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The Proposal Development Process Kristin Wetherbee, CAH Research Office September 26, 2012.

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Presentation on theme: "The Proposal Development Process Kristin Wetherbee, CAH Research Office September 26, 2012."— Presentation transcript:


2 The Proposal Development Process Kristin Wetherbee, CAH Research Office September 26, 2012

3 Today’s Agenda What Do Agencies Want and Where to Find It The Proposal Process in CAH What you should and shouldn’t do Life after submission Links and References Funding Pieces of the Proposal CAH Process Proposal Components Do’s & Don'ts Now What? Resources

4 What is the Purpose of a Proposal? 1) To help the funding agency meet their goals 2) To persuade committee of scholars that project shows: Innovation Rigorous methodology Substantive content 3) Get funding Perform research for P&T, publication Purchase equipment Enhance teaching and course design Summer salary, course release

5 What Do Funding Agencies Want? Answers to the following: What is research about? How will you do it? Can you do it? Is it worth doing? Is the cost reasonable and sufficient? Competitive proposals showing: High impact, transformative outcomes New and original ideas Succinct and focused project plan Sound practices Knowledge of subject area

6 Funding Sources Maximize your time with database search engines PIVOT (was COS): GrantForward (was IRIS): The Foundation Center: Contact Marisol Ortega-Perez in ORC If you need help with PIVOT or

7 CAH Proposal Process: A Brief Overview Discuss proposal with chair Email guidelines to CAH Research Prepare proposal Submit PTF in ARGIS for electronic approvals PI or CAH Research can enter Allow 1 week approval time per unit involved All approvals but ORC due 48 hours prior to deadline All final docs to CAH 1 week prior to due date ORC submits proposal to agency Navigating the UCF Proposal Submission Process Oct. 10 & 11, 2:00 – 3:00, Trailer 541

8 Sponsor Know their funding priorities and giving history Look for list of funded or sample grants on website Read agency’s annual report Call sponsor agency contact program officer Peers Contact successful applicants Involve co-PIs Don’t get caught with funding for a project no one is willing to implement Avoid barriers to submission: contact chair, CAH Research, ORC (budget, IRB, IP, subcontracts) Building Relationships

9 Proposal Components Abstract or Project Summary Narrative Introduction / Need Statement / Research Questions Organizational History and Capabilities Project Description Work plan and Timeline Budget and Budget Narrative Bibliography Other

10 Abstract / Project Summary One page or less Write for a general audience Discuss significance, principal activities, and expected results NEH, NSF, NEA limited to one-page NSF requires statement of intellectual merit and broader impacts

11 Intro/Need Statement/Research Question This is your sales pitch Make it compelling Use persuasive language Set the stage State the need or problem your research addresses Express how you identified this need and its importance State the Theme List research question(s) and/or objectives Bulleted list Action-oriented Related to sponsor’s goals Create a vision Tell who will benefit from the project Show how it will advance the field Envision the world with your solution in place

12 Organizational History and Capabilities Research Foundation mission (if 501(c)3 submission required) UCF mission CAH and/or departmental mission Organizational history and mission Technical infrastructure Scientific facilities Staff Other resources Institutional strengths to conduct project UCF Department Yourself Prior experience in related areas

13 Project Description Topical Area of theory Related to methodology Literature Review Subjects Type of design Data collection techniques Methodology How will you analyze data? What effects will be analyzed? How does it relate to objectives or hypothesis? Data Analysis/Evaluation How will the project sustain itself after funding ends? Sustainability

14 Work Plan and Timeline Use a chart or table for visual appeal Break project into stages or phases Show when results will be attained Be detailed YearMonthMonthTasks 11-31-3Generate concept document 14Milestone 1 – Expert review, revise and approve concept document 14-64-6Generate detailed instructional, art and technical design documents 17Milestone 2 – Expert review, revise and approve detailed design documents 18-12Develop Alpha version of investigations and museum experiences 18-10Create, test and refine evaluation protocols and instruments for Alpha testing

15 Budget

16 What is a Budget? An estimated project financial plan listing: - anticipated expenses - earned income A budget may be: - a simple one-page statement of projected expenses - a detailed spreadsheet and a thorough narrative

17 Reasonable Allocable Consistent Allowable Federal cost principles OMB A-21 Agency guidelines and RFP Generally accepted accounting principles Follows UCF policy Charges must directly support project Distribution of charges must be realistically in proportion to the benefit of the project Will withstand public scrutiny Charge is necessary Charge is appropriate Must adhere to UCF policy Like charges are treated the same way Budget Rules

18 Personnel Equipment Travel Other Expenses Materials & Supplies Publication Participant Support Costs Consultants Subcontracts Tuition F&A Rate Cost Share Common Budget Categories

19 Personnel Academic year course buyout.22 FTE Summer salary 3% escalation annually Include tenure raises, TIPs, RIAs, SoTLs, etc. Salary Non-students Hourly undergrads and grads Graduate Research Assistants (GRAs) Dual compensation OPS Use ORC payroll fringe estimated percentages Fringe Benefits

20 Equipment Property definition for grants: Non-consumable items $1,000+ (software, furniture, computers, etc.) Useful life of more than one year Library books $250+ Other capital outlay (OCO) Justify need Agency may require quote Purchase early on

21 List each trip separately with dates, locations, # attendees Fly America Act required for federal grants and pass through Estimate all expenses, can use 8% escalation rate: Hotel Airfare Registration Parking Mileage Meals UCF rate for domestic travel Dept of State rates for foreign travel Travel

22 Other Expenses Non-employee participant/trainee costs Travel, registration, stipend Check for maximum allowable per person Participant Support For technical work, not admin needs Materials and Supplies Check for agency restrictions Publication and Dissemination Contracted GRA tuition:.5 FTE = Full;.25 FTE = Half Escalate 8% each year Tuition

23 Other Expenses IRS 20 question rule Sponsor limits on daily maximum Intellectual property issues Quote needed May need formal contract through ORC and Legal Consultants Project partner Typically performs programmatic or technical work off-site Statement of work, budget, and sponsored project office approval needed Intellectual property issues Formal contract needed to pass through agency reqs Subcontractors

24 F&A Cost Use UCF’s negotiated rate unless capped by agency AKA: Facilities & Administrative rate (F&A), Indirect Cost (IDC), Overhead Apply negotiated rate on modified total direct cost (MTDC) - Total direct costs minus: Subcontract costs in excess of the first $25,000 Equipment Participant support costs Student tuition Rental/maintenance of off-site activities

25 Cost Share / Match Commitment Is it required by agency? Rarely for NSF; ambiguous for NEH; often for state Must track in a separate account Must be an allowable project cost to use as match Types of cost share: Cash – external cash or UCF funding In-kind – donated time, services, materials, space Unrecovered overhead Requirements: Match documentation at submission Document in separate UCF project number or get in-kind letter of donation at closeout

26 Budget Narrative Make case for budget – items are reasonable, appropriate, and adequate Provide detail about items to be purchased Tell how costs were calculated Discuss how university policy impacts charges Consistent with budget and grant narrative

27 Bibliography Use format noted in guidelines or standard in field (APA, MLA, Chicago) Cite your sources in body Verify all citations are in bibliography iThenticate Required at submission 2 day grace period then proposal withdrawn Plagiarism screening website for faculty

28 Other Documents Resumes/CVs – adhere to page limits Current and Pending Support Letters of Support Work Samples




32 While waiting: Start writing for a new project Find additional opportunities for same project Declined? Review proposal It is clear, concise, compelling? Does it meet agency goals? Contact sponsor for feedback and resubmission Have a coworker review proposal Do preliminary research Be a reviewer Funded? Enjoy your moment then get to work Think about phase II I’ve Submitted, Now What?

33 Resources CAH Research Office Office of Research and Commercialization (ORC) University of Michigan’s Proposal Writer’s Guide, The Foundation Center's Guide to Proposal Writing, How to Fail in Grant Writing, Writing/125620/ References Carlson, M. (2002). Winning grants step by step. San Francisco, CA: John Wiley & Sons, Inc. Smith, J.A. (n.d.). Writing a research proposal. Retrieved February 15, 2011, from The Foundation Center. (2011). Proposal writing short course. Retrieved February 15, 2011, from

34 Questions? Thank you for attending Contact: CAH Research Office Dr. Rudy McDaniel Kristin Wetherbee Grace Nicholl

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