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• How to Write a Research Proposal | Examples & Templates

How to Write a Research Proposal | Examples & Templates

Published on October 12, 2022 by Shona McCombes and Tegan George. Revised on September 5, 2024.

A research proposal describes what you will investigate, why it’s important, and how you will conduct your research.

The format of a research proposal varies between fields, but most proposals will contain at least these elements:

Introduction

Literature review.

• Research design

Reference list

While the sections may vary, the overall objective is always the same. A research proposal serves as a blueprint and guide for your research plan, helping you get organized and feel confident in the path forward you choose to take.

Table of contents

Research proposal purpose, research proposal examples, research design and methods, contribution to knowledge, research schedule, other interesting articles, frequently asked questions about research proposals.

Academics often have to write research proposals to get funding for their projects. As a student, you might have to write a research proposal as part of a grad school application , or prior to starting your thesis or dissertation .

In addition to helping you figure out what your research can look like, a proposal can also serve to demonstrate why your project is worth pursuing to a funder, educational institution, or supervisor.

Research proposal length

The length of a research proposal can vary quite a bit. A bachelor’s or master’s thesis proposal can be just a few pages, while proposals for PhD dissertations or research funding are usually much longer and more detailed. Your supervisor can help you determine the best length for your work.

One trick to get started is to think of your proposal’s structure as a shorter version of your thesis or dissertation , only without the results , conclusion and discussion sections.

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Writing a research proposal can be quite challenging, but a good starting point could be to look at some examples. We’ve included a few for you below.

• Example research proposal #1: “A Conceptual Framework for Scheduling Constraint Management”
• Example research proposal #2: “Medical Students as Mediators of Change in Tobacco Use”

Like your dissertation or thesis, the proposal will usually have a title page that includes:

• The proposed title of your project
• Your supervisor’s name
• Your institution and department

The first part of your proposal is the initial pitch for your project. Make sure it succinctly explains what you want to do and why.

Your introduction should:

• Introduce your topic
• Give necessary background and context
• Outline your  problem statement  and research questions

To guide your introduction , include information about:

• Who could have an interest in the topic (e.g., scientists, policymakers)
• How much is already known about the topic
• What is missing from this current knowledge
• What new insights your research will contribute
• Why you believe this research is worth doing

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As you get started, it’s important to demonstrate that you’re familiar with the most important research on your topic. A strong literature review  shows your reader that your project has a solid foundation in existing knowledge or theory. It also shows that you’re not simply repeating what other people have already done or said, but rather using existing research as a jumping-off point for your own.

In this section, share exactly how your project will contribute to ongoing conversations in the field by:

• Comparing and contrasting the main theories, methods, and debates
• Examining the strengths and weaknesses of different approaches
• Explaining how will you build on, challenge, or synthesize prior scholarship

Following the literature review, restate your main  objectives . This brings the focus back to your own project. Next, your research design or methodology section will describe your overall approach, and the practical steps you will take to answer your research questions.

To finish your proposal on a strong note, explore the potential implications of your research for your field. Emphasize again what you aim to contribute and why it matters.

For example, your results might have implications for:

• Improving best practices
• Informing policymaking decisions
• Strengthening a theory or model
• Challenging popular or scientific beliefs
• Creating a basis for future research

Last but not least, your research proposal must include correct citations for every source you have used, compiled in a reference list . To create citations quickly and easily, you can use our free APA citation generator .

Some institutions or funders require a detailed timeline of the project, asking you to forecast what you will do at each stage and how long it may take. While not always required, be sure to check the requirements of your project.

Here’s an example schedule to help you get started. You can also download a template at the button below.

Download our research schedule template

If you are applying for research funding, chances are you will have to include a detailed budget. This shows your estimates of how much each part of your project will cost.

Make sure to check what type of costs the funding body will agree to cover. For each item, include:

• Cost : exactly how much money do you need?
• Justification : why is this cost necessary to complete the research?
• Source : how did you calculate the amount?

To determine your budget, think about:

• Travel costs : do you need to go somewhere to collect your data? How will you get there, and how much time will you need? What will you do there (e.g., interviews, archival research)?
• Materials : do you need access to any tools or technologies?
• Help : do you need to hire any research assistants for the project? What will they do, and how much will you pay them?

If you want to know more about the research process , methodology , research bias , or statistics , make sure to check out some of our other articles with explanations and examples.

Methodology

• Sampling methods
• Simple random sampling
• Stratified sampling
• Cluster sampling
• Likert scales
• Reproducibility

 Statistics

• Null hypothesis
• Statistical power
• Probability distribution
• Effect size
• Poisson distribution

Research bias

• Optimism bias
• Cognitive bias
• Implicit bias
• Hawthorne effect
• Anchoring bias
• Explicit bias

Once you’ve decided on your research objectives , you need to explain them in your paper, at the end of your problem statement .

Keep your research objectives clear and concise, and use appropriate verbs to accurately convey the work that you will carry out for each one.

I will compare …

A research aim is a broad statement indicating the general purpose of your research project. It should appear in your introduction at the end of your problem statement , before your research objectives.

Research objectives are more specific than your research aim. They indicate the specific ways you’ll address the overarching aim.

A PhD, which is short for philosophiae doctor (doctor of philosophy in Latin), is the highest university degree that can be obtained. In a PhD, students spend 3–5 years writing a dissertation , which aims to make a significant, original contribution to current knowledge.

A PhD is intended to prepare students for a career as a researcher, whether that be in academia, the public sector, or the private sector.

A master’s is a 1- or 2-year graduate degree that can prepare you for a variety of careers.

All master’s involve graduate-level coursework. Some are research-intensive and intend to prepare students for further study in a PhD; these usually require their students to write a master’s thesis . Others focus on professional training for a specific career.

Critical thinking refers to the ability to evaluate information and to be aware of biases or assumptions, including your own.

Like information literacy , it involves evaluating arguments, identifying and solving problems in an objective and systematic way, and clearly communicating your ideas.

The best way to remember the difference between a research plan and a research proposal is that they have fundamentally different audiences. A research plan helps you, the researcher, organize your thoughts. On the other hand, a dissertation proposal or research proposal aims to convince others (e.g., a supervisor, a funding body, or a dissertation committee) that your research topic is relevant and worthy of being conducted.

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The Essential Guide to Doing Your Research Project

Student resources, checklist for writing a research proposal.

☑ Access and refer to successful proposals

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☑ Yet, write sufficiently

☑ Write for the non-expert

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How to Write a Research Proposal: Checklist Example

If you are a PhD doctoral or Master’s student approaching graduation, then a large research project, dissertation, or thesis is in your future. These capstone research projects take months if not years of preparation, and the first step in this process is first writing a compelling, organized, and effective research proposal.

Check out the  key differences between dissertation and thesis .

Research Proposal Checklists Are Important

We’ve got some good and bad news for the PhD and Master’s graduate students out there. 

First, the bad news. Research proposals are not easy to write. They require lots of preparation and planning. They can also seem to be an administrative task, with your PhD advisors constantly reminding you to write something that you’re not yet sure about. And of course, it’s also yet another written document that could be rejected. 

Now, the good news. Research proposals help you organize and focus your research. They also eliminate irrelevant topics that your research cannot or should not cover. Further, they help signal your academic superiors (professors, advisors, scientific community) that your research is worth pursuing.

Research proposal checklists  go one step further. A research proposal checklist helps you identify  what  you will research,  why  it is important and relevant, and  how  you will perform the research. 

This last part is critical. Research proposals are often rejected for not being feasible or being unfocused. But an organized research or thesis proposal checklist can help you stay on topic. 

This article goes into the following topics about research proposal checklists:

What is a Research Proposal?

Research proposals are documents that propose a research project in the sciences or academic fields and request funding or sponsorship.

The primary objective is to convince others that you have a worthwhile research project as well as an organized plan to accomplish‌ ‌it. 

A main purpose of a research plan is to clearly state the central research topic or question that you intend to research while providing a solid background of your particular area of research.

Your research proposal must contain a quick  summary of the current literature , including gaps in your research area’s knowledge base as well as areas of controversy, which together demonstrate your proposal is relevant, timely, and worth pursuing.

But what functions does a research proposal perform?:

Research proposals explain your research topic

An  effective  research proposal should answer the following questions:

• What is my research about? 
• What specific academic area will I be researching?
• What is the current scientific and academic literature?
• What are the accepted theories in my area of research?
• What are gaps in the knowledge base?
• What are key questions researchers are currently trying to answer?

Research proposals explain why your research topic is important

A  compelling  research proposal should answer the following questions:

• Why is my research important?
• Why is my research interesting to both academics and laypeople?
• What are my  research questions ? 
• How does my research contribute to the literature?
• How will my dissertation or thesis answer gaps or unsolved questions?
• How or why would my research earn funding in the future?
• How does my research relate to wider society or public health?

Research proposals explain how you will perform your research

A  feasible  research proposal should answer the following questions:

• How will my research be performed?
• What are my exact methods?
• What materials will I need to purchase? 
• What materials will I need to borrow from other researchers in my field?
• What relationships do I need to make or maintain with other academics?
• What is my research proposal timeline?
• What are the standard research procedures? 
• Are there any  study limitations  to discuss?
• Will I need to modify any research methods? What, if any, problems will this introduce?

Research Proposal Example Checklist

Use this research proposal example checklist as an aid to draft your own research proposal. This can help you decide what information to include and keep your ideas logically structured. 

Remember, if your research proposal cannot effectively answer every single question below, then you may want to consult your advisor. It doesn’t mean your chosen research topic is bad; it just means certain areas may need some additional focus.

Click here for the full Research Proposal Example Checklist in .pdf form

Research Proposal Title

The title of your research proposal must attract the reader’s eye, be descriptive of the research question, and be understandable for both casual and academic readers.

The title of your research proposal should do the following:

• Effectively summarize the main research idea
• Be clear to the general public
• Be compelling to academic researchers and other graduate students
• Fully explain the independent and dependent variables
• Avoid abbreviations and excessive  use of articles

Research Proposal Introduction and Research Background

The introduction typically begins with a general overview of your research field, focusing on a specific research problem or question. This is followed by an explanation of why the study should be conducted.

The introduction of your research proposal should answer the following questions:

• What is the research problem, research question, and purpose of the study?
• What is the rationale behind my study? 
• Why is answering this research question important?
• What are the major issues your research will address?
• What are the major challenges in answering the research question?
• Did you highlight or clarify the research discrepancies?

Significance of Research Proposal 

Your proposal’s introduction section should also clearly communicate why your research is significant, relevant, timely, and valid.

To effectively confirm the significance of your proposal, make sure your study accomplishes the following:

• The research results fill a defined gap in the knowledge.
• The proposed study will advance understanding of the subject.
• The research results will lead to the improvement of commonly used experimental models and methods in the future.
• The research results will yield novel findings that have academic and/or practical value.

Research Proposal Literature Review

In the literature review section, you should provide a review of the current state of the literature as well as provide a summary of the results generated by your research. Determine relevant theories, methods, and gaps in the existing research to support your research claim. 

State an overview and significance of your primary resources and provide a critical analysis highlighting what those sources lack and future directions for research.

• List your primary sources.
• List your secondary sources.
• Discuss influential research papers, paradigms, and modalities. 
• What is lacking in well-accepted research paradigms in your research field?
• What are the main theories, methods, and controversies in your research field?
• How does your research question or problem tie into the current literature? Does it extend a current idea or run counter to it?

Research Proposal Theoretical Methodology and Design

Following the literature review, it is a good idea to restate your main objectives, bringing the focus back to your own project. The research design or methodology section should describe the overall approach and practical steps you will take to answer your research questions.

To help you write a clear and structured methodology, use your plan and answer the following issues. This will give you an outline to follow and keep you on track when writing this section of your research proposal. 

• Explain whether your research method will be a study or an experiment.
• Is your research for a PhD dissertation or Master’s program?
• Explain the theoretical resources motivating your choice of methods.
• Explain how particular methods enable you to answer your research question.
• Credit any colleagues or researchers you will collaborate with.
• Explain the advantages and disadvantages of your chosen methodology.
• What is the timeline of your research experiment or study?
• Compare/contrast your research design with that of the literature and other research on your topic. 
• Are there any different or alternative methods or materials that will be used?

Additionally, explain how your results will be processed:

• How will your research results be processed and interpreted?
• What data types will your results be in?
• Explain the statistical models and processes you must perform (e.g. Student’s t-test).
• Will your study be more statistically rigorous than other studies?

Read about  how to explain research methods clearly for reproducibility .

Research Proposal Discussion and Conclusion

Your  discussion and conclusion section  has an important purpose: to persuade the reader of your proposed research study’s potential impact. This section should also directly address potential weaknesses and criticisms put forth by other researchers and academics.

• Explain the limitations and weaknesses of the proposed research.
• Explain how any potential weaknesses would be justified by extenuating circumstances such as time and financial constraints.
• What, if any, alternative research questions or problems naturally can be answered in the future?
• How does the research strengthen, support, or challenge a current theoretical framework or model?

References and Bibliography

Although it comes at the end, your reference section is vital and will be carefully scrutinized. It should include all sources of information you used to support your research, and it should be in the correct citation format. 

• Provide a complete list of references for all cited statements.
• Make sure citations are in the correct format (e.g. APA, Chicago, MLA, etc.)
• References are present in the introduction, literature review, and methodology sections.

Use the Wordvice APA Citation Generator  to instantly generate citations in APA Style, or choose one of the formats below to generate citations for the citation style of your academic work:

Using Research Proposal Examples

Although every research proposal is unique, it is a good idea to take a look at examples of research proposals before writing your initial proposal draft. This will help you understand the academic level you should aim for. Be sure to include a reference list at the end of your proposal as described above. 

In addition to reading research proposal examples, you should also outline your research proposal to make sure no crucial information or research proposal sections are missing from your final manuscript. Although the sections included in a research proposal may vary depending on whether it is a grant, doctoral dissertation, conference paper, or professional project, there are many sections in common. Knowing the differences before you draft will ensure that your proposal is cohesive and thorough.

Research Proposal Proofreading and Editing

It’s vital to take the time to redraft, edit, and proofread a research proposal before submitting it to your PhD advisor or committee. Researchers and graduate students usually turn to a professional English editing service  like Wordvice to improve their research writing.

Our academic services, including thesis editing , dissertation editing , and research paper editing , will fully prepare any academic document for publication in academic journals.

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Research Proposal Checklist

The simplest way to ensure that your research proposal ticks the necessary academic boxes and gets your study approved .

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Learn The Basics

This video covers the big-picture process of how to craft a convincing research proposal. 

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Home » How To Write A Research Proposal – Step-by-Step [Template]

How To Write A Research Proposal – Step-by-Step [Template]

Table of Contents

How To Write a Research Proposal

Writing a Research proposal involves several steps to ensure a well-structured and comprehensive document. Here is an explanation of each step:

1. Title and Abstract

• Choose a concise and descriptive title that reflects the essence of your research.
• Write an abstract summarizing your research question, objectives, methodology, and expected outcomes. It should provide a brief overview of your proposal.

2. Introduction:

• Provide an introduction to your research topic, highlighting its significance and relevance.
• Clearly state the research problem or question you aim to address.
• Discuss the background and context of the study, including previous research in the field.

3. Research Objectives

• Outline the specific objectives or aims of your research. These objectives should be clear, achievable, and aligned with the research problem.

4. Literature Review:

• Conduct a comprehensive review of relevant literature and studies related to your research topic.
• Summarize key findings, identify gaps, and highlight how your research will contribute to the existing knowledge.

5. Methodology:

• Describe the research design and methodology you plan to employ to address your research objectives.
• Explain the data collection methods, instruments, and analysis techniques you will use.
• Justify why the chosen methods are appropriate and suitable for your research.

6. Timeline:

• Create a timeline or schedule that outlines the major milestones and activities of your research project.
• Break down the research process into smaller tasks and estimate the time required for each task.

7. Resources:

• Identify the resources needed for your research, such as access to specific databases, equipment, or funding.
• Explain how you will acquire or utilize these resources to carry out your research effectively.

8. Ethical Considerations:

• Discuss any ethical issues that may arise during your research and explain how you plan to address them.
• If your research involves human subjects, explain how you will ensure their informed consent and privacy.

9. Expected Outcomes and Significance:

• Clearly state the expected outcomes or results of your research.
• Highlight the potential impact and significance of your research in advancing knowledge or addressing practical issues.

10. References:

• Provide a list of all the references cited in your proposal, following a consistent citation style (e.g., APA, MLA).

11. Appendices:

• Include any additional supporting materials, such as survey questionnaires, interview guides, or data analysis plans.

Research Proposal Format

The format of a research proposal may vary depending on the specific requirements of the institution or funding agency. However, the following is a commonly used format for a research proposal:

1. Title Page:

• Include the title of your research proposal, your name, your affiliation or institution, and the date.

2. Abstract:

• Provide a brief summary of your research proposal, highlighting the research problem, objectives, methodology, and expected outcomes.

3. Introduction:

• Introduce the research topic and provide background information.
• State the research problem or question you aim to address.
• Explain the significance and relevance of the research.
• Review relevant literature and studies related to your research topic.
• Summarize key findings and identify gaps in the existing knowledge.
• Explain how your research will contribute to filling those gaps.

5. Research Objectives:

• Clearly state the specific objectives or aims of your research.
• Ensure that the objectives are clear, focused, and aligned with the research problem.

6. Methodology:

• Describe the research design and methodology you plan to use.
• Explain the data collection methods, instruments, and analysis techniques.
• Justify why the chosen methods are appropriate for your research.

7. Timeline:

8. Resources:

• Explain how you will acquire or utilize these resources effectively.

9. Ethical Considerations:

• If applicable, explain how you will ensure informed consent and protect the privacy of research participants.

10. Expected Outcomes and Significance:

11. References:

12. Appendices:

Research Proposal Template

Here’s a template for a research proposal:

1. Introduction:

2. Literature Review:

3. Research Objectives:

4. Methodology:

5. Timeline:

6. Resources:

7. Ethical Considerations:

8. Expected Outcomes and Significance:

9. References:

10. Appendices:

Research Proposal Sample

Title: The Impact of Online Education on Student Learning Outcomes: A Comparative Study

1. Introduction

Online education has gained significant prominence in recent years, especially due to the COVID-19 pandemic. This research proposal aims to investigate the impact of online education on student learning outcomes by comparing them with traditional face-to-face instruction. The study will explore various aspects of online education, such as instructional methods, student engagement, and academic performance, to provide insights into the effectiveness of online learning.

2. Objectives

The main objectives of this research are as follows:

• To compare student learning outcomes between online and traditional face-to-face education.
• To examine the factors influencing student engagement in online learning environments.
• To assess the effectiveness of different instructional methods employed in online education.
• To identify challenges and opportunities associated with online education and suggest recommendations for improvement.

3. Methodology

3.1 Study Design

This research will utilize a mixed-methods approach to gather both quantitative and qualitative data. The study will include the following components:

3.2 Participants

The research will involve undergraduate students from two universities, one offering online education and the other providing face-to-face instruction. A total of 500 students (250 from each university) will be selected randomly to participate in the study.

3.3 Data Collection

The research will employ the following data collection methods:

• Quantitative: Pre- and post-assessments will be conducted to measure students’ learning outcomes. Data on student demographics and academic performance will also be collected from university records.
• Qualitative: Focus group discussions and individual interviews will be conducted with students to gather their perceptions and experiences regarding online education.

3.4 Data Analysis

Quantitative data will be analyzed using statistical software, employing descriptive statistics, t-tests, and regression analysis. Qualitative data will be transcribed, coded, and analyzed thematically to identify recurring patterns and themes.

4. Ethical Considerations

The study will adhere to ethical guidelines, ensuring the privacy and confidentiality of participants. Informed consent will be obtained, and participants will have the right to withdraw from the study at any time.

5. Significance and Expected Outcomes

This research will contribute to the existing literature by providing empirical evidence on the impact of online education on student learning outcomes. The findings will help educational institutions and policymakers make informed decisions about incorporating online learning methods and improving the quality of online education. Moreover, the study will identify potential challenges and opportunities related to online education and offer recommendations for enhancing student engagement and overall learning outcomes.

6. Timeline

The proposed research will be conducted over a period of 12 months, including data collection, analysis, and report writing.

The estimated budget for this research includes expenses related to data collection, software licenses, participant compensation, and research assistance. A detailed budget breakdown will be provided in the final research plan.

8. Conclusion

This research proposal aims to investigate the impact of online education on student learning outcomes through a comparative study with traditional face-to-face instruction. By exploring various dimensions of online education, this research will provide valuable insights into the effectiveness and challenges associated with online learning. The findings will contribute to the ongoing discourse on educational practices and help shape future strategies for maximizing student learning outcomes in online education settings.

About the author

Muhammad Hassan

Researcher, Academic Writer, Web developer

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Research Proposal – Types, Template and Example

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Writing Research Proposals

The research proposal is your opportunity to show that you—and only you!—are the perfect person to take on your specific project. After reading your research proposal, readers should be confident that…

• You have thoughtfully crafted and designed this project;
• You have the necessary background to complete this project;
• You have the proper support system in place;
• You know exactly what you need to complete this project and how to do so; and
• With this funding in hand, you can be on your way to a meaningful research experience and a significant contribution to your field.

Research proposals typically include the following components:

• Why is your project important? How does it contribute to the field or to society? What do you hope to prove?
• This section includes the project design, specific methodology, your specific role and responsibilities, steps you will take to execute the project, etc. Here you will show the committee the way that you think by explaining both how you have conceived the project and how you intend to carry it out.
• Please be specific in the project dates/how much time you need to carry out the proposed project. The scope of the project should clearly match the timeframe in which you propose to complete it!
• Funding agencies like to know how their funding will be used. Including this information will demonstrate that you have thoughtfully designed the project and know of all of the anticipated expenses required to see it through to completion.
• It is important that you have a support system on hand when conducting research, especially as an undergraduate. There are often surprises and challenges when working on a long-term research project and the selection committee wants to be sure that you have the support system you need to both be successful in your project and also have a meaningful research experience. 
• Some questions to consider are: How often do you intend to meet with your advisor(s)? (This may vary from project to project based on the needs of the student and the nature of the research.) What will your mode of communication be? Will you be attending (or even presenting at) lab meetings? 

Don’t be afraid to also include relevant information about your background and advocate for yourself! Do you have skills developed in a different research experience (or leadership position, job, coursework, etc.) that you could apply to the project in question? Have you already learned about and experimented with a specific method of analysis in class and are now ready to apply it to a different situation? If you already have experience with this professor/lab, please be sure to include those details in your proposal! That will show the selection committee that you are ready to hit the ground running!

Lastly, be sure to know who your readers are so that you can tailor the field-specific language of your proposal accordingly. If the selection committee are specialists in your field, you can feel free to use the jargon of that field; but if your proposal will be evaluated by an interdisciplinary committee (this is common), you might take a bit longer explaining the state of the field, specific concepts, and certainly spelling out any acronyms.

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How to prepare a Research Proposal

Health research, medical education and clinical practice form the three pillars of modern day medical practice. As one authority rightly put it: ‘Health research is not a luxury, but an essential need that no nation can afford to ignore’. Health research can and should be pursued by a broad range of people. Even if they do not conduct research themselves, they need to grasp the principles of the scientific method to understand the value and limitations of science and to be able to assess and evaluate results of research before applying them. This review paper aims to highlight the essential concepts to the students and beginning researchers and sensitize and motivate the readers to access the vast literature available on research methodologies.

Most students and beginning researchers do not fully understand what a research proposal means, nor do they understand its importance. 1 A research proposal is a detailed description of a proposed study designed to investigate a given problem. 2

A research proposal is intended to convince others that you have a worthwhile research project and that you have the competence and the work-plan to complete it. Broadly the research proposal must address the following questions regardless of your research area and the methodology you choose: What you plan to accomplish, why do you want to do it and how are you going to do it. 1 The aim of this article is to highlight the essential concepts and not to provide extensive details about this topic.

The elements of a research proposal are highlighted below:

1. Title: It should be concise and descriptive. It must be informative and catchy. An effective title not only prick’s the readers interest, but also predisposes him/her favorably towards the proposal. Often titles are stated in terms of a functional relationship, because such titles clearly indicate the independent and dependent variables. 1 The title may need to be revised after completion of writing of the protocol to reflect more closely the sense of the study. 3

2. Abstract: It is a brief summary of approximately 300 words. It should include the main research question, the rationale for the study, the hypothesis (if any) and the method. Descriptions of the method may include the design, procedures, the sample and any instruments that will be used. 1 It should stand on its own, and not refer the reader to points in the project description. 3

3. Introduction: The introduction provides the readers with the background information. Its purpose is to establish a framework for the research, so that readers can understand how it relates to other research. 4 It should answer the question of why the research needs to be done and what will be its relevance. It puts the proposal in context. 3

The introduction typically begins with a statement of the research problem in precise and clear terms. 1

The importance of the statement of the research problem 5 : The statement of the problem is the essential basis for the construction of a research proposal (research objectives, hypotheses, methodology, work plan and budget etc). It is an integral part of selecting a research topic. It will guide and put into sharper focus the research design being considered for solving the problem. It allows the investigator to describe the problem systematically, to reflect on its importance, its priority in the country and region and to point out why the proposed research on the problem should be undertaken. It also facilitates peer review of the research proposal by the funding agencies.

Then it is necessary to provide the context and set the stage for the research question in such a way as to show its necessity and importance. 1 This step is necessary for the investigators to familiarize themselves with existing knowledge about the research problem and to find out whether or not others have investigated the same or similar problems. This step is accomplished by a thorough and critical review of the literature and by personal communication with experts. 5 It helps further understanding of the problem proposed for research and may lead to refining the statement of the problem, to identify the study variables and conceptualize their relationships, and in formulation and selection of a research hypothesis. 5 It ensures that you are not "re-inventing the wheel" and demonstrates your understanding of the research problem. It gives due credit to those who have laid the groundwork for your proposed research. 1 In a proposal, the literature review is generally brief and to the point. The literature selected should be pertinent and relevant. 6

Against this background, you then present the rationale of the proposed study and clearly indicate why it is worth doing.

4. Objectives: Research objectives are the goals to be achieved by conducting the research. 5 They may be stated as ‘general’ and ‘specific’.

The general objective of the research is what is to be accomplished by the research project, for example, to determine whether or not a new vaccine should be incorporated in a public health program.

The specific objectives relate to the specific research questions the investigator wants to answer through the proposed study and may be presented as primary and secondary objectives, for example, primary: To determine the degree of protection that is attributable to the new vaccine in a study population by comparing the vaccinated and unvaccinated groups. 5 Secondary: To study the cost-effectiveness of this programme.

Young investigators are advised to resist the temptation to put too many objectives or over-ambitious objectives that cannot be adequately achieved by the implementation of the protocol. 3

5. Variables: During the planning stage, it is necessary to identify the key variables of the study and their method of measurement and unit of measurement must be clearly indicated. Four types of variables are important in research 5 :

a. Independent variables: variables that are manipulated or treated in a study in order to see what effect differences in them will have on those variables proposed as being dependent on them. The different synonyms for the term ‘independent variable’ which are used in literature are: cause, input, predisposing factor, risk factor, determinant, antecedent, characteristic and attribute.

b. Dependent variables: variables in which changes are results of the level or amount of the independent variable or variables.

Synonyms: effect, outcome, consequence, result, condition, disease.

c. Confounding or intervening variables: variables that should be studied because they may influence or ‘mix’ the effect of the independent variables. For instance, in a study of the effect of measles (independent variable) on child mortality (dependent variable), the nutritional status of the child may play an intervening (confounding) role.

d. Background variables: variables that are so often of relevance in investigations of groups or populations that they should be considered for possible inclusion in the study. For example sex, age, ethnic origin, education, marital status, social status etc.

The objective of research is usually to determine the effect of changes in one or more independent variables on one or more dependent variables. For example, a study may ask "Will alcohol intake (independent variable) have an effect on development of gastric ulcer (dependent variable)?"

Certain variables may not be easy to identify. The characteristics that define these variables must be clearly identified for the purpose of the study.

6. Questions and/ or hypotheses: If you as a researcher know enough to make prediction concerning what you are studying, then the hypothesis may be formulated. A hypothesis can be defined as a tentative prediction or explanation of the relationship between two or more variables. In other words, the hypothesis translates the problem statement into a precise, unambiguous prediction of expected outcomes. Hypotheses are not meant to be haphazard guesses, but should reflect the depth of knowledge, imagination and experience of the investigator. 5 In the process of formulating the hypotheses, all variables relevant to the study must be identified. For example: "Health education involving active participation by mothers will produce more positive changes in child feeding than health education based on lectures". Here the independent variable is types of health education and the dependent variable is changes in child feeding.

A research question poses a relationship between two or more variables but phrases the relationship as a question; a hypothesis represents a declarative statement of the relations between two or more variables. 7

For exploratory or phenomenological research, you may not have any hypothesis (please do not confuse the hypothesis with the statistical null hypothesis). 1 Questions are relevant to normative or census type research (How many of them are there? Is there a relationship between them?). Deciding whether to use questions or hypotheses depends on factors such as the purpose of the study, the nature of the design and methodology, and the audience of the research (at times even the outlook and preference of the committee members, particularly the Chair). 6

7. Methodology: The method section is very important because it tells your research Committee how you plan to tackle your research problem. The guiding principle for writing the Methods section is that it should contain sufficient information for the reader to determine whether the methodology is sound. Some even argue that a good proposal should contain sufficient details for another qualified researcher to implement the study. 1 Indicate the methodological steps you will take to answer every question or to test every hypothesis illustrated in the Questions/hypotheses section. 6 It is vital that you consult a biostatistician during the planning stage of your study, 8 to resolve the methodological issues before submitting the proposal.

This section should include:

Research design: The selection of the research strategy is the core of research design and is probably the single most important decision the investigator has to make. The choice of the strategy, whether descriptive, analytical, experimental, operational or a combination of these depend on a number of considerations, 5 but this choice must be explained in relation to the study objectives. 3

Research subjects or participants: Depending on the type of your study, the following questions should be answered 3 , 5

• - What are the criteria for inclusion or selection?
• - What are the criteria for exclusion?
• - What is the sampling procedure you will use so as to ensure representativeness and reliability of the sample and to minimize sampling errors? The key reason for being concerned with sampling is the issue of validity-both internal and external of the study results. 9
• - Will there be use of controls in your study? Controls or comparison groups are used in scientific research in order to increase the validity of the conclusions. Control groups are necessary in all analytical epidemiological studies, in experimental studies of drug trials, in research on effects of intervention programmes and disease control measures and in many other investigations. Some descriptive studies (studies of existing data, surveys) may not require control groups.
• - What are the criteria for discontinuation?

Sample size: The proposal should provide information and justification (basis on which the sample size is calculated) about sample size in the methodology section. 3 A larger sample size than needed to test the research hypothesis increases the cost and duration of the study and will be unethical if it exposes human subjects to any potential unnecessary risk without additional benefit. A smaller sample size than needed can also be unethical as it exposes human subjects to risk with no benefit to scientific knowledge. Calculation of sample size has been made easy by computer software programmes, but the principles underlying the estimation should be well understood.

Interventions: If an intervention is introduced, a description must be given of the drugs or devices (proprietary names, manufacturer, chemical composition, dose, frequency of administration) if they are already commercially available. If they are in phases of experimentation or are already commercially available but used for other indications, information must be provided on available pre-clinical investigations in animals and/or results of studies already conducted in humans (in such cases, approval of the drug regulatory agency in the country is needed before the study). 3

Ethical issues 3 : Ethical considerations apply to all types of health research. Before the proposal is submitted to the Ethics Committee for approval, two important documents mentioned below (where appropriate) must be appended to the proposal. In additions, there is another vital issue of Conflict of Interest, wherein the researchers should furnish a statement regarding the same.

The Informed consent form (informed decision-making): A consent form, where appropriate, must be developed and attached to the proposal. It should be written in the prospective subjects’ mother tongue and in simple language which can be easily understood by the subject. The use of medical terminology should be avoided as far as possible. Special care is needed when subjects are illiterate. It should explain why the study is being done and why the subject has been asked to participate. It should describe, in sequence, what will happen in the course of the study, giving enough detail for the subject to gain a clear idea of what to expect. It should clarify whether or not the study procedures offer any benefits to the subject or to others, and explain the nature, likelihood and treatment of anticipated discomfort or adverse effects, including psychological and social risks, if any. Where relevant, a comparison with risks posed by standard drugs or treatment must be included. If the risks are unknown or a comparative risk cannot be given it should be so stated. It should indicate that the subject has the right to withdraw from the study at any time without, in any way, affecting his/her further medical care. It should assure the participant of confidentiality of the findings.

Ethics checklist: The proposal must describe the measures that will be undertaken to ensure that the proposed research is carried out in accordance with the World Medical Association Declaration of Helsinki on Ethical Principles for Medical research involving Human Subjects. 10 It must answer the following questions:

• • Is the research design adequate to provide answers to the research question? It is unethical to expose subjects to research that will have no value.
• • Is the method of selection of research subjects justified? The use of vulnerable subjects as research participants needs special justification. Vulnerable subjects include those in prison, minors and persons with mental disability. In international research it is important to mention that the population in which the study is conducted will benefit from any potential outcome of the research and the research is not being conducted solely for the benefit of some other population. Justification is needed for any inducement, financial or otherwise, for the participants to be enrolled in the study.
• • Are the interventions justified, in terms of risk/benefit ratio? Risks are not limited to physical harm. Psychological and social risks must also be considered.
• • For observations made, have measures been taken to ensure confidentiality?

Research setting 5 : The research setting includes all the pertinent facets of the study, such as the population to be studied (sampling frame), the place and time of study.

Study instruments 3 , 5 : Instruments are the tools by which the data are collected. For validated questionnaires/interview schedules, reference to published work should be given and the instrument appended to the proposal. For new a questionnaire which is being designed specifically for your study the details about preparing, precoding and pretesting of questionnaire should be furnished and the document appended to the proposal. Descriptions of other methods of observations like medical examination, laboratory tests and screening procedures is necessary- for established procedures, reference of published work cited but for new or modified procedure, an adequate description is necessary with justification for the same.

Collection of data: A short description of the protocol of data collection. For example, in a study on blood pressure measurement: time of participant arrival, rest for 5p. 10 minutes, which apparatus (standard calibrated) to be used, in which room to take measurement, measurement in sitting or lying down position, how many measurements, measurement in which arm first (whether this is going to be randomized), details of cuff and its placement, who will take the measurement. This minimizes the possibility of confusion, delays and errors.

Data analysis: The description should include the design of the analysis form, plans for processing and coding the data and the choice of the statistical method to be applied to each data. What will be the procedures for accounting for missing, unused or spurious data?

Monitoring, supervision and quality control: Detailed statement about the all logistical issues to satisfy the requirements of Good Clinical Practices (GCP), protocol procedures, responsibilities of each member of the research team, training of study investigators, steps taken to assure quality control (laboratory procedures, equipment calibration etc)

Gantt chart: A Gantt chart is an overview of tasks/proposed activities and a time frame for the same. You put weeks, days or months at one side, and the tasks at the other. You draw fat lines to indicate the period the task will be performed to give a timeline for your research study (take help of tutorial on youtube). 11

Significance of the study: Indicate how your research will refine, revise or extend existing knowledge in the area under investigation. How will it benefit the concerned stakeholders? What could be the larger implications of your research study?

Dissemination of the study results: How do you propose to share the findings of your study with professional peers, practitioners, participants and the funding agency?

Budget: A proposal budget with item wise/activity wise breakdown and justification for the same. Indicate how will the study be financed.

References: The proposal should end with relevant references on the subject. For web based search include the date of access for the cited website, for example: add the sentence "accessed on June 10, 2008".

Appendixes: Include the appropriate appendixes in the proposal. For example: Interview protocols, sample of informed consent forms, cover letters sent to appropriate stakeholders, official letters for permission to conduct research. Regarding original scales or questionnaires, if the instrument is copyrighted then permission in writing to reproduce the instrument from the copyright holder or proof of purchase of the instrument must be submitted.

Learn: Proposal Review and Submission

The following materials have been developed to assist with proposal preparation and submission at UC Davis.

• Quick Overview: Proposal and Award Process
• Responsibilities: PIs / Department Administrators

Proposals for Sponsored Programs review and approval must be submitted through Cayuse SP .

• Learn: Cayuse SP .

Proposal FAQs

Written materials:

• Call for Proposals Checklist – 2-page checklist to help extract key information from a call for proposals
• New Proposals Checklist – 4-page checklist of items to consider when you begin preparing a new grant proposal
• Proposal Preparation Checklist – 1-page checklist to assist with proposal preparation
• Proposal Preparation and Submission Handbook  – Comprehensive 21-page document on proposal preparation and submission
• Prepare Proposal Components webpage – The Interdisciplinary Research Support (IRS) team has developed templates and samples of many common proposal elements for several sponsors.
• Senior/Key Personnel Descriptions – 2-page list of personnel titles with descriptions of their grant proposal roles
• NSF Biosketch Tipsheet – 1-page instructions to complete NSF Biographical Sketch and Current and Pending forms
• Submitting Proposals with Cost Sharing – 6-page table to help determine how much cost-share info to include in a proposal submission
• “Unlocked” Proposal Preparation and Submission eCourse – this version will not earn you course credit but allows you to navigate to any section (using the menu on left) to find information you seek.
• Workshop slide deck    

Other Proposal and Award Learning Resources

Quick Links

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Office Units

Proposal Preparation and Submission

Categories:

Introduction

A proposal is more than a pitch document; it’s a work plan. If the agency awards the project, you will have to follow the plan that your proposal represents. Proposals are complex documents with specific requirements for each section. Be sure that you understand each component and allocate adequate time to put together your budget and gather the necessary components for your proposal. Keep in mind that some components require additional review so that should also be accounted for in your preparation timeline.

Proposal Development and Routing

Stanford internally tracks, collects, and routes all the proposal documents and approvals and waivers necessary for review and endorsement by Stanford University within the Stanford Electronic Research Administration (SeRA) System using the SeRA Proposal Development and Routing Form (PDRF).  

For School of Medicine (SoM) proposals, the PI/ department should initiate, complete and route a SeRA Proposal Intake Form (PIF) to RMG for review and approval (recommended at least 30 days in advance of the sponsor deadline). The RMG Research Process Manager will follow up with a draft budget, internal deadlines, additional proposal guidance as needed, and will initiate the SeRA PDRF.

Note: the SoM SeRA PIF Process excludes SoM post doctoral fellowships and industry sponsored clinical trials.

For non-School of Medicine proposals, the PI/ department should initiate, complete and route a SeRA Proposal Development Routing Form (PDRF) to OSR for review and endorsement in accordance with the Stanford internal proposal deadline policy . 

Visit the SeRA Proposal Routing webpage for complete proposal routing instructions and additional resources.

Review and Approvals

The Principal Investigator’s review and approval collected in the PDRF provides the certifications required by government agencies, and an agreement to comply with Stanford and sponsor policies.

Departmental review and approvals confirm financial commitments made in a proposal, and that stated personnel and facilities are available to carry out the project. Other required special approvals that are provided by the applicable Stanford office (such as SLAC involvement, international activity, PI waivers, etc.) are also collected and documented in the PDRF. 

Final Review and Endorsement

The Institutional Official (IO) reviews the information contained in the PDRF to endorse the proposal. The IO submits the endorsed proposal to the sponsor on behalf of Stanford University.

Proposal Timeline

As you complete the PDRF, you will get a better understanding of the complexity of your proposal including the approvals that you may have to obtain from various offices on campus.

Keep in mind, reviews do not have to be sequential. If you know a proposal will require a special approval, e.g., an indirect cost waiver or waiver for PIship, initiate those requests as soon as possible. Your timeline’s starting point is the sponsor’s deadline. From there, you will factor in your institutional official’s proposal review policy (+5 business days) as well as any other special approvals you may need (see picture above). Remember to allow for extra time when the proposal includes components with external approvals such as subawards or work conducted abroad. Also don’t forget to check the timezone that your proposal is due by (PST, CT, EST, Greenwich time, etc.). Understand what is required by reading the OSR Internal Proposal Deadline Policy Memo 2015 , Q&A Clarifying the University Proposal Deadline Policy and the School of Medicine Internal Proposal Deadline Policy and FAQs .

Proposal Timeline Guidance

The PI and support staff prepare the proposal in time for routing through department and school channels for approval. The complexity of your proposal and the approvals needed from other offices/departments will determine the length of your timeline. 

30 days or more to prepare the proposal budget

In the School of Medicine, the PI and support staff work in close collaboration with the Research Management Group (RMG). The Research Process Manager (RPM) assigned to the applicable SoM department will also create the budget for the proposal. RMG requests a 30-day or more advance notification (School of Medicine only).

For other schools, a similar timeframe +30 days will ensure sufficient time to complete all the steps in the proposal preparation process. 

In the School of Engineering, the PI and supporting staff work with the Engineering Research Administration (ERA) group to put together all the proposal documentation.

In other schools, the PI and support staff complete all of the documentation that ultimately gets routed for department/school approvals and institutional endorsement and submission.

PI Eligibility & Exceptions

Eligibility to serve as a PI or Co-PI on externally-funded research projects is a privilege generally granted only to members of the Stanford Academic Council or to the University Medical Line faculty. This policy is intended to ensure that the intellectual direction of research and scholarship is explicitly recognized as the responsibility of the PI. Designation as a project PI confers primary responsibility for the scientific, technical, and fiscal direction of the project to that individual. This designation, once granted to a specific named PI, may not be delegated to any other faculty member or staff member.

However, the University recognizes that there may be special situations for which it is acceptable to grant PI-ship to other individuals. Exceptions to the policy may be granted under special circumstances, and a waiver of PI status is required.

• For example, a researcher who is otherwise not eligible may be approved to serve as PI on externally-funded activities related to the sponsorship of conferences, exhibits, workshops, or public events; specific projects that are part of a larger interdisciplinary program; or career development awards. These exceptions must be approved by the department chair and the school dean.  
• In addition, the University recognizes that there may be other unique and rare situations that warrant an exception to the policy, such as allowing short-term PI-ship for a visiting faculty member or granting permission for a not-yet-approved faculty member to submit a proposal. In addition to department and school approval, these requests must also be approved by the Dean of Research. To learn more see RPH 2.1: Principal Investigator Eligibility and Criteria for Exceptions .
• Note also that the University distinguishes between PI or co-PI and other project personnel designations (e.g., Associate Investigators), as may be needed in the presentation of specific proposal staffing requirements.   

Submission of the proposal in the name of a "nominal" Principal Investigator who then delegates primary responsibility to an ineligible PI is inconsistent with the responsibility of Academic Council members for the intellectual direction of the University and is not permitted. See RPH 14.2: Academic Policies Pertaining to Sponsored Project Proposals .

Check with your school for time required to request a waiver of indirect (F&A) costs

The Dean of Research will consider requests for indirect (F&A) cost waivers in very limited circumstances. The PI should initiate the request for approval first to her department chair and school dean's office; requests must adhere to RPH . If approval is obtained, the request must be sent to the Dean of Research Office for approval.

For projects administered within the School of Medicine, the request must be sent to the Dean of the School of Medicine through the Research Management Group once it is approved by the PI’s department chair.

10 business days or more prior to sponsor deadline

The PI and School/Departmental approvals of the PDRF including attachments (at a minimum, a copy of the draft scientific portion of the proposal, internal budget and budget justification)  should have been completed by now in the SeRA system. This will ensure that approvals from other offices (indirect cost waiver, global affairs review, export control review, etc.) will be completed on time for the final review and endorsement by the Institutional Official (IO). Finally, the proposal forms and documentation should be simultaneously accessible for review in the sponsor’s proposal application portal (ASSIST, Cayuse 424, Fastlane, Research.gov, etc.).  

5 business days or more prior to sponsor deadline

The approvals from other offices are now complete in the PDRF (some are collected within the PDRF such as the export control review while others require for the e-mail approval to be attached to the PDRF, i.e. foundation relations approval) and the proposal is now ready for the institutional official to review. During this review period, your IO will let you know if changes or corrections are needed. 

By the sponsor's deadline date and time

Once the proposal is fully compliant, the proposal is endorsed and submitted by your IO in OSR or RMG (SoM only) to the sponsor on behalf of the University via the sponsor's requested method. Remember that the proposal may be due by a set time in a different time zone from ours (e.g., MST, EST, foreign country time zone, etc..)

Check eProtocol for panel schedule

If the proposal has an extremely high probability of being awarded soon, request a protocol approval by Stanford compliance panels when the research involves human subjects, stem cells, animal subjects, or hazardous substances.

Who is My Preaward Institutional Official?

The Institutional Official (IO) is an individual named by Stanford, who is authorized to act for the institution, and to assume the obligations imposed by federal, state and local laws, regulations, requirements and conditions, as well as Stanford policy that applies to a proposal and award.

The IO reviews, endorses, signs and submits proposals to the sponsor on behalf of Stanford. In signing a proposal and in accepting a corresponding award, this individual certifies that Stanford will comply with the assurances and certifications referenced in the application. 

This individual's signature further certifies that Stanford will be accountable both for appropriate use of funds awarded and performance of the sponsored project activities resulting from the application.

IO Responsibilities by Central Office

Stanford Proposal Preparation Resources

The Office of Sponsored Research , the School of Medicine's  Research Management Group  and the School of Engineering's Engineering Research Administration group along with your school-based research administrators can help you with your proposal.

In addition Stanford offers support for your proposals from the following offices:

Stanford Research Development Office (RDO), is a unit under VPDoR that aims to strengthen collaborative or strategic research and scholarly activities through support for funding applications. RDO supports research teams from across the University, with an emphasis on complex or strategic proposals. This often includes large, multi-PI, multi-disciplinary proposals, but can also apply to other projects depending on the discipline or specific situation.

RDO’s goal is to enhance the competitiveness of proposals through grantsmanship while reducing the burden on PIs. They provide (pre-)preaward support that might include finding the right fit between project and sponsor, supporting team formation and concept development, coordinating proposal development, and editing of proposals.

University Corporate and Foundation Relations (UCFR) is a central university office that helps to foster relationships between Stanford University and companies and private professional foundations. Part of the Office of Development, they help faculty and external funding partners connect and collaborate to advance mutual goals that align with the university’s research and teaching mission. 

The Office of Science Outreach  (OSO) helps faculty engage in science outreach, including organized activities targeted at youth, school teachers, and the general public that will increase their interest, understanding, and involvement in math, science, and engineering.  

OSO serves faculty throughout the University by assisting them in creating outreach project ideas and proposals, identifying potential partners for them (both within Stanford as well as externally), and facilitating information and resource sharing among all of the University's science outreach programs. 

They can brainstorm/suggest outreach ideas to incorporate in your proposal, review and give feedback on a draft proposal, find a specific audience/partner for your project, or write/acquire letters of support from project partners/participants. OSO also provides programs faculty members can tap into to fulfill outreach requirements while continuing to conduct research and perform teaching duties.

The Stanford Center for Clinical and Translational Education and Research (Spectrum) is an independent research center funded in part by an NIH Clinical and Translational Science Award (CTSA). Its goal is to accelerate and enhance medical research, from basic discovery to improved patient care.

Global Business Services

Are you planning travel abroad to study, research, or volunteer? Will you be collaborating with international visitors either here at Stanford or abroad? If so, you must be aware of your individual responsibilities for understanding the laws, regulations, and requirements that apply. Prepare for your international academic activity with the wealth of tools and services available to you.

University Libraries Data Management Services

Data management is emerging as a key component of funding agency requirements. Stanford University Libraries offers tools and services to help researchers comply with funding agency provisions on data management and to improve the visibility of their research.

The Data Management Planning Tool provides templates, Stanford-specific guidance, and suggested answer text for creating a data management plan for your next grant submission. The Stanford Digital Repository provides long-term preservation of your important research data in a secure, sustainable stewardship environment, combined with a persistent URL (PURL) that allows for easy data discovery, access, sharing, and reuse.

Sponsor Proposal Preparation Guidelines

Before you prepare a proposal, study and follow the current specific agency/sponsor guidelines to understand your responsibilities. 

Federal agencies

Most federal agencies issue guidelines with the funding opportunities and are attached to the grants.gov listing. 

The National Institutes of Health and the National Science Foundation, two of our top funders, provide many resources for proposal preparation and award management:

• NIH How to Apply
• NIH Grants Policy
• NSF Proposal and Award Policies and Procedures Guide (PAPPG) and Policy Information

Proposal Submission

Once the proposal has been reviewed by the institutional official, it gets submitted to the sponsor via the method prescribed in the associated solicitation/funding opportunity announcement. The vast majority of our proposals must be submitted via an electronic portal by an institutional official. To guide you in determining the portal to use, please see the below table:

Federal Agencies

• Grants.gov is the official funding opportunity announcement website for the federal government. Stanford University does not use Grants.gov’s electronic proposal submission portal called Workspace.  Once you locate a program announcement in Grants.gov, use the table above to determine the method of submission applicable to that program announcement.  
• Cayuse Proposals (S2S) is a web-based software service that provides faculty researchers and support staff an easier, faster interface to Grants.gov for submitting research proposals to federal agencies. 
• NSF Research.gov is the National Science Foundation online system that support all functions of the proposal process: submission, review, award, and reporting. All reporting functionality (technical and financial)  is in Research.gov. The old NSF FastLane system has been retired.  For a status update on FastLane system decommissioning and transition to Research.gov transition click Here .
• NASA NSPIRES - NASA utilizes this online system to announce NASA funding opportunities. In some instances, pre-proposals and/or full proposals are accepted via NSPIRES.
• NIH ERA Commons is an investigator registration system that works in conjunction with ASSIST and Grants.gov to insure receipt of applications by the National Institutes of Health. All investigators must be registered in NIH Commons prior to submitting proposals to NIH and other Public Health Service agencies.

Private Agencies

Proposals to foundations, corporations and other non-profit agencies are submitted via a variety of methods. Make sure to check the instructions from the sponsor and verify that we are registered for their electronic method of submission. Some foundations also require coordination and prior approval with foundation relations. Please refer to the  Restricted Foundation List.  Applications to restricted foundations require coordination with the  Office of University Foundation Relations.

• Proposal Central supports a variety of non-profit funding agencies in proposal submission. Agencies that utilize this system include the American Cancer Society, the Arthritis Foundation, the Cystic Fibrosis Foundation, and the Muscular Dystrophy Association.

Created: 04.01.2021

Updated: 09.11.2024

Proposal Checklist

The following items should be considered in the preparation and review of proposals. The checklist will help to expedite review of proposals within the University of Hawai‘i (UH), avoid delays in rewriting and revising proposals, and facilitate planning for initiation of the proposed project.

1. General Considerations

• Are the correct forms being used?
• Are the proper institutional identification numbers, applicant name, and address being used? Note: The organization name should always be the institution’s legal name of “University of Hawai‘i” no matter which campus the lead unit is affiliated with. (See UH Institutional Profile .)
• Does the proposal conform to the sponsor’s page and font size limitations?
• Does the proposal include all necessary attachments (e.g., biographical sketches or certifications and assurances to be completed by ORS)?
• Is the Research and Training Revolving Fund (RTRF) allocation accurately reflected in the myGRANT proposal development record (PD)?
• Is effort properly reflected in the myGRANT PD? Note: The unit effort should always be entered as 100%, even if individual effort is entered as 0%.
• Has the my GRANT proposal development record been properly completed and routed through the my GRANT system for internal approval by all units involved in the proposal?
• Does the total in the budget attachment match the requested proposal amount in myGRANT?
• Are budget periods accurately reflected, and start and end dates consistent with the proposed period of performance?
• Are all budget subtotals and totals accurate and consistent (e.g., no calculation or rounding errors)?
• Are all costs allowable, reasonable and allocable to the project?
• Are costs that are normally recovered through the Facilities & Administrative (F&A) rate (aka indirect cost rate), such as administrative and clerical staff, office supplies, postage, and telephone costs explicitly budgeted and justified in the proposal budget?
• Is overload compensation / extra service pay explicitly budgeted? (See AP 12.407 .)
• Does the budget conform to sponsor limitations (e.g., salary caps, prohibitions on the purchase of equipment, etc.)?
• Are the proper fringe and F&A rates being used? (See Rates page.)
• If there is committed cost sharing, is the cost sharing amount accurately reflected in the myGRANT budget tab, the budget attachment and the proposal? (See Cost Sharing page.)

3. External Collaborators

• If other institutions are participating in the proposal, have appropriate approvals from the participating institutions been obtained (e.g., subrecipient commitment letters)?
• Is the role of each institution clearly stated in the proposal to avoid misunderstandings and potential disputes?

4. Cost Sharing

• Have cost sharing commitments been endorsed by the appropriate UH official?
• Have third party commitment letters been obtained, if applicable?

5. Space, Funding and Risk Considerations

• Have requirements for space or specialized facilities (e.g., secure facilities) been brought to the attention of the unit’s chair, dean or director, and arrangements been made to accommodate the proposed project?
• Other than for cost sharing, have any requirements for the commitment of institutional funds been brought to the attention of the unit’s chair, dean or director,and sources of funding committed to the proposed project?
• Have proper precautions been taken to mitigate risks or potential risks of the proposed project?

6. Research Compliance Considerations

• If the project involves the use of human subjects, have provisions been made for application and review by the UH Human Studies Program?
• If the project involves the use of vertebrate animals and/or their by-products, have provisions been made for application and review by the UH Animal Welfare Program?
• Biological materials
• Pathogenic and nonpathogenic microorganisms
• Plants or plant materials
• Animals (including arthropods)
• Recombinant DNA or synthetic nucleic acids
• Human or animal and parts (cells, tissues, organs, body fluids, etc.) biologically derived toxins
• Environmental samples for biological, engineered nanomaterials or prions
• Other transmissible spongiform encephalopathies
• If the proposed project involves compressed gas diving or radioactive material, has the UH Environmental Health & Safety Office been consulted?
• If the project involves the use of export-controlled technology, have provisions been made to secure the necessary licenses?
• If the project involves classified or proprietary research, has the UH Facility Security Officer been consulted?
• Have all personnel with responsibility for the design, conduct or reporting of the proposed project submitted a Conflict of Interest disclosure in the UH rCOI system ? (See the COI Disclosure page.)

7. Other Considerations

• If the project is a limited submission, have appropriate approvals been obtained? (See Regular & Limited Submissions information.)
• If the proposed project involves the use of pre-existing intellectual property, such as inventions, copyright works, patent pending inventions, or proprietary materials, has the UH Office of Technology Transfer been consulted to ensure proper protections or permissions are put in place if needed?
• If the sponsor or prime sponsor for your proposal is the National Science Foundation and your proposal includes off-campus or off-site research, have you included in your proposal a Plan for Conducting Off-Campus or Off-Site Research in a Safe and Inclusive Working Environment? (See required form .)
• If you are submitting a proposal for Small Business Innovation Research (SBIR) or Small Business Technology Transfer (STTR), have all required guidelines been complied with?

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Research at Brown

Proposal review checklists.

DOD-Grants.gov Checklist

NIH Checklist

NIH Fellowship Checklist

NIH Training Grant Checklist

NSF Grants.gov Checklist

NASA Grants.gov Checklist

Non-Grants.gov Checklist

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• Proposal Preparation: Forms, Checklists & Templates
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Be prepared.

Special Note for Mac Users: When filling out a fillable PDF form, you need to sign and then Print to PDF before sending. If Mac users do not Print to PDF, the completed fields are not visible when opened on a Windows system.

Proposal Preparation

GETTING STARTED

The minimum documents required for beginning a proposal include:

• Online PSR User Guide   Updated 1/2024
• Offline PSR Certifications Form
• Cost Estimation Tool Business Processes Updated 06/2019
• Budget Justification Template   Updated 07/2024  (Note: only required by OCG if sponsor requirement) and  Checklist  

Please refer to the Detailed Proposal Process for more information on developing your proposal with your assigned OCG Proposal Analyst . 

• Proposal Submission Request (PSR)   Note : Effective January 15, 2024, all PSR forms are completed online through infoEd. 
• Request for Externally Sponsored Student Design Project
• Indirect Cost Addendum   Updated 03/2021
• Indirect Cost Reduction or Waiver Request
• NSF Proposal Documents PI Checklist  
• NSF Proposal Submission Review Checklist  
• NSF CAREER Proposal Submission Review Checklist
• NSF CAREER Proposal Synopsis of Solicitation Requirements
• NIH Required Documents R01/R03/R21 PI Checklist   Updated 01/2024 
• NIH Proposal Submission Review Checklist   Updated 01/2024
• NIH NRSA Fellowship Proposal Review Checklist
• NASA Proposal Documents PI Checklist
• NASA ROSES Proposal Submission Review Checklist
• NASA ROSES PI Proposal Preparation Information for Dual Anonymous Peer Review (DAPR) ​

BUDGET SPECIFIC TEMPLATES & SAMPLES

• Budget Justification Template   Updated 08/2024

Cost Estimation Tool - formerly Account Code Budget Template

• Cost Estimation Tool   Updated 07/2024  Note: If old version is downloaded (check cell A212 for version date), please try clearing your cache and re-downloading.

NIH Budget Templates

• NIH Cost Estimation Tool   Updated 08/2024  Note: If old version is downloaded (check cell A215 for version date), please try clearing your cache and re-downloading.
• NIH Modular Budget Template   Updated 10/2023
• NIH Additional Narrative Justification Template   New 09/2023  with new DMS requirements
• NIH Fellowship F Series Budget Template   Updated 06/2024

NASA Fellowship/Student Research Grant Budgets​

• NASA NSTGRO Budget Template
• NASA FINESST Budget Template
• NASA Fellowship Activity Budget Template

Lab Venture Challenge Budget Template

• LVC Budget Template

OTHER TEMPLATES & SAMPLES

• CU Boulder's Safe & Inclusive Working Environment for Off-Campus or Off-Site Research Plan Template   Updated 05/2023
• Data Management Plan Tool (DMPTool)
• Instructional Guide: NSF Biosketch and Current and Pending Forms, SciENcv
• NSF Collaborator Template and NSF Biosketch and Current and Pending Information
• NIH Multiple PI Leadership Plan Sample
• SciENcv for NIH Biosketches
• NIH Authentication of Key Biological and/or Chemical Resources
• NIH Human Subjects Study Record
• Statement of Work Template
• Facilities Template   New 10/2021

SUBCONTRACTING PROPOSAL DEVELOPMENT

• Subrecipient Commitment Form   Updated 01/2024 ​A select list of universities do not need to provide the Subrecipient Commitment Form. For more information,  read the news article  and/or go to the FDP Clearinghouse website.
• Subrecipient Statement of Collaborative Intent  Updated 10/2022 ​A select list of universities may provide a Statement of Collaborative Intent (also known as a "Letter of Commitment") in place of the Subrecipient Commitment Form. For more information, read the news article  and/or go to the FDP Clearinghouse website.
• Subrecipient China Assurance Form
• Subrecipient Review Form   Updated 04/2022
• Vendor vs. Sub Determination Form   Updated 03/2017
• Sub Agreement/Vendor/Consultant Decision Tree
• Sole Source Justification  (Procurements Only; required for subcontracts on proposals)  Updated 02/2017

Did you receive an award?

Email it right away to [email protected] for processing.

Find your department's Proposal Analyst in the Unit Directory .

Proposal Preparation Checklist

Checklist tool containing common grant elements.    

Research Proposal Example Checklist

Introduction:.

A research proposal is a document proposing a research project, usually in the sciences or academic fields, which requests funding/sponsorship for that research project.

"They are used to persuade potential supervisors and funders that your work is worthy of their support " - Prospects 

The main objective should be to convince others that you have a worthwhile research project and that you have the competence and the work-plan to complete it. 

It should always clearly state the central issue or question that you intend to address through your research and outline the general area of research.

It should contain a brief review of available literature, knowledge sources and debates on the topic to demonstrate the originality of the proposed research.

It's important to avoid unsupported subjective arguments and don't assume that the reader will be intimately familiar with the subject.

Use this 'Research Proposal Example' checklist alongside the proposal document you are planning to submit, to make sure it contains all the right information, is structured and coherent, and displays the facts in an interesting and engaging way. 

Process Street  is  super-powered checklists.  It’s the easiest way to manage your  recurring tasks , procedures, and workflows.

Create a  checklist template  and  run individual checklists  for each member of your team. You can check tasks off as you work through them, set deadlines,  add approvals ,  assign tasks , and  track each team member's progress .

You can also  connect to thousands of Apps  through  Zapier  and automate your workflows even more.

Complete checklist details

Enter the checklist details in the form fields below. 

Enter sponsor details

Enter details of the research proposal in the fields below. 

Pre-Proposal Writing Tasks:

Gather information.

Although it is crucial to follow and strictly adhere to the RFP guidelines before you start your proposal, make sure you think about, gather information and address the following questions before starting the proposal:

Plan your proposal

Using the information gathered in task 5 and the RFP/proposal guidelines, list what you plan to include in the following sections:

Choose a title

Your proposal title needs to be catchy, descriptive, informative and pre-dispose the reader favorably towards the proposal.

Brainstorm potential title ideas and record them below.

Run each title option through the below criteria and choose the final title by selecting the title which best meets the criteria. 

Record your final title in the field below. 

• 1 Is it concise?
• 2 Is it descriptive?
• 3 Is it informative?
• 4 Is it catchy?
• 5 Does it predispose the reader, favorably, towards the proposal?

Add this to the cover page in your proposal document. 

Proposal Writing Tasks:

Write your introduction.

The introduction typically begins with a general statement of the problem area, with a focus on a specific research problem, to be followed by the rationale or justification for the proposed study

Provide brief answers to the following questions, and use what you planned to include in your introduction, to help you write a concise, interesting and informative first draft introduction in the last field.

This is what you planned to include in your introduction: {{form.Introduction}}

Check your introduction

Your introduction is a key part of your proposal as it introduces the reader to your proposal.

Make sure your introduction meets the following criteria.

Your first draft introduction:

{{form.Introduction_First_Draft}}

Edit your first draft until you are happy it meets the below criteria and then add it to the bottom field, ready to copy and paste into your proposal document. 

• 1 Have you provided the necessary background or context for your research problem?
• 2 Have you framed the research question in the context of either a current "hot" topic or an older topic that still remains viable?
• 3 Is there an historical backdrop?

When you are satisfied, add this to 'Introduction' section in your proposal document.  

Confirm your aims & objectives

Think about what you hope to achieve with the research project and determine the specific steps that need to be taken to achieve the desired outcomes.

Record the project aims and objectives in the fields below. 

Add this to the 'Aims& objectives' section in your proposal document. 

Confirm your rough timeline

You should include an outline of the various stages and corresponding timelines for developing and implementing the research. 

Record the proposed timings and the justifications for these timings in the fields below. 

Add this to the 'Aims & objectives' section in your proposal document. 

Write your literature review

This section requires you to provide an overview of the current knowledge that exists in your research topic area. You must identify relevant theories, methods, and gaps in the existing research to state the case for your research. 

Using mainly primary sources, state the significance of these resources and perform critical analysis of these resources in your proposal document.

This is what you planned to include in your literature review: {{form.Literature_Review}}

Record your primary, secondary, and influential paper sources below, so you can add these to your references section. 

Check your literature review

Once you have written your literature review, check it meets the following criteria: 

• 1 Is your review stimulating and engaging?
• 2 Have you used subheadings to bring order and structure to your review?
• 3 Do you cite influential papers?
• 4 Have you critically evaluated cited papers?
• 5 Have you included any recent developments?
• 6 Have you removed any irrelevant or trivial references?
• 7 Is the majority of your research from primary sources?

Write your methodology

This section will demonstrate how you plan to tackle your research problem.

To help you write a clear and structured methodology use your plan and answer the below questions to give you an outline to follow and keep you on track when writing this section of your proposal document.  

This is what you planned to include in the methodology: {{form.Methodology}}

Write your expected results

Obviously you do not yet have the results at this stage. However, you need to have an idea about the results you plan to get.

Use your plan and answer the following questions before you write your expected results section

This is what you planned to include in the expected results section: {{form.Expected_Results}}

Write your discussion/conclusion

Use this section to convince your reader of the potential impact of your proposed research.

Use your plan and answer these questions before you write your discussion section, so you can convince the reader of the impact of your research.

This is what you planned to include in the discussion/conclusion section: {{form.Discussion}}

Write the abstract

While the summary or abstract should be the first element of your finished proposal, it’s often best to write it last - as its simply an abbreviated version of your project

Write your abstract and then check it includes the following: 

• 1 The research question
• 2 The rationale for the study
• 3 The hypothesis (if any)
• 4 The method
• 5 The key findings

List your sources/reference

Make sure you have a reference section, in your proposal document, that includes the various sources of information you have used to put this research proposal together. 

These are the sources you recorded earlier: 

{{form.Primary_Sources}}

{{form.Secondary_Sources}}

{{form.Influential_Papers}}

Pre-Submission Tasks:

Check the proposal meets requirements.

Check that the proposal you have written meets the guidelines/requirements that have been given to you for this research proposal. 

{{form.List_Key_Requirements}}

In addition to this, review your proposal and make sure it answers the below questions: 

• 1 Have you provided context to frame the research question?
• 2 Have you limited the boundary conditions for your research?
• 3 Have you cited landmark studies?
• 4 Have you accurately presented the theoretical and empirical contributions by other researchers?
• 5 Have you stayed focused on the research question?
• 6 Have you developed a coherent and persuasive argument for the proposed research?
• 7 Is there a clear sense of direction to your proposal?
• 8 Have you cited all references?
• 9 Have you used simple, non-technical language?

Get a fresh pair of eyes to proofread it

Upload the first draft of your finished proposal document and send it to a "cold reader" to review. Give them a copy of the proposal guidelines/requirements, but little other information.

Ask them to read the proposal quickly as this is how the sponsor is likely to view your proposal and ask them to answer the following two questions: 

• Do they understand it?
• Does it make sense?

Implement feedback

Update your current proposal document and record the feedback you have received for future proposals. 

Read through one more time

Upload your final proposal, read it through one final time, and answer the following questions to make sure you have everything covered before submission. 

• 1 Have you presented a compelling case?
• 2 Does your project seem feasible? Is it overly ambitious? Does it have other weaknesses?
• 3 Have you stated the means that grantors can use to evaluate the success of your project after you’ve executed it?

Submit the proposal

Submit your proposal in-line with any requirements. 

{{form.Final_Proposal}}

• The University of Westminster - How to write your research proposal
• Meaning - How to Write a Research Proposal
• The Writing Center  -  Planning and Writing a Grant Proposal: The Basics  
• eCivis  -  4 Types of Grant Funding 
• Learn Sphere  -  Proposal Writing: The Six-Step Process
• National Council of University Research Administrators  -  Proposal writing: Stages and Strategies with Examples 

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More templates like this.

Proposal Preparation Checklist

Inform your research administrator and college grants officer.

Alert your Research Administrator and College Grants Officer, or other college pre-award support service contact as soon as you decide to submit a proposal. 

• Send them a link to the sponsor's program guidelines and deadline(s).
• Let the Research Administrator know if the sponsor requires an online submission. Not all online proposal submission systems are immediately accessible; early notification is key so OSPA can ensure we are set up in the sponsor's system.
• Contact your College Grants Officer, or other college pre-award support service for assistance with developing a budget, budget justification, and final proposal review.

verify details

Verify opportunity details.

Ensure that you have all the details for the current funding opportunity.

• Verify the sponsor's form or package is the current version.
• Work backwards from that date: the proposal must be received by OSPA at least three days prior to the sponsor's published deadline to ensure successful proposal review and submission.
• If the project involves more than one (1) department or college, factor in additional time for routing as those certifications must be obtained before the IAF can be routed to OSPA. 
• Some colleges require additional time for review and approval. Check the Deadlines section of Policies and Procedures . 
• If the sponsor limits F&A, include a copy of the sponsor's F&A policy from the proposal guidelines.
• Mandatory cost share or match funds required by the sponsor in the proposal must be indicated on the IAF under the University column.  Voluntary cost share is not allowed without prior OSPA approval.  See BPM E-50-2 https://www.uky.edu/ufs/sites/www.uky.edu.ufs/files/bpm/E-50-2.pdf for more information.
• If the award will be fixed-price, attach a Fixed-Price Budget Form with Column A completed.

equipment screening

Check for equipment you may need.

Contact Assets Accounting or search the eBars database  to check for equipment you may need. If the equipment needed for your project is available and access arrangements can be made, you will need to use the existing equipment for your research activities. If the equipment is not available on campus, or access cannot be arranged, this will need to be indicated on the IAF prior to submission of the proposal requesting funds for the equipment purchase. 

Compile Your Budget

Work with your CGO or preaward support service contact to develop your project's budget.

• Follow our Budget Development Guidance .
• Follow the sponsor's guidelines regarding allowable costs.
• Information on UK's Cost Share/Grant Matching Policy
• Does the project qualify for the off-campus F&A rate?  See https://www.research.uky.edu/office-sponsored-projects-administration/facilities-and-administrative-fa-costs for the Off Campus determination process.
• Verify that your Financial Disclosure statement was updated in March and has been updated (including reimbursed travel for PHS funded projects) during the year if circumstances warrant.

Quick links

• Frequently Needed Information
• Find OSPA Staff
• Forms and Templates
• BudRule CrossWalk
• Export Control
• Industry Sponsored Agreements
• Project Management Guidelines
• Research Analytics
• Other Support Portal

Announcements

• Foreign Talent Recruitment Programs (FTRPs) Policy Office of Sponsored Projects Administration, Vice President For Research As required by federal law, UK is issuing a new policy (effective Aug 9, 2024) concerning participation in foreign talent recruitment programs (FTRPs) per the CHIPS and Science Act.

The Office of Sponsored Projects Administration (OSPA) has transitioned to its new organizational structure for proposal and award services that was recommended by Project GATeWAY.

The Grant Administration Forum for Investigators (GAFI) is a new communication channel including the leadership of the Office of Sponsored Projects Administration (OSPA), Collaborative Grant Services (CGS) and Research Financial Services (RFS).

Redirect Notice

Develop your budget.

As you begin to develop a budget for your research grant application and put all of the relevant costs down on paper, many questions may arise. Your best resources for answering these questions are the grants or sponsored programs office within your own institution, your departmental administrative officials, and your peers. They can answer questions such as:

• What should be considered a direct cost or indirect cost?
• What is the fringe benefit rate?
• What is the graduate student stipend rate?
• What Facilities and Administrative (F&A) costs rate should I use?

Below are some additional tips and reminders we have found to be helpful for preparing a research grant application, mainly geared towards the SF424 (R&R) application.

Cost Considerations

An applicant's budget request is reviewed for compliance with the governing cost principles and other requirements and policies applicable to the type of recipient and the type of award. Any resulting award will include a budget that is consistent with these requirements. Information on the applicable cost principles and on allowable and unallowable costs under NIH grants is provided in the NIH Grants Policy Statement, Section 7.2 The Cost Principles , Statement under Cost Considerations . In general, NIH grant awards provide for reimbursement of actual, allowable costs incurred and are subject to Federal cost principles .

The cost principles address four tests that NIH follows in determining the allowability of costs. Costs charged to awards must be allowable, allocable, reasonable, necessary, and consistently applied regardless of the source of funds. NIH may disallow the costs if it determines, through audit or otherwise, that the costs do not meet the tests of allowability, allocability, reasonableness, necessity, and consistency.

Budgets: Getting Started

• II.1 (Mechanism of Support),
• II.2 (Funds Available),
• III.2 (Cost Sharing or Matching), and
• IV.5 (Funding Restrictions).
• Identify all the costs that are necessary and reasonable to complete the work described in your proposal.
• Throughout the budgeting process, round to whole dollars and use only U.S. dollars.
• Reviewers look for reasonable costs and will judge whether your request is justified by your aims and methods.
• Reviewers will consider the person months you've listed for each of the senior/key personnel and will judge whether the figures are in sync with reviewer expectations, based on the research proposed.
• Significant over- or under-estimating suggests you may not understand the scope of the work. Despite popular myth, proposing a cost-sharing (matching) arrangement where you only request that NIH support some of the funding while your organization funds the remainder does not normally impact the evaluation of your proposal. Only a few select programs require cost-sharing, and these programs will address cost-sharing in the funding opportunity.

Direct Costs: Costs that can be identified specifically with a particular sponsored project, an instructional activity, or any other institutional activity, or that can be directly assigned to such activities relatively easily with a high degree of accuracy.

F&A Costs: Necessary costs incurred by a recipient for a common or joint purpose benefitting more than one cost objective, and not readily assignable to the cost objectives specifically benefitted, without effort disproportionate to the results achieved. To facilitate equitable distribution of indirect expenses to the cost objectives served, it may be necessary to establish a number of pools of F&A (indirect) costs. F&A (indirect) cost pools must be distributed to benefitted cost objectives on bases that will produce an equitable result in consideration of relative benefits derived.

• The total costs requested in your budget will include allowable direct costs (related to the performance of the grant) plus allowable F&A costs. If awarded, each budget period of the Notice of Award will reflect direct costs, applicable F&A, and in the case of SBIR or STTR awards, a "profit" or fee .
• F&A costs are determined by applying your organization's negotiated F&A rate to your direct cost base. Most educational, hospital, or non-profit organizations have negotiated their rates with other Federal (cognizant) agencies such as the Department of Health and Human Services or the Office of Naval Research. If you are a for-profit organization, the F&A costs are negotiated by the Division of Cost Allocation (DCA), Division of Financial Advisory Services (DFAS) in the Office of Acquisition Management and Policy , NIH.
• For most institutions the negotiated F&A rate will use a modified total direct cost base, which excludes items such as: equipment, student tuition, research patient care costs, rent, and sub-recipient charges (after the first $25,000). Check with your sponsored programs office to find out your negotiated direct cost base.
• When calculating whether your direct cost per year is $500,000 or greater, do not include any sub-recipient F&A in the base but do include all other direct costs as well as any equipment costs. Note Direct cost requests equal to or greater than $500,000 require prior approval from the NIH Institute/Center before application submission.  For more information, see NIH Guide Notice NOT-OD-02-004 .
• For many SBIR/STTR recipients, 40% of modified total direct costs is a common F&A rate, although rates at organizations may vary.

Modular versus Detailed Budgets

The NIH uses 2 different formats for budget submission depending on the total direct costs requested and the activity code used. 

The application forms package associated with most NIH funding opportunities includes two optional budget forms—(1) R&R Budget Form; and, (2) PHS 398 Modular Budget Form. NIH applications will include either the R&R Budget Form or the PHS 398 Modular Budget Form, but not both. To determine whether to use a detailed versus modular budget for your NIH application, see the flowchart below.

Modular Budgets

NIH uses a modular budget format to request up to a total of $250,000 of direct costs per year (in modules of $25,000, excluding consortium F&A costs) for some applications, rather than requiring a full detailed budget. The modular budget format is NOT accepted for​​

• ​SBIR and STTR grant applications,
• applications from foreign (non-U.S.) institutions (must use detailed budget even when modular option is available), or
• applications that propose the use of human fetal tissue (HFT) obtained from elective abortions (as defined in  NOT-OD-19-128  for HFT) whether or not costs are incurred.

Creating a modular budget

• Select the PHS398 Modular Budget form for your submission package, and use the appropriate set of instructions from the electronic application user's guide. You do not need to submit the SF424 (R&R) Budget form if you submit the PHS398 Modular Budget form.
• Consider creating a detailed budget for your own institution's use including salaries, equipment, supplies, graduate student tuition, etc. for every year of funds requested. While the NIH will not ask for these details, they are important for you to have on hand when calculating your F&A costs base and writing your justification, and for audit purposes.
• In order to determine how many modules you should request, subtract any consortium F&A from the total direct costs, and then round to the nearest $25,000 increment.

A modular budget justification should include:

• Personnel Justification: The Personnel Justification should include the name, role, and number of person-months devoted to this project for every person on the project. Do not include salary and fringe benefit rate in the justification, but keep in mind the legislatively mandated salary cap when calculating your budget. [When preparing a modular budget, you are instructed to use the current cap when determining the appropriate number of modules.] 
• Consortium Justification: If you have a consortium/subcontract, include the total costs (direct costs plus F&A costs), rounded to the nearest $1,000, for each consortium/subcontract. Additionally, any personnel should include their roles and person months; if the consortium is foreign, that should be stated as well.
• Additional Narrative Justification: Additional justification should include explanations for any variations in the number of modules requested annually. Also, this section should describe any direct costs that were excluded from the total direct costs (such as equipment, tuition remission) and any work being conducted off-site, especially if it involves a foreign study site or an off-site F&A rate.

Detailed Budget: Personnel (Sections A & B)

Personnel make up sections A and B of the SF424 (R&R) Budget form. All personnel from the applicant organization dedicating effort to the project should be listed on the personnel budget with their base salary and effort, even if they are not requesting salary support.

• Effort : Effort must be reported in person months. For help converting percent effort to person months, see Usage of Person Months FAQs .
• Salary Caps: NIH will not pay requested salary above the annual salary cap, which can be found at Salary Cap Summary . If salary is requested above the salary cap, NIH will reduce that line item to the salary cap, resulting in a reduced total award amount. In future years, if the salary cap increases, recipients may rebudget to pay investigator salaries up to the new salary cap, but NIH will not increase the total award amount. If you are preparing a detailed budget, you are instructed to base your request on actual institutional base salaries (not the cap) so that NIH staff has the most current information in hand at the time of award and can apply the appropriate salary cap at that time.
• Fringe Benefits: The fringe benefits rate is based on your institution's policy; the NIH does not have a pre-set limit on fringe benefits. More information on what is included as fringe benefits can be found in the Grants Policy Statement . If you have questions about what rate to use, consult your institution's sponsored programs office. 
• Senior/Key Personnel: The Senior/Key Personnel section should include any senior or key personnel from the applicant organization who are dedicating effort to this project. "Other Significant Contributors" who dedicate negligible effort should not be included. Some common significant contributors include: 1) CEOs of companies who provide overall leadership, but no direct contribution to the research; and 2) mentors for K awardees, who provide advice and guidance to the candidate but do not work on the project. Likewise, any consultants or collaborators who are not employed by the applicant organization should not be included in section A, but rather should be included in section F.3 of the budget (for consultants) or in section A of the consortium/subaward budget page (for collaborators).
• Postdoctoral Associates: Postdocs can be listed in either section A or B depending on their level of involvement in project design and execution. If listed in section B, include the individuals' names and level of effort in the budget justification section.
• Graduate Students: Graduate students can be listed in either section A or B, but if listed in section B, include the individuals' names and level of effort in the budget justification section. Tuition remission is included in section F.8 (not section A), but is included in the graduate student compensation limits. Read more about the graduate student compensation limit . For current NRSA stipend levels, check the NIH Fiscal Policies .
• Other Personnel: Other personnel can be listed by project role. If multiple people share the same role such as "lab technician", indicate the number of personnel to the left of the role description, add their person months together, and add their requested salaries together. The salaries of secretarial/clerical staff should normally be treated as F&A costs. Direct charging of these costs may be appropriate where a major project or activity explicitly budgets for administrative or clerical services and individuals involved can be specifically identified with the project or activity [see Exhibit C of OMB Circular A-21 (relocated to 2 CFR, Part 220)]. Be specific in your budget justifications when describing other personnel's roles and responsibilities.

Detailed Budget: Equipment, Travel, and Trainee Costs (Sections C, D, and E)

• Generally, equipment is excluded from the F&A base. If you have something with a short service life (< 1 year), even if it costs more than $5,000, you are better off including it under "supplies."
• If you request equipment that is already available (listed in the Facilities & Other Resources section, for example), the narrative justification must explain why the current equipment is insufficient to accomplish the proposed research and how the new equipment's use will be allocated specifically to the proposed research. Otherwise, NIH may disallow this cost.
• General purpose equipment, such as desktop computers and laptops, that will be used on multiple projects or for personal use should not be listed as a direct cost but should come out of the F&A costs, unless primarily or exclusively used in the actual conduct of the proposed scientific research.
• While the application does not require you to have a price quote for new equipment, including price quotes in your budget justification can aid in the evaluation of the equipment cost to support the project.
• Travel: In the budget justification, include the destination, number of people traveling and dates or duration of your stay for all anticipated travel. As with the equipment justification, it is important that you clearly state how the travel is directly related to your proposed research (e.g. you can go to a conference to present your research, but not just for the purpose of "staying current in your field"). You should refer to your institution's travel policy for guidance on how you should arrange the travel, but if your institution lacks a policy, it is expected that you will follow the U.S. federal travel regulation .
• Trainee Costs: Leave this section blank unless otherwise stated in the funding opportunity. Graduate student tuition remission can be entered in section F.8.

Detailed Budget: Other Direct Costs (Section F)

• Materials and Supplies: In the budget justification, indicate general categories such as glassware, chemicals, animal costs, including an amount for each category. Categories that include costs less than $1,000 do not have to be itemized.  
• Animal Costs: While included under "materials and supplies", it is often helpful to include more specific details about how you developed your estimate for animal costs. Include the number of animals you expect to use, the purchase price for the animals (if you need to purchase any), and your animal facility's per diem care rate, if available.  Details are especially helpful if your animal care costs are unusually large or small. For example, if you plan to follow your animals for an abnormally long time period and do not include per diem rates, the reviewers may think you have budgeted too much for animal costs and may recommend a budget cut.  
• Publication Costs: You may include the costs associated with helping you disseminate your research findings from the proposed research. If this is a new application, you may want to delay publication costs until the later budget periods, once you have actually obtained data to share.  
• Consultant Services: Consultants differ from Consortiums in that they may provide advice, but should not be making decisions for the direction of the research. Typically, consultants will charge a fixed rate for their services that includes both their direct and F&A costs. You do not need to report separate direct and F&A costs for consultants; however, you should report how much of the total estimated costs will be spent on travel. Consultants are not subject to the salary cap restriction; however, any consultant charges should meet your institution's definition of "reasonableness".  
• ADP/Computer Services: The services you include here should be research specific computer services- such as reserving computing time on supercomputers or getting specialized software to help run your statistics. This section should not include your standard desktop office computer, laptop, or the standard tech support provided by your institution. Those types of charges should come out of the F&A costs.  
• Justify basis for costs, itemize by category.
• Enter the total funds requested for alterations and renovations. Where applicable, provide the square footage and costs.
• If A&R costs are in excess of $300,000 further limitations apply and additional documentation will be required.
• The names of any hospitals and/or clinics and the amounts requested for each.
• If both inpatient and outpatient costs are requested, provide information for each separately.
• Provide cost breakdown, number of days, number of patients, costs of tests/treatments.
• Justify the costs associated with standard care or research care. Note If these costs are associated with patient accrual, restrictions may be justified in the Notice of Award.) (See NIH Grants Policy Statement NIH Grants Policy Statement, Research Patient Care Costs )
• Tuition: In your budget justification, for any graduate students on your project, include what your school's tuition rates are. You may have to report both an in-state and out-of-state tuition rate. Depending on your school stipend and tuition levels, you may have to budget less than your school's full tuition rate in order to meet the graduate student compensation limit (equivalent to the NRSA zero-level postdoctorate stipend level).  
• Human Fetal Tissue (HFT) from elective abortions: If your application proposes the use of human fetal tissue obtained from elective abortions (as defined in NOT-OD-19-128 ), you must include a line item titled “Human Fetal Tissue Costs” on the budget form and an explanation of those costs in the budget justification.  
• Other: Some types of costs, such as entertainment costs, are not allowed under federal grants. NIH has included a list of the most common questionable items in the NIH Grants Policy Statement . If NIH discovers an unallowable cost in your budget, generally we will discount that cost from your total award amount, so it is in your best interest to avoid requesting unallowable costs. If you have any question over whether a cost is allowable, contact your sponsored programs office or the grants management specialist listed on the funding opportunity.

Consortiums/Subawards

If you are using the detailed budget format, each consortium you include must have an independent budget form filled out.

• In the rare case of third tier subawards, section F.5 "subawards/consortium/contractual" costs should include the total cost of the subaward, and the entire third tier award is considered part of the direct costs of the consortium for the purposes of calculating the primary applicant's direct costs.
• Cost Principles. Regardless of what cost principles apply to the parent recipient, the consortium is held to the standards of their respective set of cost principles.
• Consortium F&A costs are NOT included as part of the direct cost base when determining whether the application can use the modular format (direct costs < $250,000 per year), or determining whether prior approval is needed to submit an application (direct costs $500,000 or more for any year). Note The $500K prior approval policy does not apply to applications submitted in response to RFAs or in response to other funding opportunities including specific budgetary limits above $500K.
• F&A costs for the first $25,000 of each consortium may be included in the modified total direct cost base, when calculating the overall F&A rate, as long as your institution's negotiated F&A rate agreement does not express prohibit it.
• If the consortium is a foreign institution or international organization, F&A for the consortium is limited to 8%.
• If the consortium is with a for-profit entity, such as a small business, the organization must have a negotiated F&A rate before they can charge F&A costs. The default small business rate of 40% is only applicable to SBIR (R43 &R44) and STTR (R41 & R42) applications. See the Division of Financial and Accounting Services (DFAS) at NIH to set up a rate.
• Consortiums should each provide a budget justification following their detailed budget. The justification should be separate from the primary recipient's justification and address just those items that pertain to the consortium.

Understanding the Out Years

• We do not expect your budget to predict perfectly how you will spend your money five years down the road. However, we do expect a reasonable approximation of what you intend to spend. Be thorough enough to convince the reviewers that you have a good sense of the overall costs.
• In general, NIH does not have policy on salary escalation submitted in an application. We advise applicants to request in the application the actual costs needed for the budget period and to request cost escalations only if the escalation is consistent with institutional policy. See Salary Cap Summary and NIH Fiscal Policy FAQs .
• Any large year-to-year variation should be described in your budget justification. For example, if you have money set aside for consultants only in the final year of your budget, be sure to explain why in your justification (e.g. the consultants are intended to help you with the statistical interpretation of the data and therefore are not needed before the final year).
• In general, NIH recipients are allowed a certain degree of latitude to rebudget within and between budget categories to meet unanticipated needs and to make other types of post-award changes. Some changes may be made at the recipient's discretion as long as they are within the limits established by NIH. In other cases, NIH prior written approval may be required before a recipient makes certain budget modifications or undertakes particular activities (such as change in scope). See NIH Grants Policy Statement - Changes in Project and Budget .
• Planning & Budgeting for Data Management and Sharing