ist 590 guest lecture david l. hall concepts of proposal development january 31, 2005
TRANSCRIPT
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IST 590 Guest Lecture
David L. Hall
Concepts of Proposal Development
January 31, 2005
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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
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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?
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The proposal game
“There goes Williams again … trying to win support for his Little Bang Theory.”
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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.
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Outline
Identifying Opportunities Developing a Proposal Creating a Defensible Budget Submitting the Proposal Summary
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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
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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
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OSP: Grants workbench (continued)
Key word searches for opportunities are available for private foundations, government grants, and companies
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Web Site for IST-Related Funding Opportunitieshttp://ist.psu.edu/Intranet/Funding.cfmhttp://ist.psu.edu/Intranet/Funding.cfm
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Example of Web-Site with Opportunity Details
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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
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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!
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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.
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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!
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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”
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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
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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
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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
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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
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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
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Use of effective illustrations enhances proposal
Figure 1-1: This university research . . .Figure 1-1: This university research . . .
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Indiscriminate use of illustrations
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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.
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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
• • •
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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.
,,
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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.
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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
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Sample story boardSample story board
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Sample story boardSample story board
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Professionals use storyboardsProfessionals use storyboards
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Examples of storyboardsExamples of storyboards
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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
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Outline
Identification of Opportunities Proposal Development Creating a Budget Submitting the Proposal Summary
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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
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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!)
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Budget information Budget Sheet contains
Salaries Grad Assistantships Travel Materials Special charges
Budget sheet includes direct and loaded amounts
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Budget Notes Budget notes explain:
PSU overhead rate Employee fringe rates Graduate tuition & fees Travel justification Special equipment &
other charges Special considerations
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Outline
Identification of Opportunities Developing a Proposal Creating a Budget Submitting the Proposal Summary
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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
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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/
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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!
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Summary
Start early Use organization
resources Pursue non-traditional
sponsors Be persistent Use colleagues to
assist your reviews Keep your sponsor
informed
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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.