IST 590 Guest Lecture

David L. Hall

Concepts of Proposal Development

January 31, 2005

Themes

Successful grantsmanship is fundamental to your success regardless of whether you end up in academia, industry or the government

The ability to write winning proposals supports your research via; Equipment & travel Graduate student assistantships Summer salary

Some fundamental questions Why do you want or need

research funds? Equipment Students Travel Summer salary

How much do you need? What would you do with $ if

you got it? Are grants necessary for tenure? Why are some people better at

grant pursuit than others?

The proposal game

“There goes Williams again … trying to win support for his Little Bang Theory.”

How to Win the Proposal Game

Step 0: Figure out why and how much funding you need Step 1: Find a sponsor with $ Step 2: Develop and refine your idea (by interacting with the

sponsor) Step 3: Write an understandable proposal that is easy to read and

answers the mail Step 4: Create a defensible budget Step 5: Submit the proposal and follow up

Winning the proposal game requires persistence, attention to detail, communication with the sponsor, and clear writing.

Outline

Identifying Opportunities Developing a Proposal Creating a Defensible Budget Submitting the Proposal Summary

Identifying opportunities

Extensive resources are available at your fingertips to identify and evaluate funding opportunities

• Foundations• NSF• DOE• DOD• Industry• NIH• Commonwealth of PA• Ben Franklin• Etc

OSP: Grants workbench

The Office of Sponsored Programs (OSP) web site provides excellentresources for finding opportunities and obtaining information about sponsors,Penn State regulations, and resources:

see http://grants.psu.edu

OSP: Grants workbench (continued)

Key word searches for opportunities are available for private foundations, government grants, and companies

Web Site for IST-Related Funding Opportunitieshttp://ist.psu.edu/Intranet/Funding.cfmhttp://ist.psu.edu/Intranet/Funding.cfm

Example of Web-Site with Opportunity Details

Opportunity Identification Advice

Be systematic – search on a weekly basis Look beyond “the old favorites” Remember that sponsors don’t necessarily use the

same language you do! Contact Proposal Administrator ASAP

Check on submission exclusions/limitations Evaluate Proposal Preparation Instructions &

evaluation criteria Assist in identification of collaborators Establish passwords & user ID for electronic

submissions Alert the Contracts Office

Outline

Identification of Opportunities Developing a Proposal Creating a Budget Submitting the Proposal Summary

In order to understand how to write a winning proposal, you first need to understand the dirty secrets of proposal evaluation!

How Proposals are Really Evaluated!

Proposal evaluators are:

• Not necessarily experts in your field

• Are not necessarily familiar with your jargon, and

• Not experienced in proposal evaluation

Picture courtesy of Dr. Tracy Mullen

In order to win, you must write very clearproposals that educate as well as

persuade evaluators.

Proposal evaluators are:

• Overworked• Not paid for proposal evaluation• Wait until the last minute

Courtesy of Maurine Gallagher

Because proposal evaluators have too many proposals to evaluate intoo little time: they look for ways

to disqualify proposals andhighly value proposals that are

very easy to read!

A systematic approach, early start, and use of team resources will improve your probability of award and reduce your stress

Developing the Proposal

Typical Resources include:

• Cost planning• Editorial assistance• RFP evaluation• Proof-reading• Assistance with the submission “system”

Writing an Understandable Proposal

My proposed concept is very simple, see . . .

Your proposal will be more understandable if you obtain assistance in reviewing it prior to submission to ensure:

• Readability• Compliance with the PPI• Technical Credibility

Remember that proposal writing is fundamentally differentthan academic writing: a proposal is a sales document designed to get you funding

Proposal Planning Approach

Winning Proposal

Request for proposal

Statement of

Work

EvaluationCriteria

Annotated Outline• Sections• RFP requirements• Titles• Themes• Pages• Responsible individuals

Annotated Outline• Sections• RFP requirements• Titles• Themes• Pages• Responsible individuals

Compliance Matrix• Evaluation criteria• Proposal sections• Titles• Themes• Page numbers• Responsible individuals

Compliance Matrix• Evaluation criteria• Proposal sections• Titles• Themes• Page numbers• Responsible individuals

Story BoardConcepts• Diagrams• Figures• Tables• Bulleted items

Developing a Proposal Outline

CustomerRequirements

Proposal Preparation Guidelines

ProposalCompliance

Matrix

Section TitleRequire-

mentsPPI

PageLimit

s

Themes/Instructions

Cost Instructions:- WBS Task 1 Task 2 Task 3- Cost Rationale

Link the proposal preparation instructions to the evaluation criteria to your proposal outline

An Annotated Proposal OutlineAnnotated Proposal Outline

Sect. Title # Proposal Preparation Instructions

Comments

1. Title Page 1 Use Form ED 40-514 Follow format exactly

2 Abstract 1 One-page double spaced abstract; identify the problem or opportunity, proposed project activities, intended outcomes; innovations

Recommend listing the four items (problem, activities, outcomes & innovations) separately and addressing each one.

3 Proposal Narrative 25 25 page maximum; double-spaced; 11 point font; identify the problem and project objectives; proposed strategies

3.1 Problem and objectives

5 Present a description of the problem as specified in the white paper; Suggest a ½ page shazaam diagram showing a development-like portion. That is, a figure that shows teachers and students in schools about the state and individual teachers trying to learn about IST on their own.

An effective proposal outline ensures compliance with the PPI, links proposal sections to evaluation criteria, and provides specific writing guidelines

Concepts of modular proposal system

RFPRequirements

Evaluation Criteria

Instructions

Statement of Work

Attachments

A Winning PROPOSAL

STRATEGY OUTLINE THEMES

COMPLIANCE MATRIX

demo

Storyboard Development/Review

Thesis

Argument

Proof

Benefit

Use of effective illustrations enhances proposal

Figure 1-1: This university research . . .Figure 1-1: This university research . . .

Indiscriminate use of illustrations

How to make proposals easier to read. .

• Break up pages of solid text -- let in some light. • Provide guideposts for the readers -- let them know where they are and where they are going.

• Get additional mileage from headings and captions.

• Plan where and how you will present illustrations.

• Highlight the important things.

• Use white space to your advantage.

• List things for visibility and emphasis.

• Use ragged margins -- sometimes neatness does not count.

• Try using two or three-columned pages.

• Select the font style that is best for your hype.

Sample textual proposal: A fanciful example

Mobile Communications:

Equine Enterprises, Inc. (EET) is pleased to submit a proposal to the United States Department of the Interior to provide trans-American mobile communications. EEI has dealt with the U.S. Department of the Interior for over thirty years. We have previously provided support services in the areas of construction of frontier forts, supply uniforms to the U.S. Army, level of effort manpower for transportation of wagon trains across America. We are a trusted contractor with an established history of contract performance. In over thirty years, we have experienced only a minimum amount of cost overruns, kickbacks, and contract defaults. Our lead program manager is a direct descendant of Christopher Columbus. EEI’s approach to trans-America mobile communications involves the selection of a network of men and horses stationed across America. The proposed approach would entail using a relay approach to transport messages and mail from the east coast of America to the west coast, and vice versa. We estimate that the trans-American trip would take approximately ten days. The selection of this approach was based on current availability of horses as the primary transportation mechanism in the wilderness area. Potential problems with our approach include attacks by wild Indians, lack of supplies, and horses becoming lame. EEI’s approach provides the best solution and is the proposal of choice for the Mobil Communications procurement.

How many proposals use the themes?

• I am the great professor X• I’m a member of the

imposing laboratory Y• University Z is a world

class university• We know what we’re

doing because we can cite many arcane references

• • •

Sample graphics-enhanced proposal

Figure 10.1: Horse.

Mobile Communications:

Equine Enterprises, Inc. (EEI) is pleased to submit a proposal to the United States Department of the Interior to provide trans-America communications. EEI proposes to use a network of men and mobile biological transportation entities as illustrated in Figure 10.1. The network will allow riders to cross an 1800 mile distance (from St. Joseph, MO to Sacramento, CA) in approximately ten days. We have selected 157 relay stations spaced 25 miles apart. We have identified 470 riders, consisting of young, skinny wiry fellows, 16 to 18 years of age. Our lead riders include “Buffalo Bill” Cody and “Pony Bob” Haslam. Initial test results indicate that the selected Appaloosa horses have the requisite stamina and speed for their 25-mile runs.

,,

Sample storyboard proposal

Spotted cost provides camouflage from Indians.

Olympia High Saddle provides 25 pounds of

mail storage.

Average speeds of 10 miles for 25-mile distance.

Figure 10.1: EEI selected specially bred Appaloosa horses for the pony express relay because of their proven stamina, speed and agility.

Mobile Communications: Equine Enterprises, Inc. (EEI) proposes a trans-America pony express relay system for the United States Department of the Interior. Features of our pony express system include:

• Appaloosa horses selected for strength, speed, stamina (Figure 10.1)

• average speed 10 mph• Existing staff

• 470riders on retainer• 16-18 year olds• young, skinny, wiry fellows

• Experienced lead riders including• William “Buffalo Bill” Cody• “Pony Bill” Haslam

• Test runs indicate 1800 mile route requires 10 days travel• Our Management plan contains detailed schedules, personnel, and logistics.

Proposal evaluators want to know the benefits of your solution

Features of your solution describe:• Characteristics• Attributes• Specifications• Functions• Components• Methods• Approach

Benefits describe:• Meaning to the user• Utility• Improvements in user

abilities• Why the user should care

about your solution

Sample story boardSample story board

Sample story boardSample story board

Professionals use storyboardsProfessionals use storyboards

Examples of storyboardsExamples of storyboards

10 Ways to write a losing proposal1. Go easy on the graphics – pictures are for kids

2. Believe the sponsor when it says that it doesn’t want nice layouts\ and pretty documents

3. Don’t spend too much time discussing how’s, what’s and why’s

4. Use standard boiler plate material as much as possible

5. Make the bastards suffer – give a blow by blow description of everything you did – force the reader to read every word

6. Don’t revise your cost package – first estimate is undoubtedly the best

7. Don’t prepare detailed outlines for other proposal writers

8. Organize the proposal the way you think it should be organized, not the way the sponsor says it should be organized

9. Accuracy and consistency don’t count for much – don’t sweat the details.

J. K. Clauser

Keys to Creating Winning Proposals, 1992

Outline

Identification of Opportunities Proposal Development Creating a Budget Submitting the Proposal Summary

Elements of a Effective Budget

Work breakdown structure (WBS) Link between project tasks, deliverables, and

required effort Basis of estimate (cost rationale for each budget

element) Match between sponsor requirements and the bid

level of effort

A well planned and documented budget assists in negotiations and shows the sponsor that you’ve thought about the project budget and plan

Budget Advice Start early! Use department administrator to assist in

budget development and documentation Link costs to tasks, activities, and

deliverables Establish a basis of estimate to support

negotiation Identify any cost issues (especially cost

matching!)

Budget information Budget Sheet contains

Salaries Grad Assistantships Travel Materials Special charges

Budget sheet includes direct and loaded amounts

Budget Notes Budget notes explain:

PSU overhead rate Employee fringe rates Graduate tuition & fees Travel justification Special equipment &

other charges Special considerations

Outline

Identification of Opportunities Developing a Proposal Creating a Budget Submitting the Proposal Summary

Proposal Submission Process

PrincipalInvestigator

AssociateDean’sOffice

ISTFinancialOfficer

Office ofSponsoredPrograms

SponsorAgency

• Identifies possible opportunities• Alerts Associate Dean’s Office• Develops budget and rationale• Writes proposal following sponsor guidelines

• Coordinates with financial officer for special requirements• Coordinates with graduate research office for limited submissions• Obtains PPI and instructions• Establishes accounts for on-line submissions• Reviews budget & staffing• Coordinates cross-college submissions• Obtains PI and Dean’s signatures• Coordinates submission through OSP

• Reviews final budget• Coordinates with Dean on special budget requests

• Reviews proposal• Obtains university authorized signatures• Evaluates legal and IP issues• Performs final proposal submission• Conducts negotiations

• Reviews proposal• Accepts/rejects• Requests additional information• Conducts negotiations

Award

Grants involving human subjects

Grants involving human subjects require development and approval of a research plan for human subjects:

see http://www.research.psu.edu/orp/

Waiting until the last minute to submit a proposal virtually guarantees a poorly written (and hence losing) proposal!

Submission Advice

Provide early identification of intent to submit a proposal

Allow time for reviews & re-work Get it in writing! (e.g., cross-College

agreements) Do NOT Wait until the last Minute!

Summary

Start early Use organization

resources Pursue non-traditional

sponsors Be persistent Use colleagues to

assist your reviews Keep your sponsor

informed

Obtaining Grants for Fun and Profit !

Despite rumors to the contrary, it really isn’t painful to submit (and win) grants!

Picture: Stuart MacFarlane,London, Daily News, October 1999.