PROPOSAL PREPARATION: Technical Proposal

Preparation of the Technical Proposal

In general, proposals consist of two parts: the technical proposal, and the cost proposal or budget. The principal investigator is responsible for preparing the technical proposal in accordance with sponsor guidelines and requirements. Cost proposals are prepared by OSP with input from the principal investigator and, of course, the approval of the teaching unit head and the college dean. OSP prepares internal budgets, required sponsor budget forms, and internal routing forms explicating important financial arrangements and specifying the commitment of University resources. OSP staff also prepares all application forms accompanying the proposal submissions.

A good technical proposal is a concise and coherent explanation of a research or programmatic plan with specific and reasonable goals. These goals, and the methods that will be used to achieve them, must be stated clearly. Project objectives should conform to the interests and guidelines of the sponsoring agency.  The technical proposal must also demonstrate a convincing need for the proposed activity, either by showing that it fills an important gap in existing knowledge, or by showing that it serves the needs of a specific clientele of particular concern to the funding source.

Concurrent with the preparation of a technical proposal, the principal investigator should contact the teaching unit head and college dean to seek approval and support for the project.  Issues of time commitments, space, facilities, course releases, overload, and over base situations should be resolved prior to submission. OSP can aid the principal investigator on issues such as hiring additional staff or consultants, leasing space off campus, and/or entering into subcontractual agreements. Some of these require liaison between OSP and other University offices.

In addition, OSP prepares any subcontract documents in accordance with applicable sponsor policy.  For example, the federal government mandates that certain terms and conditions must be included in all subcontracts involving federal "pass-through" funds; other sponsors may have similar requirements.  In such instances, OSP transmits relevant material to the subcontractor for review and signature. 

OSP also prepares "Teaming Agreements." These are understandings between two organizations working together on a proposal. "Teaming Agreements" must be routed in the same manner as a proposal to ensure that the school or college Dean is aware of the commitment to propose.

Checklist for Principal Investigators Developing a Proposal

To ensure the quality of the technical proposal, principal investigators should prepare answers to the following:

• What title or project name will reflect the name of the proposed research?

• What is the research problem or need for this activity? Have you reviewed current literature to determine the need for such a project or conducted a needs assessment?

• What do you hope to accomplish specifically as a result of this project?

• How will you accomplish the project goal? Why is your approach particularly suited to the problem? Discuss the activity concept, project structure, and/or formal methodology.

• How will you prove your results? An evaluation plan complete with measures of efficiency, effectiveness, or outcomes as appropriate to the project design and methodology should be described.

• What special compliance issues and risks are associated with the project? Discuss plans for IRB and /or Animal Care and Use Committee Approval, use of hazardous materials, or other risk management issues.

• Where will the project be conducted? Have space needs been evaluated?

• When will work on the project begin? When will it conclude?

• What are the qualifications for serving as the principal investigator on this particular project? Identify other skills and qualifications necessary to the activity and where/how you will provide that expertise.

• How much will it cost for you to perform this work? (This question can be fully answered only after the cost has been prepared with the assistance of the OSP staff. Effective technical proposals, however, should indicate bottom-line costs, along with the levels of effort to be invested by principal investigator and other key project personnel.)

After an initial draft of the technical proposal has been completed, the cost proposal, or project budget, can begin to be formalized.