Transcript A Paradigm Shift: Including Contracts in your R&D Portfolio

Fundamentals of Proposal
Development
Presenter:
Dr. Bruce Crawford
Interim Vice Chancellor for Instructional and Student Services
Alabama Department of Postsecondary Education
Alabama Community College System
Vice President for Instructional Services
Lawson State Community College
Topics/Objectives
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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)
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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
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Policies, Procedures, Committees, Agreements
Review Samples of a RFP and BAA
Questions and Answers
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Understanding the Fundamentals
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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
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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
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Know Strength: Branding Your
Institution
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Creation and dissemination of a
particular perception
An image or persona
Awareness of a product, service or
organization
Strengths
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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?
Strengths
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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
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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
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Well written, responsive and persuasive
The proof is in the graphics!
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Graphics organize data to prove a point
Accurate graphical depiction of information
Graphics are not decorations
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Winning Proposals (continued)
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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
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“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, straightforward language
State the purpose and importance of the
work and the specific results to be obtained
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Winning Characteristics: Basic
Fundamentals
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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
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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)
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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!
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Eight Basic Components of A
Proposal
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The Executive Summary or Abstract
Introduction of the Institution
Problem Statement
Objectives
Method or Design
Evaluation
Future Funding
The Budget
Executive Summary or
Abstract
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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
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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
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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
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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)
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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)
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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)
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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
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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
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Present an Evaluation Plan with your Proposal
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Address results to be attributed to the Project
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Address extent to which the project will satisfy
specific mission and goals of the Agency
Process Evaluation
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Addresses how the project will be conducted
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Should be consistent with the stated plan of action
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Address how you will measure effectiveness of the
various activities within the plan
Evaluation
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Can be determined by the Agency
Sometimes Proposed by the PI
 Internal Staff (agency)
 External Experts
 Evaluation Teams
 Firm (contracted)
Importance of Evaluating
Performance
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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!
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Sustainability: Future Funding
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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
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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
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Grant income
Institutional commitments
In-kind contributions
Corporate partners
Include inflationary measures
Justify all expenses
Budget Preparation:
Vulnerable Areas
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Utilities
Rental of buildings & equipment
Salary increases
Food
Cellular phones
Insurance
Transportation
Budget Preparation: Tips
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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, inkind, corporate
Characteristics of a Good PI
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Scheduler
Motivator
Resourceful
Manager
Technical/subject matter expert
Excellent writer
Salesperson
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Characteristics of Losing
Proposals
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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
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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
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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
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Intent to submit
Proposal review and certification
Agency distribution
Supplemental information
Rates
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IDC
Supplemental Pay
Adjunct Pay
Consultancy Pay Rates
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Required Committees
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Research Council
IRB
Committee for Responsible Conduct in
Research
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Non-Disclosure Agreement
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Used for collaborative efforts
Contractors will require
Subcontractors will require
HBCU/MIs should require
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Reminders
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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
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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
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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
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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:
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Submission deadlines
Eligibility
Proposal format: award levels, margins,
spacing, evaluation process and restrictions
on the number criteria of pages, etc.
Acquire Proposal Guidelines
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Review timetables
Budgets
Funding goals and priorities
Award levels
Evaluation process and criteria
Review RFP and BAA Samples
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Due Dates
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Letter of Intent
Eligibility
Questions/Discussion
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If Time Permits, Questions and Answers