|
|
 Proposal Development & Timing
General Information
A proposal starts with the creative idea of the Principal Investigator. The idea comes from knowing one’s field, knowing what has already been done and what is needed to resolve an important issue or answer a key question. What is required is a clear expression of that need and the presentation of a novel approach to address it. A winning proposal is one that has put forth a new idea to be explored in a convincing way.
After the proposal is written, it is a good idea to have it reviewed internally for content and clarity by a person knowledgeable in the field. If given time, OSR can review the proposal to assure adherence to the sponsor’s guidelines and grading criteria, as well as sponsor, government and University compliance issues.
Timing
We recommend starting proposal preparation one month before the sponsor’s deadline date. We suggest that, regardless of when a proposal is due, the summer months would be a good time to prepare proposals.
Unsolicited proposals can be submitted at any time, but it is best to contact the program manager to discuss how fund availability evolves during the year. We still recommend that you give yourself a one-month lead.
The Office of Sponsored Research should be consulted as early in the proposal preparation process as possible. If needed, we will help in the development of a preliminary budget, and work with you and Grants Accounting and Administration in the preparation of the final budget. No proposal may be submitted without a budget prepared by Grants Accounting and Administration.
We require that completed proposals be received at least five working days before the sponsor's deadline. We are happy to review and provide feedback on project narratives, as time allows, up to seven days prior to the deadline. We will shepherd the proposal around the University and obtain appropriate signatures, as needed, including obtaining the official approval for the University by the Executive Vice President and COO. The Office of Sponsored Research will handle submission of the proposal, either by regular mail, when appropriate, or by arranging for final electronic signature.
Authorization
Before writing a proposal, the investigator should contact his/her dean, director or department Chair to enlist approval and support for the project. The OSR Notice of Intent form should be used for this process, as it covers questions concerning release time, possible space and facilities needs, preliminary budget and proposal preparation assistance, which should be resolved at this early stage.
Sponsor Identification
OSR will assist you in finding sponsors, based on information you provide on your research interests and profile. However, there are several web based search facilities to help you with this.
We strongly recommend that you use your professional status to engage prospective program managers in informal discussions about your proposed research, either by telephone, email or face-to-face encounters at their offices or at professional society meetings. It is also useful to send short “white papers” to program managers describing your research ideas as they pertain to current thrusts at their agencies. Developing personal relationships with colleagues at funding agencies is an effective way to gain their confidence. Volunteering to serve as a reviewer from your desk at Chapman or as a temporary program manager at the agency can also help with future interactions.
Informal preliminary proposals and white papers need not go through the formal approval process. However, if the potential sponsor is a private or corporate foundation even an initial approach must be cleared with the Development Office. The purpose of this clearance is to ensure that foundations do not receive more than one Chapman University proposal for consideration at one time. Also, if more than one proposal is being considered for submission to a foundation, it is necessary for OSR and the Development Office to gage which proposal will most benefit the University.
Some competitions require the submission of a formal preliminary proposal or concept paper. Such preliminary proposals require the same processing through the Office of Sponsored Research as full proposals.
Guidelines
Since the written proposal is a formal request for the financial support of a project, most sponsors have established general guidelines for the preparation and submission of proposals to ensure a level of standardization for the numerous proposals they receive. These general guidelines may be supplemented by special guidelines that pertain to specific programs. Except in very rare cases, most of these materials are available on the World Wide Web.
The importance of sponsor guidelines cannot be stressed enough. They often discuss the intent of the competition, itemize the evaluation criteria, and provide details on the sponsor's funding priorities. In addition, they provide a clear description of what should be included in the proposal and give specifications on the technical requirements for proposals. A careful scrutiny of the guidelines before and during proposal preparation is absolutely essential to success.
Back to top
Writing the Proposal
There are numerous helpful guides to proposal writing that can be found on the Internet (see Useful Websites). What follows are some general format to proposal preparation to be considered when the sponsor’s guidelines do not provide one.
- Cover Page (typically made available by sponsor)
o PI name(s), Institution, School, Department, Address, telephone, fax, email address
o Chapman University Employer Identification Number: 95-1643992
o Project title
o Total amount requested
o Start and end date
o Signature of PI(s)
o Name of institutional authorizing official, address, telephone number, e-mail address and fax number
o Signature of Authorizing Official (to be obtained by The Office of Sponsored Research)
o Human Subject Assurance
o Animal Welfare Assurance
- Abstract or Executive Summary
Most sponsors require a one-page (or less) narrative summary of the proposed project. This statement can be viewed as a mini-proposal, containing all the elements of the full proposal, and is often best written after the proposal is finished. It is essential that the summary be jargon-free and understandable to the lay reader. I should include a statement of the problem (need); your solution, its impact and benefits; your funding requirements; your plan for sustainability; and, finally, words about the University, your School and Department with relevance to the proposed project. Of course, consult program guidelines for specific information on format, length, and required content.
- Table of Contents
Some sponsors provide detailed guidelines for the table of contents. As with all sponsor guidelines, they should be carefully followed. In the absence of sponsor guidelines, pages should be numbered consecutively and the table of contents should identify the major sections of the proposal.
- Proposal Narrative
Follow the sponsor’s guidelines. The proposal should contain the elements:
o Statement of Need
Contain focused, relevant, accurate data indicating need
Describe your preliminary work showing progress relative to other work in the field
Describe your and Chapman’s special capabilities
Indicate why this need or problem is best addressed at Chapman
Uniqueness of solution
• A new and better idea
• Be positive about others’ work
o Project Description
Goals and Objectives
• Goals are general
• Objectives are specific
S.M.A.R.T. Objectives
• S pecific
• M easurable
• A ttainable
• R easonable
• T imely
o Methods (tied to Objectives)
1:1 correspondence with Objectives
How you will address Objectives
• Explain, don’t declare
• When: Timetable
• Why: Justify your approach
o Staffing
Number of people involved
Qualifications
Internal collaborators and external consultants
• Even if off-budget
• Include confirming/support letters
Effort levels
• Principal Investigator
• Collaborative Investigators
o Evaluation Plan
Plan as part of project
Directly related to objectives
Follow sponsors wishes
• Kind of plan
• External evaluator
Two kinds of Evaluation Plan
• Measure product
• Analyze process
o Sustainability
Increasingly important to sponsors
Program not funded forever
Options
• Clearly define a finite project
• Expand services of the Institution (self-sustaining)
• Attract future funds
o Closure
Describe University
• Information from Chapman University website/brochures
• Relevant facilities
• Leveraging
Conclusion
• Restate importance and impact of proposed research
• Discuss future of project
Back to top
Budget Basics
See Budget Details page for more details on budget components
- Be honest – don’t underbid or pad
Know your field – know what work costs
Knowledgeable reviewer will know
- Provide detailed budget
Sponsor may provide forms
Grants Accountant must be consulted for official budget
Direct costs
Indirect costs
- Direct costs (consult with grants accountant and HR)
Staff effort and fringe benefits
Materials, services, supplies, travel
Graduate Research Assistants
Undergraduate Student Assistants
Publication and printing costs
Phone, fax, mail, etc.
Subcontracts
- Indirect Costs (Facilities and Administrative, i.e., F&A costs)
Chapman University negotiated and federally approved rate
Sometimes limited by sponsor
- Additional Costs
Consultants on project
External evaluator
- Matching funds
Some sponsors allow waived approved F&A costs as matching
Other grants
Internal funds
- Total Cost = Request + Match
Back to top
Additional Information
The following components may or may not be required by a given sponsor:
- Biographical Sketch
This section should be limited to information about the professional background, affiliations, and publications of the key personnel. Consult program guidelines for page limitations and specific requirements.
- Facilities
Identify the facilities, major equipment, and other resources to be used in the conduct of this project, their capacities, proximity, and extent of availability to the project.
- Program Income
With few exceptions, income derived from services or goods that form part of a project supported in whole or in part by a sponsor must be reported to the sponsor. Any Principal Investigator expecting to recover income through a sponsored project should discuss this with the Office of Sponsored Research.
- Other Support
Many sponsors require that the Principal Investigator and key personnel listed in the proposal disclose their current and/or pending support. While the required format may vary, the response should include project title, name of Principal Investigator, sponsor, award number assigned by the sponsor, project start and end dates, award amount, and percentage of effort committed. The names of any additional sponsors to whom the current proposal may be submitted should also be included.
- Certifications
Where certifications concerning such issues as Civil Rights, Drug-Free Workplace, Lobbying, etc. are required by the sponsor, the Office of Sponsored Research will prepare these forms for signing by the University official authorized to sign the proposal for submission (the Executive Vice President and Chief Operating Officer).
- Letters of support, agreement
These may include Collaborator/Consortial agreement letters; material from subcontractors (budget and justification, current and pending support, letter of institutional approval). As always, consult program guidelines to determine what is allowable and/or necessary.
- Appendices
Follow the sponsor’s guidelines for what may be included in the Appendix. Certain agencies do not allow the inclusion of appendix material without the specific approval of a program officer. Program guidelines may also specify format and length. In no circumstances may an appendix be used to circumvent the page limitations of other sections in the proposal.
- Checklist
Some agencies provide a checklist for your use and/or inclusion
Back to top
LETTER OF INTENT
Many sponsors require a short letter of intent as a precursor to proposal submission. This can work to the proposer's advantage as a decision can be made as to the likelihood of funding with much less effort than required by the preparation of a full proposal. It also helps the sponsor to gage the interest in a particular area of research.
- Follow Sponsor’s Instructions, or
- In the absence of Instructions (3 pages max + required attachments)
o Name and address of organization
o Contact person and title (phone, fax, email)
o Summary of organization’s mission
o Size of current operating budget
o Description of proposed project (consistent with sponsor guidelines)
- Inclusions
o Summary of goals, objectives, measurable outcomes (tied to guidelines)
o List of key individuals
o Brief description of partners
o Time frame for project
o Required funding – how used
o Prior funding from this sponsor
Back to top
|
