1_Preparing Effective Proposals

8/13/2019 1_Preparing Effective Proposals

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PREPARING RESEARCH PROPOSALSFOR EXTERNAL FUNDING

DR. TRINIDAD OSTERIA

YUCHENGCO CENTER

DE LA SALLE UNIVERSITY


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I. Know the requirements of the funding

agency.

1. Approaching Funding Agency

Individuals or research centers interested in external supportshould begin by familiarizing themselves with the fundingagencys approach and program priorities. It is stronglyrecommended that you contact the program officer of theagency early to ensure closeness of fit between your area ofinterest and the program priorities.

Alternatively, you may initiate contact by sending in a project

ideain a one-to three-page letter.


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2. Innovative Approach

Many funding agencies require a multidisciplinary, participatoryapproach in proposal development. This inclusive methodologyensures that research is grounded on the needs of local people.

Many features describe and distinguish the funding approach:

A focus on encouraging and supporting research in developing

countries; An insistence on building research capacity, defined in terms ofhuman and institutional resources;

The devolution of responsibility for management and

administration of research to institutions in developing countries;


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The intellectual flexibility and willingness to take risks andexperiment, if needed;

The inclusion of gender concerns in research programming andanalysis;

The tailoring of support to different countries to best match theirneeds, resources, and aspirations;

An emphasis on fostering collaborative partnership between andamong institutions in the region;

A concentration on establishing partnerships with other donors thatexploit comparative strengths;

A commitment to encourage connected communities or researchers,in funding agencysprogram initiative structure;


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An emphasis on assisting researchers to access and shareinformation themselves;

The promotion of evaluation as a planning, learning, andmanagement tool (logical framework approach);

An effort to ensure the impact of research by bringing it tothe attention of policy and decision makers at all levels;

Seeing through the utilization of research results byinvolvement in evidence based policymaking andprogramming.


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STANDARD CONTENT OF PRELIMINARY PROPOSALSThe following guidelines may require some adaptation in somecases, but the standard proposal should contain these elements:

Background (situationer) and literature review (previousstudies undertaken)

Problem and justification of the proposal: What is theproblem the researcher seeks to address, and why is it important?

What will be its contribution to the knowledge and development?How will the study build on existing knowledge?

Objectives: What are the objectives against which the projectsachievements will be evaluated? (General and Specific)


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Methodology: How will each of the objectives be addressed?What methodological approach be adopted? What are the

technical and substantive considerations in implementation?(Qualitative? Quantitative? Combination?)

Results and Dissemination: What are the expected outputsof the research, and how will these be disseminated? Whatpossible development impacts can reasonably be anticipated?


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Institution and personnel: Who will carry out the work andadminister grant funds, and what are their qualifications for

doing so?Timetable and budget: What resources and time arerequired to achieve the projectsobjectives?

Evaluation: How will the projects achievements be

evaluated?


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Types of projects and partnerships

Nowadays, funding agencies support fewer stand-aloneprojects from individual researchers than it once did. Theyincreasingly strive to achieve a critical mass of knowledge onparticular topics that concern the organization. This requiresa degree of focus and integration that is often obtained byorganizing larger research programs or networks.Increasingly, this is done in collaboration with other donors.

Many funding agencies do not generally support stand-alonerequest for travel, conference participation, or training.However, partial funding for conferences is occasionally

provided as part of their network building efforts.


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Where essential, funding agencies may provide funds to help

lay the groundwork for project initiatives. For example, someagencies may provide travel funds for researchers in differentlocations to meet and finalize their joint submission, incollaboration with an agency representative. This category offunds is only available for out-of-pocket costs, not for salaries

or fees.


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Evaluation of proposals or ideas

A proposal is evaluated according to a wide range of criteriathat assess a projects scientific and technical merit and itspotential impact on development problems. These criteria reflectboth the funding agencys overall objectives and the differentpriorities of its programs and regional offices.


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Development relevance: Is the proposal consistent withdevelopment goals that have been identified by policy makers orother development actors in the country or countries where the

project will take place? Are the research findings likely to beapplicable in developing countries or regions other than the one inwhich the research takes place (replicability)? Does the projecthave the potential to influence larger development agendas? Willthe implementation and success of the project promotesustainable and equitable development? Will the work help toempower vulnerable or disadvantaged groups?

Fit with funding agencys priorities: How well does theproject fit within its current programs? Are there important

synergies with other projects?


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Scientific and technical merit: Is the importance of theresearch problem convincingly demonstrated? Are the projectobjectives clear and easy to conceptualize in operational terms?

Do these flow convincingly from analysis of the problem? Is themethodology proposed appropriate and convincing for achievingprojectsobjectives? Are the budget and the timetable realistic?

Capacity-building: Will the project contribute to the

development of local research capacity? Will the recipientinstitution be strengthened as a result of the project? Does theproject promote developing countriescooperation?


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Gender considerations: Do the design and methodologyof the project take into account different gender roles,

perspectives, interests, and priorities? Is the projectspotential impact assessed from a recognition of genderinequalities and imbalances? Will data be broken down bysex? Do the projectscapacity-building features reflect genderconsiderations?


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Ethical considerations: Does the project raise any ethicalissues affecting those who will be involved in the project, where

there could be a negative impact on their health, right to privacy,financial circumstances, or any other matter of significance tothem? What measures are suggested to ensure that researchwill be conducted in a manner that minimizes such risks and thatinterviewees will give free, informed consent to their

participation?Human and institutional resources: Have the proponentsof the project succeeded in mobilizing the necessary collaborationand interest to ensure the success of the project and the mosteffective use of financial resources?


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II. WHO ARE YOU?

One of the best indicators of future performance is past performance.Show the funding agency past studies or projects that you havecompleted or are currently working on. Focus on past performances,

include project reports, publications, participation in conferences andtestimonials. Let your potential funders talk with past clients. Sharinga portfolio of your work is very professional, and it allows potentialsupport based on the good work you have done.

Once the funding agency is satisfied with your qualifications, theyneed to know what you are going to do and how you are going toaccomplish it. Your proposal needs to present methodologically thesteps of the project, explain specific ideas and any options toconvince funders that your institution can meet their needs better

than anyone elses.


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Qualifications

Here is where you blow your own horn. You may recountsimilar and successful experiences with other studies or

describe special skills or procedures adopted. You maysummarize your education or special certification. Infact, anything that supports or underscores yourqualification to undertake the project and bring it to asuccessful conclusion will help. In preparing this section,

relevance and brevity are the watchwords.


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III. PROJECT TITLE/COVER PAGE

Check to see if the agency you have in mind has any

specifications for the Title Page (often they have a requiredformat).

Usually the Title//Cover Page include names of key people inthe project.

If your proposal is built on collaborating with othergroups/organizations it is a good idea to include their nameson the Title/Cover Page.


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Your cover should look professional and neat. However,do not waste time using fancy report covers, expensive

binding, or other procedures that may send the wrongmessage to the potential funding agency. You are trying toimpress the potential funding agency with how you reallyneed funding, not the message that you do things ratherexpensively.

The title should be clear and unambiguous (do not make itcute).


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IV. PROJECT OVERVIEW

Think of the Project Overview as an Executive Summary (thebusy evaluation team probably only has enough time to read youroverview - not the entire proposal). Be specific and concise. Donot go into detail on aspects of your proposal that are furtherclarified at a later point in your proposal.

The Project Overview should painta pictureof your proposal inthe mind of the reader. It should establish the framework so that

the rest of the proposal has a frame of reference.

Use the Project Overview to show your knowledge of theorganization from which you are requesting funds. Key concernsof the funding organizations can be highlighted in relation to you

proposed project.


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Try to keep in mind that someone will be reviewing your proposal andyou would like to have this person be positive about what you have written.The Project Overview will probably form a strong impression in the mind of

the reviewer. Work on your Project Overview so that you can avoid givingthis person the opportunity to say things like:

* Not an original idea * Rationale is weak

* Writing is vague * Uncertain outcomes

* Does not have relevant experience * Problem is not important

* Proposal is unfocused * Project is too large to be

* Methodology is messed up manageable


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Generally, the Executive Summary should be limited to two 1.5

spaced pages. Focus on goals of the proposal, key parts of themethodology, major findings and implications. Remember thatfirst impressions are important, so make the abstractinformative, well-written and readable.


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V. BACKGROUNDINFORMATION/STATEMENT OF THE

PROBLEM

It may be easier to think of this section as a review ofRelevant Literature. Cite previous projects and studies that are

similar to what you are proposing. Show that funding agencythat you know what you are proposing because you are familiarwith what has preceded you. What are the major findings ofthe study? What are the flaws in the methodology? What arethe knowledge gaps? How will your study fill the knowledgegaps? What new issues and challenges emerged that yourstudy will address?


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Try to be careful in your use of language. It can be very helpfulto have a critic, outside of your area of focus/expertise, read your

proposal to ensure that the language is understandable andminimize the use of:

Jargon (conceptualize)Trendy or inwords (oozy, funky)

Abbreviations (i.e., n.d.)Colloquial expressions (as poor as a country mouse)Redundant phrases (repeat it once again for the secondtime)

Confusing language (not unwilling)


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Position your project in relation to other efforts and show how yourproposal:

a. Will extend the work that has been previously doneb. Will avoid the mistakes and/or errors that have been previously

made.c. Will serve to develop stronger collaboration between existing

initiatives

d. Is unique since it does not follow the same path as previouslyfollowed.

e. Contribute significantly to new knowledge and development.

Use the statement of the problem to show that your proposedproject is definitely needed and should be funded.


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VI. GOALS AND OBJECTIVES

Differentiate between your general and specific objectives.

The general objective is the large statement of what you hopeto accomplish but usually is not quite measurable. It creates thesetting of what you are proposing.

Specific objectives are operational, tell specific things you willbe accomplishing in your project, and are measurable.

Your objectives will form the basis for the activities of yourproject and serve as the basis for its evaluation.


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Ensure that there is considerable overlap between the generaland specific objectives in your proposal. If there is no strong

overlap of both, then research has no value. Present measurable objectives for your project. If you aredealing with thingsit is easier for them to be measured than ifyou are dealing with abstract ideas. Your proposal is easier for aprospective funding organization to understand (and theoutcomes are much clearer) if you describe your objectives inmeasurable ways.


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VII. METHODOLOGY

Describe the project setting

Describe sampling and means for selection of respondents

Identify risks and assumptions

There should be a very clear link between the methods youdescribe in this section and the objectives you have set. Beexplicit and state exactly how the methods you have chosenwill fulfill your projects objectives to deal with theneeds/problems on which your proposal is focused.


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The prospective funding agency will be looking at your methodsto see what it is that you are proposing that will be new, unique, orinnovative both in substance and techniques. Make sure you clearly

present the innovative aspects of your project.

Are the specific methods you are proposing important to yourdefine clientele?

Do not forget to include the collaborative relationships your

project will be developing with other groups. A good way to showcollaboration is in the methodology that you will be using. How willit encourage groups to replicate your approach in dealing with theissues/concerns that are similar?


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VIII. Staff/Administration

Use this section to describe the functions of the different peopleassociated with your project and the importance of each.

Clarify how each of the roles is essential to the success of the projectand how it relates to operationalizing the methods you have described.

Make sure you include name, title, experience, and qualifications ofkey people. Include other information if you feel its important to thesuccess of your project.

The description of your personnel will enable the funding agency toknow that you have excellent staff who are committed to the project.You are not asking the funding agency to trust you. The validity ofwhat you are proposing is directly related to the persons who will workwith the project.


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IX. Budget and Justification

Remember to display clearly the proposed expenditures forthe project and justify the items in each line of the budget.For example, for the item Supplies: $10,000,explain how

the supplies are linked to activities in the Implementationsection.

Needed Resources

A.Personnel

Refer to your Staff/Administration section and identify thepeople who will be paid from the grant.


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Though you may not be requesting funds for the

purchase or rental of facilities, it will be helpful to

provide a brief description of the facilities that willbe used for the project.

Consider describing existing facilities that will beused for the project as in-kind contributions to theproject (counterpart).

B. Facilities


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Be careful in listing the equipment that will be needed foryour project. Funding sources are usually much morewilling to provide funds for the support of personnel thanthey are to support the purchase of equipment.

C. Equipment/Supplies/Communication


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tape recorder (for recording interviews, dictating reports,etc.)

video cassette recorder and television monitor (forrecording project activities, documenting change, etc.)

computer/monitor/printer (for general project support)

desks/chairs/tables

filing cabinets

intercom/office telephone system

photocopy machine

The following are the types of equipment that may beneeded for a funded project:


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It is easy to overlook many of the office supplies that willbe needed for your project. Will you be needing printedletterhead stationery? And, if you will be mailing many letters,have you considered the current cost of postage (andpossible increases in cost)? Do you have a good idea howmuch paper is needed to support the use of a computer?Have you recently checked the price on such things as sticky

notes, paper clips, or pencils/pens? A trip to a local officesupply store could be most appropriate.


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Consider including in your proposal additional funds forhosting some forms of workshop where you can bring

together other professionals who are knowledgeable of thesubject area. Invite someone from the funding organizationto attend the workshop so they can hear what others thinkabout the investment they have made.


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D. Budget

Make your budget realistic. Carefully think through exactlywhat you will need from the funding agency to carry out theproject and establish your budget around this amount. (Do

not forget, funding agencies receive lots of requests forfunding. They can easily tell when someone has inflated abudget in order to procure funds for other purposes. Dontget caught in this situation.)

Have someone else in your organization, preferablysomebody knowledgeable of financial matters to review yourbudget to see how realistic you are.


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Do you really need a large amount of funding at thebeginning of the project or will your project be phasedupover a period of time? Sometimes it is not realistic to expecta new project to be able to be up and operating (andspending large amounts of money) during the first 6 monthsor year of operation.


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A good strategy to use with a potential funding agency is

to ask for a small amount of funding for the first phase of theproject. Specify in your proposal what you expect to achieve

during this minimal funding phase and when you will bereturning to the funding agency to ask for funds for the nextphase. This suggests to the funding agency that they canterminate the relationship easily if your project is notsuccessful (and then it is essential for you to make sure the

first phase IS successful).

Check with the agency to see if they havesuggested/required budget categories that they want you touse.


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Personnel (salary and benefits)

Consultants (salary)Equipment

Supplies and communication (telephone/postage)

Travel

Rental of facilities

Evaluation

Other expenses

If the potential funding agency does not have any suggested/requiredbudget categories, organize your budget around a set of meaningfulcategories that work for the project you are proposing. Categories that

you may want to consider for itemizing your budget are:


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A suggested budget format for a three year fundingproposal:

Year 1 Year 2 Year 3 Total

PERSONNEL

Person #1

Person #2

Person #3

Sub-Total

FACILITIES (list)

Sub-Total

EQUIPMENT (list)

Sub-Total

SUPPLIES (list)

Sub-Total


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COMMUNICATION(list)

Telephone

Postage

Sub-Total

TRAVEL (list)

Fuel

Vehicle Rental

Total


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X. Evaluation Plan

It is important to describe how you will conclude that your

project has been successful in achieving its objectives. The

Evaluation Plan will tell the prospective funding agency howyou will be going about showing them at the end of the projectthat their investment in you was a good one.

If you plan to use a questionnaire to help in evaluating thesuccess of your project you may want to include in theAppendices a draft of the questionnaire.


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Your evaluation plan does not have to be elaborate but it is

important to indicate to the prospective funding agency that youhave not forgotten this important step.

Try to include both a concern for monitoring (ways to gainfeedback on the project while it is being conducted) andsummative evaluation (to show that the project fulfilled theobjective from which it was originally proposed). Another way of

conceptualizing this is that monitoring is concerned with thecompilation of activities of the project. On the other hand,evaluation is concerned with the achievement of the statedobjectives of the project.


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It is easy to create an evaluation plan if you have done a good

job of clearly stating your project objectives or expectedoutcomes.

Make direct reference to your objectives in your evaluationplan. This creates a strong sense of integration/consistency withinyour proposal The reader of your proposal will now be hearing thesame message repeated in different sections of your proposal.

Try creating two separate plans one for monitoring and the

other for evaluation.


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A good evaluation plan should include a sense of what

will go in the conclusion of the funding period. How will theinitiatives that have been started under the project besustained? Have new things emerged that will be addressedin the future? How will other cooperating agencies assist incontinuing the project after the conclusion of the funding

period? These and other areas should be included in a viableevaluation plan.


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XI. Appendices

Appendices should be devoted to those aspects of your

project that are of secondary interest to the funder. Beginby assuming that the funder will only have a short time toread your proposal and it will only be the main body ofyour proposal . Then, assume that you have gotten theattention of the reader who would now like some additional

information. This is the purpose of the Appendices.


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Research instruments

Dissemination PlanAn important aspect of your proposal willbe the plan for disseminating information of/from the project toconcerned audiences. Most funding agencies are interested in seeinghow their financial support of your project will be used. This mayinclude newsletters, workshops, radio broadcasts, presentations,printed handouts, slide shows, training programs, etc.

Time LineA clear indication of the time frame for the project andthe times when each aspect of the project will be implemented. Trycreating the time line as a graphic representation (not too manywords). If done well, it will help demonstrate the feasibility of theproject in a very visible way. (Gantt chart)

Here are some possible sections to include in the

Appendices:


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Letters of SupportFunding agencies would like to know that

others feel strongly enough about your project that they are willingto write a letter in support of the project. Talk through with the

potential letter writers the sort of focus that you think will beimportant for their letter. (Try and draw on the reputation of theletter writing group.) Do not get pushed into writing the letters forthe agencies they will all sound alike and will probably defeat yourpurpose of using them. The letters must be substantive. Have the

letters addressed directly to the funding agency. (Do not use ageneral ToWho It May Concern letter it makes it appear thatyou are applying to many different potential funding agencies andare using the same letter for each. This may really be the case, somake sure you personalize each letter to the specific potential

funding agency.)


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Monitoring and Evaluation Instruments Include a draftcopy of the actual monitoring and evaluation instruments you plan

to use (survey questionnaire, interview guide, etc.) This will letyour prospective funding agency know that you are serious aboutmaking monitoring and evaluation an integral part of your projectand funding agencies like to hear this! Indicate DRAFT at thetop of the instrument and then make it look as real as possible.

Never say things like, I think I may have a question that dealswith.., or Four or five questions will be included that examinethe concern of... If you will be using an interview procedure or afocus group discussion, include a draft copy of the specificquestions that will actually be used for the interview/discussion.


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Grant Writing Tips

Choose a concise title.

Follow directions. Be sure you have used the prescribed formatand included all information requested.

Pay attention to the deadline. Leave sufficient time to obtainthe signature required on the final submission.

Read the entire proposal to be sure the ideas flow from onesection to the next. This is especially important when severalpeople authored the proposal.

Keep the language simple and direct; avoid jargon.


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Include tables, charts and diagrams only if they are useful.

Isolate supporting data in an appendix.Explain all abbreviations and terms that someone outside youragency may not understand. (Glossary)

Proofread the proposal and make a final copy that is neat and

legible.The format of proposals varies considerable between fundingsources but the major sections requested are often similar.


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Style/Usage

Style and usage affect the credibility of your plan. Here aresome suggestions for making your writing clear and correct.

1. Consult a dictionary and a style manual to help you withspelling, punctuation, and grammar. Choosing a commonstyle helps establish consistency in the document,especially when there is more than one writer.

2. Use short sentences. Sentences of more than fifteenwords are difficult to read.


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3. Avoid passive voice. Teacherswill visit parents at home ismore direct and informative than Parentswill be visited.

4. Rely on simple language. Use is simpler than utilization,because more direct than due to the fact that. Dontmakeyour document unnecessarily complex with long words andwordy phrases.

5. Delete any words, sentences, or phrases that do not add tothe meaning. Make every word fight for its life.

6. Break lengthy paragraphs into smaller sections. Try to limitparagraphs to four or five sentences.


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7. Use specific and concrete terms, rather than jargon likeconceptualize, empowerment, restructuring, interface, and

articulate.8. Insert headings and subheadings in the text to reflect the

main ideas.

9. Use facts and statistics to prove your case.

10. Unless directed to do so by the funding agency, avoidhardcover bindings, tabbed dividers, and other fancytouches. Keep the presentation simple and the contentstrong and meaningful.


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Length

Find the balance between making your plan too long or too short.

It should address all requirements with some redundancy withoutproviding unnecessary information. Redundancy exists in the planbecause of the interdependency of its sections. Strictly follow anypage limits set by the plan requirements.

AccuracyCheck and recheck the facts and figures in the plan. Incorrectinformation, outdated statistics, or irrelevant research willundermine your credibility.


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Consistency

Be sure that facts and figures in one section of the plan are

consistent with what you present in other sections.

Acronyms

Use acronyms and abbreviations sparingly because they maybe unfamiliar to many readers. Be sure to spell them out thefirst time they are used in your plan; e.g. GATHER approach.

Documents

1_Preparing Effective Proposals