Title: Writing Proposals
1Writing Proposals
2First Steps Before the Proposal
- Write a concept paper
- Usually 2-4 pages
- What is going to be done?
- Why is it important to do it?
- How will it be done and by whom?
- How much money is required and for what general
purposes? - Share the paper with colleagues
- Identify funding resources
3Some Potential Sources for Funding
4Government Agencies
- Research Fellowships Post-Graduate Research
- Conferences and Events
- Study Grants
- Research Grants
- Solicited Proposals
5Corporations
- Corporations sometimes provide funding to
institutions and individuals. - Funding is usually tied to public relations,
though some research is contracted out to
universities. - Funding is usually obtained through personal
contacts rather than solicitations
6Some Guides to Corporate Funding
- Corporate 500 The Directory of Corporate
Philanthropy, San Francisco, CA Public
Management Institute - Corporate Giving Directory. Detroit, MI Taft
Group - National Directory of Corporate Giving, NY
Foundation Center and - Corporate Giving Yellow Pages. Detroit, MI Taft
Group.
7Private Foundations (1)
- There are thousands of private foundations in
Europe, the Americas, Asia, and the Middle East.
8Private Foundations (2)
- To identify private foundations
- Research such books as the Foundation Directory
or the International Handbook of Associations - Talk with your colleagues
- Search the Internet and,
- Read scholarly journals and pay attention to who
sponsored the research.
9Proposals to Private Foundations (3)
- Proposals to foundations have a better chance of
succeeding if they are preceded by an informal
contact. - This contact is usually a brief letter outlining
the proposed project, and could lead to a meeting
to discuss the project further. - This letter of inquiry is crucially important.
10Proposals to Private Foundations (4)
- Most foundations have specific areas of interest
for which they award funds. - It is essential that the grant seeker identify
those foundations whose interests match the
proposed project.
11Proposals to Private Foundations (5)
- The initial letter of inquiry should demonstrate
that the investigator is acquainted with the work
and purposes of the foundation being approached.
12Proposals to Private Foundations (6)
- The letter should point out the significance of
the project and include - Who will benefit?
- Who cares about the results?
- What difference will it make if the project is
not funded? - An indication that the project has been thought
through. - A demonstration of the writer's grasp of the
subject and credentials to undertake the project. - It will emphasize that this is a preliminary
inquiry and that the investigator will send
further details if the foundation wishes, or, if
possible visit the foundation to discuss the
project in depth.
13Proposals to Private Foundations (7)
- Directories and other general sources of
information usually indicate a foundations areas
of interests - More detailed guidance can be gleaned from the
foundation's annual reports and from the list of
projects that the foundation has actually
supported.
14Proposals to Private Foundations (8)
- In general, foundations are interested in
innovative projects that are - (1) relevant to pressing national or regional
problems - (2) relevant to new methods in education
- (3) capable of serving as a model or stimulus for
further or related work in its general area - (4) capable of being continued after the end of
the funding period without further assistance
from the foundation and, - (5) not eligible for funding by governmental
agencies or the investigator's own institution.
15International Organizations and NGOs
- The United Nations and International
Organizations do provide grants, though not
usually for research. - The local offices of these organizations often
solicit assistance. Increasing emphasis on
monitoring and evaluation, especially impact
evaluation provides a major role for the
universities in the West Bank and Gaza.
16The Proposal
17What is a Proposal?
- A confidence builder, a persuasive tool
- It convinces people with funds (who dont know
you) that you are worth funding - A contract
- After the award, the proposal often becomes part
of the contract so be careful of what you
promise. - A plan of action
- The proposal spells out what you are going to do
and when you are going to do it.
18Common Types of Proposals (1)
- Solicited proposals
- Proposals submitted in response to a specific
solicitation issued by a sponsor. - Typically called Request for Proposals (RFP), or
Request for Quotations (RFQ) - Usually specific in their requirements regarding
format and technical content, and may stipulate
certain award terms and conditions.
19Common Types of Proposals (2)
- Unsolicited proposals
- Submitted to a sponsor that has not issued a
specific solicitation - The sponsor is believed by the investigator to
have an interest in the subject.
20Common Types of Proposals (3)
- Preproposals
- Requested when a sponsor wishes to minimize an
applicant's effort in preparing a full proposal. - Preproposals are usually in the form of a letter
of intent, brief abstract, or concept paper. - After the preproposal is reviewed, the sponsor
notifies the investigator if a full proposal is
warranted.
21Common Types of Proposals (4)
- Continuation or Non-Competing proposals
- Confirm an original proposal and funding
requirements of a multi-year project for which
the sponsor has already provided funding for an
initial period (normally one year). Continued
support is usually contingent on satisfactory
work progress and the availability of funds.
22Common Types of Proposals (5)
- Renewal or competing proposals
- Requests for continued support for an existing
project that is about to terminate, and, from the
sponsor's viewpoint, generally have the same
status as an unsolicited proposal.
23Research vs. Project Proposals
- A research proposal emphasizes the contribution
that the research will make to the field.
- A project proposal emphasizes the impact the
activity will have. - Evaluation is more usually more important in
project proposals.
24Elements of the Proposal
- What do you want to do, how much will it cost,
and how much time will it take? - How does it relate to sponsors interest?
- What difference will the project make?
- What has already been done in the area of your
project? - How do you plan to do it?
- How will the results be evaluated?
- Why should you, rather than someone else, do this
project?
25Research Proposals
26Parts of a Research Proposal
- Title (or Cover) Page
- Abstract
- Table of Contents
- Introduction
- Background
- Description of Proposed Research
- Description of Relevant Institutional Resources
- List of References
- Personnel
- Budget
- Adapted from Proposal Writer's Guide By Don
Thackrey, University of Michigan. - http//www.research.umich.edu/proposals/PWG/pwgcon
tents.html
27Title Page
- The format is often specified by the funding
agency - The principal investigator, department head, and
university official usually sign - Name of organization being submitted to
- Title of the proposal
- Starting date and budget period
- Total funds requested
- Name and address of institution
- The title page should be professional looking,
but do not use fancy covers, bindings, etc.
28A good title
- The title is important. It should reflect the
focus of your project. - The most important words should come first.
- Avoid words that add nothing to a readers
understanding such as Studies on,
Investigations.., or Research on Some Problems
in
29Hints for Title Page
- A good title is brief
- For example, this title -
- Title 1 - The Systematic Development of a Local
Initiative to Create a Learning Center for
Community Education can be shortened to - - Title 2 - A Local Learning Center for Community
Education -
- GUIDE FOR WRITING A FUNDING PROPOSAL. S. Joseph
Levine, Ph.D. Michigan State University East
Lansing, Michigan, USA.
30Table of Contents
- Very brief proposals with few sections ordinarily
do not need a table of contents - Long and detailed proposals may require, in
addition to a table of contents, a list of
illustrations (or figures) and a list of tables. - The table of contents should list all major parts
and divisions (including the abstract, even
though it precedes the table of contents).
31The Abstract
- Every proposal should have one
- In project proposals this is called the Executive
Summary - It should be written last
- The abstract should summarize the project
- It is the most important part of the proposal
32Introduction (1)
- Start with a capsule statement of what is being
proposed.
33Introduction (2)
- You should not assume that your reader is
familiar with your subject. It should be
comprehensible to an informed layman. It should
give enough background to enable him to place
your research problem in a context of common
knowledge and should show how its solution will
advance the field or be important for some other
work.
34Introduction (3)
- Do not to overstate, but do state very
specifically what the importance of your research
is.
35Introduction (4)
- If the detailed exposition of the proposed
research will be long or complex, the
introduction may well end by specifying the order
and arrangement of the sections.
36Introduction (5)
- The general tone of the introduction should be
self-confident, but not exuberant. Enthusiasm is
not out of place, but extravagant promises are
anathema to most reviewers.
37Background (1)
- This section may not be necessary if the proposal
is relatively simple and if the introduction can
present the relevant background in a few
sentences.
38Background (2)
- If previous or related work must be discussed in
some detail, however, or if the literature of the
subject must be reviewed, a background or
literature review section is desirable.
39Background (3)
- Literature reviews should be selective and
critical. - Reviewers only want to know pertinent works and
your evaluation of them. - A list of works with no clear evidence that you
have studied them and have opinions about them
contributes almost nothing to the proposal.
40Description of Proposed Research (1)
- This section of the proposal is the comprehensive
explanation of the proposed research - It is addressed to other specialists in your
field. - It is the heart of the proposal and the primary
concern of technical reviewers.
41Description of Proposed Research (2)
- The description may need several subsections.
The description should include - Aims or Objectives
- Methodology
- Results
- Conclusion
42Description of Proposed Research (3)
- Be realistic in designing the program of work.
-
- Research plans should be scaled down to a
specific and manageable project.
43Description of Proposed Research (4)
- The proposal should distinguish clearly between
long-range research goals and the short-range
objectives for which funding is being sought. - Often it is best to begin this section with a
short series of explicit statements listing each
objective, in quantitative terms if possible.
44Description of Proposed Research (5)
- If your first year must be spent developing an
analytical method or laying groundwork, spell
that out as Phase 1. Then at the end of the year
you will be able to report that you have
accomplished something and are ready to undertake
Phase 2.
45Description of Proposed Research (6)
- Be explicit about any assumptions or hypotheses
the research method rests upon. -
- Be clear about the focus of the research. In
defining the limits of the project, especially in
exploratory or experimental work, it is helpful
to pose the specific question or questions the
project is intended to answer.
46Description of Proposed Research (7)
- Be as detailed as possible about the schedule of
the proposed work. - Include a schedule and calendar of events.
47Description of Proposed Research (8)
- Be specific about the means of evaluating the
data or the conclusions. Try to imagine the
questions or objections of a hostile critic and
show that the research plan anticipates them.
48Description of Proposed Research (9)
- Be certain that the connection between the
research objectives and the research method is
evident. - If a reviewer fails to see this connection, he
will probably not give your proposal any further
consideration.
49Description of Relevant Institutional Resources
- This section details the resources available to
the proposed project. - Include the institution's demonstrated competence
in the pertinent research area, its abundance of
experts in related areas, its supportive services
that will benefit the project, and its unique or
unusual research facilities or instruments
available to the project.
50List of References
- If a list of references is to be included, it is
placed at the end of the text proper and before
the sections on personnel and budget. - The style of the bibliographical item itself
depends on the disciplinary field. - Be consistent! Whatever style is chosen should
be followed throughout.
51Personnel (1)
- The personnel section usually consists of two
parts - an explanation of the proposed personnel
arrangements and, - biographical data sheets for each of the main
contributors to the project.
52Personnel (2)
- Specify how many persons at what percentage of
time and in what academic categories will be
participating in the project. - If the program is complex and involves people
from other departments or colleges, the
organization of the staff and the lines of
responsibility should be made clear.
53Personnel (3)
- Any student participation, paid or unpaid, should
be mentioned, and the nature of the proposed
contribution detailed. - If any persons must be hired for the project, say
so, and explain why, unless the need for persons
not already available within the University is
self-evident.
54Personnel (4)
- The biographical data sheets should follow
immediately after the explanatory text of the "
personnel" section, unless the agency guidelines
specify a different format. -
- For extremely large program proposals with eight
or more participants, the data sheets may be
given separately in an appendix.
55Personnel (5)
- All biographical data sheets within the proposal
should be in a common format. - These sheets should be confined to relevant
information. Data on marital status, children,
hobbies, civic activities, etc., should not be
included unless the sponsor's instructions call
for them.
56Personnel (6)
- The list of publications can be selected either
for their pertinence to the proposed work or for
their intrinsic worth. All books written and a
selection of recent or important journal articles
written may be listed, but there is no need to
fill several pages with a bibliography.
57Budget (1)
- Budgets are developed according to sponsors and
university guidelines. This section is an
overview of common features. - Depending on complexity, the budget section may
require not only a tabular budget with line
items, but may also require a budget summary and
explanation or (budget justification or budget
notes).
58Budget (2)
- Typical divisions of a budget are
- Personnel
- Equipment
- Supplies
- Travel and,
- Indirect costs.
- Other categories can be added as needed.
59Budget (3)
- The budget should make clear how the totals for
each category of expenses are reached. - Salary information is particularly sensitive. It
should be specified in detail principal
investigator (1/2 time for 3 months at 24,000
9-month appointment) 4,000.
60Budget (4)
- The category of personnel includes not only the
base salary or wage for each person to be
employed by the project but also (listed
separately) the percentage added for staff
benefits.
61Budget (5)
- Any costs absorbed by the University should be
shown as cost sharing.
62Budget (6)
- Indirect costs are shown as a separate category,
usually as the last item before the grand total.
Indirect costs are usually figured as a fixed
percentage of total direct costs but this is a
subject that bedevils investigators and sponsors
alike.
63Budget (7)
- Cost sharing is required by many sponsors.
- It can be shown as a separate column.
- Frequently a portion of the salary of the
principal investigator, paid from University
funds, can be used to satisfy cost-sharing
requirements.
64Budget (8)
- Following is a budget checklist. It is
illustrative only, to call attention to the
variety of expenses that might arise in the
conduct of a research project - Different sponsors have different budget
requirements. Pay careful attention to their
guidelines.
65Checklist for Proposal Budget Items (1)
- A. Salaries and Wages
- 1. Academic personnel2. Research assistants3.
Stipends (training grants only)4. Consultants5.
Interviews6. Computer programmer7.
Tabulators8. Secretaries9. Clerk-typists10.
Editorial assistants11. Technicians12.
Subjects13. Hourly personnel14. Staff
benefits15. Salary increases in proposals that
extend into a new year16. Vacation accrual
and/or use
66Checklist for Proposal Budget Items (2)
- B. Equipment
- 1. Fixed equipment2. Movable equipment3. Office
equipment4. Equipment installation
67Checklist for Proposal Budget Items (3)
- C. Materials and Supplies
- 1. Office supplies2. Communications3. Test
materials4. Questionnaire forms5. Duplication
materials6. Animals7. Animal care8. Laboratory
supplies9. Glassware10. Chemicals11.
Electronic supplies12. Report materials and
supplies
68Checklist for Proposal Budget Items (4)
- D. Travel
- 1. Administrative2. Field work3. Professional
meetings4. Travel for consultation5.
Consultants' travel6. Subsistence7. Automobile
rental8. Aircraft rental9. Ship rental
69Checklist for Proposal Budget Items (5)
- E. Services
- 1. Computer use2. Duplication services (reports,
etc.)3. Publication costs4. Photographic
services5. Service contracts6. ISR services
(surveys)
70Checklist for Proposal Budget Items (6)
- F. Other
- 1. Space rental2. Alterations and renovations3.
Purchase of periodicals and books4. Patient
reimbursement5. Tuition and fees (training
grants)6. Hospitalization7. Page charges8.
Subcontracts - G. Indirect Costs
71Appendices (1)
- Reviewers almost never read appendices - and they
may resent the padding. The best rule of thumb
is - When in doubt, leave it out.
72Appendices (2)
- Appendices to proposals are occasionally used for
letters of endorsement or promises of
participation, biographical data sheets and
reprints of relevant articles. - If two or more appendices are included in a
proposal, they should be designated Appendix A,
Appendix B, etc.
73Non-Research Grants(1)
- You might not be applying for a research grant,
but for outside sponsorship of an academic
program involving a new curriculum, a conference,
a summer seminar, or a training activity. As in
a research proposal, your best guide is to
consult any guidelines that the sponsoring agency
provides. In the event that none is available,
however, the following outline may be followed.
74Non-Research Grants (2)
- As in the Research Proposal, begin the proposal
with an Executive Summary. - This should be followed by an Introduction, which
includes a clear statement of need.
75Non-Research Grants (3)
- The Background section, describing the local
situation and developmental activities to date,
should begin the request. - A Program Description should come next. This
section contains elements common to the research
proposal. It lists the courses or instructional
sessions to be offered, the interrelationship of
parts, and the program leading to certification
or a degree. It discusses the students or
participants to be selected and served by the
program, as well as plans for faculty retreats,
negotiation with cooperating institutions,
released time to write instructional materials,
and so on.
76Non-Research Grants (4)
- Follow the Program Description with a section on
Institutional Commitment. - Clarify here the agreements made by various
departments and cooperating institutions - Detail the willingness of your institution to
carry on the program once it has proven itself is
certified. (Sustainability) - This section is crucial to the success of
curriculum development programs.
77Non-Research Grants (5)
- Complete the proposal with Institutional
Resources, Personnel, and Budget sections, as in
the research proposal.
78Style Tips (1)
- General approach
- Match the style to the reader.
- Use everyday English.
- Be politically correct.
- Explain new ideas clearly.
79Style Tips (2)
- Phrasing and sentences
- Avoid jargon
- Keep away from stock phrases
- Avoid clichés
- Keep sentences and paragraphs short
80Style Tips (3)
- Words
- Use short words
- Avoid legal words and pomposity.
- Avoid neutral words.
- Beware of ambiguous words.
- Avoid tautology and redundant words.
- Use concrete not abstract nouns.
- Use active not passive verbs.
81Style Tips (4)
- Check
- Your choice of words
- Spelling
- Abbreviations
82Style Tips (5)
- Punctuation
- capital letters
- Apostrophes
- commas
- colons
- Semicolons
83Make it look readable (1)
- Check the layout
- Spacing
- Margins
- Headings
- Sections
- Paragraphs
- Lists
84Make it look readable (2)
- Use appendices
- Charts and graphs
- For component comparison use pie charts.
- For item comparison use bar charts.
- For time series comparison use column charts or
line charts. - For frequency distribution use column charts.
- For frequency distribution use column charts.
- For correlation use bar charts or dot charts.
85Make it look readable (3)
- Flow charts
- Workflows charts to show how people or work
moves around a location - Schematic flow charts for an overview of the
stages of a process or project. - Detailed flow charts to show how work moves
around between functions.
86Beginning and End
- Include in your proposal or report
- title page with title and author
- contents page
- summary
- appendices
- page numbers.
- Consider using the following
- acknowledgment
- conclusion page
- glossary
- bibliography
- references
- further addresses etc.
87Why Proposals are Rejected (1) From University
of Michigan Proposal Writer's Guide by Don
Thackrey
- The following is based on a list of short-comings
of 605 proposals rejected by the (US) National
Institutes of Health. - The list is derived from an article by Dr. Ernest
M. Allen (Chief of the Division of Research
Grants, National Institutes of Health) that
appeared in Science, Vol. 132 (November 25,
1960), pp. 1532-34. (The percentages given total
more than 100 because more than one item may have
been cited for a particular proposal.) -
88Why Proposals are Rejected (2)
- A. Problem (58 percent)
- The problem is not of sufficient importance or is
unlikely to produce any new or useful
information. (33.1) - The proposed research is based on a hypothesis
that rests on insufficient evidence, is doubtful,
or is unsound. (8.9) - The problem is more complex than the investigator
appears to realize. (8.1) - The problem has only local significance, or is
one of production or control, or otherwise fails
to fall sufficiently clearly within the general
field of health-related research. (4.8)
89Why Proposals are Rejected (3)
- The problem is scientifically premature and
warrants, at most, only a pilot study. (3.1) - The research as proposed is overly involved, with
too many elements under simultaneous
investigation. (3.0) - The description of the nature of the research and
of its significance leaves the proposal nebulous
and diffuse and without a clear research aim.
(2.6)
90Why Proposals are Rejected (4)
- B. Approach (73 percent)
- The proposed tests, or methods, or scientific
procedures are unsuited to the stated objective.
(34.7) - The description of the approach is too nebulous,
diffuse, and lacking in clarity to permit
adequate evaluation. (28.8) - The overall design of the study has not been
carefully thought out. (14.7) - The statistical aspects of the approach have not
been given sufficient consideration. (8.1)
91Why Proposals are Rejected (5)
- The approach lacks scientific imagination. (7.4)
- Controls are either inadequately conceived or
inadequately described. (6.8) - The material the investigator proposes to use is
unsuited to the objective of the study or is
difficult to obtain. (3.8) - The number of observations is unsuitable. (2.5)
- The equipment contemplated is outmoded or
otherwise unsuitable. (1.0)
92Why Proposals are Rejected (6)
- C. Investigator (55 percent)
- The investigator does not have adequate
experience or training for this research. (32.6) - The investigator appears to be unfamiliar with
recent pertinent literature or methods. (13.7) - The investigator's previously published work in
this field does not inspire confidence. (12.6)
93Why Proposals are Rejected (7)
- The investigator proposes to rely too heavily on
insufficiently experienced associates. (5.0) - The investigator is spreading himself too thin
he will be more productive if he concentrates on
fewer projects. (3.8) - The investigator needs more liaison with
colleagues in this field or in collateral fields.
(1.7)
94Why Proposals are Rejected (8)
- The D. Other (16 percent)
- Requirements for equipment or personnel are
unrealistic. (10.1) - It appears that other responsibilities would
prevent devotion of sufficient time and attention
to this research. (3.0) - The institutional setting is unfavorable. (2.3)
- Research grants to the investigator, now in
force, are adequate in scope and amount to cover
the proposed research. (1.5)
95Web Sites with Proposal Guides
- AAFRC Trust for Philanthropy http//www.aafrc.org
- Council on Foundations http//cof.org
- Foundation Center Online Proposal Writing Short
Course http//www.fdncenter.org/onlib/prop.html - The Corporation for Public Broadcasting (CPB).
Basic Elements of Grant Writing.
http//www.cpb.org/grants - The Frontiers in Bioscience (FBS). Tips for
Writing Grant Proposals. http//www.bioscience.or
g/current/grant.html
96Web Sites with Proposal Guides
- The National Science Foundation. A Guide to
Proposal Writing. http//www.nsf.gov/pubs/1998/ns
f9891/nsf9891.html - The Social Science Research Council. Art of
Writing Proposals. http//www.ssrc.org/artprop.ht
ml - James Madison University. Overview of the Grant
Writing Process. http//www.jmu.edu/sponsprog/tip
s2.html - Funding and Proposal Writing for Social Science
Faculty Research.http//www.unc.edu/depts/irss/wr
iting.html - University of Idaho Grant Directory
http//radon.chem.uidaho.edu/pmits/grants - University of Michigan Proposal Writer's
Guidehttp//www.research.umich.edu/research/propo
sals/proposal_dev/pwg/pwgpage.html
97GuidebooksThere are many. A few include
- Burns, M. (1993). Proposal writer's guide.
Hartford, CN Development and Technical
Assistance Center. - Hall, M. (1988). Getting funded A complete guide
to proposal writing. Portland, OR Continuing
Education Publications. Portland State
University. - Geever, J. (1997). The Foundation Center's guide
to proposal writing. NY Foundation Center. - Kritiz, N. (1980). Program planning and proposal
writing. San Francisco, CA
98Sample Letter to Private Foundations (1)
- A good letter, might begin something like the
following "Because of the interest the
__________ Foundation has shown in __________, I
am writing to solicit its support for a project
that will __________." This should be followed by
a sentence describing the program, the
institution, and another one or two concerning
the need for and uniqueness of the project.
99Sample Letter to Private Foundations (2)
- The body of the letter should consist of three or
four paragraphs giving the context or background
of the project, its scope and methodology, the
time required for its completion, the
institutional commitments, and any special
capabilities that will ensure the project's
success. A separate paragraph might be given to
some of the major categories of the proposed
budget, including a rounded total direct cost
estimate, and mention of any matching fund or
cost-sharing arrangements, either in dollars or
in-kind contributions.
100Sample Letter to Private Foundations (3)
- The last paragraph could be patterned along these
lines "If the __________ Foundation is
interested in learning more about this program, I
will be happy to travel to __________ to discuss
it in detail, or to submit a full proposal
outlining my plans. My phone number in __________
is (___) _______ at work, and (___) _______ at
home. I look forward to hearing from you soon."