…

... there are no aspects listed in the DFG checklist that would be affected by the proposed project (for example military research, data security, contract security or restrictions on academic freedom).

... the foreign researchers involved [XYZ - name them if necessary!] work in institutions that also carry out military research. However, against the background of the previously identified non-existent dual-use risk with regard to the research subject, the partner's institutional research that goes beyond the project is irrelevant from the applicant's point of view. Furthermore, in terms of foreign trade law, there are no relevant (foreign) research partners or participating countries where the other aspects listed in the DFG checklist are affected (e.g. data security, contract security or restrictions on academic freedom).

... the foreign researchers involved [XYZ - name them if necessary!] work in institutions located in countries where one can at least question the attitude to military research, data security, contract security and restrictions on academic freedom, especially in comparism to European standards. Without being able to examine the current research policy or government system abroad, the applicants have come to the conclusion that the involvement of the research partner XYZ remains without alternative in the sense of the scientific approach. [Explain in detail or refer to the corresponding sections in Chapters 1 & 2 (state of knowledge, preparatory work, etc.)].

... etc. ... 

The statements must be presented in a network- and project-specific manner!

4.1.6	Considerations on aspects of ecological sustainability in the planning and implementation of the project

The DFG expects a project-related reflection on sustainability in all proposals. If applicable, make a short statement at least for the points of travel, experiments and equipment procurement. 

Project-related details:
The considerations made by the applicants regarding sustainability in the research project applied for, taking into account the DFG guiding questions, provided the following aspects: 

Travel activity:

•	Online / face-to-face
•	Avoiding travel in particular
•	Reducing emissions by avoiding flights / booking (more expensive) direct flights
•	Estimation of the environmental impact of project-related travel activities

Experiments / field tests / surveys:

•	General: Methodological approaches to reduce the use of resources and emissions that are harmful to the climate and the environment to a relevant extent? Relying on existing data to avoid experiments? Use of simulations as a replacement for experiments?
•	Laboratory/test material: reduce/recycle consumables? Environmental/resource-saving products/providers to choose from (although possibly more expensive)? Purchasing smaller quantities to avoid storage and transport costs?
•	Investigation material: use of existing material? Reuse? Climate and resource-saving storage (e.g. less cooling) possible?

Computing power:

•	Reduction possible?
•	Efficient planning?
•	Choice of model depth?
•	Reuse of data?

Device procurement/operation/use:

•	Is a new purchase really necessary? If so, then more energy efficient than old devices? Repair possible? Recycling? Lifespan?

General information about TU Clausthal: 
The Clausthal University of Technology defines itself in its mission statement as a university of the circular economy with the aim of working continuously and in an interdisciplinary manner on systemic approaches to the technical challenges of a sustainable society. The research profile of TU Clausthal is defined by i technologies and methods for sustainable management of resources – i.e. energy, materials, and data – also drawing on and contributing in various ways to the concept of a circular economy. This applies not only to the extraction of raw materials from primary and secondary sources and the design of resource-light and recyclable materials and products, but also to interconnected questions in complex processes, short and long-term energy storage, CO2-cycle management, and innovative ideas for business models. In all of this, the shift to digital technologies is understood as an ineluctable issue that cuts across all topics. These self-imposed goals in the research context are accompanied by organizational measures in the administration of the university and the decentralized institutions (institutes, centers). A central energy task force, together with decentralized energy scouts, provides information and rules of conduct on the responsible, environmentally conscious and economical use of energy. In the Circular Economy working group, sustainable measures are prepared and implemented centrally, e.g. for sustainable procurement and awarding, electric mobility, construction work or the installation of PV systems.

4.2	Employment status information
For each applicant, state the last name, first name, and employment status (including duration of contract and funding body, if on a fixed-term contract).

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4.3	First-time proposal data
Only if applicable: Last name, first name of first-time applicant

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4.4	Composition of the project group
List only those individuals who will work on the project but will not be paid out of the project funds. State each person’s name, academic title, employment status, and type of funding.

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4.5	Researchers in Germany with whom you have agreed to cooperate on this project

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4.6	Researchers abroad with whom you have agreed to cooperate on this project

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4.7	Researchers with whom you have collaborated scientifically within the past three years
This information will help avoid potential conflicts of interest.

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4.8	Project-relevant cooperation with commercial enterprises
If applicable, please note the EU guidelines on state aid or contact your research institution in this regard.

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4.9	Project-relevant participation in commercial enterprises
Information on connections between the project and the production branch of the enterprise

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4.10	Scientific equipment
List larger instruments that will be available to you for the project. These may include large computer facilities if computing capacity will be needed. 

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4.11	Other submissions
List any funding proposals for this project and/or major instrumentation previously submitted to a third party.

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4.12	Other information
Please use this section for any additional information you feel is relevant which has not been provided elsewhere.

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5	Requested modules/funds
Explain each item for each applicant (stating last name, first name).

Please note the DFG hints: https://www.dfg.de/foerderung/programme/einzelfoerderung/sachbeihilfe/formulare_merkblaetter/  

5.1	Basic Module

5.1.1	Funding for Staff

•	Funds for one research position of the category “postdoctoral researcher or comparable” will be requested, duration of employment three years, full position (100% of the standard work week, TV-L 13). The postdoctoral researcher will support the PI, and he or she will be mainly assigned to the work package “WORK PACKAGE NAME”
Required funds (DFG personnel rate): 88,200 €/year x 3 years = 264,600 €

•	Funds for one research position of the category “doctoral researcher or comparable” will be requested, duration of employment three years, full position (100% of the standard work week, TV-L 13). The doctoral researcher will be supervised by the PI, and he or she will be mainly assigned to the work package “WORK PACKAGE NAME”
Required funds (DFG personnel rate): 81,600 €/year x 3 years = 244,800 €

•	Funds for student research assistants are requested. The student research assistants will primarily work on DETAILS under the guidance of the PI and the doctoral researcher.
Required funds (hourly rate given by the state of Lower Saxony, including employer shares): 19.86 €/h x 43 h/months x 12 months x 3 years = 30.750 € (rounded).

Required personnel funds (total): 264,600 € + 244,800 € + 30,750 € = 540,150 € 

5.1.2	Direct Project Costs

5.1.2.1	Equipment up to € 10,000, Software and Consumables

•	Device name #1, costs (incl. VAT): 				5,250€
Justification (with reference to the work plan): ...

•	Device name #2, costs (incl. VAT): 				1,750€
Justification (with reference to the work plan): ...

•	Software package / licenses: 				2,500€
Justification (with reference to the work plan): ...

•	Consumables: 						12,500€
Justification / explanations summarized in groups (with reference to the work plan): ...

Subtotal 5.1.2.1: 		22.000€

5.1.2.2	Travel Expenses

The following travel funds are required to carry out the project:
•	National conference trips: €1,500 / year (just an example – should be realistic!)
•	International conference trip: €3,500 / year (just an example – should be realistic!)
•	Project meetings / exchange with XYZ: 500€ / year

Explanation: Type and aim of the conferences, if known - otherwise general, but project-related - establish a connection with the work plan

Subtotal 5.1.2.2: 		16,500 €

5.1.2.3	Visiting Researchers (excluding Mercator Fellows)

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5.1.2.4	Expenses for Laboratory Animals

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5.1.2.5	Other Costs

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5.1.2.6	Project-related Publication Expenses

•	Publication funds are requested at the standard rate of 750 € per year, a total of 3 x 750 € = 2,250 €.

Subtotal 5.1.2.6: 		2.250 €

5.1.3	Instrumentation

5.1.3.1	Equipment exceeding € 10,000

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5.1.3.2	Major Instrumentation exceeding € 50,000

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5.2	Module Temporary Position for Principal Investigator

Please note that funds for the "own position" (“Eigene Stelle”) of the PI may only be requested if you have the appropriate authorization. The university management must already submit a so-called Employement Declaration (Form 41.027). Contact the Funding Advisory Service for further assistance.

•	For the position of the PI "FIRST NAME, LAST NAME" (TVL E13, level 4, 100%), funds in the category "postdoctoral researcher or comparable" are applied for, employment period three years.

Funds required (according to DFG personnel costs): €88,200/year x 3 years = 264,600 €

5.3	Module Replacement Funding

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5.4	Module Temporary Clinician Substitute

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5.5	Module Mercator Fellows

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5.6	Module Workshop Funding

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5.7	Module Public Relations Funding

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5.8	Module Standard Allowance for Gender Equality Measures
Please detail what measures are planned to promote diversity and equal opportunities.
If you are submitting your proposal for an individual research grant within a network, note that this standard allowance may only be applied for within the coordination project. The coordination project must combine all such requests in its calculation.

If necessary, consult the TUC Equal Opportunities Officer https://www.gb.tu-clausthal.de/ Especially in the case of project personnel who are not yet known at the time of application, the lump sum should be applied for in any case!

•	The standard allowance for gender equality measures (1,000 €/year) is reserved for a possible compensation for absence or part-time work of the project staff for family reasons. 

Requested budget: 3,000 €