Proposal preparation

This section provides guidance on the preparation of proposals for funding of sponsored research projects at AUC, including how to develop a research idea into a funding proposal for a sponsored research project, and an explanation of the procedures that must be followed at AUC before submitting a research proposal to a potential funding agency or foundation.

• Initial development of the research idea
• Identifying sources of research funding
• Contacting potential sponsors
• Development of the research proposal
• Circulating the proposal for University review and approval
• Submission of the proposal to the sponsor
• Sponsor's review of the proposal

Initial development of the research idea

Sponsored research projects stem from research ideas. The process of producing a proposal for a research project begins by developing a research idea into a set of research goals and an explanation of how the goals will be achieved. This should include details of:

• the work planned why it is important and who will benefit when, where, and how you will accomplish it what resources and funding will be required
• your comparative advantage in doing the work.

Identifying sources of research funding

A critical aspect of the proposal development process is matching research goals with appropriate sources of funding. Potential funding sources can include international organizations, government agencies, foundations, and corporations. The Office of Sponsored Programs can assist in identifying appropriate funding sources in terms of their mission, funding interests, and proposal guidelines. OSP also regularly receives announcements of research funding opportunities, and distributes the announcements to faculty according to areas of interest. For more details on funding sources, see Funding Links and Opportunities.

If you would like to follow up a funding announcement, OSP can contact the sponsor to obtain the Request for Proposal (RFP) or the proposal guidelines. OSP staff can also assist you in reviewing sponsor announcements, application guidelines, and instructions for proposal submission.

Contacting potential sponsors

Once there are a clear research goal and potential sponsors identified, the next step is to contact potential sponsors to discuss the research idea. This interaction can help in writing an effective proposal.

Contacts with potential sponsors should be coordinated with OSP. In some cases, university approval is needed before making initial contact.

OSP can help in identifying appropriate agency representatives to contact and any applicable requirements. The initial contact may be made in person, by phone or email, or by submitting a concept paper.

Development of the research proposal

Sponsor guidelines for funding applications vary widely. OSP staff can assist in ensuring that proposal guidelines are followed carefully and that submission deadlines are met. Failure to meet the sponsor's requirements can result in the proposal being rejected out of hand.

The proposal, including any research and funding issues, should also be discussed between the researcher and the appropriate Department Chair and Dean (for teaching faculty) or Center Director (for research faculty).

OSP can assist in development of the research proposal. The basic features of a standard research proposal include a cover letter, an abstract, the technical proposal, the budget, and appendices with any supporting documents.

• Cover letter OSP will provide a cover letter for each proposal, signed by the Director of the Office of Sponsored Programs.
• Abstract The researcher should provide an abstract summarizing the proposal. Because the abstract is often read in lieu of the full proposal, it should briefly and clearly incorporate all the main points of the full proposal.
• Technical proposal Typically the technical proposal begins with an introductory section including a summary of the research being proposed, statement of goals and objectives, justification for undertaking the research, literature review, and an explanation of the comparative advantage of the researcher and the university in undertaking the research. The main section includes a detailed description of the research proposed, a plan of action, the research design and methodology, and the staff, equipment, and facilities to be used. A final section describes the evaluation component of the project.
• Budget The budget section of the research proposal should detail and justify the resources required for the work proposed in the technical proposal. The budget should also indicate who will be responsible for resourcing different cost components (i.e. the sponsor, the university, other parties). Direct and indirect costs should be detailed; and any AUC policies pertaining to the budget should be explained. (See Indirect Cost and Fringe Benefit Rates.) OSP should review the budget early in the proposal development process. The OSP Budget Form used for University budget review may also be included when the proposal is submitted to the donor, if the funding agency doesn't provide its own special budget form.
• Appendices Supporting documents should be included as appendices. Appendices typically include curriculum vitas for project staff and any certifications required by the sponsor or the university.

Circulating the proposal for University review and approval

All sponsored research proposals must be reviewed and approved by the university before submission to external funding agencies. Close coordination with OSP will ensure that the necessary approvals are obtained and that submission deadlines are met. The following items should be submitted to the Office of Sponsored Programs to begin the review process:

• Research proposal including technical proposal and budget
• Proposal Approval Form This form should be filled out by the Principal Investigator (faculty member conducting the research), and signed by the Principal Investigator and the appropriate Department Chair and Dean (for academic faculty) or Center Director (for research faculty). The proposal approval form will be used to route the proposal for University approval signatures.
• OSP Budget Form This form should be filled out by the Principal Investigator. The budget form accompanies the research proposal when the proposal is circulated internally for University review.
• Other forms as needed.

OSP staff will review the research proposal with respect to University policies and regulations, the sponsor's application guidelines, and other regulations as applicable.

The research proposal and forms are forwarded by OSP to the Controller and Vice President for Finance for budget review.  Once budget approval is received, OSP submits the research proposal and forms for final review and approval to the Provost.

Submission of the proposal to the sponsor

When all approvals have been secured, OSP will attach a cover letter and submit the research proposal to the sponsor. Some sponsors allow or require electronic submission of proposals.

Sponsor's review of the proposal

Review processes vary from sponsor to sponsor. The sponsor may evaluate the proposal through peer review, through review by an internal committee, and/or in light of the reputation of the university and the researchers involved. OSP staff can assist in explaining the review process of a particular sponsor, and in obtaining feedback if a funding request is turned down.

See also:

AUC forms Electronic forms for proposal development and approval
AUC information Institutional facts needed for submission of proposals