Fundamentals of Proposal Development

Presenter:

Dr. Bruce CrawfordInterim Vice Chancellor for Instructional and Student Services

Alabama Department of Postsecondary EducationAlabama Community College System

Vice President for Instructional Services Lawson State Community College

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Topics/Objectives Understand the Fundamentals Identify and Know Your Institutional

Strengths Understand The RFP/BAA/Cooperative

Agreement Identify 8 Basic Components of A Proposal Identify Characteristics of a Good Principal

Investigator Identify Characteristics of Winning

Proposals Identify Characteristics of Losing Proposals

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Topics/Objectives (continued) Identify Commons Errors That

Guarantee A Losing Proposal Understand the Importance of

Performing Identify and Use Resources Available to

You Make An Accessing Your Own Internal

Processes- Policies, Procedures, Committees,

Agreements Review Samples of a RFP and BAA Questions and Answers

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Understanding the Fundamentals Eighty (80) percent of all grants and

contracts are won before the competition

Develop and maintain contacts and networks

Be proactive Research the Agency’s (DoD, DoE, NSF,

NASA, DoL, NIH) and/or customer’s needs, priorities, thrusts

Talk, listen, listen, listen Deliver what the customer needs, not

what you want

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Know Your Strengths Put your story together Certify your capabilities Assess your ability to deliver Cultivate resources and collaborate Differentiate your assets from other

potential customers Demonstrate proof of superiority

Know Strength: Branding Your Institution Creation and dissemination of a

particular perception An image or persona Awareness of a product, service or

organization

Strengths What is unique about you? What do you offer that is ‘best in

class?’ What do you offer that surpasses

your competition? How do you maintain your

competitive edge?

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Strengths Demonstrate your superiority in

research or subject matter areas- Why did we select our approach?- What is the rationale?- How does it compare to alternatives or

competing ideas?- What can we deliver that no one else

can?- What are our relevant credentials and/or

experiences?

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Characteristics of Winning Proposals Strong and continuous

contacts/marketing Thorough understanding of the BAA/RFP Use best personnel and resources Used proven writing techniques; review

successful proposals Request technical assistance for large

efforts Respond within the specific guidelines

and procedures

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Winning Proposals Well written, responsive and persuasive The proof is in the graphics!

Graphics organize data to prove a point Accurate graphical depiction of information Graphics are not decorations

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Winning Proposals (continued)- Provide outside, objective customer-

focused evaluation- Provide an assessment of clarity,

consistency, and persuasiveness- Keep you on schedule- Provide positive motivation

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Wining Characteristics: Proposal Basics “Shall” and “Must” are requirements “May” and “Should” indicate desired

requirements Every winning proposal must present an

idea of design with a well thought-out plan of action

Winning proposals must use concise, straight-forward language

State the purpose and importance of the work and the specific results to be obtained

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Winning Characteristics: Basic Fundamentals

Identify who will perform the work and their qualifications

Describe where the work will be performed and the resources available to support it

Offer a schedule or timeline demonstrating how much time the project will take

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The RFP/BAA Test

Read the RFP/BAA twice Develop a matrix using the Solicitation

Outline The agency (customer) asks the

questions:- Who? What? When? Where? Why?- How many? How much? So what?

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The RFP/BAA Test (Continued) You answer the questions The customer scores the answers Zeros for questions not answered Low grades for partial answers Low grades for answers they do not

understand Low grades for answers they do not like The highest grade overall wins!

Eight Basic Components of A Proposal The Executive Summary or Abstract Introduction of the Institution Problem Statement Objectives Method or Design Evaluation Future Funding The Budget

Executive Summary or Abstract Also known as the Abstract Appears at the Beginning Written Last Usually One Page Outlines the Proposed Project

Includes key summary points Communicates the objectives Cornerstone of your proposal Initial impression

Introduction of Institution Pertinent data about your institution Organizational structure Institution’s mission, goals, track record

with agency (DoD in this case), other grantors (NSF, NASA, ETC.), and success stories

Present information that is relevant to the agency

Include Institutional commitment(s) to the problem and Establish credibility

Problem Statement Key component of the proposal Problem should be relevant to the

funding agency’s requirements Include beneficiaries Make a clear, concise, well-

supported statement of the problem to be addressed in your proposal

Objectives Specific Activities to be

Accomplished Identify all Objectives Related to

the Goal (s) Consider Measurable Quantities Define Timeline Be Realistic as Stated Objectives

will be used to Evaluate your Project

Method and Design (Statement of Work) Define how the project is expected to work Define how the project will solve the stated

problem Discuss methods to be employed to achieve

the goals Define/Outline Timeline Define Data Collection Methods: Research

reports, Needs assessment in the target area, Data should be related to the problem, Relevant and Timely

Identify Activities to Occur (inputs): processes, related resources, personnel needed to operate

Method and Design (continued) Consider Flowcharts (to demonstrate)

- How the parts interrelate- Where personnel will be needed (identify all)- What they are expected to do (specific tasks/job descriptions)

Identify facilities, transportation, support services, collaborations required

Method and Design (Continued) Identify Expected Measurable Results

(outputs)- What will be achieved via inputs & throughputs

Justify the Course of Action to be Taken Outline Program Design Highlight the Innovative Features of the

Proposal Use Appendices to Provide Additional

Pertinent Details (supplemental data and references, within specified page limit)

Basic Evaluative Criteria Relationship to Agency’s Mission Scientific, Technical, Community, Merit Likelihood to enhance research capabilities

and broaden research base in field Quality of PI and other personnel Impact of interaction with Agency’s

Stakeholder Quality of Management (Methods & Design)

Plan Cost Effectiveness

Product Evaluation Present an Evaluation Plan with your

Proposal

Address results to be attributed to the Project

Address extent to which the project will satisfy specific mission and goals of the Agency

Process Evaluation Addresses how the project will be conducted

Should be consistent with the stated plan of action

Address how you will measure effectiveness of the various activities within the plan

Evaluation Can be determined by the Agency Sometimes Proposed by the PI

Internal Staff (agency) External Experts Evaluation Teams Firm (contracted)

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Importance of Evaluating Performance Understand the evaluation criteria Treat the evaluation criteria as

requirements Write to the criteria in your text HBCU/MIs are expected to compete Competition is getting bigger and more

aggressive!

Sustainability: Future Funding Address long term project planning Describe the plan for continuation beyond the

grant period Address equipment maintenance, if applicable Address continuation of services to

constituents

Basic Components

Budget Narrative

The first place a funder looks after the cover sheet and executive summary is the budget narrative. The following are the basic steps for completing a budget narrative: Review the program goals and

objectives. Estimate the resources needed to obtain

these goals.

Basic Components Determine other necessary costs. Explain any budget controls in place.

Depending on the individuals funder’s instructions, the budget narrative may also include an overview of additional support (fundraising, community support, etc).

Budget Preparation Grant income Institutional commitments In-kind contributions Corporate partners Include inflationary measures Justify all expenses

Budget Preparation: Vulnerable Areas Utilities Rental of buildings & equipment Salary increases Food Cellular phones Insurance Transportation

Budget Preparation: Tips Consistent with the proposal narrative Salaries consistent with institutional salaries New staff will need space & equipment Equipment purchases should be the type

allowed by the granting agency IDC (Indirect Direct Cost) rate should be clearly

specified determined by an approved agency Matching funds should be as specified – cash,

in-kind, corporate

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Characteristics of a Good PI Scheduler Motivator Resourceful Manager Technical/subject matter expert Excellent writer Salesperson

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Characteristics of Losing Proposals Failure to understand what the agency

or customer’s requirements are Failure to address each aspect of the

RFP/BAA Poorly written proposals Non-persuasive proposals Failure to apply best practices, proven

principles and techniques Making points that are not verifiable or

quantifiable

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How to Lose Depend on blind luck, “wait for your

ship to come in” Wait on someone to contact you Start writing the proposal 3 days before

it is due Do not get to know the program,

manager, or customer Poor proofreading skills

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Resources Available to You American Association of Grant

Professionals Society for Technical Communication American Philosophical Society National Science Foundation (NSF) National Endowment for the Humanities Federal and State Agency Web Sites Technical Assistance Training

Conferences

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Internal Processes, Policies, Information Intent to submit Proposal review and certification Agency distribution Supplemental information Rates

IDC Supplemental Pay Adjunct Pay Consultancy Pay Rates

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Required Committees

Research Council IRB Committee for Responsible Conduct in

Research

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Non-Disclosure Agreement Used for collaborative efforts Contractors will require Subcontractors will require HBCU/MIs should require

Reminders Develop and Maintain Contacts Know Your Capabilities Understand the Solicitation Plan before you begin to Write Use Internal and External Review

Teams Develop Good Internal Processes –

Work Together

Writing Process

The following are the basic steps for the writing process of a grant proposal. Carefully read all instructions Brainstorm ideas. Gather all materials: background

information, documentation, research, current facts and statistics about the population, etc.

Writing Process Contact the funder: ask any

questions, review deadlines and expectations, and notify them of the pending proposal.

Create an outline of the proposal, followed by a first daft.

Edit the draft for content. Ask: Is everything included? Does the proposal address the funder’s stated concerns? Changes should then be incorporated into a second draft.

Writing Process Proofread the second draft, and have

others proofread it as well. Complete a final draft. Double-check

that format is consistent with the funder’s instructions and that all questions have been answered.

Basic Components

Case for Support

The main purpose of the case for support is to demonstrate the following two objectives: How the program addresses a need in a

unique manner using appropriate logic and outcomes.

What the impact of the funds will be on the program, agency, or broader community.

Basic Components

The case for support consists of the following two objectives: The organization’s mission and vision. The values and principles that guide the

organization’s work. A connection with the interests of the

donors. A conveyed sense of urgency. An emotionally motivating, yet concrete

and logical argument.

Define Your Project Clarify the purpose of your project and

write a mission statement. Define the scope of work to focus your

funding search. Determine the broad project goals, then

identify the specific objectives that define how you will focus the work to accomplish those goals.

Contact The Funders

Think of the funders as a resource.

Identify a project officer who will address your questions.

Some funders offer technical assistance, others do not. Ask for technical assistance, including a review of proposal drafts.

Inquire about how proposals are reviewed and how decisions are made.

Contact The Funders

Inquire about budgetary requirements and preferences. Are matching funds required? Is in-kind acceptable as a portion of applicants’ share? What may be counted as in-kind, and how might it be applied? Learn about payment processes, including cash flow.

Remember, the contacts you make may prove invaluable, even if not for now.

Acquire Proposal Guidelines

Guidelines usually tell you about:

Submission deadlines Eligibility Proposal format: award levels, margins,

spacing, evaluation process and restrictions on the number criteria of pages, etc.

Acquire Proposal Guidelines Review timetables Budgets Funding goals and priorities Award levels Evaluation process and criteria

Review RFP and BAA Samples Due Dates

Letter of Intent Eligibility

Questions/Discussion If Time Permits, Questions and

Answers