National Cancer Institute Writing a Competitive Proposal
Catherine S. Bolek, M.S.
University of Maryland Eastern Shore
Princess Anne, Maryland 21853©
Credentials
 Twenty years experience in
grant and contract writing and
reviewing.
 Served as an NCI and NIDA
project officer for 11 years.
 Recipient of over 35 grant and
contract awards since 1992.
 Author of over 80 grant and
contract awards.
 Author of books, articles and
monographs on research.
design, multi-cultural research,
using computers for research.
Goals
 Provide an Overview of the National Cancer Institute
Mission and Priorities.
 Discuss the Use of Tools and Information Services That
Can Assist Your Institution in Accessing NCI Contract
Dollars.
 Review the Procurement Process.
 Discuss Ways to Improve Your Proposals.
 Review Common Errors and Fatal Flaws That Can Doom a
Proposal.
 Establish Networks.
 Hear From the Experts.
 Develop Resources for Your Home Institution.
Working with a Diverse Audience
 Some of You Are Internet Experts
Please Share Your Experience With Your Colleagues
 Some Have Limited or No Experience
Network With Colleagues With More Experience
 Other Participants May Have Extensive Experience With
Grants and Contracts
You Know What to Do - Share Your Experience
 Others May Have Specialty Roles (e.g., Accountants,
Sponsored Program Staff)
Help Us Out by Sharing Your Experiences
This is Your Workshop
 Get Comfortable
 Ask Questions
 Provide Input
 Challenge Assumptions
 Participate
 Ask Questions
 Network, Network,
Network
To Obtain a Copy of This and Other Grant
and Contract Writing Presentations
 Go to: www.umes.edu/osp
Select Sponsored Programs
Open Special Projects and
Select From the Menu
Use of this presentation
requires written permission
of the authors
Plus Very Important Topics and Expert
Advice
 Cost Analysis the NIH Way
 Partnering with Small Businesses
 Preparing a Competitive
Technical and Business Proposals
 Mentoring
 Hands-on Demonstrations
Four Sessions to
Technical Proposal Success
 Writing Competitive
Technical Proposals
 Nuts and Bolts of
Technical Proposal
Writing
 Surviving the Peer Review
Process
 Avoiding Fatal Errors and
Common Problems
Grant vs Contracts
 Most of the Federal Government’s External Funds Are in
Contracts
 Contracts Support Larger Projects
 Contracts Are Easier to Obtain
 Contracts Provide Administrative Support From Your
Federal Partner
 Contracts Require Performance
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What Tools and Resources Will You Need
to be Successful!
You Already Have Academic Expertise
You May Need to Get Hardware, Software,
and Information Technology Skills
Hey, I Just Want Research or Program Money.
I’m Not Interested In Information Technology
 Technology Is Driving the Application and Funding
Processes.
 Competitors Are Using Technology to Gain an Advantage.
 Institutions That Fail to Recognize This Fundamental
Shift Will Lose Any Competitive Edge They May Have.
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Who In My Institution Needs to Know
About These Changes
 Top Administrators Who Have to Support Technology
Purchases and Training.
 Faculty and Staff Who Use the Technology to Identify
Funding Resources, Apply for and Conduct the Project,
and Collect Funds From Cost Reimbursable Awards.
 Students Who Will Provide Support to Ensure Project.
Performance
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How Do I Get Started Finding Funding
Sources
Contact Your Office of Sponsored Programs
Ask for Courtesy Assistance From an Institution With
an Office of Sponsored Programs
Access Holdings of a Regional Library
Subscribe to Newsletters and Journals
Or…………...
Why is the Internet Important to the
Proposal Writer?
 Because federal and state
governments (and most
other funding sources) are
moving their method of
interaction with the public
to the Internet.
What’s on the Internet
 Program Announcements and Requests for Proposal
 Application Forms
 Searchable Indexes of Awards
 Contract Assistance
 Library Databases
 Dictionaries, Encyclopedias, Thesauruses, Quotations, Etc.
 Bibliographies
 Contract Writing Courses
 Resumes of College Faculty
 Specialized Newsgroups
 Specialized Cybraries
 Everything You Need to be a Successful Proposal Writer
The Internet is More Than The
World Wide Web
 The Internet Contains:
WWW
FTP
Gopher(s)
WAIS
Telnet
E-mail
Virtual Private Networks
Chatrooms
Voice-Over IP
Video Conferences
All Browsers Are Not Alike
 America-On-Line
Easy, Expensive, Rigid
Some Access Problems
 Netscape
Complex, $5.95 for Non-members, and Flexible
Access to Gophers and Databases
 Explorer
Complex, Free With MS Operating System, and
Flexible
Little or No Access to Many Gophers and Databases
You can access Explorer or
Netscape from AOL
All Search Engines Are Not Alike
 Examine Broad Topics
Magellan or Yahoo
 Narrow the Search
Excite, Infoseek, Altavista, HotBot
 Make the Biggest Hit
Ask Jeeves, DogPile, Metacrawler
 Get Academic
Google
I Got On the
NIH Homepage and Got Lost
Use Your Search Engine to
Locate Specific Subsections of
WebPages
Develop Powerful Search Skills
 There are billions and billions of Internet sites
 The number of links is growing exponentially
 There are no guarantees on the accuracy of the content
Use Several Search Strategies
Key Word
Boolean Logic
Truncation
Phrases
Boolean Logic Search Tips
 Limit the search - use + and - signs.
 Use quotation marks (“To be or not to be”) for an exact search.
 Enter the most important word first
 Use lower case - this strategy finds both upper and lower case versions
 Use truncation and wildcards - Libra
 Use the find command to locate your keyword on text rich pages
 Check your spelling
 Truncate long URLs if you receive a message that the page cannot be displayed
Georgetown
University
Site
Use Resources from a
Big School to Augment
Your Resources
You May Need Some Internet Tools
Download Tools - Makes Accessing Items Possible and
They Are Free
Adobe Reader (Reads Compressed Text Files)
Shockwave (Reads Web Files)
Realplayer (Reads Multimedia)
Windows Media Player (Open and View Motion
Pictures)
QuickTime (Apple-format for Motion Pictures)
They Are Free and You Can Download Them From
the Web
You May Need Some Internet Tools Again!
 Access Tools
Adobe Writer (Allows You to Manipulate
Downloaded Files - $250 or Less)
 Web-development Tools
Fire Works
ColdFusion
Dream Weaver
JAVA Script
 WebCT, Blackboard and Other Course
Development Tools
It’s not all work
Research shows that playing
games can increase IT skills
You Will Need to Use FTP and PDF
 File Transfer Protocol
provides facilities for
transferring to and from
remote computer systems.
 Portable Document
Format makes it possible
to send formatted
documents and have them
appear on the recipient's
monitor or printer
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Why Do I Need These Tools
 Download Applications and Forms
 Submit Forms On-Line
 Participate in On-Line Forums
 Use Multimedia Applications
 Create Websites
Let Your Administration
Know About the Need
to Go Electronic
Use Caution When Completing
On-Line Forms
 Download Forms
 Complete off Line
 Edit Contents Carefully
 Paste Into the Form
 Confirm Receipt, If
Needed
Pre-Submission Electronic Registration
 Before You Can Submit a Proposal, You and or Your
Institution May Have to Register With the Funding
Agency. Be Warned: the Registration Process May 24
Hours or More.
 If You Wait Until the Due Date, You Could Have a Nasty
Surprise.
Don’t Lose That Valuable Information!
Create Your Own Grants/Contracts Library
 Select Bookmarks or Favorites
 Create a New Folder
 Call the Folder “Contracts”
 Locate Sites on the Internet
 Save the Site to Your New Folder Using a Name You Will
Remember When You Need It
 Update the Folder Periodically
Should You Access Webcasting Resources
 Using the Internet, and the World Wide Web in
particular, to broadcast information. Unlike typical
surfing, which relies on a pull method of transferring Web
pages, webcasting uses push technologies.
 Probably the oldest and most widely used push technology
is e-mail. This is a push technology because you receive
mail whether you ask for it or not -- that is, the sender
pushes the message to the receiver.
 What can you get - Access to live presentations, panel
sessions,etc.
Attend an Internet-based
Pre-Proposal Seminars
 Attend the Seminar Electronically
Federal Agencies and Large Foundations Frequently
Conduct Seminars Designed to Assist Applicants
Use the Internet to View Presentations
 Submit Questions
 Access Responses to Questions E-mailed to the Funding
Agency From Prospective Applicants
 Subscribe to E-mail Alert Services to Keep up With
Changes (E.G., Submission Dates)
E-mail from NASA regarding
webcast on new grant opportunities
Use IT Tools to Enhance the Proposal
Writing Effort
 NetMeeting
 Whiteboard
 Chatroom
 Listserve
 Newsgroups
 Variety of Electronic Resources
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Using NetMeeting With Your Proposal
Development Team
 Features
Video and Audio Conferencing
Whiteboard
Chat
Internet Directory
File Transfer (FTP)
Program and Remote Desktop Sharing
Security
Advanced Calling
UMES’s Webmaster
talking to IT staffer.
Use a Chatroom
 “A site on the World Wide Web where any number of
computer users can type in messages to each other (chat)
in real time, creating an online conversation. These
messages usually appear on an area of the screen next to
the user’s nickname or handle. Most chat rooms have a
particular topic (which you are expected to discuss) but
there are some that are purely for meeting other people.
Some chat rooms are designed as elaborate 3D
environments allowing a visitor the ability to select an
avatar that represents you in this meeting place”.
 From the Netlingo dictionary.
Use a LIST SERVE
 An automatic mailing list server developed by Eric
Thomas for BITNET in 1986. When e-mail is addressed to
a LISTSERV mailing list, it is automatically broadcast to
everyone on the list. The result is similar to a newsgroup
or forum, except that the messages are transmitted as email and are therefore available only to individuals on the
list.
 From the Netlingo dictionary
List Serve for NCI Proposal
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csbolek@mail.umes.edu/nci
jmjones@mail.umes.edu/nci
rmason@mail.umes.edu/nci
vjwhitney@mail.umes.edu/nci
 Each participant is given a
“common” email address and
“password” for purposes of the
project. The List Serve ensures
that all parties receive all
communications.
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Get It Right Grammar Help, Quotations, Dictionaries...
 Grammar Help
 Dictionary of Dictionaries
 IT Dictionaries
 Computer Dictionaries
 Distance Education Tools
Should I Subscribe to a Newsgroup and/or
Forum
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Major Sources of Funding Information
 Government Agencies
Federal, Regional Commissions, State, Local
 University Offices of Sponsored Programs
Yale, Stanford, Harvard, Cornell
 Commercial Vendors
IRIS, InfoEd, Foundation Center
 Free Sites
 Business Sites
Examples of Funding Sources
on the Internet
 GrantSelect
 Grantmaking Center
 The Foundation Center
 FundsNet
 Molis
 Fedix
 Procurement Jumpstation
- Federal Funding
 TGIC - International
Funding
 Yale’s Fellowships and
Grants
 National Cancer Institute
Funding Types
Grants - Request for Application or Program
Announcement (RFAs and PAs)
Contracts - Request for Proposals (RFPs)
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Do You See the
Word “Contract”!
Ask Mr. Bowe to Petition NCI to Provide a
link to NCI Contract Proposals on This Site
79
•Funding Directory
•Personal Profile
Use Internet Information to Create
Proposal Templates
 Locate the Request for Proposal on the Internet
 Copy the Portion of Interest by Highlighting Selected
Items For Example:
Proposal Instructions
Evaluation Criteria
Forms
 Paste Into a Word Processing File (e.g., Microsoft Word)
 Remember to Rename and Save the File
Avoiding IT Problems
 Viruses
Come as E-mail Attachments, Files and Programs
Becoming More Common and More Virulent
You Need To:
• Scan Disks and Systems
• Back up Files
• Avoid Unauthorized Programs
• Use and up Date Virus Protection Software
Avoiding IT Problems - Cont’d
 Privacy
 Security
 Proprietary Information
 Access (DSL, Wireless)
 Cost
 Complexity (Internet II)
 Fraud
 Copyright Issues
Section II - Writing the Technical Proposal
- Pre-Proposal Phase
 Understanding the Difference Between Grants Vs
Contracts
 Reading the Request for Proposal
 Developing Go/no Go Strategies
 Avoiding the Big Problems
 Creating Background Information and Documentation
Getting Started - Are We Going for the
Gold?
 What Is a Grant, Contract,
Cooperative Agreement?
 What Is the Difference Between
Grants and Gifts?
 Who Can Serve As a Principal
Investigator?
 Who Is the Competition?
 Do We Have the Time, Talent,
Resources?
 What Are Your Institutional
Policies?
 Who Owns the Products of
Your Work?
What Are Grants
 A financial assistance mechanism whereby money and/or direct
assistance is provided to carry out approved activities.
 Requires no substantial programmatic involvement with the recipient
during the performance of the financially assisted activities.
 Grant classification:
type of activities (e.g., research, training)
degree of discretion (e.g., mandatory or discretionary)
method of determining amounts of awards (e.g., negotiated or
formula)
What are Contracts
 A contract is a legal instrument that is used to reflect a relationship
between the Federal Government and the recipient whenever the
principal purpose of the transaction is to acquire good or services for
the direct benefit or use of the Government.
 The Government states the work to be undertaken or the problem to
be solved in RFPs or a sealed bid IFB.
 Bids are awarded to the bidder who is responsible and offers the
lowest overall price.
 Exception - unsolicited proposal
Types of Contract Mechanisms
 Level of Effort - Cost Reimbursement With a Fixed Fee Normally Incrementally Funded
Variations Include:
Cost Sharing
Incentive Fees
Options
Task Order Managed
 Firm Fixed Price - Result in a Sealed Bid
Variations Include:
Indefinite Delivery/Indefinite Quantity
Options
Grants
 One Proposal
 Page Limitations
 Investigator Driven
 Reviewed by a Standing
Committee
 Multiple Awards
 Continuous
Contracts
 Two Proposals
Technical
Business
 Open-ended
 Government Driven
 Reviewed by Nonstanding Committees
 Orals
 Best and Finals
 One Award
Reading the Program Announcement
 First Step
Date Due
Summary of SOW
Proposal Instructions
LOE, Prior Experience, Competition
Evaluation Criteria
 Second Step
Read the Complete Announcement - and Then Read It Again
Use Tabs, Markers, Notes, Call the Program or Contract Officer
and Ask for Advice
Contracts Can Bring In Big Money!
 However, They Also Bring
in Big Requirements
97
Contracts Require A Team Approach
Principal Investigator or Project Manager
Project Team
Business Team
Administration
IRBs
What Do I do First?
Learn the Mission and Priorities
NCI History
Lists of Funded Projects
Related Announcements
Conduct a Search of Other sites for
Information on the NCI
Where Do You Find All This Information
The Internet!
Just Checking
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104
Who Do I Call for Help
 Always Call the Grants/Contracts Officer (Their E-mail address is
listed on the Internet)
 Seek Assistance
 Where Possible
List of Funded Projects
Who Will Be on the Review Committee
When Will You Know the Results
How Will the Award Process Be Handled
Can You Reapply If Not Successful the First Time
Are There Other Program Announcements That Better Fit
My Project
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Give These
Folks a Call.
Ask for Help.
Network!
Develop a Go/No Go Strategy
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What Does the Funding Source Want?
What Organizational Unit Is Involved in the Proposed Effort?
What Is the Schedule?
What Are the Terms and Conditions?
What Is the Estimated Dollar Amount?
Could We Lose Money?
What Is Our Previous Experience?
Do We Have the Necessary Faculty, Space, Resources?
Who Are the Likely Competitors and How Do We Stack-up?
Who Needs to Be Involved?
Can We Spare Them for the Proposal?
How Much Will It Cost to Prepare the Proposal?
Now You Are Getting Serious - Look At the
Details
 The Schedule
 Contract Clauses
 Requirements for a Negotiated Cost-reimbursement Contract Educational Institution
 Documents, Exhibits and Other Attachments
 Forms and Mechanistic Information
 Representations and Instructions
 Contractual and Administrative Requirements
 Attachments
 Scope of Work, Proposal Instructions and Evaluation Criteria
 Get That Team Together!
Business Office
Information
PI’s Information
Administrative Staff
Information
Sponsored Programs
Information
115
Everybody Gets
In On the Act!
116
All the Forms and
Instructions You Need
117
Attending Pre-proposal Meetings
 Do you have funds to support travel to
pre-proposal meetings?
 Who should attend?
 Can you prepare questions in advance of
the meeting?
 Take notes, who is there.
 Ask for copies of the meeting transcript.
 Use the transcript when preparing your
proposal.
Proposal Intent Response Form
 Use Electronic Form to Notify
the Funding Agency of Your
Intent to Submit a Proposal.
 The Form Is Used to Plan for
Proposal Evaluation.
 Submit a Very Brief Statement
of Intent.
 Again, the Letter Is Used to
Plan for Proposal Evaluation.
Sample Letter of Intent
Dear Mr. Bowe:
The University of Maryland Eastern Shore intends to submit a
proposal in response to RFP NOCA23456-12 entitled NCI Wants to
Give Catherine Lots of Money. The title of the proposal is “Catherine
Gets Most of NSF’s Money.”
If there are any questions regarding this matter, please contact me at
410-651-6714 or by e-mail at csbolek@mail.umes.edu
Sincerely,
Catherine Bolek
Director
Understand the Rules of the Game
 Tailor Each Proposal to Meet
the Specific Requirements of
the Program Announcement
 Make the Proposal Easy to
Read
 Use a Systematic Approach
Set up the Crime
Commit the Crime
Solve the Crime
Avoid The Big No Nos
 Failing to Follow the Directions
 Trying to Hide Service Programs As Research
 Applying for Projects Beyond Your Training or Experience
 Asking for Too Much or Too Little Money
 Failing to Obtain the College’s Permission
 Writing a $1M Proposal in Three Days
 Forgetting to Give The National Cancer Institute What It Wants
 Finding Money to Pay Your Salary
 Applying Blindly on an Announcement
Federal Resources Can Be Accessed from
the Internet
Get Your
Business Office to Help You.
 Commerce Business Daily
 Federal Register
 Catalog of Federal Domestic Assistance
 NIH Guide to Grants and Contracts
 Federal Acquisition Regulations
 Office of Management and Budget
Conducting the Literature Search for Your
Proposal Content
 Journals
 Specialty Libraries
National Library of Medicine
 Conference Proceedings
 Institute Homepages
 Government Publications
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How Did I Find These Resources
www.google.com
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140
You Need to Sell Your Institution’s
Capabilities
 The University's Mission
The Research Mission
Project’s Mission
 History of the School
History of External Funding
Qualification of Principals
Administrative
Technical
Support
Organizational Capabilities
 Traditional Role As an Educational Institution.
 Research Tradition
 Discussion of Related Projects
What Did You Do, How Well You Did It, and What Were the Results.
 Service and Support Experience
 Discuss What You Did and for What Client
 Discuss Receipt of Awards, Commendations, Etc.
 Who Are You Customers (Other Universities, State, Federal Agencies)
Areas of Expertise, Facilities and
Resources
 Prepare a Comprehensive List of Academic, Technical and Support
Services.
 Expand on Those Areas That Most Closely Relate to the Proposed
Effort.
 Provide a List of Facilities and a Comprehensive Discussion of These
Facilities to Be Used in the Proposed Effort
 Do the Same Thing for Resources
 Unless There Is a Page Limitation, Don’t Be Stingy.
Toot Your Horn!
Locating Outside Partners and Consultants
 Federal Government Furnishes Lists of All Contractors by State and
Topic
 GSA Provides Lists of Contractors by Capabilities and by Standard
Industrial Codes
 Searches Using Keywords Can Locate Information on Experts by
Specialty
 University WebPages provide CV of faculty by Department
Using the Freedom of Information Act
 Federal Agencies Under Law Must
Provide Information on Awards
 May Charge a Fee for Processing Your
Request
 Takes Six or More Weeks for a Response
 What You Get May Be a Surprise to You
Tailoring Your Statement
 Your Capability Statement Should Be Carefully Tailored to Address
the Specific Requirements of an RFP or Program Announcement.
 It is Recommended That You Prepare a Comprehensive Statement
and Insert Expended Sections on Pertinent Information.
 Use the Language in the RFP or Program Announcement
 Use the Language From the Mission Statement of Funding Agency
Remember to Check the Regulations and
Guides As You Develop Your Proposal
 Federal Contracting Process
Office of Procurement Management
This is a task from your
sponsored programs office
Office of Contracts Management
Division of Research Grants
 Federal Acquisition Regulations (FARS)
 Office of Management and Budget (OMB)
 Commerce Business Daily (CBD)
 United States Code
 Acquisition Reform Network
Preparing the Proposal
 Understanding the
Problem
 Approach (Methods)
 Key Personnel
 Facilities, Equipment and
Resources
 Appendices
Resumes
Letters/MOUs
Typical Technical Evaluation Criteria
 Technical Understanding/Approach - 35%
 Capabilities and Experience of Personnel - 25%
 Organizational Experience - 25%
 Facilities and Equipment - 15%
149
Getting Ready
 Prepare a Proposal Development Schedule
Drafts
Artwork
Reviews
Production
IRB Issues
Sign-off
Submission Date
 Identify Key Personnel, Subcontractors, Vendors, Consultants
 Assign Roles and Responsibilities
 Hold a “Kick-off”meeting
The Proposal - Part One
 Read Abstracts of Funded Projects (CRISP)
 Conduct a Careful Review of the Literature
 Contact Award Recipients
 Obtain Conference Proceedings From Professional Organizations
 Contact Colleagues Who May Serve As Project Personnel,
Consultants, Partners
 Enlist Student Assistance
 Enlist the Community to Be Served
 Obtain Access to Sample Population
 Notify Vendors
The Proposal - Part Two
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Take Care With Your Language
Be Kind to the Reader
Use Headings, Charts and Graphs
Use Logical Transitions
Use Active Verbs
Be Enthusiastic
Avoid Ambiguous Language
Support Your Statements
Do Not Rely on “Self-editing”
Craft a Good Story That Sells Your Ideas
Don’t Make Excuses
I. Understanding the Problem
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Goal of the Proposal
The school understands that mission is to…….
The University is aware that NCI is seeking to ……
Our approach is intended to ………
The school recognizes that NCI fosters ……….
The University faculty and staff are aware of the requirements to …..
The University is familiar with NCI issues and ……..
The organization has prior related experience in ………
The University’s proposed staff have directly related experience in…
The college appreciates both the predictable and …..
The University is well qualified to conduct this project because…..
I. Understanding the Problem
 Serves As an Abstract
Understanding of Fund Agency’s Mission
Understanding of the Scope of Work (SOW)
Prior Experience
Innovative and Responsive Plan
Experienced Staff
 Show Enthusiasm
 Make It Sound Like You Are Already the Winner
 Recommended Number of Pages 1 - 3 Single Spaced With the
Exception of Proposals with Page Limitations
II. Proposal - Preparing a Working Draft
 Download the Technical Proposal Instructions to a Word Processing
Format.
 Download the Evaluation Criteria and Insert Into the Corresponding
Sections of the Technical Proposal.
 Insert Notes Taken From the Sow/background Information/ Budget
Assumptions/cost Estimates/ Summary of Related Activities/general
Instructions and Other Sections.
 Use Highlight Capabilities to Note Important or Problematic Areas.
Creating the Proposal Format
 Use the Request for
Proposal Format
 Creating Your Own
Format Is Generally a
Very Bad Idea.
This is Section J.
Attachment 2 as it
appears on the Internet
This is Section J.
as Saved to My
Word Processing
System.
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159
II. Technical Approach
 II.1 Background Information and Objectives
II.1.1
Background Information
II. 1.2
Objectives
 II.2 Services to Be Performed
 II.2.1
 II.2.2
 II.2.3
 II.2.4
 II.2.5
 II.2.6
 II.2.7
 II.2.8
 II.2.9
Program Location
Logistics/Management Plan
Recruitment and Retention Plan
Provide Travel Arrangements
Conduct Special Events/Activities
Provide Information and Activities
Promote the Establishment of Mentoring Relationships
Collaborate with the Project Evaluator
Participate in the Annual meeting
II.2.4 Travel Arrangements
II.2.4.1 Travel to the Program - The University will design notification
materials and disseminate this information to participating high school
counselors. Exhibit II.2.4.1 The materials will describe the financial
obligation of the University, the process for pre-paying or reimbursing
participants or parents for travel expenses. Refer to Exhibit II.2.4.1 for
sample forms.
The University will contact each participant and make arrangements for
pre-payment of air, train or bus tickets and for reimbursement for private
car travel. The University will use NIH travel guidelines to ensure
compliance with Federal regulations regarding cost-savings.
Travel arrangements for each participant will be confirmed 30 days prior to
date of arrival and re-confirmed one week prior to arrival. Participants will
be provided with an emergency contact number should travel plans change.
Travel Arrangements - Continuation
A schedule of arrival will be generated and program staff will be assigned
to meet each participant. Local travel arrangements will be made for
those arriving from the XXXXX, MD airport, and/or bus or train stations.
Participants with disabilities will be provided with special vans and
personnel to ensure safe, comfortable arrival on the University campus.
Parents and/or guardians will be contacted to confirm the safe arrival of
each participant.
II.2.4.2 - Emergency travel arrangements will be made for any
participant who experiences a need to return home prior to the completion
of the program.
II.2.4.3 - Travel home after the Program will be arranged with each
participant and confirmed with parents. Parents wishing to pick-up a
student will be scheduled to arrive after 1 PM on the final day of the
program. Refer to Exhibit II.2.4.3 for sample travel schedule.
Using Graphics to Highlight Text
 Charts
Organization
Project Work Flow
Decision Making
 Tables
Timeline
Skill Matrix
Staffing Loads
 Figures
Financial
Statistical
 Pictures
Evaluation is Here to Stay
 All Federal Agencies and
Many State Agencies and
Foundation Are Requiring
Contractors (and
Grantees, Too) to Assess
the Outcome of Their
Work. Some Require
Independent Evaluations.
164
Developing Evaluation Strategies
 Pre- and Post- Test Assessments
 Focus Groups
 Process Evaluations
 Outcome Evaluations
 Satisfaction Surveys
 and on and on
165
166
167
Sample Performance Chart
Computer Science Graduates
Number of Graduates
160
140
120
100
UMES
80
University A
60
40
University B
20
Total
0
1998
1999
2000
Year
2001
Past Performance
Chesapeake Bay Program Support
Client Name: Environmental Protection Agency
Contract Number: CB-993481-02
Contract Officer: Brian Burch
EPA
Chesapeake Bay Program
Annapolis, MD 21403
(410) 267-5736
Contract Type: Grant
Total Contract Value: $1,123,428
Period of Performance: 7/01/1998 - 6/30/1999
Narrative: Provide technical support services in GIS of the Living Resources of the Chesapeake Day Region and
technical writing and editing support for the Living Resources sub-committee of the Chesapeake Bay Program. In
addition, to provide additional technical and financial support to county, regional and local governments and
incorporated non-profits, agencies, institutions, and organizations to continue their efforts to protect and restore water
quality and living resources of the Chesapeake Bay region by taking actions to protect, restore, and manage habitat
lands. Such efforts emphasize community-based initiatives which encourage sustainable development patterns and
integrate resource protection, community participation and economic health.
An Example of the Creative Use of IT
 What Do You Do When the Application Is Limited to 20
Pages Double-spaced With a 15 Page Limitation for
Appendices?
You Create a Website That Contains Additional
Information on Your Background, Competency,
Proposed Efforts, Additional Resume Information,
Capabilities, Graphics, Pictures, Etc., and Reference It
in the Body of Your Proposal
III. Management Plan and Key Personnel
 Introduction
Program Management With More Than 20 Years of Experience
Project Team Experienced in All Support Services Required
A Management Structure That Provides Experienced Staff in Key
Positions
A Diversity of Experience Ranging From Knowledge of Program
Planning to Evaluation
An Effective Quality Control Plan
A University Commitment to This Project
Procedures That Will Lead to Effective and Efficient Program
Management, Product Delivery, and Reporting
Mgt Plan - Cont’d
 Management Plan
 Efficiency and Effectiveness
 Flexibility
 Cost Control
 Quality Control
 Reporting Procedures
 Quality Assurance
 Monitoring All Aspects of the Project, Anticipating Problems, and
Providing Recommended Solutions
Project Manager Involvement
Periodic Project Review
Reviews by University Administration
Day to Day Attention to Detail
Frequent Communication With the Project and Contract Officers
Project Organization Chart
EXHIBIT III-2
PROJECT ORGANIZATION CHART
Project Manager
R. Smith
Deputy Project Manager
B. Betters
Training Director
R. Sweet
Logistics Task Leader
L. Brown
Publications Director
W. Winters
Resource Pool
Consultants
Subcontractors
Vendors
Editor
M. Moore
Organization Chart
EXHIBIT III-3
Organization Chart
President
Dr. Smith
Vice President for Academic Affairs
Dr. Jones
Vice President for Finance
R. Thomas
NCI Project Manager
R. Smith
Comptroller
V. Tools
Project Staff
Contractors Manager
B. Lite
179
180
Staff Loading Chart
 The Chart Shows the Proposed Labor Distribution of the
Project Team by Task Area
 The Level of Effort Is Based on Information Provided in
the RFP and From Prior Experience
 The Chart Provides a Pictorial Summary of Skills of the
Proposed Team Members
 The Chart Provides an Opportunity to Highlight Team
Member’s Skills As They Related to the Proposed Project
NAME
UMES
Bolek, Catherine
Forsythe, Ron
Eydgahi, Ali
Fotouhi, M ohammad
Nagchaudhuri, Abhijit
Okumbor, Daniel
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Sample Staff Loading Chart
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·
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·
Mgt Plan - Cont’d
 Hiring Practices
Funding Agency Will Have a Role to Play in All Hiring
Decisions
State University Practices Regarding Hiring and Human
Relations Issues
 Personnel
Project Manager
Deputy Project Manager
Training Director
Logistics Task Leader
Resource Pool
Consultants/subcontractors
Vendors
Publications Director
Mgt Plan - Cont’d






Task Staffing
Staff Allocation
Task Leaders
Staff Loading
Skills Matrix
University Qualifications
 Management Structure
 Accounting Practices/audits/duns Number
 List of Current Awards
 List of Prior Related Awards
 Special Experience of Staff/faculty
 IRB Policies
Introducing the Proposed Project Team
 Use a Standardized Format
Name
Title
Location
Years of Experience
Education
Certification/licenses
Publications
Summary of Experience
Detailed Professional
Experience
 Update for Each Project
IV. Facilities, Equipment, and Other
Project-Related Capabilities
 Introduction
University Facilities and Resources
 Office Facilities
 Laboratory Facilities
 Equipment
Computer
Communications/multimedia
 Services and Resources
Travel
Graphics
Reproduction
Publications
IV. Facilities, Equipment, and Other
Project-Related Capabilities
 Introduction
University Facilities and Resources
 Office Facilities
 Laboratory Facilities
 Equipment
Computer
Communications/multimedia
 Services and Resources
Travel
Graphics
Reproduction
Publications
188
Putting This Knowledge into Practice
National Cancer Institute’s
Science Education Program
New Competition - 2002
189
What is NCI’s SEP
 Multiple Contracts to Support the Development of
Summer Science Education Programs to Encourage
Under-represented Students to Consider Careers in
Biomedical Science.
Refer to Handout
190
191
192
193
Past Performance Factors
 The Offerors’ Past Performance Will Be Evaluated After
Determination of the Competitive Range. Only Those Offerors
Included in the Competitive Range Will Be Evaluated.
 The Evaluation Is Based on the Proposal and Past Performance
Information Obtained From the Sources.
Excellent - No Doubt Exists.
Good - Little Doubt Exists.
None - No Past Performance Identifiable.
Marginal - Some Doubt Exists.
Poor - Serious Doubt Exists.
Developing a Contractual Arrangement
 Relationship
Primary Contractor
Partner
Subcontract
Sub-to-the-sub
Vendor
 Mechanism
Teaming Agreement - Proposal Submission Phase
Memorandum of Agreement - Post Award Phase
Verifying the Contractual Arrangement
 The Teaming Agreement or Memorandum of Agreement Can Be
Included in the Appendix Section and Noted in the Body of the
Proposal.
 A Letter of Agreement Can Also Be Used, but Is Less Specific and
May Not Address Reviewers Concerns Regarding the Nature of
Agreement Made External to Your Institution.
 For Individual Consultants, a Letter Stating Their Agreement to
Serve, the Roles and Responsibilities They Have Agreed to Undertake,
and the Time Frame They Are Available, and a Copy of a Current
C.V.
Verifying Non-Contractual Agreements







Community Organizations
Civic Associations
Student Groups
Churches
Businesses
Patients
Residents
Obtain a letter of support stating that the organization will
provide access to the population under study. If you can obtain a
letter from a spokesperson stating their intention to comply with
the proposed effort, you have gone a long way to ensure access and
retention of your study population and have provided critical
documentation to the review team.
Developing the Budget
 Direct Costs
Personnel
Salary (e.g., 12 months, 9 months, Summer)
Fringe Benefits (e.g., Workman’s Comp, Insurance,
Vacation, Social Security, Pension)
Other Direct Costs
Consultant
Travel
Equipment
Subcontracts
 Indirect Costs
 (Matching/Cost Sharing are not required on
Contracts)
Use a Spreadsheet
Budget No Nos
 Budget
Math Errors
No Justification
No Clear Role for
Personnel or
Consultant(s)
3rd Year Request for
Equipment
Budget Exceeds Allowable
Amount
Budget Was Insufficient
Incomplete Forms
Sample Budget Elements
 Personnel
Appointment
Level of Effort
 PI
9 months
10%
 Assistant
12 months
50%
 PI
3 months
100%
 Co PI
3 months
100%
 Fringe Benefits at 32% of Salary

Other Direct Costs
 Consultant 10 days at $300 per day
 Travel to AAAS to meet with NCI Project Officer
 Publication Costs
 Duplication
 Subcontractor
 Indirect Cost at 49% MTDC
Budget Justifications
 Justification: UMES will pay competitive salaries to personnel dedicated to this
project including cost of living increases approved by the State of Maryland. As
warranted by the terms and conditions of award, UMES will provide benefits that
include Federal programs and University programs such as vacation, sick days,
holidays, health insurance, retirement plans and other options.
 UMES will hire up to the number of personnel approved by the award and will
work with CBP to determine education and experiential requirements and the
anticipated roles and responsibilities of each person working under the award. This
process will assist UMES in determining the pay grade for each project employee.
 Travel and training costs will be negotiated with CBP based on their anticipated
need to have project personnel trained in specialty areas or to maintain CBP
required professional certification or licenses.
Research Protection and Ethical Issues
 Protection of IACUC and IRBs
Confidentiality
Informed Consent
Custody of Data
Privacy Act
 Misconduct in Science
Plagiarism
Falsification
Fabrication
Disclosure Problems
Negligence
Self-Deception
Institutional Review Board Issues
 Human Subjects
 Animal Welfare
 Biohazard
 Biosafety
 Recombinant DNA
Legal Issues












Risk Allocation
Responsibility for Delays/Non- Compliance
Limitation of Liability
Termination or Delay
Insurance
Dispute Resolution
Confidentiality
Contracting With Third Parties
Payment
Conflict of Interest
Y2K Compliance (Yep, It’s Still an Issue!)
Investigator Financial Disclosure
Six Deadly Phrases to Avoid in Proposals
 Best Efforts
Legal Requirement to Go Beyond Normal Duty
 Ensure
Binding Legal Agreement
 Guarantee
Amounts to Warranty
 Partner/partnership
Assumes Liability for Each Other’s Acts, Debts, Omissions
 Will Meet Your Needs/requirements
Holds You Liable
 Joint/jointly
Ownership Will Be Shared by Other Parties
– FROM PSA ASSOCIATES - TIPS AND TECHNIQUES
Legal, Management, and Scientific
Resources
 Confidentiality Agreement - Proprietary Information
 Application for License for PHS Inventions
 Model Agreements
 Professional Societies
National Association of College and University Attorneys
Association of University Technology Managers
Licensing Executive Society
 International Society for Research Administrators
210
Your Institution Inserts a
Link From Your Site to the NIH Site
211
212
213
Winning Tips
 Address All Requirements No Matter How Silly
 Spell Out Benefits of Your Approach-substantial All Facts
 Use Simple, Easy to Understand Language
 Give the Funding Agency What It Wants
 Don’t Praise the Agency
 Know the Competition
 Redress Any Weaknesses
 Give the Agency Ammo They Can Use to Defend Your Proposal
– Adapted from PSA Associates - Tips and Techniques
Avoiding Fatal Flaws and Common
Mistakes
 General
Spelling and Grammar Errors
Sloppy Presentation
Exceeds Page Limits
 Budget
Math Errors
No Justification
Budget Exceed Allowable Amount
No Clear Role for Personnel or Consultant(s)
 Personnel
No Prior Experience
Unrelated Training
Old Resume
Avoiding Fatal Flaws - Cont’d
 Resources and Facilities
Items Not Related to Proposed Work
Items in a Located Not Mentioned in the Proposal
Old Equipment
 Background
No Pilot Work
No Basis for Proposed Work
Uncritical Acceptance of Referenced Literature
Poor or Elderly Literature Review
Misquotes
Avoiding Fatal Flaws - Cont’d
 Significance
Failure to Make a Case for the Importance of the Proposed Effort
 Rationale
Failure to Support the Proposed Effort
Lack of Clarity
 Approach
Objectives Unclear
Goals and Objectives Do Not Related to Each Other
Failure to Determine Sample Size
Inadequate Recruitment and Retention Plan
Discussion on the Analysis Is Inadequate, Incorrect, or Missing
The Feds are Changing the
Proposal Review Process
 The Management of Tens of Thousands of Grant and
Contract Applications Significantly Increases the Cost of
Administration.
 To Reduce Cost and to Make the Process Less
Burdensome, Federal Government is Moving to a New
Process for Reviewing Grants and Contract Proposals.
The Award
 Celebrate
 Notify College
Administration
 Obtain Account Number
 Review Terms and
Conditions of Award
 Review the Budget and
Enter Into Negotiations If
Circumstances Have
Changed
 Initiate the Work
 Publish Your Work
Start Again>>>>>>
Whoops!
 What Happens When You Don’t Get the Award.
Ask for a Debriefing
Why Did Someone Else Win?
What Were Your Weaknesses and Strengths?
What About Cost?
What Might You Have Done Better?
Ask for
• Name of Winner
• Award Amount
• Requirements
• Copies of Winning Proposal
Starting Over
 Document Lessons Learned
 Archive Electronic and Paper Documents for Future Use
 Initiate Search for New Opportunities
 Create Teams
Other Universities
Business and Industry
Non-profit Sector
 Use Team Members to Help Locate Opportunities
 Visit With Contract and Program Officers
 Send Copies of Your Corporate/University Capabilities to Potential
Funding Agencies
 Place Your Capabilities on the University Website
Contact Information
Catherine S. Bolek
Director, Office of Sponsored Programs
University of Maryland Eastern Shore
Office of Sponsored Programs
Backbone Road
Princess Anne, MD 21853
410-651-6714
410-651-7768 (fax)
csbolek@mail.umes.edu