课题建议书的写作

1. 课题建议书的写作 张秀兰

2. 逼上梁山 • 牌子闯出来之前如何推销自己和自己的观点，寻找机会 • 想想都有哪些机构会成为潜在的买家 • 想想自己有什么，做个计划什么的 • 关键不在于是专家，而是找到买家 • 很多的时候未必专家就取胜 • 有点远见但是不能太远了：寻找定位

3. 写建议书的几个原则 • 在写建议书之前需要明确的是要取争取一个项目。这个项目需要别人的同意和资金支持。也就是要推销一个研究项目，要人家拿出钱来做自己提出的项目。 • 向谁推销是第一个要明确的事情。

4. 所以一个建议书必须要有足够的信息让出资方能够决定是不是要出钱来支持。出钱支持研究，或是雇用你来做这个项目。所以建议书的第二个原则是换位思考。把自己放在出资方的位置来思考，如果我来决定是否给与支持，那些信息我想在通过建议书来了解。所以一个建议书必须要有足够的信息让出资方能够决定是不是要出钱来支持。出钱支持研究，或是雇用你来做这个项目。所以建议书的第二个原则是换位思考。把自己放在出资方的位置来思考，如果我来决定是否给与支持，那些信息我想在通过建议书来了解。

5. 建议书写作原则之三：不是去阐述这个项目是否值得做，而是要阐述这个项目值得做而且我能做而且可以做得最好。是要推销自己去做这个非常值得做的项目。建议书写作原则之三：不是去阐述这个项目是否值得做，而是要阐述这个项目值得做而且我能做而且可以做得最好。是要推销自己去做这个非常值得做的项目。

6. 信息的获得至关重要。也就是要了解需求和买家。信息的获得至关重要。也就是要了解需求和买家。 • 政府项目需要团队和引路人

7. 建议书写给谁？ • 不同的客户，对建议书的写作有不同的要求。所以要了解建议书的类型和不同类型的要求。（投其所好） • 目前的建议书的几种类型（我所涉及的）

8. 政府 • 教育部（一般、重点、规划等） • 其他部位（科技部等） • 地方政府 • 国内基金会 • 社会科学基金 • 自然科学基金 • 其他基金会（发展基金会，等）

9. 公开征集建议书的国际基金会 • 社会保护 • 艾滋病 • 国际计划 • 合作型项目 • Pacific Rim • NIH • Tobacco

10. 其他： • 委托项目(规划) • 国际组织项目 • 自己去主动联系的：中日韩、福特等

11. 建议书的类型 • 纯粹研究型（社区参与） • 政策型（低保调标、五保、寄养儿童等） • 干预型（政策和试验型） • 评估型（抓住问题） • 会议研讨

12. 建议书一般要有的几个内容 • 前言：除了把建议书的情况作了介绍，最重要的两点需要注意： • 1）你写这个建议书的信息来源。更重要的 • 2）写出来最是评审者关注或动心的段落来。是他们能耐心读下去，也就是要吸引他们的眼球。

13. 背景： • 为什么要做，问题是什么，现在这个项目可以在多大程度上对问题有帮助或启示。 • 经常情况下是人家知道问题在哪里，但是建议书和写文章的一个共通点是假设人家不知道，而且对问题的分析要有点新意。或包装出新意来，如图形啦，整合啦。等等。换个角度看问题本身就很有意思。 • 关键是要说明问题存在，而且现在这个项目是个机会可以有助于问题的解决。

14. 项目的意义部分要注意的 • 支持这个项目的益处 • 做这个项目的可行性 • 要用推销的心态来写 • 最常见的问题是思路打不开。以为对问题认识了，但是写了一大堆，却没有把准脉。

15. 技术路线（方法、程序、理论） • 如果我是出资方，我需要了解你怎么做。你需要向我说明你有一套方法来做这个项目。 • 和背景部分对应起来，说明问题出现和方法的关系 • 要是出资方有信心，使他明白你不仅知道做什么，还知道怎么做，以及谁来做。 • 谁来做：你的经历、类似的项目、合作者和推荐人、学术训练和教育背景

16. 项目时间表 • 寻求的支持： • 预算不要让人家觉得是狮子大开口（社会资本项目） • 大项目分阶段 • 寻找Matching fund，降低风险 • 成果的传播计划 • 投其所好 • 根据建议书类型（农村组织项目的落败经验）

17. 问题型建议书 • 谁要？ • 搞清楚人家的意图？ • 先问人家要解决什么问题 • 多交流沟通 • 政府：短平快，科学性未必，解决问题为主 • 海淀的新农合项目 • 北京市社会福利改革 • 国际组织：在中国问题的特殊性 • Sponsorship的项目，失手给非洲的教训 • ESRC项目：方法论的问题 • BC Social capital：语境的问题和经验问题

18. 证据型建议书 • 弱势儿童项目（给人家工具） • 了解事实、侧重在项目设计的可借鉴性上 • 增强研究能力，关注儿童 • 艾滋病项目（剑走偏锋） • The overall purpose of this study is to assess whether and to what extent the Global Fund and the government social and health protection policy has met the needs of HIV/AIDS families. This study will explore strategies to reduce social stigma, and to engage central, local, community and kinship networks to assist these families to develop a coping strategy. The study will focus on finding “facts” from the receiving (beneficiary) end, and will look into the health care provision system, especially for the workforce and staffing of the health services to the AIDs patients, the infrastructure, the policy environment, and health service delivery at all levels. Recommendations will be made based on the study findings.

19. Specific Aim 1: “Facts” Finding • A description of the registered cases will focus on the social demographic characteristics of the HIV positive, AIDS, and the family members. The variables will include age, gender, employment, family size and family life cycle, educational attainment, marital status, family income and expenses, etc. • An assessment will be made of whether the government programs and the Global Fund are appropriate along various dimensions, including: (i) complementary and/or duplication or coverage gaps across programs in target beneficiaries and interventions; (ii) balance between cash, in-kind and exemption entitlements in light of the needs of different family sub-groups; (iii) balance and sustainability of social and health protection programs, Global Fund and informal support. • An assessment will be made of financing levels and structure with respect to the Global Fund and the government relief programs, and appropriateness in terms of reducing the poverty of the HIV/AIDS families, increasing the access to social and health services, the degree to which this relief enables families to buy sufficient food, educate their children and obtain medical care. What do they regard as their needs and vulnerabilities and in what ways do they prefer to be supported. • An assessment will be made of the support and services provided by NGOs, charities and other non-public organizations to these families, including program description, coverage, spending where available, and institutional interface between the non-public and public programs. • There will be a focus on understanding self-perceived social stigma and how to cope with this discrimination. Documentation of negative experiences from the community and from other sources will be included. • As assessment of the capacity of health care system, such as workforce, infrastructure, policy environment, and delivery system in Global Fund and non-Global Fund regions.

20. Specific Aim 2: Testing Key Hypotheses • Intensive support by government and/or the Global Fund project would lead to greater understanding of the problem and a decreased willingness to stigmatize HIV/AIDS people. • HIV/AIDS people who receive relief payments consume more food and have more access to education and medical care than HIV/AIDS families in provinces that do not pay relief. • Global Fund projects are additional to other government funding and households in localities with Global Fund support have greater access to health care than in localities without Global Fund support. • Government leaders in localities that have had special attention from government and/or the Global Fund are more likely to have positive attitudes towards the support of HIV/AIDS families. • The capacity of health care system in Global Fund regions is more adapted to the needs of the HIV/AIDs patients. • Specific Aim 3: Evidence-Based Recommendations on Policy Development in Reducing Inequality and Increase Financial Protection

21. 烟草税项目建议书案例：分拆目标 • Aim 1: Smoking and Poverty • Aim 1a: Based on 2004 and 2005 rural household surveys, and 2005 to 2007 urban longitudinal household surveys, causal relationship models between smoking and poverty will be established and estimated. The models link smoking with diseases, poor health and health care expenditures. It also looks morbidity losses attributable. • Aim 1b: Based on 2005 China Tobacco Use Survey (CTUS), a multivariate model will be estimated to show the relationship between youth’s smoking behavior, parental smoking behavior. Emphasis will be placed on the relationship between parental smoking behavior and age 15 to 17 children smoking behavior in different income quintiles. The connection between this intergenerational smoking behavior and poverty (Aim 1a) will deepen an understanding of the intergenerational transfer of poverty and the impact of parents’ smoking behavior on the smoking status and income of their children. • Aim 2: Tobacco Demand Analysis • Aim 2a: A detailed demand analysis of tobacco products will be conducted based on China Tobacco Use Survey. The demand on the type, price and brand of tobacco products will be disaggregated by family and individual characteristics, income categories, and rural/urban. Factors affecting the demand of different type of cigarettes and the demand of low cost cigarettes will be analyzed. • Aim 2b: Demand based taste; health concerns; social status; etc will be estimated. • Aim 2c: Tobacco products as gifts are common in China. A detailed analysis on this social custom will be conducted. • China Tobacco Use Survey will be used for Aim2.

22. Aim 3: Impact of Tobacco Taxation • Aim 3a: Impact on Households. Based on China Tobacco Use Survey, simulations of the impact of tobacco taxation will be conducted on households based on household income strata, and other household characteristics. Particularly attention will be paid to low income households. • Aim 3b: Macro Effect. The impact of tobacco taxation on the overall economy and the health benefits will be evaluated with a multi-sector computable general equilibrium (CGE) model, developed by the Dept. Of Development Strategy and Regional Economy, Development Research Center of the State Council of China. In detail, the analysis will focus on the effects on the economic growth, industrial structure, employment, fiscal revenue, income distribution, household welfare and benefits etc. • Aim 3c: Impact on tobacco industry. 2004 Economic Census data will be used to estimate the effect of taxation on revenue, and employment in the tobacco industry. • Aim 4: The Health Care Costs Attributable to Smoking • Based on 2003 China Health Services Survey, econometric models will be estimated on the health care costs attributable to smoking and the model will be applied to national household data.

23. Aim 5: Tobacco Taxation and Medicaid System Financing • China is reforming its health system; however, financing health care cost from tobacco tax has not been on the current policy agenda. This study will build an argument that smoking leads to poverty due to high health care costs and income loss due to smoking attributable morbidity and mortality. Based on this argument, financing national Medi-aid program based on tobacco tax will be advocated. Currently, the Medi-aid system is considered as part of the social assistance and anti-poverty policy, and is high on the government agenda. While the health system reform argues for more public spending on health care, the financing mechanism of Medi-aid puts more emphasizes on multiple sources of revenue. A public policy approach on financing Medi-aid will be developed. • Aim 6: National Estimates of Smoking Attributable Expenditures, Likelihood of falling into Poverty due to smoking, Government Social Assistance and Medical Aid Expenditures Due to Smoking and National Household Tobacco Expenditures

24. 怎么做需要想清楚 • Main Data Sources • 2005 China Tobacco Use Survey (CTUS) • The CTUS was designed to collect representative nationwide data on cigarette smoking behavior and use of tobacco products for adults and teenagers. The survey was conducted in 2005 on 60,000 rural and urban households, which is the most recent data on tobacco use in China. CTUS contains basic household characteristics and detailed individual smoking behaviors. Household variables include family size, total income and total expenses. Individual variables within the family，include age, gender, marital status, educational level, occupation, smoking history, age started smoking, number of cigarettes per day, type of cigarettes, and price of cigarettes, favorite brand (domestic or imported), tobacco consumption costs, and demand of low cost cigarettes, and reasons of brand selection (social status, price, health concern, brand, taste, and as gift). • The 2005 CTUS records the smoking behavior of the members in a household, price, income, age, type of work. We could predict the likelihood of smoking, and model what type of nicotine provider the interviewee employs: cigarette, cigar, or hanyan; and if cigarette, how many does the interviewee smoke a day? The predetermined variables could be price, income, intensity of smoking in the family, attributes of various nicotine providers, age, gender, type of work.

25. 2003 China Health Services Survey (CHSS) • The third China Health Services Survey was conducted in 2003. The survey collected information on 57,000 households and 210,000 individuals nationwide on health services need and demand, access and utilization to health services, economic condition and affordability to health services, insurance coverage, and the burden of diseases. Family variables and individual variables include family size, housing condition, income and expenses, insurance coverage, poverty status, socio-demographics of each individual within the households, health expenditures, illness, health status, disability status, smoking history, drinking behavior and exercises, and detailed health utilization behaviors. This data set is ideal to establish the causal relationships between smoking, health conditions, expenditures and poverty. • 2004 China Economic Census (CEC) • In 2004, China’s National Bureau of Statistics (NBS) conducted its first Economic Census. This Census contains detailed tobacco industries, such as size, revenue, employment, etc. ISDPP has contacted National Bureau of Statistics for accessing this data set and got a positive feedback.

26. 2005 Urban (CUHS) and Rural(CRHS) Household Survey • National Bureau of Statistics of China conducts annual rural and urban household surveys on household characteristics, income and consumptions. Urban household survey collected information on 36,000 households and the rural household survey sampled 68,000 households. National projections on tobacco consumption and cost will be based on these surveys. • 2004 and 2005 Sampled Rural Household Survey • ISDPP has conducted large sampled surveys in rural China in 2004 and 2005. Detailed household and individual information, including smoking behavior are collected in 9 provinces and 10,800 households. • 2005-2007 Sampled Urban Household Survey • ISDPP has conducted a longitudinal household surveys on 7800 urban households and has followed these households four times. Information on smoking behavior, health care cost, income, consumption, employment, health status, etc is collected.

27. 理论研究型建议书 • 谁要？ • 国际(CIDA, NSF, NIH, etc) • 国内的情况 (NSSF, NSF) • 现在是件很奢侈的事情 • 新的思路（社会资本） • 从概念到实证，从实证到假设检验: 从失败到成功的过程 • 理论构建或验证（社会政策） • 需要“宏大” • 需要“完善” • 做到这两点，就是把可能的知名教授的文章都cite。保不定谁是评委。说人家做了什么。把人家做的都给Credit。然后再列举一些实证的，人家可能没看到的，表示全面。

28. 硬撞的几个注意之处 • 熟悉领域，找出问题（伪问题的识别） • 把基础写清楚：站在巨人的肩上，注意元创和文献的关系 • 团队：谁来做，能否作出来 • 方法：如何做，是否工具最有效 • 产出：结果是给谁的

29. 几个注意 • 问题的提出是基于什么？写很多的问题，但是没有说明那种药治什么病。 • 深度与广度的关系（分拆） • 团队：特色，人家的认可 • 实证：方法论要强，避免常见的套话 • 框架图的使用：非常有效 • 分析可能的对手（Child Sponsorship） • 分析谁会来评审（例子：社会保护的语境使用，评审的经历） • 自己创造需要的可能性（Concept Note）

30. 鸡生蛋与蛋生鸡的问题：硬撞 • 写的不好没戏 • 写的好碰运气，重过程轻结果的心态 • 正确理解评审过程 • 照猫画虎 • 再谈信息和信息网络：尽量看文章，尽量在方法上注意。只要写好了，不在乎谁是竞争对手 • 关于基金会的信息：美国的CD。 • 还是问题意识与理论框架问题（失地农民和贫困大学生项目的启示） • 预算、目标、基础和方法的关系

31. A few thoughts • Supply driven to demand driven • Applied and intervention type • Policy studies • Problem oriented • Language skills • Good timing to catch up (China & World) • More resources and more new ideas • Wang Qiyun, CSR, etc