Chapter 3-
Preparing The Parts Of A Proposal
Proposal
documents take a wide variety of forms--from simple letters to
massive notebooks with several dividers. Some sponsors prefer
to have a preliminary proposal or concept paper in order to decide
if they wish to see a full proposal, (i.e., National Science Foundation
(NSF), National Institute of Health (NIH), or Fund for the Improvement
of Post Secondary Education (FIPSE). The program announcement
will state if a preliminary proposal is required, and it will
also state the proposed deadline for when the full proposal is
due. As a general rule, corporate sponsors prefer letters or short
proposals, and government agencies want longer, more detailed
proposals. The proposal itself may have been preceded by various
letters or telephone conversations to corporations or foundations,
and it may be followed by addenda, revisions, or contract documents.
Whatever
the type of proposal, you should give the writing job serious
attention. In most cases, the proposal document is all the reviewers
have to rely on. They usually do not know your particular circumstances,
and you usually do not get a second chance to explain what you
really meant, so be sure the proposal is complete, accurate, persuasive,
and professional.
Please
write your proposal on a word processor, if at all possible, because
that will save time for you when making any last-minute revisions.
It will also facilitate revisions and resubmissions to the same
agency or to other sponsors.
Always follow the
sponsor's guidelines exactly. If your proposal fits
into the sponsor's categories, routines, and expectations, it
will be easier for the sponsor to understand and, therefore, be
more likely to win approval. Many rejections and delays occur
prior to the final acceptance because the proposal did not conform
to the sponsor's instructions. Reviewers may become immediately
upset if the proposal does not follow the guidelines. In some
cases, reviewers may be given instructions that if the proposal
does not follow the criteria set forth, it is to be rejected without
further review. Do not deviate from the guidelines.
The
physical format may be specified in detail by the sponsor---number
of pages, margins, headings, binding, style of page numbering,
etc. Agencies specify the format in their guidelines. For instance,
the National Science Foundation publishes its Grant Proposal
Guide. Follow the instructions exactly. Even if there
are no specifications, some basic rules always apply:
- Use a clear, dark type or standard size font
(usually 10 point or 12 point).
- Leave ample margins.
- Avoid right-justification.
- Label all figures and graphs clearly, and be
sure they are of "camera ready" quality.
- Bind the proposal exactly as specified.
- Adhere strictly to page limitations.
- Proofread everything thoroughly.
A sloppy proposal or one with errors in spelling and grammar
suggests to reviewers that the proposed work will probably
be done with similar carelessness.
It
is usually not appropriate to provide elaborate bindings, multi-color
graphs, unusual paper stock, or other fancy trimmings. Such elaboration
merely suggests that your organization is not cost-conscious.
However, some agencies require specific bindings. For instance,
an agency may request the proposal be in a three-ring binder so
that the budget can be pulled, analyzed, and evaluation section
sent to the evaluation specialist.
The style of writing should
be straightforward, professional, and positive. Highly technical
writing is appropriate only for certain sponsors. Be sure you
find out who (or at least what kind of persons) will actually
do the reading and reviewing, and write for those individuals,
i.e. a physicist, a graphic artist, or a field biologist. Whenever
possible, use the specific terms from their request for proposals.
This will make readers, agency staff, and agency officers feel
more comfortable with your proposal.
The
following paragraphs describe the parts "typical"
proposal. The majority of these parts is required in most
proposals, and usually in the order indicated. Consult with the
Grants Office staff if in doubt, and seek informal reviews by
colleagues on campus. Review again the agency guidelines to ascertain
the facts required and the order for arranging the proposal.
Note: The form for peer technical review follows the
order stated in the application, so follow the arrangement order
exactly. If a reader or reviewer has to search for parts of this
application, your application stands less of a chance of being
funded.
The
Cover Letter is usually written in a standard form by the
principal investigator. It conveys that the proposal is a submission
by the university. Special cover letters may be needed in some
circumstances --- especially for revisions of earlier proposals
and for the submission of subcontract proposals. The letter may
require the signature of the authorized person on campus, the
Vice President for Administration and Finance. NOTE:
Do not permanently attach the transmitted letter to your
proposal.
A
Cover Page is necessary for longer proposals and typically
is a printed form. It conveys the important formal information,
and it facilitates rapid identification and sorting after your
proposal arrives with dozens or hundreds of others in the sponsor's
offices. Usually the cover page should contain all the information
necessary to identify the proposal--the title, the period of time,
and the amount of money requested--and enough information to identify
you--name, title, affiliation, address, phone number, and university
identification number. If the sponsor assigned a number or a name
to the funding program (federal agencies usually do), that information
should also be on the cover page. There should also be the name
and usually the signature of an authorized official from your
institution. The authorized officer on campus is the Vice President
for Administration and Finance (VPAF). On some federal grants,
the President's signature is required. Foundations and corporations
may also require that the cover letter be signed by the Chief
Executive Officer. This is the President. The agency, corporation,
or foundation guidelines will state the granters requirements.
Most federal agencies and many private funding sources have standard
forms for cover pages. Check with the Grants Office for a model
if no specified form is required.
The
Title should be straightforward and informative, and preferably
short. Very technical titles are appropriate only for some sponsors.
A title that forms an acronym can help people remember the project,
but it can be distracting and damaging if done inappropriately.
In general, vague and cute titles are rarely helpful. A useful
guide is to think about the key words that you would want indexed
to use in categorizing your proposal.
A Table of Contents may be
needed. The sponsor should specify if a table of contents is desired.
One is always recommended for a lengthy proposal.
The
Abstract is a summary, not an introduction. It is best
to write the abstract last. Include a sentence or two about each
of the principal aspects of the project--the problem to be solved,
the objectives, the methodology, the significance of the proposal,
the expected results, and the major budget items. The sponsor
may specify the length of the abstract; if so, follow the instructions.
Typically, abstracts are expected to be from 100 to 300 words
in length.
An
Introduction is usually needed to give some background
information on the nature and importance of the problem to be
solved. Why is the problem important? What is the history of the
problem? The introduction is particularly important for non-specialist
reviewers. The introduction may require only a paragraph or several
pages, depending on the situation. You may need to make a brief
statement about Fort Hays State University so the reviewer will
have an understanding of where the activity will be located, what
population is served, and what local capabilities and expertise
are available. This section is where you get the reader’s
attention.
The
Statement Need or Statement of Problem/Rationale for the
project must be established. Explain what is wrong or missing
in the current theory or practice in your field in terms that
match the particular sponsor's interests and that justify your
choice of method or activity. The problem to be addressed might
be, for example, a logical gap in a prevailing theory, an important
case not yet tested, a creative approach not yet tried, a population
not yet served, or a source of valuable data not yet explored.
Think about the social or academic needs the sponsor is trying
to address by offering grants, and direct your proposal to those
needs. This section of text may be part of the introduction, or
it may be a separate section.
The
Goals and Objectives/Research Questions of the project
must be stated clearly, whether in a separately labeled section
or as part of a general narrative. What results do you intend
to accomplish for your students, the community, your sponsor or
the world? What logical problems in your discipline or specialization
are you trying to solve? For a multi-year project, it may be appropriate
to distinguish between the broad long-term goals and the specific
objectives for the first year or two. Pay careful attention to
the sponsor's interests and goals, and express your objectives
in terms and contexts that are appropriate to what the sponsor
wants. If your proposal is a multi-year proposal, you may be required
to name exactly goals and objectives for each year or each part
of your proposal. The goals and objectives must be quantifiable
as accountability is a major issue with agencies and sponsors.
Develop timelines for your objective so that the reviewers and
the agency will understand the progress of the grant. If you are
funded, your timelines will be used later to determine if your
are on target.
Many
proposals fail because the writer has not made the goals and objectives
clear to the reader. This is the place in your proposal to show
to the reader that something important will be accomplished.
The
Project Methodology or Activities may be described
in a separate section or as part of a broader descriptive section.
A common reason given by reviewers for declining a proposal is
that the proposer does not say with enough clarity what he or
she will actually do. The text should answer questions like how
many? how much? for how long? in what order? where? when? on whom?
Sponsors
sometimes request a separate section on the methods you
will use. (NSF and NIH almost always do.) If so, describe the
methods as fully as possible within the space limitations. Specify
how concepts will be defined operationally, how variables will
be measured, what tests or inquiries will be conducted, and what
equipment will be used. Describe how the resulting information
will be analyzed and interpreted. Standard accepted methods can
usually be referred to by name; unfamiliar or controversial methods
should be explained and justified. Make clear that these methods
are appropriate to your stated objectives. Remember, if you are
not sure about the methods, discuss them with your colleagues.
Reviewers who are expert in your area of work will read this section
closely, so be sure it is complete.
Even
for disciplines in the arts, humanities, or social sciences with
less stringent research and evaluation methods, some description
should be given of the procedures to be used and the steps to
be followed. This information will give the reviewers a better
picture of how you will be spending your time (and their money)
and what kinds of results you are likely to get.
In
this section, or perhaps in a separate section, you may need to
describe the equipment and the facilities that are
available to you and their appropriateness to your project. If
you will merely be using your office and some clerical assistance,
not much description is needed; but, for complex laboratory work
or projects involving major campus facilities, several paragraphs
may be required. Describe the equipment available to complete
the project and your experience using it. This shows that you
know what you are doing and that you have thought through the
process. Also, when you describe the university facilities or
your research facilities and the existing equipment, the reviewer
will know if you can accomplish the goals of the proposal. NOTE:
An agency may require a certificate that the needed equipment
is not available on campus. Post dissemination may be required.
For
many projects, it is also important to describe the follow-up
activity that will continue after the funded project period.
If you are using the funds to start a new program, how will it
be supported in the future? What are your plans to continue your
project after funding ends? Will the university continue the project?
This section may be the most critical of your proposal; who has
committed to continue this project? The university president?
Your dean? Your department chair? Are the letters of support and
pledges of continued support included? If you are using the funds
to generate useful educational materials, how will the materials
be disseminated? Who will pay the dissemination costs?
While you usually cannot make guarantees about such things, show
that you have thought it through and show that appropriate continuing
activity is very likely. Some sponsors may ask for a separate
section of the proposal dedicated to this topic and may even require
a statement by the president that activities will continue for
a certain period after funding ends.
You
should also discuss the contribution of the project and how the
results will be disseminated. If it is anticipated that the results
or findings be replicated, explain the dissemination process.
Dissemination can be through publications, workshops, newsletters,
press releases, presentations at scholarly or professional meetings,
or conferences. NOTE: Remember that page costs for publications
of your results with a journal can be included with your budget.
Try
to anticipate reviewers' possible questions about your intended
activities. Is all the necessary equipment available to you? Do
you have assurance of access to the facilities, records, or persons
that are needed for the work? Have all federal compliances required
been met? Have you considered alternative interpretations of the
data? Have you justified unusual procedures? Do you have enough
time to complete this project? Where is the proof that you have
the time?
An
Evaluation procedure is now requested by virtually all
sponsors, especially for projects in education or the behavioral
and social sciences. After the project is completed, how will
you know what you have accomplished? Will you provide a summarization
and/or formative evaluation? Will the accomplishments and remaining
problems be identified clearly enough for future workers in the
same field to rely upon? Evaluations can range from informal observations
to elaborate experimental designs. You may be asked to use an
"outside" evaluator, someone not in your institution
and not already part of the project. Be sure you know what evaluation
the sponsor expects and consult with experts in evaluation design
if the requirements are stringent. Congress now requires products
or results that can be measured. NOTE: Remember to include
the cost of evaluation in your budget.
A
Bibliography is necessary for many academic proposals.
Be sure your literature review is up to date--do not let the proposal
reviewers infer that you are out of touch with your field. For
instance, if a ten-year-old article on AIDS is your most recent
article in a application to NIH, you are not current, and you
will not be considered for funding. Be sure the style and format
of the citations are conventional for your discipline and used
consistently throughout. It is useful to cite references in your
proposal, and be sure the references cited in the text are included
in the bibliography.
The
bibliography (and the references in the text) can be important
to the review of your proposal for "political" reasons
as well. If you need to satisfy different factions within your
discipline, be sure to cite the appropriate references. If you
know who your reviewers will be, cite their relevant publications.
Try to include citations to persons by whom you want to be reviewed
because the sponsor's staff are likely to use the bibliography
to choose some of the reviewers.
A
Timeline or work schedule is usually advisable and is required
in many grants. By tying the steps in your intellectual method
to a schedule, a timeline is a useful way for you to check your
own planning and for the proposal reviewers to picture how the
steps of your project will develop. A schedule that is implausible
for the work being proposed will be seen as a serious flaw in
the proposal. Including a timeline can preclude misunderstandings
that might occur later in the course of the actual project. In
some grants or contracts, a precise schedule of "deliverables"
is required. In setting the start date for the project, remember
to allow ample time for the review process and for award negotiations
(as much as nine months or more for some federal agencies). Also,
timelines should address your goals and objectives.
A
one-page timeline will suffice for most projects, and the format
is usually left up to you. Depending on the schedule for review
and funding, you may wish to avoid using specific dates and express
the schedule in terms of the number of months or weeks after the
start of the project. However, some agencies require specific
timelines and will require a set of forms to be completed that
show the exact steps to project completion.
Other Funding Support
for the project should be specified in many cases. If the
proposed work or related work is, or has been supported from other
sources, or if you have definite plans for seeking such support,
find some way to communicate that information in the proposal.
This information serves several purposes. First, such information
helps the sponsor understand the project in a larger administrative
or intellectual context. Second, evidence of past support
shows the sponsor that you have been considered worthy of funding
by other sponsors. Third, sponsors may want reassurance
that you are active in pursuing other means of support as well,
so they understand they will not be burdened with all the costs
or with an unfinished project.
Many
sponsors provide separate forms for listing recent and planned
support. If your sponsor does not include such, then you may wish
to create a special page or make the appropriate references in
the narrative text.
The
Responsibilities of the Project Personnel should be detailed
if there are many investigators or managers in the project. It
is advisable to outline for each person what they will be responsible
for in one or two sentences. Make sure that you clearly establish
the expertise of each person. Include significant other investigators
or subcontractors as well. For very large projects, an organizational
chart may be appropriate. Sometimes you need to include a full
university organizational chart that shows lines of authority,
as well as the specific organizational chart for the project.
For projects that are small or in which the lead responsibilities
are fairly obvious e.g., a lab scientist and several technicians,
this much detail is usually unnecessary. When two or more investigators
will be sharing the work equally, it is customary and sometimes
required to designate only one person as the principal investigator
for purposes such as signing application forms and approving financial
transactions during the project. The agency may in fact state
that there can be only one principal investigator.
Like
the timeline and the budget, this section gives reviewers another
perspective on how well you have thought through the work you
are proposing.
A
Budget is almost always necessary, and text or budget
narrative explaining any special aspects of the budget often
helps or maybe required. Many agencies require a budget narrative
in which you explain and justify all expenses. The budget narrative
justifies your budget. For instance, if you state that there will
be twenty students in a class and request twenty-five microcomputers,
there is a problem. (See Preparing the Budget for details.) Be
sure the description of your activities (see above) and the budget
are consistent with one another, and make sure the components
always add up to your total. Before you submit the proposal, add
again all components and get a total. Make sure the total agrees
with the total on the cover page. NOTE: Be accurate with
your budget. It is bad to overestimate or underestimate.
Federal
agencies are changing how they do business. Budget narrative requirements
are changing, so read the guidelines carefully. A few years ago,
all supplies had to be identified and costs given. Now only a
total amount is required by most agencies. In the past, fringe
benefits had to be calculated for each component; however, some
agencies are beginning to permit total percentages rather than
requesting the individualized component breakdowns.
A
Facilities Description may be required. The description may
be as simple as the description of a laboratory; or the description
may be as extensive as lists of all buildings, enrollments, library
holdings, and undergraduate and graduate programs. Field sites
may need to be described. Follow the program guideline instructions
for facility descriptions as this area of the proposal may be
where you convince the reviewers that you have the institutional
capacity to accomplish the project.
A
Resume or Curriculum Vita is almost always necessary for
each senior investigator on the project. The precise format is
not critical unless the sponsor specifies the format or length.
Some sponsors specify a maximum length for the resume or curriculum
vita; some ask for narrative biographical sketches. NSF usually
states how it wants your vita to be submitted and the length.
Be
sure to include all information that is important to the proposed
project. Depending on the nature of the project, you might need
to include information on special training, languages spoken,
publications, business experience, courses taught, lectures given,
foreign travel, previous grants, or administrative experience.
However, leave out material that is irrelevant to your qualifications
for the particular project being proposed. Remember that you are
stating to the agency that you have the expertise and skills to
get the job done, as will all of those who will assist you.
Federal Certifications
and/or Assurances must be completed and attached to proposals
to federal agencies. Assurances are usually in the guidelines
booklet. Among the assurances required are drug-free workplaces,
lobbying statement, and anti-discrimination certification. Check
the application packet for the assurance forms. The Vice President
for Administration and Finance signs the forms during the review
and approval process. Human Subjects or Animal Welfare approvals
must be included if the proposal involves either human subjects
or animals.
Attachments
of various kinds may prove very useful in giving the proposal
credibility, and some may be required by the sponsor. Letters
of support show that you have made the necessary contacts and
create a very positive tone. Letters are especially helpful if
they are from individuals or sources that will benefit from the
project. Technical appendices can satisfy interested expert reviewers
without cluttering up the narrative for the other reviewers. Copies
of prior publications can demonstrate your ability to follow through
on a project and can give more information about the topic. Copies
or photographs of creative works may reveal your talent better
than any amount of explanatory text.
However,
use caution and good judgment when adding attachments. Do not
expect the attachments to make the main points of the proposal;
usually the narrative text must do that. Do not overload the proposal
with attachments that are too numerous, too long, or oversized;
an excessive load of attachments will only irritate the staff
and reviewers who have to handle the proposal. Know what kinds
of attachments the sponsor expects to receive.
Some
Special Hints From Grant Readers
The
following hints have been picked up over the years from workshops,
at presentations by agency officers, and from reviewers.
The
Title
Keep
it short, sweet, and compelling; long titles distract and
indicate that you cannot summarize.
The
Abstract
Tell them everything they need
to know. Summarize. Do not list. Keep the abstract between
100 to 300 words.
Table
of Contents
Make
it very easy for the agency and the readers to follow you.
If this reviewer needs to review a part of your proposal again,
the table of contents will quickly direct the viewer to the
correct page. The table should follow the organization of
the parts of the proposal exactly.
Attachments/Appendices
Do not clutter up the body of
the proposal. Add attachments and appendices or support for
your proposal.
Writing
Style
Make
it skim able; readers are on a tight schedule to review a
proposal, so do not employ lengthy narratives and jargon.
If you do, there is a negative impact if they have to decipher
your meaning. Remember, do not alienate your reader; write
for clarity.
Self-Sufficient
Sections
Do not make them refer back
to previous parts. If you do, give the exact place in the
text, i.e., state "See Part I. A. Outcomes on page 12."
Some granting agencies will ask that you refer parts of your
narrative to specific goals and objectives that you identified
in your proposal and the exact page numbers where the objectives
are stated.
Guidelines
Please follow the guidelines
exactly. Read them when received, read when you start writing,
and read them again before submitting your proposal.
Point
System
Know the point system
for scoring. The point system will be described in the guidelines
or may be in the announcement of the federal regulations.
Grade yourself using the point system, and then improve the
areas where you believe that you may lose points.
Suggested
Proposal Outline
If
Not Stated In The Guidelines
| |
Title
Page
Agency
Forms
Abstract
|
|
What
&
Why
|
Statement
of Problem and Need
General
Purpose
Specific
Objectives
Significance
|
|
How
&
When
|
Procedures
Activities
Collection
and Analysis of Data
Time
Schedule
Use
of Equipment and Facilities
Project
Management
Evaluation
Dissemination
|
|
Who
|
Personnel |
|
How
Much
|
Budget |
Sample Cover Page
(Not
to be used for Agencies with Required Forms)
A
Proposal To
(insert
name and address of sponsoring group)
Title
Of Proposed Study (All Caps)
Amount
of Requested Support $_____
Period of Project Support __________
to __________
Submitted
by
John
A. Doe, Principal Investigator
Assistant
Professor of Geosciences
Jane
Smith, Ph.D.
Grants
Office/Office of the Graduate School
Fort
Hays State University
Hays,
Kansas
Date
Submitted ____________
