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Elements of a Proposal

The common elements of a proposal can vary depending on the specific funding agency or type of sponsor, however there are some general components that are typically included. These elements can be broadly categorized into the below:

This section generally contains institutional and proposal specific information. This often includes:

  • The Principal Investigator’s Information
  • The Title of the Proposal
  • Sponsor Name and Address
  • Period of Performance
  • Amount of Funds Requested
  • Institutional Information
  • Signature of USC’s Authorized Official

This section is optional depending on the length and complexity of the proposal. As well as providing an outline, it should assist a reviewer in finding her/his way through the proposal.

An abstract is a clear and concise summary of the project. The abstract is generally a 100-to-300-word condensation of the essential information in a proposal. It should be a clearly and concisely written section emphasizing the following:

  •         The timeliness, significance and need.
  •         The specific objectives.
  •         The general procedures and evaluation methods.
  •         The anticipated impact, indicating who will benefit and how.

The abstract is very important because many funding decision-makers may read only the review comments and the abstract.

This section is the main body of the proposal. The basic idea of the proposed work is expressed here, including the philosophy or premise underlying it, the methods for developing it, and its ultimate purpose, clearly stated and defended. The project description can be subdivided into the following components:

1. Introduction
This should be a brief summary of the problem (or need), proposed method of solution, and anticipated outcome(s). It may contain information showing that the proposer is well-acquainted with the past and current work and literature in the field and that the proposed project will advance or add to the present state of knowledge in this field.

2. Problem Statement (or Statement of Need) and Significance
This section defines the project rationale including the overall purpose, need and justification for the project. It explains the significance of the proposed idea in relationship to the sponsor’s goals and objectives in a way that will logically justify the expenditure of funds.

3. Goals and Objectives
 This section states the goals and general statements specifying the project’s desired outcomes. They are value statements indicating the general direction of the project. Objectives are specific statements of the expected accomplishments of the proposed activities and usually include the following:

  • Description of the outcome (in measurable terms).
  • The criteria for measuring the acceptability of the outcome.

4. Procedures and Methods
This section should describe in as much detail as practical the approach to be used in the proposed activity. Describe in a step-by-step sequence (including time estimates) techniques or methods to be used. Do not hesitate to use figures or tables wherever they will help clarify a point. If the proposed activity will require an unusual amount of funds for any particular category of expense, explain in detail.

(Note: Most declined proposals fail because of poorly defined methodology).

5. Evaluation
This section presents the overall evaluation process, both for assisting the ongoing progress toward achieving the objectives and the actual outcome of the proposed activities. The evaluation component will perform the following functions:

  • It will monitor progress to determine whether the project is being implemented as planned.
  • It will access actual outcomes to determine the extent to which the objectives are being achieved.
  • It will provide the feedback necessary to assess whether modifications in the project are necessary.

6. Dissemination
 Many sponsors, especially private foundations, require a dissemination plan to be included in a proposal. The dissemination section should emphasize any reasonably anticipated outcomes or activities for making them available to others. Dissemination provides results of individual or local research to a regional or national audience. In doing so, it stimulates ideas, suggestions and constructive criticism from desired or concerned groups.

Key personnel in a proposal refer to individuals who play crucial roles in the execution and success of the proposed project. This typically includes the Principal Investigator (PI), Co-Principal Investigators (Co-PIs), Co-Investigators, and Multi-PIs. The Principal Investigator serves as the lead and is primarily responsible for the overall design, implementation, and management of the project. Co-Principal Investigators share significant responsibility with the PI and may lead specific aspects of the project. Co-Investigators contribute expertise and support to the project under the guidance of the PI. Multi-PI projects involve multiple individuals who share equal responsibility and authority in leading the project, often employed in interdisciplinary or collaborative research efforts. Defining these roles clearly is crucial for delineating responsibilities, ensuring effective project management, and demonstrating the expertise and commitment of the team to funding agencies.

Different sponsors may have varying definitions and terminology for key personnel roles in research proposals. For instance, the National Science Foundation (NSF) commonly uses the term “Co-PI” to denote individuals who share significant leadership responsibilities in multi-PI projects. Conversely, the National Institutes of Health (NIH) often employs the term “PI/PD” (Principal Investigator/Project Director) for each key personnel fulfilling a PI role within the project, emphasizing individual leadership roles even in multi-PI projects. These distinctions highlight how sponsors may have specific requirements and expectations regarding the delineation of roles and responsibilities within research teams, necessitating careful alignment with sponsor guidelines during proposal development.

Common Definitions:

  1. Principal Investigator (PI): The individual primarily responsible for the design, conduct, and overall management of a research project or proposal. The PI is often the lead researcher and represents the project to funding agencies and collaborators.

  2. Co-Principal Investigator (Co-PI): A collaborator with significant responsibility and authority, typically sharing leadership duties with the PI. Co-PIs may lead specific components of the project or provide complementary expertise.

  3. Co-Investigator: A researcher who contributes to a project’s execution and shares responsibility with the PI and Co-PIs. Co-Investigators may lead specific tasks, provide expertise, or oversee certain aspects of the project.

  4. Multi-PI: Refers to projects where multiple individuals serve as Principal Investigators, sharing equal responsibility and leadership roles. Multi-PI projects are common in interdisciplinary research or large-scale collaborative efforts, facilitating diverse perspectives and expertise.

The USC Guide to Research provides the following guidance on who can serve as a Principal Investigator on USC sponsored research awards:

All tenured, tenure track, and Research, Teaching, Practice, and Clinical (RTPC) faculty (with the exception of lecturers, adjunct, and part-time faculty) may serve as Principal Investigators on Sponsored Research Projects at USC. Retired faculty may be called back and asked to serve as Principal Investigators as described in Chapter 10 of the Faculty Handbook. Please note that, Voluntary faculty may not serve as Principal Investigators.

The following employee types may serve as Principal Investigators if a waiver is granted upon recommendation by the appropriate department chair(s), appropriate dean(s), and the VP of Research:

  • Part-Time Faculty
  • Certain staff positions including Research Scientists, Senior Research Associates, and Research Associates.
  • Postdoctoral Research Associates and Postdoctoral Teaching Associates (as defined by USC’s Postdoctoral Scholars Policy), can also serve as co-principal investigators on sponsored projects without a waiver.
  • Other specific employee types may serve as a Principal Investigator if a waiver is granted.

How Can I Request a Waiver?
Please complete the information requested on the appropriate PI Exception Request and Approval Form below, attach the required additional documents (e.g. CV, solicitation), secure the approval of the Dean or Dean Designee and Department Chair and direct the completed waiver form to Katie Rountree (Rountree@usc.edu) in the Department of Contracts and Grants to secure approval of the Vice President of Research and Innovation or designee:

PI Eligibility Exception Request and Approval Forms:

Are There Sponsor Restrictions on Who Can Serve as a PI?
The sponsor may also have limitations on who can serve at the Principal Investigator on a proposal. Please carefully review the solicitation section that determines “Eligibility” to ensure that the party identified as the PI meets sponsor requirements. 

FCOI Compliance for Investigators
In order to be compliant with FCOI regulations all named investigators on proposals where there is PHS funding (e.g. NIH, HRSA, SAMSHA) must have:

Under FCOI regulation, “Investigator” means the project director or principal investigator and any other person, regardless of title or position, who is responsible for the design, conduct, or reporting of research funded by the PHS (e.g., NIH), or proposed for such funding, which may include, for example, collaborators or consultants.

Most sponsors require investigators and project key personnel to provide a curriculum vitae (CV) or biographical sketch as part of a proposal. Many sponsors request biosketches be provided to them that adhere to the format specified by either the National Institutes of Health, or the National Science Foundation, or a variant of one of these. Given different sponsors request this information in different formats, it is highly important to always closely review and adhere to each sponsor’s specific CV or biosketch requirements when preparing these. 

The data management/sharing plan in federal proposals outlines how research data generated from the proposed project will be managed, preserved, and shared. Typically required by funding agencies, such as NIH or NSF, the plan should detail data collection methods, formats, metadata standards, storage, and backup procedures during the project lifecycle. It also addresses data access, sharing, and reuse policies, including provisions for privacy, confidentiality, and intellectual property rights. Compliance with agency-specific guidelines and any relevant institutional policies is essential. The goal is to ensure transparency, reproducibility, and maximum utilization of research data while promoting scientific advancement and public access to federally funded research outcomes.

Overview

Participant Support Costs (PSC) are direct expenses paid to or on behalf of participants or trainees (excluding USC employees) in connection with conferences, workshops, training projects, and similar activities. These costs may include stipends, travel allowances, and registration fees as defined by CFR200. This guidance does not apply to costs related to clinical trials, human subject incentives, or participants in activities that produce deliverables benefiting the project’s research scope.

Applicability

This guidance applies to federally funded awards where individuals receive training or instruction.

Roles and Responsibilities

Department/Local Managing Units:

  • Responsible for developing proposals and managing awards in line with this guidance and sponsor-specific requirements.
  • Must coordinate with the PI and DCG to post relevant PSC and maintain necessary documentation per award terms and USC policies.

Principal Investigator (PI):

  • Works with their School/Department to ensure project needs are accurately reflected in the budget.
  • Ultimately accountable for the correct application of PSC on the award.

Department of Contracts and Grants (DCG):

  • Reviews and ensures PSC are reflected properly in the budget and approved.
  • Submits prior approvals to sponsors when necessary.
  • Serves as a resource for PI and assists in maintaining compliance.

Defining and Charging Participant Support Costs

Who is a Participant?
A participant is someone who attends training or educational events such as workshops, seminars, or conferences. Participants are not expected to deliver services or products and are not considered USC employees.  Participants may include:

  • Students
  • Scholars
  • Scientists from an outside institution
  • Private Sector representatives
  • Teachers
  • Local government agency personnel

Who is Not a Participant?

  • USC employees
  • Sponsor employees
  • Advisory board members
  • Interns in paid appointments
  • Anyone providing a service or deliverable to the project

Allowable Projects and Costs

PSC are commonly included in projects with education or outreach components and require prior sponsor approval. Typical NSF programs allowing PSC include:

  • Research Experiences for Undergraduates
  • Research Experiences for Teachers
  • National Research Traineeship
  • Research Training Groups in Mathematical Sciences
  • Integrative Graduate Education and Research Traineeship Program

Allowable PSC Costs Include:

  • Stipends: Paid directly to participants for attending training activities.
  • Travel: Transportation costs associated with attending training activities, subject to sponsor and USC travel policies.
  • Subsistence Allowance: Housing, per diem, and other reasonable living expenses during training participation.
  • Fees: Meetings, conferences, symposia, and training projects.  Laboratory fees and passport and visa fees necessary for foreign participation.
  • Other Costs: Training materials, supplies, and printing directly related to participant involvement.

Unallowable Participant Support Costs

  • Incentives, prizes, or gifts not directly tied to the project and approved by the sponsor.
  • Honoraria for guest speakers.
  • Conference or workshop support costs like facility rentals, catering, building services, video recording, program printing, etc.
  • Subawards for multiple training events.
  • Expenses for collaborators meeting at a single location to discuss the progress and direction of a research project should not be categorized as Participant Support Costs. These expenses should be budgeted under travel or other relevant expense categories in accordance with USC policies and sponsor guidelines.
  • Travel or meeting costs for collaborators to attend project meetings, conferences, or seminars.

Expense Allowability

To charge PSC to a federal award:

  • Costs must be programmatically justified.
  • Explicitly included in the approved budget or have prior sponsor approval.
  • Must not incur indirect costs.

Rebudgeting and Prior Approvals

Participant Support Costs (PSC) must be included in the proposal budget and approved by the sponsor, as noted in the Notification of Award (NOA). For example, the NSF will specify the approved dollar amount for PSC in the NOA under the relevant budget category. Any significant change to the scope of work involving PSC requires prior approval.

According to CFR 200.308(c)(5), prior approval is necessary to transfer funds from PSC to other expense categories. At USC, rebudgeting PSC requires prior approval depending on the specific changes proposed. Best practices for PSC rebudgeting include:

Prior approval is required if:

  • PSC will be charged but was not originally budgeted or approved for the award.
  • Funds will be moved out of any PSC category and into a non-PSC category (e.g., transferring PSC travel funds into non-PSC lab supplies).
  • Any other situation as specified by the sponsor.

Prior approval is not required if:

  • The rebudgeting is solely within PSC categories (e.g., stipends, travel, subsistence) and does not alter the scope of work, provided the PSC category was initially approved.

  • Funds are being moved from a non-PSC category into a PSC category to support PSC-related costs, as long as the PSC category was already included in the award.

  • Any other situation as specified by the sponsor.

Always verify the specific award and sponsor terms to determine if prior approval is necessary.

Documentation Importance

Some sponsors, like the NSF, will explicitly list Participant Support Costs (PSC) in the notice of award budget, while others may not be as explicit. Therefore, it is essential to maintain all communications and supporting documentation that justify the inclusion of PSC in the award. At USC, the responsibility for gathering these documents and providing context during audits or reviews primarily falls on the department or local managing unit. Maintaining thorough records at the department level is crucial to ensure continuity, particularly in the event of portfolio changes or staff turnover.

Resources

The Chips & Science Act of 2022 prohibits participation in any foreign talent recruitment program by personnel of Federal research agencies and prohibits participation in a malign foreign talent recruitment program (MFTRP) by covered individuals involved with research and development awards from those agencies. As a result, USC has revised the COI in Research policy to note that participation in MFTRPs is prohibited when required by a research sponsor. The definition of MFTRPs is below and can also be found in the COI in Research policy.

How Federal Agencies Are Implementing Policies to Comply with the Chips & Science Act

  • Department of Defense: Beginning August 9, 2024, the Department of Defense is prohibited from providing funding to or making an award of a fundamental research project proposal in which a covered individual is participating in a malign foreign talent recruitment program or to a proposing institution that does not have a policy addressing malign foreign talent programs pursuant to Section 10632 of the CHIPS and Science Act of 2022. As part of the annual disclosure process and the disclosure process prior to accepting an award, covered individuals must now certify that they are not associated with a Malign Foreign Talent Recruitment Program.

  • The National Science Foundation: The National Science Foundation (NSF) revised Proposal and Award Policies and Procedures Guide (PAPPG) went into effect on May 20, 2024. It includes the definition of Malign Foreign Talent Recruitment Programs and explicitly prohibits the participation of senior personnel in MFTRPs. All senior personnel will be required to certify prior to proposal submission that they are not party to an MFTRP. In addition, the Authorized Organization Representative (i.e., the person who submits your proposals) will need to certify that all senior personnel associated with the proposal have been made aware of and have complied with their responsibility under that section to certify that they are not a party to a malign foreign talent recruitment program.

  • Department of Energy: In June 2019, the DOE issued the DOE Order 486.1 that prohibits DOE employees, contractors, and certain subcontractors from currently or in the future participating in foreign talent recruitment programs of countries determined sensitive by DOE, such as China’s Thousand Talents programs.

  • Other Federal Agencies: As of August 9, 2024, all other federal agencies prohibited participation in a malign foreign talent recruitment program by covered individuals involved with research and development awards from those agencies.

What is the Definition of Malign Foreign Talent Recruitment Program (MFTR)?

Malign Foreign Talent Recruitment Programs are defined in the Chips & Science Act of 2022 as:

  • (A) any program, position, or activity that includes compensation in the form of cash, in-kind compensation, including research funding, promised future compensation, complimentary foreign travel, things of non de minimis value, honorific titles, career advancement opportunities, or other types of remuneration or consideration directly provided by a foreign country at any level (national, provincial, or local) or their designee, or an entity based in, funded by, or affiliated with a foreign country, whether or not directly sponsored by the foreign country, to the targeted individual, whether directly or indirectly stated in the arrangement, contract, or other documentation at issue, in exchange for the individual – 

    • (i) engaging in the unauthorized transfer of intellectual property, materials, data products, or other nonpublic information owned by a United States entity or developed with a Federal research and development award to the government of a foreign country or an entity based in, funded by, or affiliated with a foreign country regardless of whether that government or entity provided support for the development of the intellectual property, materials, or data products;

    • (ii) being required to recruit trainees or researchers to enroll in such program, position, or activity;

    • (iii) establishing a laboratory or company, accepting a faculty position, or undertaking any other employment or appointment in a foreign country or with an entity based in, funded by, or affiliated with a foreign country if such activities are in violation of the standard terms and conditions of a Federal research and development award;

    • (iv) being unable to terminate the foreign talent recruitment program contract or agreement except in extraordinary circumstances;

    • (v) through funding or effort related to the foreign talent recruitment program, being limited in the capacity to carry out a research and development award or required to engage in work that would result in substantial overlap or duplication with a Federal research and development award;

    • (vi) being required to apply for and successfully receive funding from the sponsoring foreign government’s funding agencies with the sponsoring foreign organization as the recipient;

    • (vii) being required to omit acknowledgment of the recipient institution with which the individual is affiliated, or the Federal research agency sponsoring the research and development award, contrary to the institutional policies or standard terms and conditions of the Federal research and development award;

    • (viii) being required to not disclose to the Federal research agency or employing institution the participation of such individual in such program, position, or activity; or

    • (ix) having a conflict of interest or conflict of commitment contrary to the standard terms and conditions of the Federal research and development award. And,

  • (B) A program that is sponsored by –

    • (i) a foreign country of concern or an entity based in a foreign country of concern, whether or not directly sponsored by the foreign country of concern;

    • (ii) an academic institution on the list developed under section 1286(c)(8) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 ( 10 U.S.C. 2358 note; Public Law 115– 232 ); or

    • (iii) a foreign talent recruitment program on the list developed under section 1286(c)(9) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 ( 10 U.S.C. 2358 note; 1 Public Law 115–232 ).

What is NOT Considered a Malign Foreign Talent Recruitment Program (MFTR)

The following are not considered malign foreign talent programs:

  • Making scholarly presentations regarding scientific information not otherwise controlled under current law.

  • Participating in international conferences or other international exchanges, research projects or programs that involve open and reciprocal exchange of scientific information not otherwise controlled under current law.

  • Involvement in national or international academies or professional societies that produce publications in the open scientific literature that are not in conflict with the interests of USC.

  • Taking a sabbatical, serving as a visiting scholar, or engaging in continuing education activities such as receiving a doctorate or professional certification at an institution of higher education are not in conflict with USC.

  • Receiving awards for research and development which serve to enhance the prestige of USC (e.g., the Nobel Prize).

  • Academic collaborations with a foreign researcher where each side contributes to the project not otherwise controlled under current law.

Who Are “Covered Individuals”?

A Covered Individual is a researcher who contributes in a substantive, meaningful way to the scientific development or execution of a research and development project proposed to be carried out with a research and development award. This includes Senior and Key Personnel. Federal funding agencies have latitude in identifying other research participants as “Covered Individuals,” so it is important to check sponsor requirements carefully.

How Does an FTRP Differ from an MFTRP?

As noted above, many countries encourage the growth of their local research talent through program designed to attract talented researchers to their institutions. These programs often involve grants or fellowships to promising research candidates. However, some countries utilize MFTRPs which may incentivize criminal or unethical behavior on the part of the researcher. The definition of MFTRP (listed above) provides characteristics that may indicate that an FTRP is in fact an MFTRP. Of particular importance is the sponsorship of the program. An FTRP may be an MFTRP if the program is sponsored by a foreign country of concern or an entity based in a foreign country of concern (currently China, Iran, North Korea or Russia), or any other foreign sponsor identified in the National Defense Authorization Act of 2019 Section 1286(c)(8) or 1286(c)(9).

Do I Need to Disclose Participation in an FTRP?

USC requires disclosure and prior approval for participation in a FTRP via diSClose. Federal funding agencies also require that every “Covered Individual” disclose whether they are a party to an FTRP when submitting a funding proposal to the funding agency. How this is disclosed, as well as what information is to be disclosed, may vary by federal funding agency. It is important that researchers consult with their departmental grant manager and OCEC to ensure proper disclosure. Here is a link to our quick guide on how to handle Disclosing International Collaborations.

Is Participation in an MFTRP Permitted?

The U.S. government has determined that participation in FTRPs raises the risk that federally-funded research may be inappropriately obtained by foreign governments. “Covered Individuals” must disclose participation in an FTRP as part of the proposal submission process. In addition, the CHIPS & Science Act prohibits a “Covered Individual” from participating in an MFTRP. Failure to disclose or making a false certification may result in civil or criminal penalties.

The “Other Support” section in a proposal provides information about ongoing and pending projects, funding, and resources available to the Principal Investigator (PI) and key personnel. This includes details on active and pending grants, contracts, cooperative agreements, and any in-kind support, such as personnel or equipment, relevant to the proposed project. The section aims to disclose all current and future commitments and resources available to ensure transparency, prevent duplication of funding, and demonstrate the capacity of the PI and team to successfully carry out the proposed research.

Subawards transfer a portion of the programmatic work to another institution or organization, a subrecipient. To qualify as a subaward, the subrecipient must have responsibility for programmatic decision-making and measurable performance requirements related directly to the USC prime award. When USC submits a proposal with subawards we are submitting scopes and budgets on behalf of another institution and USC must ensure that the authorized representative of the Subawardee Institution has approved the submission and the submission is consistent with sponsor guidelines.  In order to ensure this, a Subaward Proposal Package is required for each named subawardee prior to submission of the Proposal. 

 A Subaward Proposal Package consists, at a minimum, of the below listed documents:

  • Subaward Scope of Work (specific to the work being performed by the subrecipient).
  • Subaward Budget
  • Subaward Budget Justification
  • Subawardee Letter of Commitment: This can consist of a letter or signed document from the subawardee institution signed by an authorized official of the subrecipient approving/endorsing the proposal or a complete and signed Subrecipient Certification Form signed by the authorized official of the subawardee institution. Please Note: If prime sponsor is NIH and the subaward is international then either a Subrecipient Certification Form or a letter of commitment containing a statement as specified in  NOT-OD-23-182.
  • FCOI confirmation (if PHS funding). This can be located on the FDP FCOI Clearinghouse or confirmed in the letter of commitment or can be confirmed in a letter of intent or on Subrecipient Certification Form.
  • Any other documents required by the Solicitation from the Subawardee at Proposal Stage

For more information on outgoing subawards please see our Subawards page.