Preparing Your Research Proposal

When you seek external funding, you need to write a clear, convincing, persuasive proposal because you are almost certainly competing for limited funds. Here are some basic steps to help you produce a winner.

Initial Contact

Usually an agency or foundation publishes guidelines, an annual report, or some other kind of document outlining the procedures you should follow in submitting an application for funding. However, you may find it helpful to contact the agency directly to obtain current application forms, to clarify a policy, or to present a project in outline form to see if it's suitable. Some agencies or sponsors prefer this kind of preliminary contact to help reduce the volume of inappropriate proposals they receive. For projects that arouse their interest, agencies may provide suggestions to strengthen the proposal and make it more competitive. Be careful not to make commitments during this stage, particularly budgetary or scheduling commitments.

Pre-Proposals

As the term implies, pre-proposals are informal, preliminary documents, intended to "test the waters" in an agency or foundation without requiring the extensive time and effort a formal proposal will take. Another advantage of the pre-proposal is that you can submit one to several different sources of support simultaneously.

The pre-proposal usually contains the following five sections, depending on the project:

1. Cover letter. This should contain:

   1. An introductory paragraph containing the title of the project

   2. A persuasive statement of objectives and intended outcomes, explicitly linked to the agency or foundation's mission

   3. An offer to develop a formal proposal

   4. A description of the unique qualifications of the research team, institution, or facilities, or a summary of relevant prior projects that will contribute to a successful outcome

   5. A final paragraph indicating your willingness to negotiate or discuss further the project's objectives or budget

2. Statement of proposed research. Include a brief, clearly written description that provides a general understanding of your project. Remember that some of the people who read this description may lack expertise in your field. Keep it simple, focus on basics, and emphasize the probable benefits, potential breakthroughs, or positive outcomes of the project.

3. Resumes. Provide a brief curriculum vitae or summarize your relevant biographical data, emphasizing any special experience that qualifies you for the proposed study. Remember that recent, specifically relevant, and successful work is more convincing than general academic achievements.

4. Facilities. Briefly describe any special equipment, laboratories, or other capabilities available at your institution that justify conducting the project there. Also indicate the major equipment needed, if any, carefully explaining any unusual needs.

5. Budget. Provide a rough estimate of the project's budget. At this stage an itemized budget is not necessary. All the agency or foundation needs to know is what range the project falls into: $5,000 or $50,000 or $500,000.

In summary, your preliminary proposal should be brief (four to ten pages) and easy to understand. It should leave room for negotiation and contain defined next steps for follow-up telephone calls or visits.

Formal Proposals

Most federal and state agencies provide very specific guidelines and application forms that you must follow in submitting your final proposal. Use them and be careful to follow directions exactly.

However, some agencies, and private foundations in particular, may not provide an application form or guidelines regarding format. Although your formal proposal is obviously a much more structured document than a preproposal, there really isn't just one "right" way to do it. In fact, it's important to be flexible. Allow the nature and scope of your proposed sponsored project and the values and interests of the decision maker to determine the proper order of the sections and the appropriate length of your discussions.

Here's a general outline you can use in preparing a formal proposal if the agency doesn't provide any specific guidelines:

1. Letter of transmittal

2. Cover or title page

3. Table of contents

4. Abstract

5. Overview/statement of problem

6. Body of proposal

   1. The need for this project

   2. Objectives and positive outcomes (benefits) of the project and their significance

   3. The proposed project designs and/or procedures

7. Facilities/location of the project

8. Project personnel

9. References/bibliography/literature review

10. Budget/budget justification

11. Certifications and representations

12. Appendices

Letter of Transmittal. The letter of transmittal officially introduces your formal proposal to the sponsoring organization. Although you might write it, it is typically signed by a high-ranking official of your institution, giving the proposal the stamp of authority.

Cover or Title Page. Federal and state agencies usually provide their own form for this page. If you haven't worked through one before, they can seem hopelessly confusing and cluttered. Have patience, and take your time. After all, they're probably no worse than filling out your taxes— which may or may not be an encouraging thought!

Most private foundations and industrial sponsors do not provide a title page. In such cases, create your own title page, containing the following data:

1. Title of the proposal. Choose the proposal's title carefully. The same principles apply to a research proposal as apply to any other kind of proposal. Try to stress a benefit or tie your proposal to the funding agency's mission or goals. Vague, flat, or highly technical titles are seldom persuasive.

2. Request for Proposal or Solicitation number, if any.

3. Name of the institution to which the award will be made.

4. Name of the funding agency to which the proposal is submitted (for example, the National Science Foundation, the National Institute of Health, the Ford Foundation).

5. Endorsement. The sponsoring agency may require various endorsements on the cover page. The two most commonly requested are the principal investigator(s) and the authorizing official. For both, include the person's name, title, departmental or official affiliation, and phone number.

6. Other items. Additional information on the cover page might include the start date of the project, the amount of funding requested, or the program from which the funds will come.

Table of Contents. The table of contents usually follows the title page, although sometimes it is preceded by the abstract. The table of contents should serve as a convenient navigation tool through the proposal, and should also provide a general outline of the project. Don't break the contents down beyond one or two levels of subheadings, but make your headings and subheadings substantive so that the reader can get a sense of your project and its value from them. Do include page numbers in the table of contents. Number the pages consecutively throughout your proposal, rather than starting over with each section.

Abstract. The abstract is roughly the equivalent of the executive summary in a sales proposal. It is one of the most important parts, because like the executive summary written to win commercial business, its job is to persuasively explain the nature of what is being offered, why it matters to the audience, and how their constituency will benefit. Write the abstract in general terms geared to individuals who may lack expertise in your field.

Keep it brief—about 250 to 1,000 words will usually be sufficient—and use plain English. A good abstract states in simple sentences what the problem or opportunity is, how the challenge posed by that problem or opportunity will be met, and what benefits or positive outcomes will result from the research. Although you don't have to summarize every part of your proposal in the abstract, you should include a basic summary of budgetary requirements. This is a key difference between a research proposal or proposal for grant money and a sales proposal's executive summary.

Overview/Statement of Problem. The overview orients the decision maker to the background of the study, discusses the reasons for the study, and presents the conditions leading to the need for the project. It includes an explanation of the specific problem and how it relates to the need. Pertinent references to related research should be included to demonstrate that the researcher has knowledge of all relevant previous work in the field. Make clear how the new research you perform will build on that previous work.

If your request is for funding of a social service or arts initiative, the overview serves the same basic purpose: define the problem or gap being addressed, why that problem is serious enough to merit attention, and how the community will benefit once your project has been executed.

Body of the Proposal. The body of your proposal contains the detailed information regarding your proposed research or activities. Evaluators who look at this part of your proposal are more likely to be specialists, so you can write in a more technical style. However, clarity is always a positive quality, and technical information for its own sake is never persuasive. For each point you cover, ask yourself the same question your evaluators will ask: So what? If your proposal doesn't answer this question, rewrite it. Linking the details of your research or project to the desired outcomes or the general objectives supported by your funding agency is still important.

Evaluators will be interested in finding answers to questions such as the following:

• What are you requesting?

• Why is this project needed?

• What is the significance of the project?

• What are the major objectives, and how do they relate to the problem?

• Can these objectives be evaluated? Can they be measured?

• What are the procedures you will use in the project?

• How will you do the work?

• How will you manage the work?

• What data will be gathered?

• What is your research design?

• What are the technical details?

• How large is the scope of the project?

• What is the time schedule for various phases?

• Is this project a continuation of earlier work?

• Will future projects grow out of this work?

• What specifically will be accomplished by this project?

• What are the expected end results?

• How will you evaluate and disseminate the results?

• Will there be any form of peer review process for the results?

• What plans for publishing or patenting the results do you have?

Facilities/Location of the Project/Special Equipment. In this section, discuss any unique aspects of the available facilities. Is special equipment available? Will you be using a nationally recognized laboratory? Does the location have unique computing capabilities? Is there an advantage to your geographic location? Will you subcontract any part of the study to take advantage of someone else's unique facilities, equipment, or location?

Project Personnel. This section should contain the information needed for evaluators to assess the qualifications and competence of the personnel proposed for the project. A brief description of key personnel and their proposed roles in the project should precede their resumes or curriculum vitae.

Resumes and curriculum vitae for research projects, particularly those involving faculty and research staff at a college or university, will typically be more detailed than the personnel data provided in sales proposals.

References/Bibliography. For a research proposal, you should include a numbered listing of the relevant literature in your research area. This shows that you have done the necessary preliminary work to avoid duplicating work that has already been completed and to keep your project focused on the main lines of inquiry.

Budget/Budget Justification. List the anticipated costs of the project in this section. The RFP or application form will usually call for a statement of the total cost of the project, with a breakdown of costs per year and by category of expense. The following checklist covers most of the items that typically occur in a research budget. However, it may not include every cost a particular research project might incur, so use it as a starting point.

1. Direct costs

   1. Salaries and wages

      1. Professional personnel (faculty, for example)

      2. Senior assistants (exempt staff or postdoctoral students, for example)

      3. Administrative personnel (nonfaculty exempt employees)

      4. Technicians (exempt or nonexempt)

      5. Graduate research assistants

      6. Students

      7. Support personnel, office management staff, secretarial support (nonexempt staff)

      8. Hourly help (nonexempt staff or students)

      9. Salary increases (for proposals lasting more than one year)

   2. Fringe benefits on all salaries and wages, including hourly help

   3. Equipment

      1. Equipment purchase costs (list items individually)

      2. Equipment installation, if included on bid

      3. Freight, if included on bid

   4. Travel

      1. Domestic

      2. Foreign

      3. Subsistence costs or per diems

   5. Computer services, computer equipment, and software

      1. Central computer system costs

      2. Department usage fees

      3. Personal computers, printers, networking equipment, and related hardware

      4. Software

      5. Maintenance costs

   6. Materials and supplies

      1. Laboratory supplies

      2. Books, reprints, journals

      3. Chemicals and glassware

      4. Expendable items of equipment (less than two years' useful life)

      5. Office supplies

      6. Photo duplication, illustrations, film

      7. Printing services not considered part of standard publication costs

   7. Publication costs for page charges in professional journals

   8. Consultant costs

      1. Professional fees

      2. Travel, food, and lodging expenses

   9. Subcontracts

      1. Third-party costs for portions of the research done outside the institution

      2. Overhead costs associated with managing subcontracting relationships

   10. Other costs

       1. Alterations, construction, renovation costs

       2. Communications, particularly telecommunication expenses, delivery fees, and postage

       3. Conference and meeting expenses

       4. Equipment leasing or rental costs

       5. Insurance premiums

       6. Off-site rental of space

       7. Participant support costs

       8. Patient care costs (if appropriate)

       9. Purchase and care of lab animals (if appropriate)

       10. Recruitment costs

       11. Royalty and patent costs

       12. Specialized service facilities

2. Indirect costs (these are determined by the type of project and whether it will be conducted on or off site)

3. Cost sharing (if required)

Certifications. Sometimes you need to document that you comply with various policies and regulations. For example, a proposal for funding for medical research will require evidence that you have obtained informed consent from the patient participants. If your research involves laboratory animals, you may be required to provide evidence of humane treatment. If you are using radioactive materials, you must certify that proper safeguards and handling procedures are being observed.

Other information you may need to provide includes:

• Your institution's congressional district

• IRS employer ID number

• Tax-exempt status letter

• Institutional financial statement

• Representations and certifications regarding civil rights, affirmative action, drug-free workplace, contingent fees, and so forth

Appendices. Any supplementary materials, such as papers, reprints, charts, letters of support, course descriptions, or special brochures, should be included here. Remember, however, that reviewers do not usually read appendices. They may skim through them in reference to particular sections of the proposals. Never put anything in the appendices that must be read thoroughly. And don't throw material in just to beef up your proposal.

Part I

This section introduces the proposal, describes the project, lays out the work plan and time schedule, and identifies the project principals and their qualifications.

Introduction

The proposed project is the development of a second-generation portable glass pulverizing plant that recycles glass by completely separating on site the glass particles from all wrappers, metal attachments, and nonglass components. The plant and all related apparatus are mounted on a flatbed trailer and towed by truck wherever glass recycling is required. The processed glass may then be used in fabrication of new products.

The project is based on a patented invention that pulverizes materials such as glass bottles, plate glass, and laminated glass, producing a desired particle of clean glass. The recycled product's relative freedom from contamination is important to manufacturers. Current methods and equipment do not remove enough of the metal caps, neckbands, wrappers, and the like to produce a clean product.

The plant's portability offers several significant benefits:

1. Portability means that the plant can be taken wherever glass is most conveniently recycled, reducing transportation costs by eliminating the cost of moving the glass to be recycled.

2. Portability also means that each site can arrange for recycling as needed, rather than maintaining a permanent and separate facility.

3. Even the smallest local communities can get rid of waste glass safely and efficiently.

The portable facility processes all three types of glass—clear, brown, and green—for market.

DAG, Inc. believes that the process technology may be transferable to other kinds of recycling, such as ceramics, in addition to glass.

Project Description

The greatest challenge in producing small glass particles for use as raw material is achieving a clean product. Conventional hammermills are unsuitable for this purpose because they crush the metal parts as well as the glass. The hammermills also overheat and require frequent maintenance.

The portable plant based on this invention separates attachments to the source glass—aluminum caps, neckbands, Styrofoam, etc. Bulk glass is loaded into the feed hopper, transported by a feeder belt to a mill, pulverized, screened of nonglass contaminants, and discharged directly into a truck, trailer, or roll-off container for market.

The invention on which this project is based provides [proprietary description, deleted from this sample but included in the actual proposal].

Mill Components and Functions. Following are the main components of the pulverizing mill:

[Components are itemized in bullet points.]

Plant Operation. The pulverizing mill mounts on a flatbed trailer. The hopper (Figure 1) controls the flow of raw material to a conveyor belt, which transports the material to the pulverizing apparatus of a motor-driven mill. The mill deposits the crushed glass on a second conveyor for delivery to the separation unit. Waste is ejected to a bin or caught on the screen for disposal. This unit extracts the pulverized glass and deposits it onto a third conveyor, which transports it to a removable receptacle of the user's choice.

All components are mounted on a standard-size flatbed trailer, which may be towed by a tractor, dump truck, or similar hauling vehicle.

Three capacities are available:

1. A miniplant capable of six to eight tons per hour

2. A medium-size plant capable of fourteen to sixteen tons per hour

3. A maximum-capacity plant processing twenty-four to thirty-two tons per hour

Variables. Changes in the arrangement of the mill components allow for different raw materials and varying particle outputs. Variables include the size of the component elements, their number of sets, the number of elements per set, their rate of rotation, and the size and location of [proprietary]. Also the composition of the crushing apparatus can vary to accommodate the products being rendered.

Work Plan and Time Schedule

Glass recycling is widely practiced in the United States, virtually all of it accomplished by hauling the material from collection points to a processing facility. No other portable plant is now in operation, and the authors of this proposal hold a patent-pending certificate (61, 221–378) and a foreign patent number on the process.

The bulk of the grant funds will be used for research and development of a second-generation machine that is more efficient and cheaper to operate, leading to a demonstration model suitable for EPA evaluation.

The work will be supervised by Project Manager Albert P. Gurney and will begin upon receipt of grant funds.

[Schedule of tasks and target dates for overall completion by February 2004.]

Experience and Personnel

[Resumes of the key members of the team.]

Part II

This section provides the cost estimates for performing the project. Following the budget sheet is an explanation of each line item.

Budget Proposal

COST CATEGORY	TOTAL	EPA SHARE	PROPOSER'S SHARE
Personnel	$30,000	$21,000	$9,000
Travel	1,200	900	300
Equipment	12,000	12,000
Supplies	3,000	1,500	1,500
Subcontractor	6,000	5,000	1,000
Other	900		900
Overhead	15,000	12,000	3,000
Totals	$68,100	$52,400	$15,700

Explanation

• Personnel

  • Albert P. Gurney, Project Manager: $15,000 (200 hours @ $75/hr.)

  • Tom Richardson: $15,000 (200 hours @ $75/hr.)

• Travel

  • Pennsylvania to Washington, D.C., to present project results to the Environmental Protection Agency: two people, $1,200

• Equipment

  • Upgrade motors on the plant to process a higher rate of glass: $7,500

  • Upgrade controller hardware: $4,500

• Consumable Supplies

  • Maintenance supplies: $600

  • Paper and office supplies: $1,500

  • Oils and grease: $900

• Subcontractor

  • Engineering Associates: $6,000

• Other

  • Telephone and Internet access: $300

  • Photocopying: $60

  • Videotaping: $540

• Overhead

  • Estimated overhead: $15,000

Figure 13-1: Sample Research Proposal