IST 590 Guest Lecture

1. IST 590 Guest Lecture David L. Hall Concepts of Proposal Development January 31, 2005

2. Themes • Successful grantsmanship is fundamental to your success regardless of whether you end up in academia, industry or the government • The ability to write winning proposals supports your research via; • Equipment & travel • Graduate student assistantships • Summer salary

3. Some fundamental questions • Why do you want or need research funds? • Equipment • Students • Travel • Summer salary • How much do you need? • What would you do with $ if you got it? • Are grants necessary for tenure? • Why are some people better at grant pursuit than others?

4. The proposal game “There goes Williams again … trying to win support for his Little Bang Theory.”

5. How to Win the Proposal Game • Step 0: Figure out why and how much funding you need • Step 1: Find a sponsor with $ • Step 2: Develop and refine your idea (by interacting with the sponsor) • Step 3: Write an understandable proposal that is easy to read and answers the mail • Step 4: Create a defensible budget • Step 5: Submit the proposal and follow up Winning the proposal game requires persistence, attention to detail, communication with the sponsor, and clear writing.

6. Outline • Identifying Opportunities • Developing a Proposal • Creating a Defensible Budget • Submitting the Proposal • Summary

7. Identifying opportunities • Foundations • NSF • DOE • DOD • Industry • NIH • Commonwealth of PA • Ben Franklin • Etc Extensive resources are available at your fingertips to identify and evaluate funding opportunities

8. OSP: Grants workbench The Office of Sponsored Programs (OSP) web site provides excellent resources for finding opportunities and obtaining information about sponsors, Penn State regulations, and resources: see http://grants.psu.edu

9. OSP: Grants workbench (continued) Key word searches for opportunities are available for private foundations, government grants, and companies

10. Web Site for IST-Related Funding Opportunities http://ist.psu.edu/Intranet/Funding.cfm

11. Example of Web-Site with Opportunity Details

12. Opportunity Identification Advice • Be systematic – search on a weekly basis • Look beyond “the old favorites” • Remember that sponsors don’t necessarily use the same language you do! • Contact Proposal Administrator ASAP • Check on submission exclusions/limitations • Evaluate Proposal Preparation Instructions & evaluation criteria • Assist in identification of collaborators • Establish passwords & user ID for electronic submissions • Alert the Contracts Office

13. Outline • Identification of Opportunities • Developing a Proposal • Creating a Budget • Submitting the Proposal • Summary In order to understand how to write a winning proposal, you first need to understand the dirty secrets of proposal evaluation!

14. How Proposals are Really Evaluated! • Proposal evaluators are: • Not necessarily experts in your field • Are not necessarily familiar with your jargon, and • Not experienced in proposal evaluation In order to win, you must write very clear proposals that educate as well as persuade evaluators. Picture courtesy of Dr. Tracy Mullen

15. Proposal evaluators are: • Overworked • Not paid for proposal evaluation • Wait until the last minute Because proposal evaluators have too many proposals to evaluate in too little time: they look for ways to disqualify proposals and highly value proposals that are very easy to read! Courtesy of Maurine Gallagher

16. Developing the Proposal • Typical Resources include: • Cost planning • Editorial assistance • RFP evaluation • Proof-reading • Assistance with the submission “system” A systematic approach, early start, and use of team resources will improve your probability of award and reduce your stress

17. My proposed concept is very simple, see . . . Writing an Understandable Proposal • Your proposal will be more understandable if you obtain assistance in reviewing it prior to submission to ensure: • Readability • Compliance with the PPI • Technical Credibility Remember that proposal writing is fundamentally different than academic writing: a proposal is a sales document designed to get you funding

18. Annotated Outline • Sections • RFP requirements • Titles • Themes • Pages • Responsible individuals Request for proposal Statement of Work • Compliance Matrix • Evaluation criteria • Proposal sections • Titles • Themes • Page numbers • Responsible individuals Evaluation Criteria • Story Board • Concepts • Diagrams • Figures • Tables • Bulleted items Proposal Planning Approach Winning Proposal

19. Require- ments Page Limits Themes/ Instructions Proposal Compliance Matrix PPI Section Title Customer Requirements Proposal Preparation Guidelines • Cost Instructions: • - WBS • Task 1 • Task 2 • Task 3 • - Cost Rationale Developing a Proposal Outline Link the proposal preparation instructions to the evaluation criteria to your proposal outline

20. An Annotated Proposal Outline An effective proposal outline ensures compliance with the PPI, links proposal sections to evaluation criteria, and provides specific writing guidelines

21. A Winning PROPOSAL Storyboard Development/Review demo RFP Requirements Evaluation Criteria Instructions Statement of Work Attachments Thesis Proof Argument Benefit Concepts of modular proposal system STRATEGY OUTLINE THEMES COMPLIANCE MATRIX

22. Figure 1-1: This university research . . . Use of effective illustrations enhances proposal

23. Indiscriminate use of illustrations

24. How to make proposals easier to read. . • Break up pages of solid text -- let in some light. • Provide guideposts for the readers -- let them know where they are and where they are going. • Get additional mileage from headings and captions. • Plan where and how you will present illustrations. • Highlight the important things. • Use white space to your advantage. • List things for visibility and emphasis. • Use ragged margins -- sometimes neatness does not count. • Try using two or three-columned pages. • Select the font style that is best for your hype.

25. Mobile Communications: Equine Enterprises, Inc. (EET) is pleased to submit a proposal to the United States Department of the Interior to provide trans-American mobile communications. EEI has dealt with the U.S. Department of the Interior for over thirty years. We have previously provided support services in the areas of construction of frontier forts, supply uniforms to the U.S. Army, level of effort manpower for transportation of wagon trains across America. We are a trusted contractor with an established history of contract performance. In over thirty years, we have experienced only a minimum amount of cost overruns, kickbacks, and contract defaults. Our lead program manager is a direct descendant of Christopher Columbus. EEI’s approach to trans-America mobile communications involves the selection of a network of men and horses stationed across America. The proposed approach would entail using a relay approach to transport messages and mail from the east coast of America to the west coast, and vice versa. We estimate that the trans-American trip would take approximately ten days. The selection of this approach was based on current availability of horses as the primary transportation mechanism in the wilderness area. Potential problems with our approach include attacks by wild Indians, lack of supplies, and horses becoming lame. EEI’s approach provides the best solution and is the proposal of choice for the Mobil Communications procurement. Sample textual proposal: A fanciful example • How many proposals use the themes? • I am the great professor X • I’m a member of the imposing laboratory Y • University Z is a world class university • We know what we’re doing because we can cite many arcane references

26. Mobile Communications: Equine Enterprises, Inc. (EEI) is pleased to submit a proposal to the United States Department of the Interior to provide trans-America communications. EEI proposes to use a network of men and mobile biological transportation entities as illustrated in Figure 10.1. The network will allow riders to cross an 1800 mile distance (from St. Joseph, MO to Sacramento, CA) in approximately ten days. We have selected 157 relay stations spaced 25 miles apart. We have identified 470 riders, consisting of young, skinny wiry fellows, 16 to 18 years of age. Our lead riders include “Buffalo Bill” Cody and “Pony Bob” Haslam. Initial test results indicate that the selected Appaloosa horses have the requisite stamina and speed for their 25-mile runs. , , Figure 10.1: Horse. Sample graphics-enhanced proposal

27. Mobile Communications: • Equine Enterprises, Inc. (EEI) proposes a trans-America pony express relay system for the United States Department of the Interior. Features of our pony express system include: • Appaloosa horses selected for strength, speed, stamina (Figure 10.1) • average speed 10 mph • Existing staff • 470riders on retainer • 16-18 year olds • young, skinny, wiry fellows • Experienced lead riders including • William “Buffalo Bill” Cody • “Pony Bill” Haslam • Test runs indicate 1800 mile route requires 10 days travel • Our Management plan contains detailed schedules, personnel, and logistics. Spotted cost provides camouflage from Indians. Olympia High Saddle provides 25 pounds of mail storage. Average speeds of 10 miles for 25-mile distance. Figure 10.1: EEI selected specially bred Appaloosa horses for the pony express relay because of their proven stamina, speed and agility. Sample storyboard proposal

28. Proposal evaluators want to know the benefits of your solution • Benefits describe: • Meaning to the user • Utility • Improvements in user abilities • Why the user should care about your solution • Features of your solution describe: • Characteristics • Attributes • Specifications • Functions • Components • Methods • Approach

29. Sample story board

30. Sample story board

31. Professionals use storyboards

32. Examples of storyboards

33. Go easy on the graphics – pictures are for kids Believe the sponsor when it says that it doesn’t want nice layouts\ and pretty documents Don’t spend too much time discussing how’s, what’s and why’s Use standard boiler plate material as much as possible Make the bastards suffer – give a blow by blow description of everything you did – force the reader to read every word Don’t revise your cost package – first estimate is undoubtedly the best Don’t prepare detailed outlines for other proposal writers Organize the proposal the way you think it should be organized, not the way the sponsor says it should be organized Accuracy and consistency don’t count for much – don’t sweat the details. J. K. Clauser Keys to Creating Winning Proposals, 1992 10 Ways to write a losing proposal

34. Outline • Identification of Opportunities • Proposal Development • Creating a Budget • Submitting the Proposal • Summary

35. Elements of a Effective Budget • Work breakdown structure (WBS) • Link between project tasks, deliverables, and required effort • Basis of estimate (cost rationale for each budget element) • Match between sponsor requirements and the bid level of effort A well planned and documented budget assists in negotiations and shows the sponsor that you’ve thought about the project budget and plan

36. Budget Advice • Start early! • Use department administrator to assist in budget development and documentation • Link costs to tasks, activities, and deliverables • Establish a basis of estimate to support negotiation • Identify any cost issues (especially cost matching!)

37. Budget information • Budget Sheet contains • Salaries • Grad Assistantships • Travel • Materials • Special charges • Budget sheet includes direct and loaded amounts

38. Budget Notes • Budget notes explain: • PSU overhead rate • Employee fringe rates • Graduate tuition & fees • Travel justification • Special equipment & other charges • Special considerations

39. Outline • Identification of Opportunities • Developing a Proposal • Creating a Budget • Submitting the Proposal • Summary

40. Principal Investigator Associate Dean’s Office IST Financial Officer Office of Sponsored Programs Sponsor Agency Proposal Submission Process • Coordinates with financial officer for • special requirements • Coordinates with graduate research office for limited submissions • Obtains PPI and instructions • Establishes accounts for on-line submissions • Reviews budget & staffing • Coordinates cross-college submissions • Obtains PI and Dean’s signatures • Coordinates submission through OSP • Reviews final • budget • Coordinates with • Dean on special • budget • requests • Reviews proposal • Obtains university authorized signatures • Evaluates legal and IP issues • Performs final proposal submission • Conducts negotiations • Identifies possible opportunities • Alerts Associate Dean’s Office • Develops budget and rationale • Writes proposal following sponsor guidelines • Reviews proposal • Accepts/rejects • Requests additional information • Conducts negotiations Award

41. Grants involving human subjects Grants involving human subjects require development and approval of a research plan for human subjects: see http://www.research.psu.edu/orp/

42. Submission Advice • Provide early identification of intent to submit a proposal • Allow time for reviews & re-work • Get it in writing! (e.g., cross-College agreements) • Do NOT Wait until the last Minute! Waiting until the last minute to submit a proposal virtually guarantees a poorly written (and hence losing) proposal!

43. Summary • Start early • Use organization resources • Pursue non-traditional sponsors • Be persistent • Use colleagues to assist your reviews • Keep your sponsor informed

44. Picture: Stuart MacFarlane, London, Daily News, October 1999. Obtaining Grants for Fun and Profit ! Despite rumors to the contrary, it really isn’t painful to submit (and win) grants!