The Proposal Development Process
Kristin Wetherbee, CAH Research Office
September 26, 2012
Today’s Agenda
Funding
What Do Agencies Want and Where to Find It
CAH Process
The Proposal Process in CAH
Proposal
Components
Pieces of the Proposal
Do’s & Don'ts
What you should and shouldn’t do
Now What?
Life after submission
Resources
Links and References
What is the Purpose of a Proposal?
1)
2)
To help the funding agency meet their goals
To persuade committee of scholars that project shows:
• Innovation
• Rigorous
methodology
• Substantive content
3)
Get funding
• Perform
research for P&T, publication
• Purchase equipment
• Enhance teaching and course design
• Summer salary, course release
What Do Funding Agencies Want?
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Answers to the following:
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What is research about?
How will you do it?
Can you do it?
Is it worth doing?
Is the cost reasonable and sufficient?
Competitive proposals showing:
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High impact, transformative outcomes
New and original ideas
Succinct and focused project plan
Sound practices
Knowledge of subject area
Funding Sources
Maximize your time with database search engines
PIVOT (was COS): http://pivot.cos.com/
GrantForward (was IRIS):
http://www.grantforward.com/index
The Foundation Center:
http://foundationcenter.org/pnd/rfp/
Grants.gov
Contact Marisol Ortega-Perez Marisol.Ortega-Perez@ucf.edu in
ORC If you need help with PIVOT or GrantForward.
CAH Proposal Process: A Brief Overview
Navigating the UCF Proposal Submission Process
Oct. 10 & 11, 2:00 – 3:00, Trailer 541
Discuss proposal with chair
• Email guidelines to CAH Research
• Prepare proposal
• Submit PTF in ARGIS for electronic approvals
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PI or CAH Research can enter
Allow 1 week approval time per unit involved
All approvals but ORC due 48 hours prior to deadline
All final docs to CAH 1 week prior to due date
• ORC submits proposal to agency
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Building Relationships
Sponsor
• Know their funding priorities and giving history
• Look for list of funded or sample grants on website
• Read agency’s annual report
• Call sponsor agency contact program officer
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Peers
• Contact successful applicants
• Involve co-PIs
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Don’t get caught with funding for a
project no one is willing to
implement
Avoid barriers to submission:
contact chair, CAH Research, ORC
(budget, IRB , IP, subcontracts)
Proposal Components
Abstract or Project Summary
• Narrative
• Introduction / Need Statement /
Research Questions
• Organizational History and
Capabilities
• Project Description
• Work plan and Timeline
• Budget and Budget Narrative
• Bibliography
• Other
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Abstract / Project Summary
• One
page or less
• Write for a general audience
• Discuss significance, principal
activities, and expected results
NEH, NSF, NEA limited to one-page
• NSF requires statement of intellectual
merit and broader impacts
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http://www.neh.gov/grants/guidelines/HCRR.html
Intro/Need Statement/Research Question
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This is your sales pitch
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Set the stage
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Make it compelling
Use persuasive language
State the need or problem your research addresses
Express how you identified this need and its importance
State the Theme
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List research question(s) and/or objectives
Bulleted list
• Action-oriented
• Related to sponsor’s goals
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Create a vision
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Tell who will benefit from the project
Show how it will advance the field
Envision the world with your solution in place
Organizational History and Capabilities
Organizational history
and mission
• Research Foundation mission (if 501(c)3
submission required)
• UCF mission
• CAH and/or departmental mission
Institutional strengths
to conduct project
• Technical infrastructure
• Scientific facilities
• Staff
• Other resources
Prior experience in
related areas
• UCF
• Department
• Yourself
Project Description
Literature Review
• Topical
• Area of theory
• Related to methodology
Methodology
• Subjects
• Type of design
• Data collection techniques
Data Analysis/Evaluation
• How will you analyze data?
• What effects will be analyzed?
• How does it relate to objectives or hypothesis?
Sustainability
• How will the project sustain itself after funding ends?
Work Plan and Timeline
• Use
a chart or table for visual appeal
• Break project into stages or phases
• Show when results will be attained
• Be detailed
Year Month
Tasks
1
1-3 Generate concept document
1
4
Milestone 1 – Expert review, revise and approve concept document
1
4-6 Generate detailed instructional, art and technical design documents
1
7
Milestone 2 – Expert review, revise and approve detailed design
documents
1
8-12 Develop Alpha version of investigations and museum experiences
1
8-10 Create, test and refine evaluation protocols and instruments for
Alpha testing
Budget
What is a Budget?
An estimated project financial plan listing:
- anticipated expenses
- earned income
A budget may be:
- a simple one-page statement of
projected expenses
- a detailed spreadsheet and a
thorough narrative
Follows UCF
policy
Charge is
necessary
Charge is
appropriate
Must
adhere to
UCF policy
Like charges
are treated
the same
way
Consistent
Generally
accepted
accounting
principles
Distribution
of charges
must be
realistically in
proportion to
the benefit of
the project
Will
withstand
public
scrutiny
Reasonable
Agency
guidelines and
RFP
Charges must
directly
support
project
Allocable
Federal cost
principles OMB
A-21
Allowable
Budget Rules
Common Budget Categories
Personnel
Equipment
Travel
Other Expenses
Materials & Supplies
Publication
Participant Support Costs
Consultants
Subcontracts
Tuition
F&A Rate
Cost Share
Personnel
Salary
• Academic year course buyout .22 FTE
• Summer salary
• 3% escalation annually
• Include tenure raises, TIPs, RIAs, SoTLs, etc.
OPS
• Non-students
• Hourly undergrads and grads
• Graduate Research Assistants (GRAs)
• Dual compensation
Fringe Benefits
• Use ORC payroll fringe estimated percentages
Equipment
Property definition for grants:
• Non-consumable items $1,000+ (software,
furniture, computers, etc.)
• Useful life of more than one year
• Library books $250+
• Other capital outlay (OCO)
Justify need
Agency may require quote
Purchase early on
Travel
• List each trip separately with dates, locations, # attendees
• Fly America Act required for federal grants and pass through
• Estimate all expenses, can use 8% escalation rate:
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Hotel
Airfare
Registration
Parking
Mileage
Meals
• UCF rate for domestic travel
• Dept of State rates for foreign travel
Other Expenses
Participant Support
• Non-employee participant/trainee costs
• Travel, registration, stipend
• Check for maximum allowable per person
Materials and Supplies
• For technical work, not admin needs
Publication and Dissemination
• Check for agency restrictions
Tuition
• Contracted GRA tuition: .5 FTE = Full; .25 FTE = Half
• Escalate 8% each year
Other Expenses
Consultants
• IRS 20 question rule
• Sponsor limits on daily maximum
• Intellectual property issues
• Quote needed
• May need formal contract through ORC and Legal
Subcontractors
• Project partner
• Typically performs programmatic or technical work
off-site
• Statement of work, budget, and sponsored project
office approval needed
• Intellectual property issues
• Formal contract needed to pass through agency reqs
F&A Cost
AKA: Facilities & Administrative rate (F&A), Indirect Cost (IDC), Overhead
Use UCF’s negotiated rate unless capped by agency
Apply negotiated rate on modified total direct cost (MTDC) Total direct costs minus:
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Subcontract costs in excess of the first $25,000
Equipment
Participant support costs
Student tuition
Rental/maintenance of off-site activities
Cost Share / Match Commitment
Is it required by agency?
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Rarely for NSF; ambiguous for NEH; often for state
Must track in a separate account
Must be an allowable project cost to use as match
Types of cost share:
• Cash – external cash or UCF funding
• In-kind – donated time, services, materials, space
• Unrecovered overhead
Requirements:
• Match documentation at submission
• Document in separate UCF project number
or get in-kind letter of donation at closeout
Budget Narrative
• Make case for budget – items are reasonable,
appropriate, and adequate
• Provide detail about items to be purchased
• Tell how costs were calculated
• Discuss how university policy impacts charges
• Consistent with budget and grant narrative
Bibliography
Use format noted in guidelines or standard
in field (APA, MLA, Chicago)
• Cite your sources in body
• Verify all citations are in bibliography
• iThenticate
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Required at submission
•2
day grace period then proposal withdrawn
Plagiarism screening website for faculty
• https://app.ithenticate.com/en_us/login
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Other Documents
• Resumes/CVs
– adhere to page limits
• Current and Pending Support
• Letters of Support
• Work Samples
Do, Do, and Do Some More…
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Thoroughly read the sponsor’s guidelines
Research the sponsor and read funded proposals
Talk to your chair before spending too much time on proposal
Outline proposal based on sponsor guidelines
Follow all directions (font, spacing, pages, attachments, forms, etc.)
Write to the evaluation criteria
Integrate education and research
List measurable goals
Make sure narrative matches budget
Cite your sources
http://homepages.sover.net/~paulven/sit/proposal.html
Do Not…
• Make the reviewer hunt for material
• Use too many acronyms or jargon
• Repeat yourself, get repetitive, or be repetitious
• Be vague or overly ambitious
• Criticize other researchers in the field
• Submit incomplete, not proofread, or nonconforming proposals
• Submit proposals that are not a match to the funder’s priorities
• Budget entertainment or meals without travel unless agency approves
• Budget alcohol, rental of UCF property, GRA w/o tuition
• Budget admin costs (mail, phone, copies, salaries) unless
CAS exemption approved
• Pay dual compensation without prior approval
I’ve Submitted, Now What?
While waiting:
• Start writing for a
new project
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Declined?
• Review proposal
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Find additional
opportunities for
same project
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It is clear, concise,
compelling?
Does it meet agency
goals?
Contact sponsor for
feedback and resubmission
Have a coworker review
proposal
Do preliminary research
Be a reviewer
Funded?
• Enjoy your moment
then get to work
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Think about phase II
Resources
• CAH Research Office www.research.cah.ucf.edu
• Office of Research and Commercialization (ORC) www.research.ucf.edu
• University of Michigan’s Proposal Writer’s Guide,
http://orsp.umich.edu/proposals/PWG/pwgcontents.html
• The Foundation Center's Guide to Proposal Writing,
http://foundationcenter.org/getstarted/learnabout/audiobook.html
• How to Fail in Grant Writing, http://chronicle.com/article/How-to-Fail-in-GrantWriting/125620/
References
• Carlson, M. (2002). Winning grants step by step. San Francisco, CA:
John Wiley & Sons, Inc.
• Smith, J.A. (n.d.). Writing a research proposal. Retrieved February 15,
2011, from http://research.cah.ucf.edu/resources.php
• The Foundation Center. (2011). Proposal writing short course.
Retrieved February 15, 2011, from
http://foundationcenter.org/getstarted/tutorials/shortcourse
Questions?
Thank you for attending
Contact: CAH Research Office
Dr. Rudy McDaniel
Kristin Wetherbee
Grace Nicholl
cahresearch@mail.ucf.edu