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:
I. 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.
II. 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.
III. 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.
IV. 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.
V. 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.
VI. 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:
- 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.
- 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.
- 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.
- 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 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. To review the Postdoctoral Scholars Policy.
- 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:
- KSOM PI Exception Request and Approval Form – Please use for all KSOM faculty and staff
- General PI Exception Request and Approval Form – Please use for all non-KSOM faculty and staff
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:
- a current disclosure within the last year in the USC Disclose system
- Completed HHS Conflict of Interest training within the last 4 years.
- Confirmation of FCOI compliance for any Subcontractor Institution
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 “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.
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.
- NIH Data Sharing Plan Guidance
- NSF Data Management Plan Guidance