1. Ten Steps to “Winning” Proposals
What the Grant “Pros” Know and Do to Give their Proposals the Competitive Edge
©Judith Killen 2013

2. Presenter:
Judith Killen, PhD Proposal Development & Communication Services (m)

3. Sponsored By The Office of Sponsored Programs & Research Towson University

4. Topics Proposal Fundamentals
Where’s the grant money: Funding snapshot
Current grant environment
What is a grant proposal?
Six characteristics of all winning proposals
Why Proposals Fail
Ten Steps to Developing & Writing “Winning” Proposals

5. Workshop Goals
“I only hope that we don’t lose sight of one thing— that it was all started by a mouse.”
Walt Disney
Understand key principles of competitive grant proposal writing
Know where & how to look for funding, & how to match projects to funding sources
Identify 3 potential funders
Develop a draft proposal outline & initial proposal development plan
Understand how to access resources in proposal development & grants management available from the Towson OSP&R

6. 10 Steps: Overview Step 1: Do your homework
Step 2: Rigorously manage the proposal writing process
Step 3: Write the proposal for reviewers
Step 4: Structure (outline) your proposal as an “answer book.”
Step 5: Clearly align your project goal & objectives with RFA/RFP purpose, goal, results, deliverables
Step 6: Articulate results-oriented, measurable objectives
Step 7: Use objectives to Develop Plan of Work
Step 8: Align budget with work plan
Step 9: Write, package, and submit on time an impeccable proposal
Step 10: Implement an impeccable project & meet all obligations

7. US Federal Grant Budget & Expenditures
US Federal government funded 68% of all grants awarded in
Agency
FY 2014 Budget
FY 2013
FY 2012
DHHS
$80B
$31B NIH
$335.7B
$20.5B NIH
$344.4B
EDU
$71.2B
$41.2B
$44.0B
EPA
$4.6B
$3.8B
NSF
$7.6B
$6.2B
$6.3B
NEH
$154.5M
$113.7M
DoD
$67.5 [DRDTE]: $11.9B S&T
$1.5B
$4.4B
USAID
$47.8B joint AID & STATE
$7.8B
$8.9B
STATE
$1.6B
$1.4B
NASA
$17.7B
$762.2M
$864.2M

8. Fed Grant & Contract $$ in MD FY2013
$32.8 Billion
$7.4B in grants
$25.4B in contracts
Top 10 Grantors:
DHHS $4.8B
EDU $629.8M
USDA $454.1M
DoD $406.9M
DoL $278M
HUD $154.4
NSF $140M
NASA $102.2M
DHS $94.5M
EPA $83.2M

9. MD Top Ten (2013) MD Health & Mental Hyg. (2) MD Edu
IN GRANTS
IN CONTRACTS
MD Health & Mental Hyg. (2)
MD Edu
MD Human Resources
Henry Jackson Fdn. ($238M)
MD Labor (2)
University of Maryland ($102M)
Housing Authority-Baltimore City
Johns Hopkins University ($87.9M)
Lockheed Martin
SAIC
Johns Hopkins ($838.8 M)
Computer Sciences Corp
Northrup Grumman
BAE Systems
General Dynamics
ManTech International
IBM

10. Private Philanthropy In the US In Maryland
81,777 registered grant- making foundations (2011)
Total Giving was $49B in ($45.8B in 2010)
$583.4B in total assets (2009)
Top 50 Foundations gave 32% of total funding
1479 registered foundations (2011)
Total Assets: $13B
Total giving: in $735 million
MD organizations: $508M received in grants in 2011

11. Top Ten Foundation Givers to MD 2011
State
No. of Grants
Dollar Value
Bill & Melinda Gates Foundation WA 56
$144.7 million
Harry & Jeanette Weinberg Foundation MD
204
$28.6 million
Baltimore Community Fdn.
224
$15.3 million
Abell Foundation
170
$15.1 million
Howard G. Buffett Fdn. IL 5
$10.9 million
Open Society Institute NY 55
$10.6 million
Wal-Mart Foundation AR 15
$10.1 million
Bank of America Charitable Foundation NC
103
$9.9 million
Community Fdn. for the National Capital Region DC
219
Skip Viragh Fdn. NV 16
$9.6 million

12. Top 10 in Maryland – Giving
Foundation
~Giving Total (2010)
Annie E Casey Foundation (Baltimore)
$89.9M
Harry & Jeanette Weinberg Foundation (Owings Mill)
$86M
Ellison Medical Foundation (Bethesda)
$38.9M
Sherman Fairchild Foundation (Chevy Chase)
$31.4M
Baltimore Community Foundation
$21.1
J. Willard & Alice Marriot Foundation (Bethesda)
$12.3
Keith Campbell Foundation for the Environment (Annapolis)
$10M
Abell Foundation(Baltimore)
$9M
Laszlo N. Tauber Foundation (N. Bethesda)
$7.4M
France-Merrick Foundation (Baltimore)
$7M

13. Top Ten Grantees in MD – private philanthropy (2011)
Organization
Dollar Value
No. of Grants
Johns Hopkins University
$71.4 million
198
Foundation for the NIH
$42 million 11
University of MD-Baltimore
$40.3 million 21
Catholic Relief Services
$22 million 35
Enterprise Community Partners
$13.4 million 44
University of MD- College Park
$8.2 million
Achieving the Dream
$7.6 million 7
SNV USA
$7.5 million 1
Abt Associates
$7.1 million 2
Naval Medical Research Center

14. Grant Writing Environment-Key messages
No lack funding, but extreme competition for all funding
Two-Step Competition
E-Commerce/Business: Good & Bad
Shorter Proposals but No Less Info Required
Partnerships Required:
Multidisciplinary approaches to problem solving
Multidisciplinary teams; Stakeholder teams
Partnerships in funding: cost sharing/leveraging
STEM & Student Education/Involvement/Job Training
Politics: Internal & External
Results, Significance, Impact, Accountability & Ethics

15. Key messages Grant writing-highly specialized & professional
We can not be amateurs
Time consuming (2 years plus)
Not all excellent proposals will win, but all proposals must be “winning”
Method & Craft to grant writing: Not magic

16. What is a grant proposal?
Not academic, scientific or technical writing
First & foremost - Marketing Document
Request for investment
Proposals build your case

17. What Proposals “Sell” Low Risk & High Probability of Success
Your proposal’s key message: This is a “good investment” for the Funding Agency.

18. What Proposals “Sell”:
Understanding - of issue, problem, research important to potential sponsor
Innovative Solution - to the problem or Intriguing research on issues critical to the sponsor
Significance & Impact – of the problem and your solution
Experts - right people for right job
Expertise - track record
Institutional Capacity, Commitment & Integrity - We can, do, and have made good on our promises

19. What is a Proposal? Operational Plan
Should be an Answer Book to Application Guidelines
Legal & Binding Agreement
1st Example of the Quality of your Work
Your Future

20. A Winning Proposal Must be an Answer Book
No such thing as a generic proposal
Compliant, complete and fully responsive to each specific RFP, RFA or other application guidelines
Easy to read and evaluate
Skimable
No one wants to read proposals – no one is obligated to fund your work.

21. Proposal is also a Process
Marketing Process
Project Design Process
Partnership & Team Building Process
Can take up to 2 years
An excellent proposal document is NECESSARY but not always SUFFICIENT to win the award.
The proposal document submitted to funding agency:
Is only one point in the process
Should not be the first point in that process
Is not the last point
Not always the most important point of that process.

22. Proposal Development Process
Submit impeccable proposal on time
Initial idea
ID funding source & conduct fact finding
Develop & implement marketing strategy for each source
Conduct pilot research/work
Make bid/no bid decision
Design project including ID partners & preliminary budget
Communicate ideas with potential sponsor
Refine ideas
Write an impeccable proposal

23. Types of Proposals
Solicited Proposals (RFA, RFP, NOFA, PA, BAA, FOA, etc.)
Unsolicited Proposals
Letter Proposals (can also be called LOIs, Concept Notes/Papers, Pre-Proposals

24. Standard Proposal Parts
Program/Project Proposals
NSF/Research
Abstract
Summary/Executive Summary
Background/Needs Assessment
Goal & Objectives
Plan of Work
Staffing Plan & Key Personnel
Evaluation & Monitoring
Budget
Sustainability Plan
Partners
Organizational Experience, Capability & Resources
Project Summary
Project Description
References Cited
Biographical Sketches
Budget
Current & Pending Support
Facilities, Equipment & Other Resources
Special Information & Supplementary Documentation
Appendices

25. All Proposals Are Competitive
ONLY 3 reasons to prepare and submit a proposal:
To win
To place among the outstanding finalists
To gain attention and respect as a serious new competitor within an area or research topic

26. Six Characteristics of Winning Proposals
Responsive
Familiar
Accurate
Verifiable
Benefit-Oriented
Answer “Why Me?”

27. 10 Steps to “Winning” Proposals

28. 10 Steps: Overview Step One: Do your homework
Step Two: Rigorously manage the proposal writing process
Step Three: Write the proposal for reviewers
Step Four: Structure (outline) your proposal as an “answer book.”
Step Five Clearly align your project goal & objectives with RFA/RFP purpose, goal, results, deliverables
Step Six: Articulate results-oriented, measurable objectives
Step Seven: Use objectives to Develop Plan of Work
Step Eight: Align budget with work plan
Step Nine: Write, package, and submit on time an impeccable proposal
Step Ten: Implement an impeccable project & meet all obligations

29. Step 1: Do your Homework Identify Potential Funding Sources
Three Types of Homework
Simultaneous
Iterative
Interrelated
Identify Potential Funding Sources
Design Your Project
Develop/Implement a Marketing Plan

30. Identify Federal Funding: Key Resources
Grants.gov
Catalogue of Federal Domestic Assistance
Federal Agency Homepages
NSF
Education
NEH
HRSA
Fee-Based, Searchable Databases
Towson Office of Sponsored Programs & Research

31. Key Resources: Association of American Universities (AAU)
USAspending.gov
OMB – Office of Management & Budget

32. Identify Private Funding: Key Resources
The Foundation Center
do.html
Foundation Search
Federal Tax Form 990
MD funders
D=1

33. Design Your Project First step in Writing “winning” proposal
“Chance ONLY favors the prepared mind.”
Louis Pasteur
First step in
Writing “winning” proposal
Preparing a realistic budget
Identifying the right funding match

34. Develop/Implement a “Marketing Plan”
Overall strategy of needs to be done to “Win” the award— to write a compelling proposal. This includes:
Identify current strengths & weaknesses
Outline a set of activities to build on strengths & overcome weaknesses
Procure proposal budget and human resources to implement strategy

35. Step 2: Rigorously Manage the Proposal Writing Process
Internal Resources & Support?
Team Approach
Select Proposal Manager/Lead Editor
Lead Technical Expert/Project Director, SMEs to provide technical input, Costing & Operations Specialists, Clerical assistance important
Kick Off Meeting – Whole Team Attends. Weekly Status Meetings
Read/Review Application Guidelines together
Proposal Manager prepares Bid Package - team contract
Turn around 3 Review Drafts within time limits. Submit early.
Schedule for Peer or Red Team Review
Involve Costing /Operations Personnel in Development of Work plan from beginning

36. Step 3: Write for Reviewers
“If you can not, in the long run, tell everyone what you have been doing, your doing has been worthless.”
Erwin Schrödinger
Your Proposal:
Easy to read and skim by intelligent non-experts
Easy to evaluate – An Answer Book to the Application Guidelines
Complete and Compliant
Avoids Jargon and highly technical language
Creates a compelling and positive
Primary Purpose - MARKETING
Place project in context
Describe significance, impact, and value –from funder’s and beneficiary point of view
No one wants to read your proposal. No one is obligated to fund your project.

37. Who are the Reviewers?
The Ideal
THE REAL
Share our interest & enthusiasm about our projects
Are experts in subject area of our project
Have time to read our proposals in detail
Will be fair & impartial in judging our proposal
Overworked, overly committed, tired & underpaid
Skeptical & highly critical
Risk adverse
Look for easy ways to review proposals as quickly & as best they can
Do not want to read proposals—and have many proposals to read

38. Three Levels of Review:
In FY 2011, the NIH received 49,592 RPG applications.
It funded 18% of applications reviewed.
15%: For new investigators or new applications
Level 1: Gateway and/or Clerical Review
Level 2: Program/Technical
Level 3: Decision/Budget

39. Step 4: Structure (Outline) the Proposal as an “Answer Book”
In FY 2011, the NSF received 51,522 applications and made 11,186 awards for a funding rate of 22%.
Ensures your proposal is complete, compliant and fully responsive to every requirement in the RFP or RFA
Recognizes that there is no such thing as a generic proposal outline
Ensures your proposal is quick and easy to review and evaluate
Ensures there is a heading or sub-heading for every requirement/evaluation criterion
Uses evaluation points to determine section lengths

40. Outlining Technique – Answer Book
Follow required format-headings & numbering system EXACTLY
Check evaluation criteria for additional headings & subheadings. Place in main outline where you determine logical
Other requirements? Create heading/subheadings
Use point weight of evaluation criteria to determine page limits of each section
If no required format: Use Evaluation Criteria to structure proposal

41. Step 5: Clearly Align Project Goal & Objectives with RFA/RFP Purpose, Goal, Results, & Deliverables
From HRSA Guidance
MEDMATCH Project
“The purpose of the Small Health Care Provider Quality Improvement Grant (Rural Quality) Program is to provide support to rural primary care providers for implementation of quality improvement activities. Quality health care is the provision of appropriate services to individuals and populations that are consistent with current professional knowledge, in a technically competent manner, with good communication, shared decision-making and cultural sensitivity. The ultimate goal of the program is to promote the development of an evidence-based culture and delivery of coordinated care in the primary care setting. Additional objectives of the program include: improved health outcomes for patients; enhanced chronic disease management; and better engagement of patients and their caregivers.
Our Medication Match Program (MedMatch) enables two critical access hospitals in rural, medically underserved areas in eastern North Carolina…to implement an evidence- based medication reconciliation model in their hospitals, and to partner with primary care physician practices and other health providers to ensure its success. The proposed model has been demonstrated to improve care quality and outcomes and to reduce unnecessary care costs. MedMatch’s goal is to improve medication management and prevent readmissions and adverse medication events.

42. Step 6: Articulate Results-Oriented, Measurable Objectives
Most common mistakes in Project Design
Goal is confused with objectives or methods
Objectives are confused with activities
Focus only on methods
Failure to provide theoretical framework for hypothesis
Failure to define & justify technical approach
Goal – Project’s ultimate AIM
Conceptual
Broad-based
Not subject to measurement

43. Objectives:
The steps that MUST occur to reach the goal
Specify a result (a change) NOT an activity
Each objective describes only 1 result per objective
Are operational, measurable, verifiable
State what will result, when— but not how or why
SMARRRT: Specific, Measureable, Achievable, Results-Oriented, Relevant, Realistic, Time-bound
Most common mistakes in Objective development:
Focus on activities or methods instead of results
Unclear how results will be measured
Results seem unachievable in time allotted
Rationale is missing or unclear

44. These are not Objectives
DANIDA GOAL: Promote High-Value, Environmentally Sustainable Livelihood Options for Small Farmers in Western Uganda
To train farmers, school children and change agents on agroforestry emphasizing on soil fertility improvement
To form farmers’ groups and networking as method of enhancing technology transfer in the community
To facilitate exchanges with government agents to support ongoing development

46. Goal & Objectives: Examples
The goal of the proposed program is to provide high-quality and comprehensive HIV/AIDS prevention, care and mitigation in rural Zimbabwe.
The objectives are:
Objective 1: Full-Service, fully operational VCT Centre (the “Reveneko”) is established within each target area within six months of identification of the target area
Objective 2: High-quality, full-service system of home-based care is established within and operated by the church/community surrounding each VCT Centre within six months of the start date of each Centre
Objective 3: High-quality, full-service system of care and support for orphans and vulnerable children is established and operating within each community surrounding the VCT Centre within six months of start date of the centre

47. Goal & Objectives: Examples
MedMatch’s goal is to improve medication management and prevent readmissions and adverse medication events. Specific project objectives are: 1. Hospital performance on HCAHPS medication communication dimension reaches the 85% top-box by end of year 2 2. Adverse drug events related to medication reconciliation are reduced by 50% each year 3. Medication reconciliation related event reports are reduced by 50% each year 4, Readmissions due to adverse drug events are reduced by 25% in each year

48. CMS HCIA Project
Goals and Aims: Our project will improve the healthcare and health of patients diagnosed with one or more of three chronic neurological diseases: AD, MS, and PD while reducing total care costs.
Its aims are:
(1) 3,900 AD/MS/PD patients have improved health within six months of cooperative agreement award as measured by PROMIS score +90%
(2) 3,900 AD/MS/PD patients experience improved care delivery within six months of cooperative agreement award as measured by CG-CAHPS and CAHPS-PCMH scores +90
(3) 10% savings on total cost of care is achieved by month six as measured by 25% reduction in admission rate and 24% reduction in ED visits.
By the end of Year One, our project will provide services to an estimated patients, and over three years, targets a patient population of 11,400 (Table 1). By the end of Year Three, we will deliver a fully developed payment model that significantly reduces total costs of care for Medicare, Medicaid, and other payers.

49. Objectives Plan of Work Management & Staffing (personnel) Plans
Operationalize Objectives with
Measure Objectives
Plan of Work
Management & Staffing (personnel) Plans
Partnership Plan
Sustainability Plan
Budget
Monitoring & Evaluation Plan

50. Step 7: Use Measurable Objectives to Develop Plan of Work
For each SMARRRT Objective answer [in some logical order] the following (also see Project Design Template):
What actions will you take to achieve the objective? (Tasks & Sub tasks)
How you will do each task and sub task? (methods)
What resources will be needed for each task & sub task? (Personnel, Materials)
Who will do each task & sub task? Personnel
How long will it take? (Timeline)
When will it be done, and how often? (Timeline)
Where will each task be done?
What are milestones along the way, checkpoints and decision points? (M&E)
What products will be developed per task, if any? When will these be developed?
How will you judge process, progress, and products? (M&E)
WHY? WHY? WHY? (Rationale & Justification)

51. Step 8: Develop a Complete, Compliant, Responsive, and Credible Budget
The budget is a proposal too
Must respond to & comply with funder requirements
Must be easy to read & understand
Must be correct—numbers must add up
Must be reasonable—within funder’s range for the project
Must be credible—proposed costs must align with proposed activities, outputs, and benefits
Must align with Work Plan
ROI?

52. Tips for preparing your budget proposal
Involve budget/costing specialists early in the project design phase
Crucial to identify project costs & develop project budget as you develop project technical approach and statement of work
Identify project’s full & real costs
EACH ACTIVITY—EACH ACTION—IS A COST
Identify possible internal resources for your project— cost sharing if required
Identify cost leveraging

53. Major Cost Categories of Costs & Line Items
Personnel (salaries & fringe Benefits)
Consultants
Services
Equipment
Supplies
Travel
Patient care
Other
Consortium costs
Subcontract costs
Trainee costs
Indirect cost

54. Budget Failures Too high Too low
Not compliant to Agency regulations or program requirements
Misaligned with statement of work
Incomplete, illogical, and badly written/presented Budget Narrative

55. Why Budgets Matter
COMPETENCE ”If we cant do the budget, can we do anything else?”
ASSURANCE “We will effectively use grant funds.” “The level of funding is reasonable, and we have sufficient resources to carry out the project and achieve objectives.”
VALIDATION Amount and rate of expenditure = scope and timing of activities
PROTECTION Calculating full cost protects your organization’s fiscal health and prevents painful surprises
RATINGS Proposal budget can be worth 10-20% or more of evaluation points

56. ROI
A significant opportunity exists to turn this trash into treasure at a minimal cost to initial investors. The process of converting waste into a marketable compost has been demonstrated worldwide. The current annual market for fertilizer in Afghanistan is $500 million US (500,000 Metric Tons x $50 per 50 KG) as estimated by the CNFA. After the initial start-up year, AWCE anticipates that it will generate 3600 tons of compost annually at an operating cost of $ per ton. Compost will be sold for $ per ton, producing a return of $ per ton.
XXX estimates that each day of operation will produce 10 tons of organic compost—resulting in 200 bags of 50 KG compost per day (each ton is estimated to produce 20 bags of 50KG organic fertilizer). XXX will sell each 50KG bag of compost for $ Conservative estimates of output indicate revenues of $3,000 per day; $90,000 per month, or $1 million annually.
USAID’s initial investment of XXXXX in equipment and training will garner a return on investment of nearly $3.00 per $1 invested over a one-year horizon.

57. Step 9: Write & Submit an Impeccable Proposal: Some Writing Tips
Project titles matter
Transmittal Letter/Cover Letter
Use front matter as reviewer’s guides
Project Summary
Executive Summary – Benefit Oriented
Must-have Graphics
Marketing Themes
Thematic Graphs

58. Step 10: Implement an Impeccable Project
“It matters if you just don't give up.”
Stephen Hawking
What to do after you submit your proposal: Win, Lose or Draw
Reporting
Partnership Building
Keeping the funder involved
Resources available from Towson University

59. Your Next Steps “Great ideas need landing gear as well as wings.”
C. D. Jackson

60. 20 reasons proposals fail