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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.

Download our research proposal template

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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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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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What (Exactly) Is A Research Proposal?

A simple explainer with examples + free template.

By: Derek Jansen (MBA) | Reviewed By: Dr Eunice Rautenbach | June 2020 (Updated April 2023)

Whether you’re nearing the end of your degree and your dissertation is on the horizon, or you’re planning to apply for a PhD program, chances are you’ll need to craft a convincing research proposal . If you’re on this page, you’re probably unsure exactly what the research proposal is all about. Well, you’ve come to the right place.

Overview: Research Proposal Basics

• What a research proposal is
• What a research proposal needs to cover
• How to structure your research proposal
• Example /sample proposals
• Proposal writing FAQs
• Key takeaways & additional resources

What is a research proposal?

Simply put, a research proposal is a structured, formal document that explains what you plan to research (your research topic), why it’s worth researching (your justification), and how  you plan to investigate it (your methodology). 

The purpose of the research proposal (its job, so to speak) is to convince  your research supervisor, committee or university that your research is  suitable  (for the requirements of the degree program) and  manageable  (given the time and resource constraints you will face). 

The most important word here is “ convince ” – in other words, your research proposal needs to  sell  your research idea (to whoever is going to approve it). If it doesn’t convince them (of its suitability and manageability), you’ll need to revise and resubmit . This will cost you valuable time, which will either delay the start of your research or eat into its time allowance (which is bad news). 

What goes into a research proposal?

A good dissertation or thesis proposal needs to cover the “ what “, “ why ” and” how ” of the proposed study. Let’s look at each of these attributes in a little more detail:

Your proposal needs to clearly articulate your research topic . This needs to be specific and unambiguous . Your research topic should make it clear exactly what you plan to research and in what context. Here’s an example of a well-articulated research topic:

An investigation into the factors which impact female Generation Y consumer’s likelihood to promote a specific makeup brand to their peers: a British context

As you can see, this topic is extremely clear. From this one line we can see exactly:

• What’s being investigated – factors that make people promote or advocate for a brand of a specific makeup brand
• Who it involves – female Gen-Y consumers
• In what context – the United Kingdom

So, make sure that your research proposal provides a detailed explanation of your research topic . If possible, also briefly outline your research aims and objectives , and perhaps even your research questions (although in some cases you’ll only develop these at a later stage). Needless to say, don’t start writing your proposal until you have a clear topic in mind , or you’ll end up waffling and your research proposal will suffer as a result of this.

Need a helping hand?

As we touched on earlier, it’s not good enough to simply propose a research topic – you need to justify why your topic is original . In other words, what makes it  unique ? What gap in the current literature does it fill? If it’s simply a rehash of the existing research, it’s probably not going to get approval – it needs to be fresh.

But,  originality  alone is not enough. Once you’ve ticked that box, you also need to justify why your proposed topic is  important . In other words, what value will it add to the world if you achieve your research aims?

As an example, let’s look at the sample research topic we mentioned earlier (factors impacting brand advocacy). In this case, if the research could uncover relevant factors, these findings would be very useful to marketers in the cosmetics industry, and would, therefore, have commercial value . That is a clear justification for the research.

So, when you’re crafting your research proposal, remember that it’s not enough for a topic to simply be unique. It needs to be useful and value-creating – and you need to convey that value in your proposal. If you’re struggling to find a research topic that makes the cut, watch  our video covering how to find a research topic .

It’s all good and well to have a great topic that’s original and valuable, but you’re not going to convince anyone to approve it without discussing the practicalities – in other words:

• How will you actually undertake your research (i.e., your methodology)?
• Is your research methodology appropriate given your research aims?
• Is your approach manageable given your constraints (time, money, etc.)?

While it’s generally not expected that you’ll have a fully fleshed-out methodology at the proposal stage, you’ll likely still need to provide a high-level overview of your research methodology . Here are some important questions you’ll need to address in your research proposal:

• Will you take a qualitative , quantitative or mixed -method approach?
• What sampling strategy will you adopt?
• How will you collect your data (e.g., interviews , surveys, etc)?
• How will you analyse your data (e.g., descriptive and inferential statistics , content analysis, discourse analysis, etc, .)?
• What potential limitations will your methodology carry?

So, be sure to give some thought to the practicalities of your research and have at least a basic methodological plan before you start writing up your proposal. If this all sounds rather intimidating, the video below provides a good introduction to research methodology and the key choices you’ll need to make.

How To Structure A Research Proposal

Now that we’ve covered the key points that need to be addressed in a proposal, you may be wondering, “ But how is a research proposal structured? “.

While the exact structure and format required for a research proposal differs from university to university, there are four “essential ingredients” that commonly make up the structure of a research proposal:

• A rich introduction and background to the proposed research
• An initial literature review covering the existing research
• An overview of the proposed research methodology
• A discussion regarding the practicalities (project plans, timelines, etc.)

In the video below, we unpack each of these four sections, step by step.

Research Proposal Examples/Samples

In the video below, we provide a detailed walkthrough of two successful research proposals (Master’s and PhD-level), as well as our popular free proposal template.

Proposal Writing FAQs

How long should a research proposal be.

This varies tremendously, depending on the university, the field of study (e.g., social sciences vs natural sciences), and the level of the degree (e.g. undergraduate, Masters or PhD) – so it’s always best to check with your university what their specific requirements are before you start planning your proposal.

As a rough guide, a formal research proposal at Masters-level often ranges between 2000-3000 words, while a PhD-level proposal can be far more detailed, ranging from 5000-8000 words. In some cases, a rough outline of the topic is all that’s needed, while in other cases, universities expect a very detailed proposal that essentially forms the first three chapters of the dissertation or thesis.

The takeaway – be sure to check with your institution before you start writing.

How do I choose a topic for my research proposal?

Finding a good research topic is a process that involves multiple steps. We cover the topic ideation process in this video post.

How do I write a literature review for my proposal?

While you typically won’t need a comprehensive literature review at the proposal stage, you still need to demonstrate that you’re familiar with the key literature and are able to synthesise it. We explain the literature review process here.

How do I create a timeline and budget for my proposal?

We explain how to craft a project plan/timeline and budget in Research Proposal Bootcamp .

Which referencing format should I use in my research proposal?

The expectations and requirements regarding formatting and referencing vary from institution to institution. Therefore, you’ll need to check this information with your university.

What common proposal writing mistakes do I need to look out for?

We’ve create a video post about some of the most common mistakes students make when writing a proposal – you can access that here . If you’re short on time, here’s a quick summary:

• The research topic is too broad (or just poorly articulated).
• The research aims, objectives and questions don’t align.
• The research topic is not well justified.
• The study has a weak theoretical foundation.
• The research design is not well articulated well enough.
• Poor writing and sloppy presentation.
• Poor project planning and risk management.
• Not following the university’s specific criteria.

Key Takeaways & Additional Resources

As you write up your research proposal, remember the all-important core purpose:  to convince . Your research proposal needs to sell your study in terms of suitability and viability. So, focus on crafting a convincing narrative to ensure a strong proposal.

At the same time, pay close attention to your university’s requirements. While we’ve covered the essentials here, every institution has its own set of expectations and it’s essential that you follow these to maximise your chances of approval.

By the way, we’ve got plenty more resources to help you fast-track your research proposal. Here are some of our most popular resources to get you started:

• Proposal Writing 101 : A Introductory Webinar
• Research Proposal Bootcamp : The Ultimate Online Course
• Template : A basic template to help you craft your proposal

If you’re looking for 1-on-1 support with your research proposal, be sure to check out our private coaching service , where we hold your hand through the proposal development process (and the entire research journey), step by step.

Psst… there’s more!

This post is an extract from our bestselling short course, Research Proposal Bootcamp . If you want to work smart, you don't want to miss this .

52 Comments

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You’re most welcome. We don’t have any research proposals that we can share (the students own the intellectual property), but you might find our research proposal template useful: https://gradcoach.com/research-proposal-template/

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• How to Write a Research Proposal | Examples & Templates

How to Write a Research Proposal | Examples & Templates

Published on 30 October 2022 by Shona McCombes and Tegan George. Revised on 13 June 2023.

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 organised 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, frequently asked questions.

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.

Download our research proposal template

Prevent plagiarism, run a free check.

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

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 synthesise 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. Emphasise 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?

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.

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The goal of a research proposal is twofold: to present and justify the need to study a research problem and to present the practical ways in which the proposed study should be conducted. The design elements and procedures for conducting research are governed by standards of the predominant discipline in which the problem resides, therefore, the guidelines for research proposals are more exacting and less formal than a general project proposal. Research proposals contain extensive literature reviews. They must provide persuasive evidence that a need exists for the proposed study. In addition to providing a rationale, a proposal describes detailed methodology for conducting the research consistent with requirements of the professional or academic field and a statement on anticipated outcomes and benefits derived from the study's completion.

Krathwohl, David R. How to Prepare a Dissertation Proposal: Suggestions for Students in Education and the Social and Behavioral Sciences . Syracuse, NY: Syracuse University Press, 2005.

How to Approach Writing a Research Proposal

Your professor may assign the task of writing a research proposal for the following reasons:

• Develop your skills in thinking about and designing a comprehensive research study;
• Learn how to conduct a comprehensive review of the literature to determine that the research problem has not been adequately addressed or has been answered ineffectively and, in so doing, become better at locating pertinent scholarship related to your topic;
• Improve your general research and writing skills;
• Practice identifying the logical steps that must be taken to accomplish one's research goals;
• Critically review, examine, and consider the use of different methods for gathering and analyzing data related to the research problem; and,
• Nurture a sense of inquisitiveness within yourself and to help see yourself as an active participant in the process of conducting scholarly research.

A proposal should contain all the key elements involved in designing a completed research study, with sufficient information that allows readers to assess the validity and usefulness of your proposed study. The only elements missing from a research proposal are the findings of the study and your analysis of those findings. Finally, an effective proposal is judged on the quality of your writing and, therefore, it is important that your proposal is coherent, clear, and compelling.

Regardless of the research problem you are investigating and the methodology you choose, all research proposals must address the following questions:

• What do you plan to accomplish? Be clear and succinct in defining the research problem and what it is you are proposing to investigate.
• Why do you want to do the research? In addition to detailing your research design, you also must conduct a thorough review of the literature and provide convincing evidence that it is a topic worthy of in-depth study. A successful research proposal must answer the "So What?" question.
• How are you going to conduct the research? Be sure that what you propose is doable. If you're having difficulty formulating a research problem to propose investigating, go here for strategies in developing a problem to study.

Common Mistakes to Avoid

• Failure to be concise . A research proposal must be focused and not be "all over the map" or diverge into unrelated tangents without a clear sense of purpose.
• Failure to cite landmark works in your literature review . Proposals should be grounded in foundational research that lays a foundation for understanding the development and scope of the the topic and its relevance.
• Failure to delimit the contextual scope of your research [e.g., time, place, people, etc.]. As with any research paper, your proposed study must inform the reader how and in what ways the study will frame the problem.
• Failure to develop a coherent and persuasive argument for the proposed research . This is critical. In many workplace settings, the research proposal is a formal document intended to argue for why a study should be funded.
• Sloppy or imprecise writing, or poor grammar . Although a research proposal does not represent a completed research study, there is still an expectation that it is well-written and follows the style and rules of good academic writing.
• Too much detail on minor issues, but not enough detail on major issues . Your proposal should focus on only a few key research questions in order to support the argument that the research needs to be conducted. Minor issues, even if valid, can be mentioned but they should not dominate the overall narrative.

Procter, Margaret. The Academic Proposal.  The Lab Report. University College Writing Centre. University of Toronto; Sanford, Keith. Information for Students: Writing a Research Proposal. Baylor University; Wong, Paul T. P. How to Write a Research Proposal. International Network on Personal Meaning. Trinity Western University; Writing Academic Proposals: Conferences, Articles, and Books. The Writing Lab and The OWL. Purdue University; Writing a Research Proposal. University Library. University of Illinois at Urbana-Champaign.

Structure and Writing Style

Beginning the Proposal Process

As with writing most college-level academic papers, research proposals are generally organized the same way throughout most social science disciplines. The text of proposals generally vary in length between ten and thirty-five pages, followed by the list of references. However, before you begin, read the assignment carefully and, if anything seems unclear, ask your professor whether there are any specific requirements for organizing and writing the proposal.

A good place to begin is to ask yourself a series of questions:

• What do I want to study?
• Why is the topic important?
• How is it significant within the subject areas covered in my class?
• What problems will it help solve?
• How does it build upon [and hopefully go beyond] research already conducted on the topic?
• What exactly should I plan to do, and can I get it done in the time available?

In general, a compelling research proposal should document your knowledge of the topic and demonstrate your enthusiasm for conducting the study. Approach it with the intention of leaving your readers feeling like, "Wow, that's an exciting idea and I can’t wait to see how it turns out!"

Most proposals should include the following sections:

I.  Introduction

In the real world of higher education, a research proposal is most often written by scholars seeking grant funding for a research project or it's the first step in getting approval to write a doctoral dissertation. Even if this is just a course assignment, treat your introduction as the initial pitch of an idea based on a thorough examination of the significance of a research problem. After reading the introduction, your readers should not only have an understanding of what you want to do, but they should also be able to gain a sense of your passion for the topic and to be excited about the study's possible outcomes. Note that most proposals do not include an abstract [summary] before the introduction.

Think about your introduction as a narrative written in two to four paragraphs that succinctly answers the following four questions :

• What is the central research problem?
• What is the topic of study related to that research problem?
• What methods should be used to analyze the research problem?
• Answer the "So What?" question by explaining why this is important research, what is its significance, and why should someone reading the proposal care about the outcomes of the proposed study?

II.  Background and Significance

This is where you explain the scope and context of your proposal and describe in detail why it's important. It can be melded into your introduction or you can create a separate section to help with the organization and narrative flow of your proposal. Approach writing this section with the thought that you can’t assume your readers will know as much about the research problem as you do. Note that this section is not an essay going over everything you have learned about the topic; instead, you must choose what is most relevant in explaining the aims of your research.

To that end, while there are no prescribed rules for establishing the significance of your proposed study, you should attempt to address some or all of the following:

• State the research problem and give a more detailed explanation about the purpose of the study than what you stated in the introduction. This is particularly important if the problem is complex or multifaceted .
• Present the rationale of your proposed study and clearly indicate why it is worth doing; be sure to answer the "So What? question [i.e., why should anyone care?].
• Describe the major issues or problems examined by your research. This can be in the form of questions to be addressed. Be sure to note how your proposed study builds on previous assumptions about the research problem.
• Explain the methods you plan to use for conducting your research. Clearly identify the key sources you intend to use and explain how they will contribute to your analysis of the topic.
• Describe the boundaries of your proposed research in order to provide a clear focus. Where appropriate, state not only what you plan to study, but what aspects of the research problem will be excluded from the study.
• If necessary, provide definitions of key concepts, theories, or terms.

III.  Literature Review

Connected to the background and significance of your study is a section of your proposal devoted to a more deliberate review and synthesis of prior studies related to the research problem under investigation . The purpose here is to place your project within the larger whole of what is currently being explored, while at the same time, demonstrating to your readers that your work is original and innovative. Think about what questions other researchers have asked, what methodological approaches they have used, and what is your understanding of their findings and, when stated, their recommendations. Also pay attention to any suggestions for further research.

Since a literature review is information dense, it is crucial that this section is intelligently structured to enable a reader to grasp the key arguments underpinning your proposed study in relation to the arguments put forth by other researchers. A good strategy is to break the literature into "conceptual categories" [themes] rather than systematically or chronologically describing groups of materials one at a time. Note that conceptual categories generally reveal themselves after you have read most of the pertinent literature on your topic so adding new categories is an on-going process of discovery as you review more studies. How do you know you've covered the key conceptual categories underlying the research literature? Generally, you can have confidence that all of the significant conceptual categories have been identified if you start to see repetition in the conclusions or recommendations that are being made.

NOTE: Do not shy away from challenging the conclusions made in prior research as a basis for supporting the need for your proposal. Assess what you believe is missing and state how previous research has failed to adequately examine the issue that your study addresses. Highlighting the problematic conclusions strengthens your proposal. For more information on writing literature reviews, GO HERE .

To help frame your proposal's review of prior research, consider the "five C’s" of writing a literature review:

• Cite , so as to keep the primary focus on the literature pertinent to your research problem.
• Compare the various arguments, theories, methodologies, and findings expressed in the literature: what do the authors agree on? Who applies similar approaches to analyzing the research problem?
• Contrast the various arguments, themes, methodologies, approaches, and controversies expressed in the literature: describe what are the major areas of disagreement, controversy, or debate among scholars?
• Critique the literature: Which arguments are more persuasive, and why? Which approaches, findings, and methodologies seem most reliable, valid, or appropriate, and why? Pay attention to the verbs you use to describe what an author says/does [e.g., asserts, demonstrates, argues, etc.].
• Connect the literature to your own area of research and investigation: how does your own work draw upon, depart from, synthesize, or add a new perspective to what has been said in the literature?

IV.  Research Design and Methods

This section must be well-written and logically organized because you are not actually doing the research, yet, your reader must have confidence that you have a plan worth pursuing . The reader will never have a study outcome from which to evaluate whether your methodological choices were the correct ones. Thus, the objective here is to convince the reader that your overall research design and proposed methods of analysis will correctly address the problem and that the methods will provide the means to effectively interpret the potential results. Your design and methods should be unmistakably tied to the specific aims of your study.

Describe the overall research design by building upon and drawing examples from your review of the literature. Consider not only methods that other researchers have used, but methods of data gathering that have not been used but perhaps could be. Be specific about the methodological approaches you plan to undertake to obtain information, the techniques you would use to analyze the data, and the tests of external validity to which you commit yourself [i.e., the trustworthiness by which you can generalize from your study to other people, places, events, and/or periods of time].

When describing the methods you will use, be sure to cover the following:

• Specify the research process you will undertake and the way you will interpret the results obtained in relation to the research problem. Don't just describe what you intend to achieve from applying the methods you choose, but state how you will spend your time while applying these methods [e.g., coding text from interviews to find statements about the need to change school curriculum; running a regression to determine if there is a relationship between campaign advertising on social media sites and election outcomes in Europe ].
• Keep in mind that the methodology is not just a list of tasks; it is a deliberate argument as to why techniques for gathering information add up to the best way to investigate the research problem. This is an important point because the mere listing of tasks to be performed does not demonstrate that, collectively, they effectively address the research problem. Be sure you clearly explain this.
• Anticipate and acknowledge any potential barriers and pitfalls in carrying out your research design and explain how you plan to address them. No method applied to research in the social and behavioral sciences is perfect, so you need to describe where you believe challenges may exist in obtaining data or accessing information. It's always better to acknowledge this than to have it brought up by your professor!

V.  Preliminary Suppositions and Implications

Just because you don't have to actually conduct the study and analyze the results, doesn't mean you can skip talking about the analytical process and potential implications . The purpose of this section is to argue how and in what ways you believe your research will refine, revise, or extend existing knowledge in the subject area under investigation. Depending on the aims and objectives of your study, describe how the anticipated results will impact future scholarly research, theory, practice, forms of interventions, or policy making. Note that such discussions may have either substantive [a potential new policy], theoretical [a potential new understanding], or methodological [a potential new way of analyzing] significance.   When thinking about the potential implications of your study, ask the following questions:

• What might the results mean in regards to challenging the theoretical framework and underlying assumptions that support the study?
• What suggestions for subsequent research could arise from the potential outcomes of the study?
• What will the results mean to practitioners in the natural settings of their workplace, organization, or community?
• Will the results influence programs, methods, and/or forms of intervention?
• How might the results contribute to the solution of social, economic, or other types of problems?
• Will the results influence policy decisions?
• In what way do individuals or groups benefit should your study be pursued?
• What will be improved or changed as a result of the proposed research?
• How will the results of the study be implemented and what innovations or transformative insights could emerge from the process of implementation?

NOTE:   This section should not delve into idle speculation, opinion, or be formulated on the basis of unclear evidence . The purpose is to reflect upon gaps or understudied areas of the current literature and describe how your proposed research contributes to a new understanding of the research problem should the study be implemented as designed.

ANOTHER NOTE : This section is also where you describe any potential limitations to your proposed study. While it is impossible to highlight all potential limitations because the study has yet to be conducted, you still must tell the reader where and in what form impediments may arise and how you plan to address them.

VI.  Conclusion

The conclusion reiterates the importance or significance of your proposal and provides a brief summary of the entire study . This section should be only one or two paragraphs long, emphasizing why the research problem is worth investigating, why your research study is unique, and how it should advance existing knowledge.

Someone reading this section should come away with an understanding of:

• Why the study should be done;
• The specific purpose of the study and the research questions it attempts to answer;
• The decision for why the research design and methods used where chosen over other options;
• The potential implications emerging from your proposed study of the research problem; and
• A sense of how your study fits within the broader scholarship about the research problem.

VII.  Citations

As with any scholarly research paper, you must cite the sources you used . In a standard research proposal, this section can take two forms, so consult with your professor about which one is preferred.

• References -- a list of only the sources you actually used in creating your proposal.
• Bibliography -- a list of everything you used in creating your proposal, along with additional citations to any key sources relevant to understanding the research problem.

In either case, this section should testify to the fact that you did enough preparatory work to ensure the project will complement and not just duplicate the efforts of other researchers. It demonstrates to the reader that you have a thorough understanding of prior research on the topic.

Most proposal formats have you start a new page and use the heading "References" or "Bibliography" centered at the top of the page. Cited works should always use a standard format that follows the writing style advised by the discipline of your course [e.g., education=APA; history=Chicago] or that is preferred by your professor. This section normally does not count towards the total page length of your research proposal.

Develop a Research Proposal: Writing the Proposal. Office of Library Information Services. Baltimore County Public Schools; Heath, M. Teresa Pereira and Caroline Tynan. “Crafting a Research Proposal.” The Marketing Review 10 (Summer 2010): 147-168; Jones, Mark. “Writing a Research Proposal.” In MasterClass in Geography Education: Transforming Teaching and Learning . Graham Butt, editor. (New York: Bloomsbury Academic, 2015), pp. 113-127; Juni, Muhamad Hanafiah. “Writing a Research Proposal.” International Journal of Public Health and Clinical Sciences 1 (September/October 2014): 229-240; Krathwohl, David R. How to Prepare a Dissertation Proposal: Suggestions for Students in Education and the Social and Behavioral Sciences . Syracuse, NY: Syracuse University Press, 2005; Procter, Margaret. The Academic Proposal. The Lab Report. University College Writing Centre. University of Toronto; Punch, Keith and Wayne McGowan. "Developing and Writing a Research Proposal." In From Postgraduate to Social Scientist: A Guide to Key Skills . Nigel Gilbert, ed. (Thousand Oaks, CA: Sage, 2006), 59-81; Wong, Paul T. P. How to Write a Research Proposal. International Network on Personal Meaning. Trinity Western University; Writing Academic Proposals: Conferences , Articles, and Books. The Writing Lab and The OWL. Purdue University; Writing a Research Proposal. University Library. University of Illinois at Urbana-Champaign.

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11.2 Steps in Developing a Research Proposal

Learning objectives.

• Identify the steps in developing a research proposal.
• Choose a topic and formulate a research question and working thesis.
• Develop a research proposal.

Writing a good research paper takes time, thought, and effort. Although this assignment is challenging, it is manageable. Focusing on one step at a time will help you develop a thoughtful, informative, well-supported research paper.

Your first step is to choose a topic and then to develop research questions, a working thesis, and a written research proposal. Set aside adequate time for this part of the process. Fully exploring ideas will help you build a solid foundation for your paper.

Choosing a Topic

When you choose a topic for a research paper, you are making a major commitment. Your choice will help determine whether you enjoy the lengthy process of research and writing—and whether your final paper fulfills the assignment requirements. If you choose your topic hastily, you may later find it difficult to work with your topic. By taking your time and choosing carefully, you can ensure that this assignment is not only challenging but also rewarding.

Writers understand the importance of choosing a topic that fulfills the assignment requirements and fits the assignment’s purpose and audience. (For more information about purpose and audience, see Chapter 6 “Writing Paragraphs: Separating Ideas and Shaping Content” .) Choosing a topic that interests you is also crucial. You instructor may provide a list of suggested topics or ask that you develop a topic on your own. In either case, try to identify topics that genuinely interest you.

After identifying potential topic ideas, you will need to evaluate your ideas and choose one topic to pursue. Will you be able to find enough information about the topic? Can you develop a paper about this topic that presents and supports your original ideas? Is the topic too broad or too narrow for the scope of the assignment? If so, can you modify it so it is more manageable? You will ask these questions during this preliminary phase of the research process.

Identifying Potential Topics

Sometimes, your instructor may provide a list of suggested topics. If so, you may benefit from identifying several possibilities before committing to one idea. It is important to know how to narrow down your ideas into a concise, manageable thesis. You may also use the list as a starting point to help you identify additional, related topics. Discussing your ideas with your instructor will help ensure that you choose a manageable topic that fits the requirements of the assignment.

In this chapter, you will follow a writer named Jorge, who is studying health care administration, as he prepares a research paper. You will also plan, research, and draft your own research paper.

Jorge was assigned to write a research paper on health and the media for an introductory course in health care. Although a general topic was selected for the students, Jorge had to decide which specific issues interested him. He brainstormed a list of possibilities.

If you are writing a research paper for a specialized course, look back through your notes and course activities. Identify reading assignments and class discussions that especially engaged you. Doing so can help you identify topics to pursue.

• Health Maintenance Organizations (HMOs) in the news
• Sexual education programs
• Hollywood and eating disorders
• Americans’ access to public health information
• Media portrayal of health care reform bill
• Depictions of drugs on television
• The effect of the Internet on mental health
• Popularized diets (such as low-carbohydrate diets)
• Fear of pandemics (bird flu, HINI, SARS)
• Electronic entertainment and obesity
• Advertisements for prescription drugs
• Public education and disease prevention

Set a timer for five minutes. Use brainstorming or idea mapping to create a list of topics you would be interested in researching for a paper about the influence of the Internet on social networking. Do you closely follow the media coverage of a particular website, such as Twitter? Would you like to learn more about a certain industry, such as online dating? Which social networking sites do you and your friends use? List as many ideas related to this topic as you can.

Narrowing Your Topic

Once you have a list of potential topics, you will need to choose one as the focus of your essay. You will also need to narrow your topic. Most writers find that the topics they listed during brainstorming or idea mapping are broad—too broad for the scope of the assignment. Working with an overly broad topic, such as sexual education programs or popularized diets, can be frustrating and overwhelming. Each topic has so many facets that it would be impossible to cover them all in a college research paper. However, more specific choices, such as the pros and cons of sexual education in kids’ television programs or the physical effects of the South Beach diet, are specific enough to write about without being too narrow to sustain an entire research paper.

A good research paper provides focused, in-depth information and analysis. If your topic is too broad, you will find it difficult to do more than skim the surface when you research it and write about it. Narrowing your focus is essential to making your topic manageable. To narrow your focus, explore your topic in writing, conduct preliminary research, and discuss both the topic and the research with others.

Exploring Your Topic in Writing

“How am I supposed to narrow my topic when I haven’t even begun researching yet?” In fact, you may already know more than you realize. Review your list and identify your top two or three topics. Set aside some time to explore each one through freewriting. (For more information about freewriting, see Chapter 8 “The Writing Process: How Do I Begin?” .) Simply taking the time to focus on your topic may yield fresh angles.

Jorge knew that he was especially interested in the topic of diet fads, but he also knew that it was much too broad for his assignment. He used freewriting to explore his thoughts so he could narrow his topic. Read Jorge’s ideas.

Conducting Preliminary Research

Another way writers may focus a topic is to conduct preliminary research . Like freewriting, exploratory reading can help you identify interesting angles. Surfing the web and browsing through newspaper and magazine articles are good ways to start. Find out what people are saying about your topic on blogs and online discussion groups. Discussing your topic with others can also inspire you. Talk about your ideas with your classmates, your friends, or your instructor.

Jorge’s freewriting exercise helped him realize that the assigned topic of health and the media intersected with a few of his interests—diet, nutrition, and obesity. Preliminary online research and discussions with his classmates strengthened his impression that many people are confused or misled by media coverage of these subjects.

Jorge decided to focus his paper on a topic that had garnered a great deal of media attention—low-carbohydrate diets. He wanted to find out whether low-carbohydrate diets were as effective as their proponents claimed.

Writing at Work

At work, you may need to research a topic quickly to find general information. This information can be useful in understanding trends in a given industry or generating competition. For example, a company may research a competitor’s prices and use the information when pricing their own product. You may find it useful to skim a variety of reliable sources and take notes on your findings.

The reliability of online sources varies greatly. In this exploratory phase of your research, you do not need to evaluate sources as closely as you will later. However, use common sense as you refine your paper topic. If you read a fascinating blog comment that gives you a new idea for your paper, be sure to check out other, more reliable sources as well to make sure the idea is worth pursuing.

Review the list of topics you created in Note 11.18 “Exercise 1” and identify two or three topics you would like to explore further. For each of these topics, spend five to ten minutes writing about the topic without stopping. Then review your writing to identify possible areas of focus.

Set aside time to conduct preliminary research about your potential topics. Then choose a topic to pursue for your research paper.

Collaboration

Please share your topic list with a classmate. Select one or two topics on his or her list that you would like to learn more about and return it to him or her. Discuss why you found the topics interesting, and learn which of your topics your classmate selected and why.

A Plan for Research

Your freewriting and preliminary research have helped you choose a focused, manageable topic for your research paper. To work with your topic successfully, you will need to determine what exactly you want to learn about it—and later, what you want to say about it. Before you begin conducting in-depth research, you will further define your focus by developing a research question , a working thesis, and a research proposal.

Formulating a Research Question

In forming a research question, you are setting a goal for your research. Your main research question should be substantial enough to form the guiding principle of your paper—but focused enough to guide your research. A strong research question requires you not only to find information but also to put together different pieces of information, interpret and analyze them, and figure out what you think. As you consider potential research questions, ask yourself whether they would be too hard or too easy to answer.

To determine your research question, review the freewriting you completed earlier. Skim through books, articles, and websites and list the questions you have. (You may wish to use the 5WH strategy to help you formulate questions. See Chapter 8 “The Writing Process: How Do I Begin?” for more information about 5WH questions.) Include simple, factual questions and more complex questions that would require analysis and interpretation. Determine your main question—the primary focus of your paper—and several subquestions that you will need to research to answer your main question.

Here are the research questions Jorge will use to focus his research. Notice that his main research question has no obvious, straightforward answer. Jorge will need to research his subquestions, which address narrower topics, to answer his main question.

Using the topic you selected in Note 11.24 “Exercise 2” , write your main research question and at least four to five subquestions. Check that your main research question is appropriately complex for your assignment.

Constructing a Working ThesIs

A working thesis concisely states a writer’s initial answer to the main research question. It does not merely state a fact or present a subjective opinion. Instead, it expresses a debatable idea or claim that you hope to prove through additional research. Your working thesis is called a working thesis for a reason—it is subject to change. As you learn more about your topic, you may change your thinking in light of your research findings. Let your working thesis serve as a guide to your research, but do not be afraid to modify it based on what you learn.

Jorge began his research with a strong point of view based on his preliminary writing and research. Read his working thesis statement, which presents the point he will argue. Notice how it states Jorge’s tentative answer to his research question.

One way to determine your working thesis is to consider how you would complete sentences such as I believe or My opinion is . However, keep in mind that academic writing generally does not use first-person pronouns. These statements are useful starting points, but formal research papers use an objective voice.

Write a working thesis statement that presents your preliminary answer to the research question you wrote in Note 11.27 “Exercise 3” . Check that your working thesis statement presents an idea or claim that could be supported or refuted by evidence from research.

Creating a Research Proposal

A research proposal is a brief document—no more than one typed page—that summarizes the preliminary work you have completed. Your purpose in writing it is to formalize your plan for research and present it to your instructor for feedback. In your research proposal, you will present your main research question, related subquestions, and working thesis. You will also briefly discuss the value of researching this topic and indicate how you plan to gather information.

When Jorge began drafting his research proposal, he realized that he had already created most of the pieces he needed. However, he knew he also had to explain how his research would be relevant to other future health care professionals. In addition, he wanted to form a general plan for doing the research and identifying potentially useful sources. Read Jorge’s research proposal.

Before you begin a new project at work, you may have to develop a project summary document that states the purpose of the project, explains why it would be a wise use of company resources, and briefly outlines the steps involved in completing the project. This type of document is similar to a research proposal. Both documents define and limit a project, explain its value, discuss how to proceed, and identify what resources you will use.

Writing Your Own Research Proposal

Now you may write your own research proposal, if you have not done so already. Follow the guidelines provided in this lesson.

Key Takeaways

• Developing a research proposal involves the following preliminary steps: identifying potential ideas, choosing ideas to explore further, choosing and narrowing a topic, formulating a research question, and developing a working thesis.
• A good topic for a research paper interests the writer and fulfills the requirements of the assignment.
• Defining and narrowing a topic helps writers conduct focused, in-depth research.
• Writers conduct preliminary research to identify possible topics and research questions and to develop a working thesis.
• A good research question interests readers, is neither too broad nor too narrow, and has no obvious answer.
• A good working thesis expresses a debatable idea or claim that can be supported with evidence from research.
• Writers create a research proposal to present their topic, main research question, subquestions, and working thesis to an instructor for approval or feedback.

Writing for Success Copyright © 2015 by University of Minnesota is licensed under a Creative Commons Attribution-NonCommercial-ShareAlike 4.0 International License , except where otherwise noted.

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Blog Business How to Write a Research Proposal: A Step-by-Step

How to Write a Research Proposal: A Step-by-Step

Written by: Danesh Ramuthi Nov 29, 2023

A research proposal is a structured outline for a planned study on a specific topic. It serves as a roadmap, guiding researchers through the process of converting their research idea into a feasible project. 

The aim of a research proposal is multifold: it articulates the research problem, establishes a theoretical framework, outlines the research methodology and highlights the potential significance of the study. Importantly, it’s a critical tool for scholars seeking grant funding or approval for their research projects.

Crafting a good research proposal requires not only understanding your research topic and methodological approaches but also the ability to present your ideas clearly and persuasively. Explore Venngage’s Proposal Maker and Research Proposals Templates to begin your journey in writing a compelling research proposal.

What to include in a research proposal?

In a research proposal, include a clear statement of your research question or problem, along with an explanation of its significance. This should be followed by a literature review that situates your proposed study within the context of existing research. 

Your proposal should also outline the research methodology, detailing how you plan to conduct your study, including data collection and analysis methods.

Additionally, include a theoretical framework that guides your research approach, a timeline or research schedule, and a budget if applicable. It’s important to also address the anticipated outcomes and potential implications of your study. A well-structured research proposal will clearly communicate your research objectives, methods and significance to the readers.

How to format a research proposal?

Formatting a research proposal involves adhering to a structured outline to ensure clarity and coherence. While specific requirements may vary, a standard research proposal typically includes the following elements:

• Title Page: Must include the title of your research proposal, your name and affiliations. The title should be concise and descriptive of your proposed research.
• Abstract: A brief summary of your proposal, usually not exceeding 250 words. It should highlight the research question, methodology and the potential impact of the study.
• Introduction: Introduces your research question or problem, explains its significance, and states the objectives of your study.
• Literature review: Here, you contextualize your research within existing scholarship, demonstrating your knowledge of the field and how your research will contribute to it.
• Methodology: Outline your research methods, including how you will collect and analyze data. This section should be detailed enough to show the feasibility and thoughtfulness of your approach.
• Timeline: Provide an estimated schedule for your research, breaking down the process into stages with a realistic timeline for each.
• Budget (if applicable): If your research requires funding, include a detailed budget outlining expected cost.
• References/Bibliography: List all sources referenced in your proposal in a consistent citation style.

How to write a research proposal in 11 steps?

Writing a research proposal template in structured steps ensures a comprehensive and coherent presentation of your research project. Let’s look at the explanation for each of the steps here:  

Step 1: Title and Abstract Step 2: Introduction Step 3: Research objectives Step 4: Literature review Step 5: Methodology Step 6: Timeline Step 7: Resources Step 8: Ethical considerations Step 9: Expected outcomes and significance Step 10: References Step 11: Appendices

Step 1: title and abstract.

Select a concise, descriptive title and write an abstract summarizing your research question, objectives, methodology and expected outcomes​​. The abstract should include your research question, the objectives you aim to achieve, the methodology you plan to employ and the anticipated outcomes. 

Step 2: Introduction

In this section, introduce the topic of your research, emphasizing its significance and relevance to the field. Articulate the research problem or question in clear terms and provide background context, which should include an overview of previous research in the field.

Step 3: Research objectives

Here, you’ll need to outline specific, clear and achievable objectives that align with your research problem. These objectives should be well-defined, focused and measurable, serving as the guiding pillars for your study. They help in establishing what you intend to accomplish through your research and provide a clear direction for your investigation.

Step 4: Literature review

In this part, conduct a thorough review of existing literature related to your research topic. This involves a detailed summary of key findings and major contributions from previous research. Identify existing gaps in the literature and articulate how your research aims to fill these gaps. The literature review not only shows your grasp of the subject matter but also how your research will contribute new insights or perspectives to the field.

Step 5: Methodology

Describe the design of your research and the methodologies you will employ. This should include detailed information on data collection methods, instruments to be used and analysis techniques. Justify the appropriateness of these methods for your research​​.

Step 6: Timeline

Construct a detailed timeline that maps out the major milestones and activities of your research project. Break the entire research process into smaller, manageable tasks and assign realistic time frames to each. This timeline should cover everything from the initial research phase to the final submission, including periods for data collection, analysis and report writing. 

It helps in ensuring your project stays on track and demonstrates to reviewers that you have a well-thought-out plan for completing your research efficiently.

Step 7: Resources

Identify all the resources that will be required for your research, such as specific databases, laboratory equipment, software or funding. Provide details on how these resources will be accessed or acquired. 

If your research requires funding, explain how it will be utilized effectively to support various aspects of the project. 

Step 8: Ethical considerations

Address any ethical issues that may arise during your research. This is particularly important for research involving human subjects. Describe the measures you will take to ensure ethical standards are maintained, such as obtaining informed consent, ensuring participant privacy, and adhering to data protection regulations. 

Here, in this section you should reassure reviewers that you are committed to conducting your research responsibly and ethically.

Step 9: Expected outcomes and significance

Articulate the expected outcomes or results of your research. Explain the potential impact and significance of these outcomes, whether in advancing academic knowledge, influencing policy or addressing specific societal or practical issues. 

Step 10: References

Compile a comprehensive list of all the references cited in your proposal. Adhere to a consistent citation style (like APA or MLA) throughout your document. The reference section not only gives credit to the original authors of your sourced information but also strengthens the credibility of your proposal.

Step 11: Appendices

Include additional supporting materials that are pertinent to your research proposal. This can be survey questionnaires, interview guides, detailed data analysis plans or any supplementary information that supports the main text. 

Appendices provide further depth to your proposal, showcasing the thoroughness of your preparation.

Research proposal FAQs

1. how long should a research proposal be.

The length of a research proposal can vary depending on the requirements of the academic institution, funding body or specific guidelines provided. Generally, research proposals range from 500 to 1500 words or about one to a few pages long. It’s important to provide enough detail to clearly convey your research idea, objectives and methodology, while being concise. Always check

2. Why is the research plan pivotal to a research project?

The research plan is pivotal to a research project because it acts as a blueprint, guiding every phase of the study. It outlines the objectives, methodology, timeline and expected outcomes, providing a structured approach and ensuring that the research is systematically conducted. 

A well-crafted plan helps in identifying potential challenges, allocating resources efficiently and maintaining focus on the research goals. It is also essential for communicating the project’s feasibility and importance to stakeholders, such as funding bodies or academic supervisors.

Mastering how to write a research proposal is an essential skill for any scholar, whether in social and behavioral sciences, academic writing or any field requiring scholarly research. From this article, you have learned key components, from the literature review to the research design, helping you develop a persuasive and well-structured proposal.

Remember, a good research proposal not only highlights your proposed research and methodology but also demonstrates its relevance and potential impact.

For additional support, consider utilizing Venngage’s Proposal Maker and Research Proposals Templates , valuable tools in crafting a compelling proposal that stands out.

Whether it’s for grant funding, a research paper or a dissertation proposal, these resources can assist in transforming your research idea into a successful submission.

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• Indian J Anaesth
• v.60(9); 2016 Sep

How to write a research proposal?

Department of Anaesthesiology, Bangalore Medical College and Research Institute, Bengaluru, Karnataka, India

Devika Rani Duggappa

Writing the proposal of a research work in the present era is a challenging task due to the constantly evolving trends in the qualitative research design and the need to incorporate medical advances into the methodology. The proposal is a detailed plan or ‘blueprint’ for the intended study, and once it is completed, the research project should flow smoothly. Even today, many of the proposals at post-graduate evaluation committees and application proposals for funding are substandard. A search was conducted with keywords such as research proposal, writing proposal and qualitative using search engines, namely, PubMed and Google Scholar, and an attempt has been made to provide broad guidelines for writing a scientifically appropriate research proposal.

INTRODUCTION

A clean, well-thought-out proposal forms the backbone for the research itself and hence becomes the most important step in the process of conduct of research.[ 1 ] The objective of preparing a research proposal would be to obtain approvals from various committees including ethics committee [details under ‘Research methodology II’ section [ Table 1 ] in this issue of IJA) and to request for grants. However, there are very few universally accepted guidelines for preparation of a good quality research proposal. A search was performed with keywords such as research proposal, funding, qualitative and writing proposals using search engines, namely, PubMed, Google Scholar and Scopus.

Five ‘C’s while writing a literature review

BASIC REQUIREMENTS OF A RESEARCH PROPOSAL

A proposal needs to show how your work fits into what is already known about the topic and what new paradigm will it add to the literature, while specifying the question that the research will answer, establishing its significance, and the implications of the answer.[ 2 ] The proposal must be capable of convincing the evaluation committee about the credibility, achievability, practicality and reproducibility (repeatability) of the research design.[ 3 ] Four categories of audience with different expectations may be present in the evaluation committees, namely academic colleagues, policy-makers, practitioners and lay audiences who evaluate the research proposal. Tips for preparation of a good research proposal include; ‘be practical, be persuasive, make broader links, aim for crystal clarity and plan before you write’. A researcher must be balanced, with a realistic understanding of what can be achieved. Being persuasive implies that researcher must be able to convince other researchers, research funding agencies, educational institutions and supervisors that the research is worth getting approval. The aim of the researcher should be clearly stated in simple language that describes the research in a way that non-specialists can comprehend, without use of jargons. The proposal must not only demonstrate that it is based on an intelligent understanding of the existing literature but also show that the writer has thought about the time needed to conduct each stage of the research.[ 4 , 5 ]

CONTENTS OF A RESEARCH PROPOSAL

The contents or formats of a research proposal vary depending on the requirements of evaluation committee and are generally provided by the evaluation committee or the institution.

In general, a cover page should contain the (i) title of the proposal, (ii) name and affiliation of the researcher (principal investigator) and co-investigators, (iii) institutional affiliation (degree of the investigator and the name of institution where the study will be performed), details of contact such as phone numbers, E-mail id's and lines for signatures of investigators.

The main contents of the proposal may be presented under the following headings: (i) introduction, (ii) review of literature, (iii) aims and objectives, (iv) research design and methods, (v) ethical considerations, (vi) budget, (vii) appendices and (viii) citations.[ 4 ]

Introduction

It is also sometimes termed as ‘need for study’ or ‘abstract’. Introduction is an initial pitch of an idea; it sets the scene and puts the research in context.[ 6 ] The introduction should be designed to create interest in the reader about the topic and proposal. It should convey to the reader, what you want to do, what necessitates the study and your passion for the topic.[ 7 ] Some questions that can be used to assess the significance of the study are: (i) Who has an interest in the domain of inquiry? (ii) What do we already know about the topic? (iii) What has not been answered adequately in previous research and practice? (iv) How will this research add to knowledge, practice and policy in this area? Some of the evaluation committees, expect the last two questions, elaborated under a separate heading of ‘background and significance’.[ 8 ] Introduction should also contain the hypothesis behind the research design. If hypothesis cannot be constructed, the line of inquiry to be used in the research must be indicated.

Review of literature

It refers to all sources of scientific evidence pertaining to the topic in interest. In the present era of digitalisation and easy accessibility, there is an enormous amount of relevant data available, making it a challenge for the researcher to include all of it in his/her review.[ 9 ] It is crucial to structure this section intelligently so that the reader can grasp the argument related to your study in relation to that of other researchers, while still demonstrating to your readers that your work is original and innovative. It is preferable to summarise each article in a paragraph, highlighting the details pertinent to the topic of interest. The progression of review can move from the more general to the more focused studies, or a historical progression can be used to develop the story, without making it exhaustive.[ 1 ] Literature should include supporting data, disagreements and controversies. Five ‘C's may be kept in mind while writing a literature review[ 10 ] [ Table 1 ].

Aims and objectives

The research purpose (or goal or aim) gives a broad indication of what the researcher wishes to achieve in the research. The hypothesis to be tested can be the aim of the study. The objectives related to parameters or tools used to achieve the aim are generally categorised as primary and secondary objectives.

Research design and method

The objective here is to convince the reader that the overall research design and methods of analysis will correctly address the research problem and to impress upon the reader that the methodology/sources chosen are appropriate for the specific topic. It should be unmistakably tied to the specific aims of your study.

In this section, the methods and sources used to conduct the research must be discussed, including specific references to sites, databases, key texts or authors that will be indispensable to the project. There should be specific mention about the methodological approaches to be undertaken to gather information, about the techniques to be used to analyse it and about the tests of external validity to which researcher is committed.[ 10 , 11 ]

The components of this section include the following:[ 4 ]

Population and sample

Population refers to all the elements (individuals, objects or substances) that meet certain criteria for inclusion in a given universe,[ 12 ] and sample refers to subset of population which meets the inclusion criteria for enrolment into the study. The inclusion and exclusion criteria should be clearly defined. The details pertaining to sample size are discussed in the article “Sample size calculation: Basic priniciples” published in this issue of IJA.

Data collection

The researcher is expected to give a detailed account of the methodology adopted for collection of data, which include the time frame required for the research. The methodology should be tested for its validity and ensure that, in pursuit of achieving the results, the participant's life is not jeopardised. The author should anticipate and acknowledge any potential barrier and pitfall in carrying out the research design and explain plans to address them, thereby avoiding lacunae due to incomplete data collection. If the researcher is planning to acquire data through interviews or questionnaires, copy of the questions used for the same should be attached as an annexure with the proposal.

Rigor (soundness of the research)

This addresses the strength of the research with respect to its neutrality, consistency and applicability. Rigor must be reflected throughout the proposal.

It refers to the robustness of a research method against bias. The author should convey the measures taken to avoid bias, viz. blinding and randomisation, in an elaborate way, thus ensuring that the result obtained from the adopted method is purely as chance and not influenced by other confounding variables.

Consistency

Consistency considers whether the findings will be consistent if the inquiry was replicated with the same participants and in a similar context. This can be achieved by adopting standard and universally accepted methods and scales.

Applicability

Applicability refers to the degree to which the findings can be applied to different contexts and groups.[ 13 ]

Data analysis

This section deals with the reduction and reconstruction of data and its analysis including sample size calculation. The researcher is expected to explain the steps adopted for coding and sorting the data obtained. Various tests to be used to analyse the data for its robustness, significance should be clearly stated. Author should also mention the names of statistician and suitable software which will be used in due course of data analysis and their contribution to data analysis and sample calculation.[ 9 ]

Ethical considerations

Medical research introduces special moral and ethical problems that are not usually encountered by other researchers during data collection, and hence, the researcher should take special care in ensuring that ethical standards are met. Ethical considerations refer to the protection of the participants' rights (right to self-determination, right to privacy, right to autonomy and confidentiality, right to fair treatment and right to protection from discomfort and harm), obtaining informed consent and the institutional review process (ethical approval). The researcher needs to provide adequate information on each of these aspects.

Informed consent needs to be obtained from the participants (details discussed in further chapters), as well as the research site and the relevant authorities.

When the researcher prepares a research budget, he/she should predict and cost all aspects of the research and then add an additional allowance for unpredictable disasters, delays and rising costs. All items in the budget should be justified.

Appendices are documents that support the proposal and application. The appendices will be specific for each proposal but documents that are usually required include informed consent form, supporting documents, questionnaires, measurement tools and patient information of the study in layman's language.

As with any scholarly research paper, you must cite the sources you used in composing your proposal. Although the words ‘references and bibliography’ are different, they are used interchangeably. It refers to all references cited in the research proposal.

Successful, qualitative research proposals should communicate the researcher's knowledge of the field and method and convey the emergent nature of the qualitative design. The proposal should follow a discernible logic from the introduction to presentation of the appendices.

Financial support and sponsorship

Conflicts of interest.

There are no conflicts of interest.

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Chapter 14: The Research Proposal

14.3 Components of a Research Proposal

Krathwohl (2005) suggests and describes a variety of components to include in a research proposal. The following sections – Introductions, Background and significance, Literature Review; Research design and methods, Preliminary suppositions and implications; and Conclusion present these components in a suggested template for you to follow in the preparation of your research proposal.

Introduction

The introduction sets the tone for what follows in your research proposal – treat it as the initial pitch of your idea. After reading the introduction your reader should:

• understand what it is you want to do;
• have a sense of your passion for the topic; and
• be excited about the study’s possible outcomes.

As you begin writing your research proposal, it is helpful to think of the introduction as a narrative of what it is you want to do, written in one to three paragraphs. Within those one to three paragraphs, it is important to briefly answer the following questions:

• What is the central research problem?
• How is the topic of your research proposal related to the problem?
• What methods will you utilize to analyze the research problem?
• Why is it important to undertake this research? What is the significance of your proposed research? Why are the outcomes of your proposed research important? Whom are they important?

Note : You may be asked by your instructor to include an abstract with your research proposal. In such cases, an abstract should provide an overview of what it is you plan to study, your main research question, a brief explanation of your methods to answer the research question, and your expected findings. All of this information must be carefully crafted in 150 to 250 words. A word of advice is to save the writing of your abstract until the very end of your research proposal preparation. If you are asked to provide an abstract, you should include 5 to 7 key words that are of most relevance to your study. List these in order of relevance.

Background and Significance

The purpose of this section is to explain the context of your proposal and to describe, in detail, why it is important to undertake this research. Assume that the person or people who will read your research proposal know nothing or very little about the research problem. While you do not need to include all knowledge you have learned about your topic in this section, it is important to ensure that you include the most relevant material that will help to explain the goals of your research.

While there are no hard and fast rules, you should attempt to address some or all of the following key points:

• State the research problem and provide a more thorough explanation about the purpose of the study than what you stated in the introduction.
• Present the rationale for the proposed research study. Clearly indicate why this research is worth doing. Answer the “so what?” question.
• Describe the major issues or problems to be addressed by your research. Do not forget to explain how and in what ways your proposed research builds upon previous related research.
• Explain how you plan to go about conducting your research.
• Clearly identify the key or most relevant sources of research you intend to use and explain how they will contribute to your analysis of the topic.
• Set the boundaries of your proposed research, in order to provide a clear focus. Where appropriate, state not only what you will study, but what will be excluded from your study.
• Provide clear definitions of key concepts and terms. Since key concepts and terms often have numerous definitions, make sure you state which definition you will be utilizing in your research.

Literature Review

This key component of the research proposal is the most time-consuming aspect in the preparation of your research proposal. As described in Chapter 5 , the literature review provides the background to your study and demonstrates the significance of the proposed research. Specifically, it is a review and synthesis of prior research that is related to the problem you are setting forth to investigate. Essentially, your goal in the literature review is to place your research study within the larger whole of what has been studied in the past, while demonstrating to your reader that your work is original, innovative, and adds to the larger whole.

As the literature review is information dense, it is essential that this section be intelligently structured to enable your reader to grasp the key arguments underpinning your study. However, this can be easier to state and harder to do, simply due to the fact there is usually a plethora of related research to sift through. Consequently, a good strategy for writing the literature review is to break the literature into conceptual categories or themes, rather than attempting to describe various groups of literature you reviewed. Chapter 5   describes a variety of methods to help you organize the themes.

Here are some suggestions on how to approach the writing of your literature review:

• Think about what questions other researchers have asked, what methods they used, what they found, and what they recommended based upon their findings.
• Do not be afraid to challenge previous related research findings and/or conclusions.
• Assess what you believe to be missing from previous research and explain how your research fills in this gap and/or extends previous research.

It is important to note that a significant challenge related to undertaking a literature review is knowing when to stop. As such, it is important to know when you have uncovered the key conceptual categories underlying your research topic. Generally, when you start to see repetition in the conclusions or recommendations, you can have confidence that you have covered all of the significant conceptual categories in your literature review. However, it is also important to acknowledge that researchers often find themselves returning to the literature as they collect and analyze their data. For example, an unexpected finding may develop as you collect and/or analyze the data; in this case, it is important to take the time to step back and review the literature again, to ensure that no other researchers have found a similar finding. This may include looking to research outside your field.

This situation occurred with one of this textbook’s authors’ research related to community resilience. During the interviews, the researchers heard many participants discuss individual resilience factors and how they believed these individual factors helped make the community more resilient, overall. Sheppard and Williams (2016) had not discovered these individual factors in their original literature review on community and environmental resilience. However, when they returned to the literature to search for individual resilience factors, they discovered a small body of literature in the child and youth psychology field. Consequently, Sheppard and Williams had to go back and add a new section to their literature review on individual resilience factors. Interestingly, their research appeared to be the first research to link individual resilience factors with community resilience factors.

Research design and methods

The objective of this section of the research proposal is to convince the reader that your overall research design and methods of analysis will enable you to solve the research problem you have identified and also enable you to accurately and effectively interpret the results of your research. Consequently, it is critical that the research design and methods section is well-written, clear, and logically organized. This demonstrates to your reader that you know what you are going to do and how you are going to do it. Overall, you want to leave your reader feeling confident that you have what it takes to get this research study completed in a timely fashion.

Essentially, this section of the research proposal should be clearly tied to the specific objectives of your study; however, it is also important to draw upon and include examples from the literature review that relate to your design and intended methods. In other words, you must clearly demonstrate how your study utilizes and builds upon past studies, as it relates to the research design and intended methods. For example, what methods have been used by other researchers in similar studies?

While it is important to consider the methods that other researchers have employed, it is equally, if not more, important to consider what methods have not been but could be employed. Remember, the methods section is not simply a list of tasks to be undertaken. It is also an argument as to why and how the tasks you have outlined will help you investigate the research problem and answer your research question(s).

Tips for writing the research design and methods section

Specify the methodological approaches you intend to employ to obtain information and the techniques you will use to analyze the data.

Specify the research operations you will undertake and the way you will interpret the results of those operations in relation to the research problem.

Go beyond stating what you hope to achieve through the methods you have chosen. State how you will actually implement the methods (i.e., coding interview text, running regression analysis, etc.).

Anticipate and acknowledge any potential barriers you may encounter when undertaking your research, and describe how you will address these barriers.

Explain where you believe you will find challenges related to data collection, including access to participants and information.

Preliminary Suppositions and Implications

The purpose of this section is to argue how you anticipate that your research will refine, revise, or extend existing knowledge in the area of your study. Depending upon the aims and objectives of your study, you should also discuss how your anticipated findings may impact future research. For example, is it possible that your research may lead to a new policy, theoretical understanding, or method for analyzing data? How might your study influence future studies? What might your study mean for future practitioners working in the field? Who or what might benefit from your study? How might your study contribute to social, economic or environmental issues? While it is important to think about and discuss possibilities such as these, it is equally important to be realistic in stating your anticipated findings. In other words, you do not want to delve into idle speculation. Rather, the purpose here is to reflect upon gaps in the current body of literature and to describe how you anticipate your research will begin to fill in some or all of those gaps.

The conclusion reiterates the importance and significance of your research proposal, and provides a brief summary of the entire proposed study. Essentially, this section should only be one or two paragraphs in length. Here is a potential outline for your conclusion:

Discuss why the study should be done. Specifically discuss how you expect your study will advance existing knowledge and how your study is unique.

Explain the specific purpose of the study and the research questions that the study will answer.

Explain why the research design and methods chosen for this study are appropriate, and why other designs and methods were not chosen.

State the potential implications you expect to emerge from your proposed study,

Provide a sense of how your study fits within the broader scholarship currently in existence, related to the research problem.

Citations and References

As with any scholarly research paper, you must cite the sources you used in composing your research proposal. In a research proposal, this can take two forms: a reference list or a bibliography. A reference list lists the literature you referenced in the body of your research proposal. All references in the reference list must appear in the body of the research proposal. Remember, it is not acceptable to say “as cited in …” As a researcher you must always go to the original source and check it for yourself. Many errors are made in referencing, even by top researchers, and so it is important not to perpetuate an error made by someone else. While this can be time consuming, it is the proper way to undertake a literature review.

In contrast, a bibliography , is a list of everything you used or cited in your research proposal, with additional citations to any key sources relevant to understanding the research problem. In other words, sources cited in your bibliography may not necessarily appear in the body of your research proposal. Make sure you check with your instructor to see which of the two you are expected to produce.

Overall, your list of citations should be a testament to the fact that you have done a sufficient level of preliminary research to ensure that your project will complement, but not duplicate, previous research efforts. For social sciences, the reference list or bibliography should be prepared in American Psychological Association (APA) referencing format. Usually, the reference list (or bibliography) is not included in the word count of the research proposal. Again, make sure you check with your instructor to confirm.

Research Methods for the Social Sciences: An Introduction Copyright © 2020 by Valerie Sheppard is licensed under a Creative Commons Attribution-NonCommercial-ShareAlike 4.0 International License , except where otherwise noted.

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How to write a Research Proposal: Components of a research proposal

Components of a research proposal.

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Research proposals differ in terms of their presentation depending on what each University department requires. In other words, there is no set template  for a research proposal. Please contact your lecturer regarding the format you are expected to use for your research proposal.Thus, the components of a research proposal include, but are not limited to those mentioned in this guide.

1. The title

Try to come up with a title that is unique and at the same time easy to remember. It should also make a lasting impression to the reader and make them want to come back and read your proposal.  The title must also capture the main concepts of the study . As the research process is lengthy, it is   important that you choose a topic that you are   so curious about  that you remain motivated for the duration of the research process.  Select a topic that you will be able to complete within the time frame that you have for your research. 

3. The background

The background to the topic of your intended research must be clear and precise. It must not only include an in-depth explanation of the key points of your subject but also all the developments in the field as well as their timelines . The researcher must also explain the compelling interest in the research issue as well as the personal interest (if any) in the topic. This section must also indicate the specific area within which the topic falls in your particular field of study or subject . Aslo, how will the proposed study contribute to a particular field? In other words, the impact and the significance in a subject area must be clearly outlined. The target audience must also be clearly described.

5. Objectives of the research

It is important that the objectives are in alignment with the research questions. The objectives must indicate what the aim of the research study is.  In fact, objectives give you a clear indication of the steps that you will take to achieve the aim of the research. The objectives must be specific, measurable, achievable, relevant and time-bound.

7. Literature review

Collect and present relevant literature on your topic of choice. It is important to include all the main authors or experts in a particular field.  Depending on your field of study or topic, ensure that you include recent literature as well as literature that presents counterarguments to the topic. The justification for the study needs to based on existing literature. Click here for more information on how to write a literature review.

8. Limitations and delimitations of the study

The researcher must indicate the limitations of the study which are what the researcher cannot do or factors that are beyond the researcher's control, as well as delimitations that the researcher chooses not to address for the purposes of the study. Delimitations are boundaries that the researcher has set for the study. The r easons  both for limitations and delimitations must be discussed in this section.

10. Work plan

Your schedule for the research must be stated clearly including the projected timelines for the various stages of your study.

11. Bibliography

All the sources that you have used for your proposal must be listed in alphabetical order using a referencing style that your lecturer has prescribed for your subject field.

Click here for more information on the various reference styles.

2. Introduction to the research

This section of the proposal must provide a broad overview of the topic. The jargon and key terms used in the particular topic must also be thoroughly explained in order to avoid confusion. The interest of the researcher in the particular topic must also be clearly outlined while at the same time mentioning, albeit briefly at this point, a critical review of the main literature that covers the topic.  The researcher must also provide the aim of the research by clearly and concisely stating the problem,  as well as the research questions to be dealt with.  This section must also indicate what the research study will not be covering .

4. The research questions

The research questions must state clearly what your proposed study is meant to address or answer. Ensure that you use simple language that is easy to understand, while being cognisant of the level of  your intended audience . 

6. Research methodology / research methods

This section outlines the approach which the researcher will follow in order to address the research problem and to answer all the research questions from the researcher. The research design must be clearly defined, e.g., is the research  Descriptive, Correlational, Causal-Comparative/Quasi-Experimental, Experimental, Diagnostic or Explanatory.

State clearly

• how the research will be conducted in terms of the theoretical resources that will be used
• the theoretical framework for conducting the research, which is the theoretical approach drawn from your literature review to support your research study
• proposed research method(s)
• a comparison of the advantages, limitations and suitability of the available approaches and methods for conducting your research
• participants, instruments, procedure, analysis, etc.

Research design

Selecting the approach to use

Research approach

Research design and methodology

Importance of research

Attributes of a good research scholar

Summary of different research methodologies

9. Significance of the research

The researcher must provide justification for the need to conduct the study. What is the gap that the study will fill, and what is its contribution to the  existing body of knowledge? The originality and importance of the research which will be  level appropriate, must be clearly described, for instance, the required level of originality for a fourth year research project is different to that of a doctoral candidate. 

The impact of the study for the subject field must be indicated. In other words, how will the research improve the field, who will it impact, how will it make changes in your industy or field etc.? Lastly, the proposed resaerch must be relatable , interesting and engaging .

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Organizing Academic Research Papers: Writing a Research Proposal

• Purpose of Guide
• Design Flaws to Avoid
• Glossary of Research Terms
• Narrowing a Topic Idea
• Broadening a Topic Idea
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• Academic Writing Style
• Choosing a Title
• Making an Outline
• Paragraph Development
• Executive Summary
• Background Information
• The Research Problem/Question
• Theoretical Framework
• Citation Tracking
• Content Alert Services
• Evaluating Sources
• Primary Sources
• Secondary Sources
• Tertiary Sources
• What Is Scholarly vs. Popular?
• Qualitative Methods
• Quantitative Methods
• Using Non-Textual Elements
• Limitations of the Study
• Common Grammar Mistakes
• Avoiding Plagiarism
• Footnotes or Endnotes?
• Further Readings
• Annotated Bibliography
• Dealing with Nervousness
• Using Visual Aids
• Grading Someone Else's Paper
• How to Manage Group Projects
• Multiple Book Review Essay
• Reviewing Collected Essays
• About Informed Consent
• Writing Field Notes
• Writing a Policy Memo
• Writing a Research Proposal
• Acknowledgements

The goal of a research proposal is to present and justify a research idea you have and to present the practical ways in which you think this research should be conducted. The forms and procedures for such research are defined by the field of study, so guidelines for research proposals are generally more exacting and less formal than a project proposal. Research proposals contain extensive literature reviews and must provide persuasive evidence that there is a need for the research study being proposed. In addition to providing rationale for the proposed research, a proposal describes detailed methodology for conducting the research consistent with requirements of the professional or academic field and a statement on anticipated outcomes and/or benefits derived from the study.

Krathwohl, David R. How to Prepare a Dissertation Proposal: Suggestions for Students in Education and the Social and Behavioral Sciences . Syracuse, NY: Syracuse University Press, 2005.

How to Approach Writing a Research Proposal

Your professor may assign the task of writing a research proposal for the following reasons:

• Develop your skills in thinking about and designing a comprehensive research study.
• Help learn how to conduct a comprehensive review of the literature to ensure a research problem has not already been answered [or you may determine the problem has been answered ineffectively] and, in so doing, become familiar with scholarship related to your topic.
• Improve your general research and writing skills.
• Practice identifying what logical steps must be taken to accomplish one's research goals.
• Nurture a sense of inquisitiveness within yourself and to help see yourself as an active participant in the process of doing scholarly research.

A proposal should contain all the key elements involved in designing a complete research study, with sufficient information that allows readers to assess the validity and usefulness of your proposed study. The only elements missing from a research proposal are the results of the study and your analysis of those results. Finally, an effective proposal is judged on the quality of your writing. It is, therefore, important that your writing is coherent, clear, and compelling.

Regardless of the research problem you are investigating and the methodology you choose, all research proposals must address the following questions:

• What do you plan to accomplish? Be clear and succient in defining the research problem and what it is you are proposing to research.
• Why do you want to do it? In addition to detailing your research design, you also must conduct a thorough review of the literature and provide convincing evidence that it is a topic worthy of study. Be sure to answer the "So what? question.
• How are you going to do it? Be sure that what you propose is doable.

Common Mistakes to Avoid

• Failure to be concise; being "all over the map" without a clear sense of purpose.
• Failure to cite landmark works in your literature review.
• Failure to delimit the contextual boundaries of your research [e.g., time, place, people, etc.].
• Failure to develop a coherent and persuasive argument for the proposed research.
• Failure to stay focused on the research question; going off on unrelated tangents.
• Sloppy or imprecise writing. Poor grammar.
• Too much detail on minor issues, but not enough detail on major issues.

Procter, Margaret. The Academic Proposal .  The Lab Report. University College Writing Centre. University of Toronto; Sanford, Keith. Information for Students: Writing a Research Proposal . Baylor University; Wong, Paul T. P. How to Write a Research Proposal . International Network on Personal Meaning. Trinity Western University; Writing Academic Proposals: Conferences, Articles, and Books . The Writing Lab and The OWL. Purdue University; Writing a Research Proposal. University Library. University of Illinois at Urbana-Champaign.

Structure and Writing Style

Beginning the Proposal Process

As with writing a traditional research paper, research proposals are generally organized the same way throughout the social sciences. Most proposals are between ten and fifteen pages in length. However, before you begin, read the assignment carefully and, if anything seems unclear, ask your professor whether there are any specific requirements for organizing and writing the proposal.

A good place to begin is to ask yourself a series of questions:

• What do I want to study, and why?
• How is it significant within the subject areas covered in my class?
• What problems will it help solve?
• How does it build upon [and hopefully go beyond] research already conducted on my topic?
• What exactly should I plan to do, and can I get it done in the time available?

In the end, your research proposal should document your knowledge of the topic and highlight enthusiasm for conducting the study. Approach it with the intention of leaving your readers feeling like--"Wow, that's an exciting idea and I can’t wait to see how it turns out!"

In general your proposal should include the following sections:

I.  Introduction

In the real world of higher education, a research proposal is most often written by scholars seeking grant funding for a research project or it's the first step in getting approval to write your doctoral dissertation. Even if this is just a course assignment, treat your introduction as the initial pitch of an idea. After reading the introduction, your readers should not only have an understanding of what you want to do, but they should also be able to sense your passion for the topic and be excited about its possible outcomes.

Think about your introduction as a narrative written in one to three paragraphs that succinctly answers the following four questions :

• What is the central research problem?
• What is the topic of study related to that problem?
• What methods should be used to analyze the research problem?
• Why is this important research, and why should someone reading the proposal care about the outcomes from the study?

II.  Background and Significance

This section can be melded into your introduction or you can create a separate section to help with the organization and flow of your proposal. This is where you explain the context of your project and outline why it's important. Approach writing this section with the thought that you can’t assume your readers will know as much about the research problem as you do. Note that this section is not an essay going over everything you have learned about the research problem; instead, you must choose what is relevant to help explain your goals for the study.

To that end, while there are no hard and fast rules, you should attempt to deal with some or all of the following:

• State the research problem and give a more detailed explanation about the purpose of the study than what you stated in the introduction.
• Present the rationale of your proposed study and clearly indicate why it is worth doing. Answer the "So what? question [i.e., why should anyone care].
• Describe the major issues or problems to be addressed by your research.
• Explain how you plan to go about conducting your research. Clearly identify the key sources you intend to use and explain how they will contribute to the analysis of your topic.
• Set the boundaries of your proposed research in order to provide a clear focus.
• Provide definitions of key concepts or terms, if necessary.

III.  Literature Review

Connected to the background and significance of your study is a more deliberate review and synthesis of prior studies related to the research problem under investigation . The purpose here is to place your project within the larger whole of what is currently being explored, while demonstrating to your readers that your work is original and innovative. Think about what questions other researchers have asked, what methods they've used, and what is your understanding of their findings. Assess what you believe is still missing, and state how previous research has failed to examine the issue that your study addresses.

Since a literature review is information dense, it is crucial that this section is intelligently structured to enable a reader to grasp the key arguments underpinning your study in relation to that of other researchers. A good strategy is to break the literature into "conceptual categories" [themes] rather than systematically describing materials one at a time.

To help frame your proposal's literature review, here are the "five C’s" of writing a literature review:

• Cite : keep the primary focus on the literature pertinent to your research problem.
• Compare the various arguments, theories, methodologies, and findings expressed in the literature: what do the authors agree on? Who applies similar approaches to analyzing the research problem?
• Contrast the various arguments, themes, methodologies, approaches and controversies expressed in the literature: what are the major areas of disagreement, controversy, or debate?
• Critique the literature: Which arguments are more persuasive, and why? Which approaches, findings, methodologies seem most reliable, valid, or appropriate, and why? Pay attention to the verbs you use to describe what an author says/does [e.g., asserts, demonstrates, etc.] .
• Connect the literature to your own area of research and investigation: how does your own work draw upon, depart from, or synthesize what has been said in the literature?

IV.  Research Design and Methods

This section must be well-written and logically organized because you are not actually doing the research . As a consequence, the reader will never have a study outcome from which to evaluate whether your methodological choices were the correct ones. The objective here is to ensure that the reader is convinced that your overall research design and methods of analysis will correctly address the research problem. Your design and methods should be absolutely and unmistakably tied to the specific aims of your study.

Describe the overall research design by building upon and drawing examples from your review of the literature. Be specific about the methodological approaches you plan to undertake to collect information, about the techniques you will use to analyze it, and about tests of external validity to which you commit yourself [i.e., the trustworthiness by which you can generalize from your study to other people, places or times].

When describing the methods you will use, be sure to cover these issues:

• Specify the research operations you will undertake and the way you will interpret the results of these operations in relation to your research problem. Don't just describe what you intend to achieve from applying the methods you choose, but state how you will spend your time while doing it.
• Keep in mind that a methodology is not just a list of research tasks; it is an argument as to why these tasks add up to the best way to investigate the research problem. This is an important point because the mere listing of tasks to perform does not demonstrate that they add up to the best feasible approach.
• Be sure to anticipate and acknowledge any potential barriers and pitfalls in carrying out your research design and explain how you plan to get around them.

V.  Preliminary Suppositions and Implications

Just because you don't have to actually conduct the study and analyze the results, it doesn't mean that you can skip talking about the process and potential implications . The purpose of this section is to argue how and in what ways you believe your research will refine, revise, or extend existing knowledge in the subject area under investigation. Depending on the aims and objectives of your study, describe how the anticipated results of your study will impact future scholarly research, theory, practice, forms of interventions, or policy. Note that such discussions may have either substantive [a potential new policy], theoretical [a potential new understanding], or methodological [a potential new way of analyzing] significance.   When thinking about the potential implications of your study, ask the following questions:

• What might the results mean in regards to the theoretical framework that frames the study?
• What suggestions for subsequent research could arise from the potential outcomes of the study?
• What will the results mean to practitioners in the "real world"?
• Will the results influence programs, methods, and/or forms of intervention?
• How might the results contribute to the solution of social, economic, or other types of problems?
• Will the results influence policy decisions?
• What will be improved or changed as a result of the proposed research?
• How will the results of the study be implemented, and what innovations will come about?

VI.  Conclusion

The conclusion reiterates the importance or significance of your proposal and provides a brief recap of the entire study . This section should be only one or two paragraphs long, emphasizing why your research study is unique, why it advances knowledge, and why the research problem is worth investigating.

Someone reading this section should come away with an understanding of:

• Why the study was done,
• The specific purpose of the study and the research questions it attempted to answer,
• The research design and methods used,
• The potential implications emerging from your proposed study of the research problem, and
• A sense of how your study fits within the broader scholarship about the research problem.

VII.  Citations

As with any scholarly research paper, you must cite the sources you used in composing your proposal. In a standard research proposal, this section can take two forms, so speak with your professor about which one is preferred.

• References -- lists only the literature that you actually used or cited in your proposal.
• Bibliography -- lists everything you used or cited in your proposal with additional citations of any key sources relevant to understanding the research problem.

In either case, this section should testify to the fact that you did enough preparatory work to make sure the project will complement and not duplicate the efforts of other researchers. Start a new page and use the heading "References" or "Bibliography" at the top of the page. Cited works should always use a standard format that follows the writing style advised by the discipline of your course [i.e., education=APA; history=Chicago, etc]. This section normally does not count towards the total length of your proposal.

Develop a Research Proposal: Writing the Proposal . Office of Library Information Services. Baltimore County Public Schools; Krathwohl, David R. How to Prepare a Dissertation Proposal: Suggestions for Students in Education and the Social and Behavioral Sciences. Syracuse, NY: Syracuse University Press, 2005; Procter, Margaret. The Academic Proposal . The Lab Report. University College Writing Centre. University of Toronto; Punch, Keith and Wayne McGowan. Developing and Writing a Research Proposal. In From Postgraduate to Social Scientist: A Guide to Key Skills. Nigel Gilbert, ed. (Thousand Oaks, CA: Sage, 2006), 59-81; Sanford, Keith. Information for Students: Writing a Research Proposal . Baylor University; Wong, Paul T. P. How to Write a Research Proposal . International Network on Personal Meaning. Trinity Western University; Writing Academic Proposals: Conferences, Articles, and Books . The Writing Lab and The OWL. Purdue University; Writing a Research Proposal . University Library. University of Illinois at Urbana-Champaign.

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Learn More About Your Research Topic

• Get started with reviewing the literature
• A literature review is NOT...
• Types of literature reviews
• Finding published literature reviews

A literature review examines existing contributions around a topic, question, or issue in a field of study. These contributions can include peer reviewed articles, books, and other published research. Literature reviews can be used to give an overview of a field of research to describe theories, explore methodologies, and discuss developments in a field by drawing on research from multiple studies.

A literature review can be used to:

• Ground yourself in a topic and learn more about it
• Find new ideas to explore
• Discover existing research (so you do not repeat it)
• Determine what methodologies have already been used to research a topic
• Discover flaws, problems, and gaps that exist in the literature
• Critique or evaluate existing research on a topic
• Situate your research in a larger context or advocate for your research by demonstrating that you are extending upon existing knowledge

What makes a good literature review?

A good literature review has a clear scope - don't try to collect everything about a topic that has ever been published! Instead focus in on what you want to know more about your specific research topic. A good literature review might also:

• Cover all important relevant literature - if you are finding too many sources, try narrowing in on key authors and well cited-research
• Is up-to-date - limit your review to a certain time period
• Provide an insightful analysis of the ideas and conclusions in the literature
• Point out similarities and differences, strengths and weaknesses in the literature
• Identify gaps in the literature for future research - or to set up your own research as relevant!
• Provides the context for which the literature is important - what impact does the literature have on countries, people, industries, etc.
• Systematic Review: AI's Impact on Higher Education - Learning, Teaching, and Career Opportunities Review this example to learn one way a literature review can be written.

A well conducted literature review can set up your final research product. Many researchers will write literature reviews at the beginning of their research article to situate their research within the larger context in their field or topic. This demonstrates that they have awareness of their topic and how they are building upon the topic. Keeping good notes when you are conducting your review can help set you up for success when you begin work on your final research product. When conducting your literature review AVOID:

• Summarizing articles INSTEAD draw connections between different articles
• Creating a chronological account of a topic INSTEAD focus on current literature or foundational works
• Sharing personal opinions on whether or not you liked articles INSTEAD ask questions

A strong literature review organizes existing contributions to a conversation into categories or “themes.” There are multiple ways to approach targeting a literature review to achieve your specific learning goals. Common types of reviews include:

Traditional Review

• Analyzes, synthesizes, and critiques a body of literature
• Identifies patterns and themes in the literature
• Draws conclusions from the literature
• Identifies gaps in literature

Argumentative Review

• Examines literature selectively in order to support or refuse an argument, assumption, or philosophical problem already established in the literature

Historical Review

• Examines research throughout a period of time
• Places research in a historical context

Integrative Review

• Aims to review, critique, and synthesize literature on a topic in an integrated way that new frameworks and perspectives on the topic are generated
• Might include case studies, observational studies, and meta-analysis, as well as other types of research

Methodological Review

• Focuses on method of analysis (how researchers came to the idea) rather than on findings (their final conclusions and what they found)

Published literature reviews are called review articles, however, research articles often contain brief literature reviews at the beginning to give context to the study within that article. 

By reviewing published literature reviews you can more easily ground yourself in a topic, it's main themes, and find relevant literature for your own review.

Tip: When identifying main themes related to your topic, look at the headers in a research article. Some authors choose to list their literature review themes as headers to organize their review. Others might choose to name their themes in the first few sentences of each paragraph in their review. Sometimes a literature review, especially if it is brief, will be included in the introduction or some other beginning part of the article.

Approaching a Literature Review

• Evidenced-based approach

An  Evidence-Based Management Framework  can help direct your literature review process.

"Evidence-Based" is a term that was originally coined in the 1990s in the field of medicine, but today its principles extend across disciplines as varied as education, social work, public work, and management. Evidence-Based Management focuses on improving decision-making process.

While conducting a literature review, we need to gather evidence and summarize it to support our decisions and conclusions regarding the topic or problem. We recommend you use a 4 step approach of the Evidence-Based Management Framework while working on a literature review.

During the "Ask" step , you need to define a specific topic, thesis, problem, or research question that your literature review will be focusing on.

It may require first to gain some knowledge about the area or discipline that your topic, thesis, problem, or research question originate from. At this moment, think about a type of a literature review you plan to work on. For example are you reviewing the literature to educate yourself on a topic, to plan to write a literature review article, or to prepare to situate your research project within the broader literature?

Use this to determine the scope of your literature review and the type of publications you need to use (e.g., journals, books, governmental documents, conference proceedings, dissertations, training materials, and etc.).

A few other questions you might ask are:

• Is my topic, question, or problem narrowed enough to exclude irrelevant material?
• What is the number of sources to use to fulfill the research need and represent the scope? i.e. is the topic narrow enough that you want to find everything that exists or broad enough that you only want to see what a few experts have to say?
• What facets of a topic are the focus? Am I looking at issues of theory? methodology? policy? quantitative research? or qualitative research?

During the  “Acquire” step , you are actively gathering evidence and information that relates to your topic or problem.

This is when you search for related scholarly articles, books, dissertations, and etc. to see  “what has been done”  and  “what we already know”  about the topic or problem. While doing a literature review in business, you may also find it helpful to review various websites such as professional associations, government websites offering industry data, companies’ data, conference proceedings, or training materials. It may increase your understanding about the current state of the knowledge in your topic or problem.

During this step, you should keep a careful records of the literature and website resources you review. 

During the  “Appraise” step,  you actively evaluate the sources used to acquire the information. To make decisions regarding the relevance and trustworthiness of the sources and information, you can ask the following questions:

• Is the source reputable? (e.g., peer-reviewed journals and government websites typically offer more trustworthy information)
• How old (dated) is the source? Is it still current, or is there newer updated information that you might be able to find?
• How closely does the source match the topic / problem / issue you are researching?

During this step, you may decide to eliminate some of the material you gathered during the  “Acquire” step . Similarly, you may find that you need to engage in additional searches to find information that suits your needs. This is normal—the process of the  "Appraisal" step  often uncovers new keywords and new potential sources.

During the  “Aggregate” step , you “pull together” the information you deemed trustworthy and relevant. The information gathered and evaluated needs to be summarized in a narrative form—a summary of your findings. 

While summarizing and aggregating information, use synthesis language like this: 

• Much of the literature on  [topic X]  focuses on  [major themes] .  
• In recent years, researchers have begun investigating  [facets A, B, and C]  of  [topic X] .
• The studies in this review of  [topic X]  confirm / suggest / call into question / support  [idea / practice / finding / method / theory / guideline Y].
• In the reviewed studies  [variable X]  was generally associated with higher / lower rates of  [outcome Y].
• A limitation of some / most / all of these studies is  [Y].
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2025 New York History Conference Call for Proposals

The New York History Conference is accepting proposals that deal with the history, culture, economy, politics, geography, anthropology, or archaeology of New York State. We also welcome proposals that use New York’s history as a lens to understand a regional, national, or international issue. Special consideration will be given to topics that directly relate to the theme  of the 2025 conference.

We encourage submissions from historians, anthropologists, archeologists, educators, high school and college students, and/or digital humanists engaged in the study of New York’s history at libraries, archives, historic sites, museums and historical societies, and educational institutions. We particularly welcome proposals that illuminate the diversity of New York’s history in regard to race, ethnicity, religion, ability, and/or gender.

Date: June 5-6, 2025 Cultural Education Center, Empire State Plaza, Albany, NY

CONFERENCE THEME:  Constructing the  Empire State: Innovation, Environment, and Imagination in New York History The upcoming Erie Canal bicentennial is a reminder of New York’s rich history of pathbreaking developments in transportation, commerce, and industry.  It is also a reminder that such innovations have amplified debates about the use of resources and the role of the government in managing and mediating change.  Likewise, the state’s long record of innovation has repeatedly transformed the way New Yorkers see themselves while sparking lively conversations about historical memory and historic preservation.

Proposals Due: December 15, 2024

Types of Proposals

Roundtable Discussion: A roundtable discussion is comprised of a moderator and 3-4 panelists. The session is organized around a single topic, for instance, “Preparing for the upcoming commemoration of the 250th anniversary of the American Revolution in New York.”  The moderator then facilitates a discussion about the topic between the panelists while also taking questions from the audience. The total session length, including audience Q&A, is 75 minutes.

Panel: This is a proposal for a traditional panel, in which 2-3 panelists give a research presentation in a 75-minute session (60 minutes for presentations with 15 minutes for Q&A). Panel proposals should include presenters and a moderator who will introduce the panelists and moderate the Q&A.

Single Presentation: This is a proposal a single researcher makes who wishes the conference organizers to place them in a traditional panel, if possible. (The conference program committee strongly encourages proposals for complete panels.)

Educator Workshops: Educator workshops should focus on the use of best pedagogical practices and/or innovative strategies to teach any aspect of New York’s history, culture, politics, economy, geography, anthropology, or archaeology at primary or secondary schools, colleges and/or universities, museums or historic sites. We particularly welcome proposals that encourage the teaching of diverse New York State history in regard to race, ethnicity, religion, ability, and/or gender.

Lightning Round: This is a proposal for a brief 5-minute presentation highlighting a research project or program.  Presenters will have the option to include up to two images/slides for their presentation.  Presenters will have full audience attention since this is scheduled as a stand-alone event.

To submit your proposal, please complete and submit this online form https://forms.office.com/r/GWz83CrxG3

Technology support will be available for a variety of electronic presentations.

Questions? Please contact Devin Lander, New York State Historian, at [email protected]

Guidelines for Submissions

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Active funding opportunity

Nsf 24-576: gen-4 engineering research centers, program solicitation, document information, document history.

• Posted: May 20, 2024
• Replaces: NSF 22-580

Program Solicitation NSF 24-576

Letter of Intent Due Date(s) (required) (due by 5 p.m. submitting organization’s local time):

     September 03, 2024

Preliminary Proposal Due Date(s) (required) (due by 5 p.m. submitting organization’s local time):

     September 30, 2024

Full Proposal Deadline(s) (due by 5 p.m. submitting organization’s local time):

By Invitation Only

Important Information And Revision Notes

This solicitation encourages proposals addressing a broad spectrum of engineering topics, including but not limited to advanced manufacturing, advanced wireless, artificial intelligence, biotechnology, microelectronics and semiconductors, net-zero technologies, quantum engineering, and systems engineering for healthcare.

This solicitation is updated to clarify the definition of underrepresented students in STEM and to welcome proposal submissions that broaden geographic and demographic participation. More details are provided in Section IV. ELIGIBILITY INFORMATION .

Cost Sharing: Cost sharing is required. The formula for required cost sharing is described in the full text of this solicitation.

Any proposal submitted in response to this solicitation should be submitted in accordance with the NSF Proposal & Award Policies & Procedures Guide (PAPPG) that is in effect for the relevant due date to which the proposal is being submitted. The NSF PAPPG is regularly revised and it is the responsibility of the proposer to ensure that the proposal meets the requirements specified in this solicitation and the applicable version of the PAPPG. Submitting a proposal prior to a specified deadline does not negate this requirement.

Summary Of Program Requirements

General information.

Program Title:

Gen-4 Engineering Research Centers (ERC) Convergent Research and Innovation through Inclusive Partnerships and Workforce Development

Founded in 1984, the Engineering Research Centers (ERC) program brings technology-based industry and universities together in an effort to strengthen the competitive position of American industry in the global marketplace. These partnerships are expected to establish cross-disciplinary centers focused on advancing fundamental engineering knowledge and engineered systems technology while exposing students to the integrative aspects of engineered systems and industrial practice. The goal of the ERC program has traditionally been to integrate engineering research and education with technological innovation to transform and improve national prosperity, health, and security. Building upon this tradition, NSF is interested in supporting ERCs to develop and advance engineered systems, which if successful, will have a high Societal Impact. The ERC program supports convergent research (CR) that will lead to strong societal impact. Each ERC has interacting foundational components that go beyond the research project, including engineering workforce development (EWD) at all participant stages, where all participants gain mutual benefit, and value creation within an innovation ecosystem (IE) that will outlast the lifetime of the ERC. These foundational elements are integrated throughout ERC activities and in alignment with the Center's vision and targeted societal impact. The overall impact of the ERC program is expected within the Engineering Community, the Scientific Enterprise, and Society.

Cognizant Program Officer(s):

Please note that the following information is current at the time of publishing. See program website for any updates to the points of contact.

Sandra Cruz-Pol, telephone: (703) 292-2928, email: [email protected]

Dana L. Denick, telephone: (703) 292-8866, email: [email protected]

Randy Duran, telephone: (703) 292-5326, email: [email protected]

Nadia A. El-Masry, telephone: (703) 292-4975, email: [email protected]

Paul Torrens, telephone: (703) 292-2473, email: [email protected]

Lan Wang, telephone: (703) 292-5098, email: [email protected]

• 47.041 --- Engineering

Award Information

Anticipated Type of Award: Cooperative Agreement

Up to 4 depending on the quality of the proposals and the availability of funds. ERCs are generally funded for ten years, with an initial award for the first five years and second award based on performance and review of a renewal proposal. This solicitation seeks to make awards for the first five years for new ERCs.

See Section III of this solicitation for additional information about the allowable maximum annual budget for years one through five.

NSF expects to make the ERC awards in the summer of 2026. The budget distribution among the lead and core partners should be appropriate for the scope of work and activities planned for each foundational component.

Note that ERCs will not be granted no-cost extensions (NCE).

Co-funding:

NSF is currently in negotiations with other government agencies to form partnerships in support of ERC awards. These partnerships have the potential to expand the total number of awards. This is contingent upon realization of these partnerships, and budgets provided to these organizations by Congress for FY 2026 and 2027.

Eligibility Information

Who May Submit Proposals:

Proposals may only be submitted by the following:

Only U.S. Institutions of Higher Education (IHEs), also referred to in this solicitation as universities and academic institutions, accredited in, and having a campus located in the US, that grant engineering degrees at the undergraduate, masters, and doctoral engineering level may submit proposals as the lead university. The Lead university submits the proposal, and the award is made to the lead university. Support is provided to core partner universities and any affiliated faculty from other partner institutions through subawards. NSF welcomes proposal submissions that broaden geographic and demographic participation. Proposals from STEM-minority-serving institutions (STEM-MSI*), non-R1 schools, emerging research institutions, and IHEs in EPSCoR-eligible jurisdictions, as lead or core partners, as well as IHEs that primarily serve populations of students with disabilities or women in engineering interested in STEM, are encouraged.

Invited full proposals must meet all the following organizational requirements or they will be returned without review:

• The Lead must be an Institution of Higher Education per the Carnegie Foundational Attribute: https://carnegieclassifications.acenet.edu/
• A proposed ERC must be multi-institutional, with a lead university and additional domestic university core partners. There is no maximum number of partner institutions.
• To qualify as a core partner institution, there must be financial support for a minimum of three faculty participating in the ERC along with financial support for a minimum of three students (Postdoctoral scholars may not be included as students).
• The lead or at least one of the core partner universities must be a STEM-MSI* university.
• Commitments from lead and core partner universities for cost sharing must be in place.

*For this solicitation STEM-MSI is defined by the Department of Education as institutions of higher education enrolling populations with significant percentages of undergraduate minority students, or that serve certain populations of minority students under various programs created by Congress.

Eligibility may be determined by reference to the Integrated Postsecondary Education Data System (IPEDS) of the US Department of Education National Center for Education Statistics ( https://nces.ed.gov/ipeds/ ).

Who May Serve as PI:

The Lead PI must be a faculty member at the Lead university. Non-Lead PIs are the co-PIs listed on the Cover Sheet after the Lead PI and may be from institutions other than the lead university. In order to provide more flexibility for the Center's management, the Lead PI and the ERC Director are not required to be the same person, however, both must be affiliated with the lead institution.

Limit on Number of Proposals per Organization:

If an institution has two active ERC awards, it does not qualify to submit an ERC preliminary proposal as a lead institution. There are no other restrictions or limits on the number of preliminary proposals submitted by a Lead institution. Full Proposals may be submitted only by invitation and only by the lead institution designated in the preliminary proposal.

Limit on Number of Proposals per PI or co-PI:

There are no restrictions or limits.

Proposal Preparation and Submission Instructions

A. proposal preparation instructions.

Letters of Intent: Submission of Letters of Intent is required. Please see the full text of this solicitation for further information.

Preliminary Proposals: Submission of Preliminary Proposals is required. Please see the full text of this solicitation for further information.

Full Proposals:

• Full Proposals submitted via Research.gov: NSF Proposal and Award Policies and Procedures Guide (PAPPG) guidelines apply. The complete text of the PAPPG is available electronically on the NSF website at: https://www.nsf.gov/publications/pub_summ.jsp?ods_key=pappg .
• Full Proposals submitted via Grants.gov: NSF Grants.gov Application Guide: A Guide for the Preparation and Submission of NSF Applications via Grants.gov guidelines apply (Note: The NSF Grants.gov Application Guide is available on the Grants.gov website and on the NSF website at: https://www.nsf.gov/publications/pub_summ.jsp?ods_key=grantsgovguide ).

B. Budgetary Information

Cost Sharing Requirements:

Cost Sharing is required. Please see the full text of this solicitation for further information.

Indirect Cost (F&A) Limitations:

Not Applicable

Other Budgetary Limitations:

Other budgetary limitations apply. Please see the full text of this solicitation for further information.

C. Due Dates

Letter of Intent Due Date(s) (required) (due by 5 p.m. submitting organization's local time):

Preliminary Proposal Due Date(s) (required) (due by 5 p.m. submitting organization's local time):

Proposal Review Information Criteria

Merit Review Criteria:

National Science Board approved criteria. Additional merit review criteria apply. Please see the full text of this solicitation for further information.

Award Administration Information

Award Conditions:

Additional award conditions apply. Please see the full text of this solicitation for further information.

Reporting Requirements:

Additional reporting requirements apply. Please see the full text of this solicitation for further information.

I. Introduction

The National Science Foundation (NSF) created the Engineering Research Centers (ERC) program in 1984 to bring technology-based industry and universities together in an effort to strengthen the competitive position of American industry in the global marketplace. These partnerships established cross-disciplinary centers focused on advancing fundamental engineering knowledge and engineered systems technology while exposing students to the integrative aspects of engineered systems and industrial practice. As a result, ERCs have produced a wide range of new fundamental knowledge, engineered systems and other technologies aimed at spawning whole new fields or industries or radically transforming the product lines, processes, and practices of current industries. At the same time, they have produced a new generation of engineering graduates who are highly innovative, diverse, globally engaged, and effective as technology leaders in academia and industry.

NSF has continually refined the goals and purposes of the ERC program to meet shifting needs. The NSF-requested 2017 study from the National Academies of Sciences, Engineering, and Medicine (NASEM) "A New Vision for Center-Based Engineering Research" ( https://www.nap.edu/catalog/24767/a-new-vision-for-center-based-engineering-research ) recommends that NSF places a greater emphasis on forming research centers focused on convergent research and education approaches that address challenges with significant societal impact. Complex societal problems require a convergent approach for the deep integration of knowledge, tools, and ways of thinking across disciplinary boundaries. A detailed explanation of the convergence concept can be found in a 2014 National Academies report, "Convergence: Facilitating Transdisciplinary Integration of Life Sciences, Physical Sciences, Engineering and Beyond" ( https://www.nap.edu/catalog/18722/convergence-facilitating-transdisciplinary-integration-of-life-sciences-physical-sciences-engineering ).

This current iteration of the ERC program reflects the recommendations from the NASEM study as well as other sources. The program continues to focus on advancing an engineered system through inclusive cross-disciplinary and cross-sector partnerships, while placing greater emphasis on research with high- risk/high-payoff ideas that lead to societal impact through convergent approaches, engaging broader stakeholder communities, and using team science concepts for their team formation.

II. Program Description

A. ERC Program Model

The ERC program is grounded by the four foundational components of the ERC: Convergent Research (CR), Engineering Workforce Development (EWD), Diversity and Culture of Inclusion (DCI), and the Innovation Ecosystem (IE) (Figure 1). These foundational components are connected by an integrated, holistic ERC vision and strategic plan. The whole of the ERC has added value and synergies that require a center or institute-like approach as opposed to individual projects.

Convergent Research (CR): High-risk/high-payoff research ideas and discoveries that push the frontiers of engineering knowledge; ERC convergent research is a highly collaborative and interdisciplinary approach that leads to positive impacts on society. Convergence involves the integration of various fields in engineering and science, including all branches of science, in a coordinated and interdependent manner. This approach fosters strong collaborations that are essential for successful inquiry.

Engineering Workforce Development (EWD): In addition to training opportunities for ERC participants, the Center engages in human resource capacity development aligned with the targeted engineered system. ERC EWD strengthens a robust spectrum of engineering education pathways and technical workforce opportunities. EWD occurs at all levels of the Center and provides opportunities for engagement by all ERC members including students, faculty, and external partners as appropriate. The ERC EWD program is driven by the future education, workforce development, and labor market needs relevant to the proposed Center.

Diversity and Culture of Inclusion (DCI): In addition to fomenting a diverse team, the culture of the ERC and teams within the ERC demonstrate an environment of inclusion in which all members feel valued and welcomed, creatively contribute, and gain mutual benefit from participating. Because of the ERC's attention to diversity and culture of inclusion, participation from members of groups traditionally underrepresented in engineering as well as diverse scientific and other perspectives is required. The ERC DCI program ensures diversity at all levels of the Center and employs an intentional and evidence-based approach to developing a culture of inclusion.

Innovation Ecosystem (IE): Trusted partners that work together to create and enhance the capacity for innovation and new ways for delivering value with positive societal impact. ERC innovation ecosystems (IE) include effective translational efforts from ideation to implementation, workforce development that creates the workforce needed for the enterprise, and deliberate efforts to attract funding and resources. ERCs articulate plans for strategic engagement of stakeholder communities while including the legal, ethical, civic, and societal acceptance frameworks needed to protect the participants.

The ERC foundational elements are carried out in concert through ERC activities and in alignment with the Center's vision and targeted societal impact. The overall impact of the ERC program is expected within the Engineering Community , the Scientific Enterprise , and Society , shown in Figure 1 (above). These may be thought of as nested regions of increasing influence, where the largest scale of impact is on society itself. Potential outcomes of ERCs are organized within each of the four ERC foundational components.

Engineering Community: ERCs not only create fundamental knowledge and technology, but also impact the engineering community, preparing students and researchers by highlighting new engineering approaches and best practices for engineering workforce development, diversity and inclusion, and academic-industrial partnerships.

Scientific Enterprise: ERCs should be exemplars of how cohesive, high-performing teams engage in convergent research and innovative approaches to create major impact that informs and inspires the scientific community, engineering and beyond.

Society: ERCs enable society to have a better quality of life, and be more resilient, productive, and safe. Each ERC is expected to have a transformational positive impact on significant societal challenges and opportunities. This is the level where the introduction of value creation and technology innovation requires an understanding of socio-technical interactions and how they might impact society at large. In response, new strategies, concepts, ideas and/or re- organizations may be needed to shore-up, extend, or strengthen society. The desired outcome is the ERC's ability to assist society in its drive to advance the national health, prosperity, welfare, and to secure the national defense.

The goal of the ERC program has traditionally been to integrate engineering research and education with technological innovation to transform and improve national prosperity, health, and security. Building upon this tradition, NSF is interested in supporting ERCs to develop and advance engineered systems, which if successful, will have a high Societal Impact .

ERCs create inclusive cultures not only to integrate scientific discovery with technological innovation through convergent engineered systems research and education, but also to include the participation of the full spectrum of diverse talent in engineering. ERCs build partnerships with industry, practitioners, and other key stakeholders to strengthen the innovative capacity of the United States in a global context. In addition to building capacity for research, innovation, and a diverse workforce, ERCs are expected to produce significant outcomes within the 10-year timeframe of NSF support and beyond.

ERCs should realize a vision of advancing an engineered system driven by clearly articulated societal impact and should have strong synergies or value-added rationale that justifies a center or institute-like approach. As part of creating sustainable positive impacts on society and communities, ERCs should focus on positive outcomes that can be seen within engineering communities and build and empower human resource capacity for their targeted engineering challenges. Beyond this, ERCs should contribute to the scientific enterprise by advancing research, science, engineering fundamentals, and research communities. This should be demonstrated with benchmarks against the state-of-the-art. ERCs should build knowledge, prepare students and researchers that respect and flourish in an environment with diverse perspectives, impact how engineering research is conducted and provide value for society. The ERC program encourages proposals addressing a broad spectrum of engineering topics, including but not limited to advanced manufacturing, advanced wireless, artificial intelligence, biotechnology, microelectronics and semiconductors, net zero technologies, quantum engineering, and systems engineering for healthcare.

C. Key Elements of an ERC

Vision: The ERC vision guides discovery and technology to uniquely transform US prosperity, health, and/or security in 10 years. The vision describes the compelling new idea, explains how it relates to national needs, and makes the connection to engineering.

Strategic Plan: The ERC strategic plan connects and leverages research, engineering workforce development, diversity and culture of inclusion, and innovation ecosystem to address the chosen societal challenge. The overall plan should employ three strategic approaches:

Convergence : "Convergence is an approach to problem solving that cuts across disciplinary boundaries. It integrates knowledge, tools, and ways of thinking across disciplinary boundaries in STEM fields to form a comprehensive synthetic framework for tackling scientific and societal challenges that exist at the interfaces of multiple fields." ( https://www.nap.edu/catalog/18722/convergence-facilitating-transdisciplinary-integration-of-life-sciences-physical-sciences-engineering ). This is also stated in another report by the National Academies of Sciences, Engineering, and Medicine (NASEM) from the Committee on a Vision for the Future of Center-based Multidisciplinary Engineering Research, which defined convergent engineering as a deeply collaborative, team-based engineering approach for defining and solving important and complex societal problems ( https://www.nap.edu/catalog/24767/a-new-vision-for-center-based-engineering-research ). Hence, convergent research blends scientific disciplines in a coordinated, reciprocal way and fosters the robust collaboration needed for successful inquiry and has the strong potential to lead to transformative solutions and new fields of study. The research thrusts, testbeds, team formation, and other major aspects of the research plan should support a convergent approach.

Stakeholder Engagement : The intentional and early-stage engagement of all parties who may contribute to the ERC or may be impacted by the ERC along its capacity-building and value creation responsibilities. Stakeholders can include, but are not limited to, relevant researchers across partner institutions with complementary research and education expertise; undergraduate and graduate students, postdoctoral researchers; industry leaders who can guide the innovation effort; partners for innovation, education, workforce development, and diversity and culture of inclusion of all participants; and beneficiaries of the ERC outcomes (e.g., community members, users, customers, patients, and watchdog organizations).

Team Formation : The process by which all necessary disciplines, skills, perspectives, and capabilities are brought together. Successful teams are interdependent, multidisciplinary, and diverse and can work and communicate effectively even when geographically dispersed. Team formation includes evidence-based strategies and team science training to overcome barriers to effective, collaborative teaming, including the integration of members with different areas of expertise, different vocabularies and core values and ways of approaching problems, different understanding of the problems to be addressed, different values, and different working styles. This is especially needed during the early stages of the Center.

Organization and Management Structure:

Effective Leadership: ERC leaders have intellectual vision, demonstrable leadership, successful entrepreneurial experience, a track record of delivering results, and the ability to communicate clearly and effectively with diverse audiences such as team members, sponsors, partners, host institutions, stakeholders, press and media, and the public. Below are some example practices desired for effective ERC leadership and management teams:

• Empowers all team members to contribute;
• Builds consensus around goals and problem definition;
• Facilitates communication to ensure a common understanding among all stakeholders; and resolves conflicts and builds trust.

It is rare that a single individual will have all of these attributes; thus, a strong leader will need to assemble an executive team that covers this broad spectrum of skills. The Center Director should understand their strengths and limitations, should be effective in assembling an executive leadership team that fills in the gaps of their limitations, and should be supported by an effective Council of Deans (See Section II.C. for details of the formation of the Council of Deans).The Director does not need to be a faculty member.

Organization and Management: An effective management structure begins with a clear understanding of the goals of the ERC and how the structure (including the ERC four foundational components) will support those goals. The structure should have the flexibility to adapt as the needs of the ERC change, as key people transition into or out of the ERC, or change roles, and to handle other changes as the ERC matures.

It is critical to have one person or team that has clear responsibility for each foundational component of the ERC. However, each ERC participant and each of the core participants should also understand the importance of each foundational component and be engaged in their role in carrying it out. Core partner institutions must meet the eligibility requirements of at least 3 faculty and 3 students participating in the ERC; postdoctoral scholars may not be included as students. Proposing teams will determine the funding source(s) of student support and nature of participation, whether graduate or undergraduate. Typically, ERC’s have many more fully/partly funded graduate and undergraduate students engaged in the ERC, in addition to faculty or postdocs.

ERC program experience has shown that an important role in the ERC structure is that of an administrative director, as described below. This remains a mandatory piece of the management structure.

Administrative Director: An experienced staff member at the lead university who is responsible for operational management, financial management, data collection, publicity, and reporting, etc. for the ERC. Post-award NSF training is available for this position given the ERC reporting complexities.

Lead Institution: The lead institution effectively guides the multiple elements of the ERC. The ERC headquarters are located at the lead institution, and the lead institution is the NSF recipient and is ultimately responsible for the financial and reporting obligations of the ERC award.

Core Partners: To qualify as a core partner university, there must be a minimum of three faculty participating in the ERC along with a minimum of three students; postdoctoral scholars may not be included as students. Core partners are included in the Cost Sharing requirements and in the Council of Deans (See Section II.C. for details of the formation of the Council of Deans.)

Other potential partners may include universities contributing affiliated faculty, federal laboratories, private-sector or non-profit organizations, educational partners, and/or foreign collaborators' universities or institutions. While not considered core partners, the involvement of such partners can be valuable.

Industrial/Practitioner Member: An organization that satisfies all requirements for membership according to the Center's membership agreement which may include financial support (cash or in-kind).

ERCs should engage industrial/practitioner members from sectors such as the Federal Government, State government, local government, quasi-government research, industry, industry association, policy organization, regulatory agency, medical facility, private foundation, nonprofit, venture capitalists, community organizations, professional/trade union, and other stakeholders as appropriate for the center's mission.

Affiliated Faculty Member: The ERC may include affiliated faculty members, which are faculty members who are contributing to the ERC from institutions other than the lead or core partner universities and are included in the budget.

Institutional Commitment: The lead and all core partner institutions must augment support for the ERC through cost-sharing and other allowed means and sustain the ERC once NSF's support ceases. Lead, core, and other partner academic institutions must commit to:

• Joining in partnership to support the ERC's vision, strategic plans, and activities in CR, EWD, DCI, IE and their integration across the institutions.
• Assuring cross-university industrial membership and intellectual property (IP) policies that recognize shared rights for joint work.
• Adopting institutional policies to reward faculty, particularly those in the promotion and tenure process, for participating in convergent research and innovation, technological advance, mentoring, university and pre-college education activity, and delivering on the ERC's plans for workforce development and creating an inclusive and diverse culture. NSF strongly encourages the full spectrum of diverse talent that society has to offer.
• Official recognition for university students engaged in mentoring of other university students and in pre-college outreach. This recognition is crucial to acknowledge their efforts and motivate them to continue their valuable work

Community Feedback: Broad-based stakeholder feedback to the ERCs is one of the important mechanisms used by the ERC to provide continual monitoring of the Center's health.

Advisory Boards: Advisory boards are formed to reinforce and support the proper functioning of the ERC's foundational components which are CR, EWD, DCI, and IE, as described above. Careful consideration must be given to defining each advisory board's functional role and selecting quality board members capable of overseeing that role. An example of a generic ERC feedback loop structure is illustrated in Figure 2. As part of the NSF Management/Oversight, the NSF Program Director and the NSF Site Visit Team (SVT) typically interact with the ERC and give feedback to the ERC once a year at a minimum. The advisory boards provide feedback at least twice a year; usually more often on an as needed basis. It may occasionally be necessary to form additional special committees to support special needs of the Center's vision. The staffing of these committees may be either internal or external. The Council of Deans and Student Leadership Council, as defined below, are mandatory advisory groups; however, the ERC is expected to propose appropriate advisory groups beyond these two.

Student Leadership Council (SLC): Undergraduate and graduate students from all partner universities responsible for coordinating their various activities in support of the ERC. A student president and a student co-president lead the SLC. The SLC will prepare a written Strengths, Weaknesses, Opportunities, and Threats (SWOT) analysis and present the SWOT findings during the annual visit of the NSF Site Visit Team (SVT).

Council of Deans: Led by the Dean of Engineering from the Lead university, this Council includes the Deans from the lead and each core partner institution. They meet collectively to provide administrative support of the ERC and to help facilitate multiple ERC elements across the lead and core partner universities. The Dean may not designate an alternate unless a PI, Co-PI, Director, or any senior personnel is also a Dean at the Institution. The two roles cannot be performed by the same person.

III. Award Information

Estimated program budget, number of awards, and average award size/duration are subject to the availability of funds. The maximum annual budget allowed is shown in the table below.

Year 1 budget will be committed upon award, and subsequent year budgets are subject to satisfactory annual review of accomplishments and availability of funds. After a gradual ramp up, years three through five are projected to level off at $6,000,000 in each of those years. Pending performance and outcome of a renewal review in the fourth year, support for years six to eight will continue at $6,000,000 per year until the eighth year. Support for years nine and ten will be phased down, with $4,000,000 in year 9 and $2,600,000 in year 10. No-cost extensions (NCEs) will not be granted.

IV. Eligibility Information

Proposals may only be submitted by the following: Only U.S. Institutions of Higher Education (IHEs), also referred to in this solicitation as universities and academic institutions, accredited in, and having a campus located in the US, that grant engineering degrees at the undergraduate, masters, and doctoral engineering level may submit proposals as the lead university. The Lead university submits the proposal, and the award is made to the lead university. Support is provided to core partner universities and any affiliated faculty from other partner institutions through subawards. NSF welcomes proposal submissions that broaden geographic and demographic participation. Proposals from STEM-minority-serving institutions (STEM-MSI*), non-R1 schools, emerging research institutions, and IHEs in EPSCoR-eligible jurisdictions, as lead or core partners, as well as IHEs that primarily serve populations of students with disabilities or women in engineering interested in STEM, are encouraged. Invited full proposals must meet all the following organizational requirements or they will be returned without review: The Lead must be an Institution of Higher Education per the Carnegie Foundational Attribute: https://carnegieclassifications.acenet.edu/ A proposed ERC must be multi-institutional, with a lead university and additional domestic university core partners. There is no maximum number of partner institutions. To qualify as a core partner institution, there must be financial support for a minimum of three faculty participating in the ERC along with financial support for a minimum of three students (Postdoctoral scholars may not be included as students). The lead or at least one of the core partner universities must be a STEM-MSI* university. Commitments from lead and core partner universities for cost sharing must be in place. *For this solicitation STEM-MSI is defined by the Department of Education as institutions of higher education enrolling populations with significant percentages of undergraduate minority students, or that serve certain populations of minority students under various programs created by Congress. Eligibility may be determined by reference to the Integrated Postsecondary Education Data System (IPEDS) of the US Department of Education National Center for Education Statistics (https://nces.ed.gov/ipeds/).

V. Proposal Preparation And Submission Instructions

Letters of Intent (required) :

1. LETTER OF INTENT

A Letter of Intent (LOI) is required to facilitate the NSF review process. The LOI must be submitted via Research.gov no later than the LOI deadline date. Please note the following conditions:

• LOIs must be submitted through Research.gov (not Grants.gov). A Minimum of one PI and up to four co-PIs are allowed.
• A list of all anticipated Core Partner Universities is required.
• The lead university cannot change after submission of the Letter of Intent.

Title: The title should begin with "NSF Engineering Research Center for ( insert the rest of the title and the Center's acronym )". The title should reflect the engineered system of the proposed ERC.

Lead PI and/or Center Director: The Lead PI's information is automatically included when the LOI is created. If the Lead PI and the Center Director are different individuals, please include the Center Director's name, university, department, phone number, and e-mail address at the beginning of the Synopsis section.

Anticipated ERC Non-Lead PIs (co-PIs): Identify up to four co-PIs. For the LOI, the participating team (Senior/Key Personnel) will be limited to the lead PI and up to four co-PIs who may come from any or all the domestic core partner universities.

Anticipated Core Partner Universities: The Lead university (not PI) is binding throughout the process. Other partners may change. The anticipated core partner universities should be included in the Manage Participating Organizations section of the LOI.

Synopsis (not to exceed one page): Upload brief statements of the vision and goals of the ERC, its potential for societal impact, and an integrated plan for the Center. Include an overview of the research program, such as research thrust titles, goals, and fundamental gaps or barriers in knowledge/technology that it meets. Although the EWD, DCI, and the IE are also critical foundational components of an ERC, they do not need to be described in detail in the LOI.

Other Comments (an additional max 2,500 characters including any blank spaces): Continue Synopsis as needed in this section.

Keywords: In order of decreasing emphasis, list up to ten keywords that represent the scientific interdisciplinary content in the proposal.

Letter of Intent Preparation Instructions :

When submitting a Letter of Intent through Research.gov in response to this Program Solicitation please note the conditions outlined below:

Submission by an Authorized Organizational Representative (AOR) is not required when submitting Letters of Intent.

A Minimum of 0 and Maximum of 4 Other Senior Project Personnel are permitted

A Minimum of 0 and Maximum of 6 Other Participating Organizations are permitted

• Keywords is required when submitting Letters of Intent
• Submission of multiple Letters of Intent is permitted

Preliminary Proposals (required) : Preliminary proposals are required and must be submitted via Research.gov, even if full proposals will be submitted via Grants.gov.

2. PRELIMINARY PROPOSAL

Submission of a Preliminary Proposal is required to be eligible for an invitation to submit a Full Proposal.

Preliminary Proposal Preparation Instructions:

Preliminary proposals must explicitly address the following questions in the project description:

• What are the compelling new ideas and what is the potential for high societal impact?
• What is the ERC engineered system? Is it high-risk but high payoff? Is the 3-plane chart well-conceived and justified?
• Why is an ERC necessary to tackle the idea?
• What is the proposed management structure for the ERC? How will the ERC's organization and management structure integrate and implement the four foundational components (CR, EWD, DCI, and IE) and foster the desired team formation?
• What are the proposed strategies for engaging and developing the appropriate stakeholder community?
• Does the proposed ERC create an inclusive environment where all the ERC participants learn to work in a team towards a common goal?

Preliminary Proposal Set-Up: Select "Prepare New Preliminary Proposal" in Research.gov. Search for and select this solicitation title in Step One of the Preliminary Proposal wizard. The information in Step 2 is pre-populated by the system. In Step 3 select "Single proposal (with or without subawards). Separately submitted collaborative preliminary proposals will be returned without review.

Title: The title should begin with "NSF Engineering Research Center for ( insert the rest of the title and the Center's acronym )". The rest of the title and acronym can change from the LOI to the submitted preliminary proposal as long as it is in the same topic area. The title should reflect the system focus of the proposed ERC.

The required components of the preliminary proposal are given below. Page limitations given here will be strictly enforced. Proposers should review the most current PAPPG for specific information and format for the required sections. No other sections are required or may be included in the preliminary proposal.

Cover Sheet: Select the proposed start date and proposed duration.

Project Summary (1 page): The Project Summary must have three separate section headers entitled "Overview", "Intellectual Merit", and "Broader Impacts"; each heading must be on its own line with no other text on that line. Within the Overview section, include a separate sub-section entitled "Proposed Vision". The summary should be informative to those working in the same or related fields and understandable to a scientifically or technically literate reader.

Project Description: Maximum 10 pages, total, containing the following sections, not necessarily in this order. All figures and tables must be included within the 10-page limit.

The proposing team (Participant Table) should be submitted as a supplementary document.

The Intellectual Merit and Broader Impacts of the ERC must be addressed and described throughout the narrative as an integral part of the Project Description. Between Sections IV and V, include a separate header for Broader Impacts, as specified below. In addition, Results from Prior Support is not a required section for the preliminary proposal.

Outline for the Preliminary Proposal Project Description (up to 10 pages)

II. Strategic Plan

III. Organization and Management Structure

IV. Convergent Research

BROADER IMPACTS ( Please note: The Project Description must include a separate section header labeled Broader Impacts and the heading must be on its own line with no other text on that line. )

V. Engineering Workforce Development

VI. Diversity and Culture of Inclusion

VII. Innovation Ecosystem

I. Vision: The proposed vision for the ERC must be explained, with a discussion of the convergent engineering research theme and the anticipated societal impact. Explain the proposed transformative engineered system and the potential for impact on society, the engineering community and the greater scientific community.

II. Strategic Plan: The plan must define the engineered system and describe how the features of the ERC will be integrated to achieve the vision, in particular the cohesive plan for involving participants at all levels in the four foundational components:

• Convergent Research (CR)
• Engineering Workforce Development (EWD)
• Diversity and Culture of Inclusion (DCI)
• Innovation Ecosystem (IE)

III. Organization and Management Structure: Describe the proposed management, including the functions of key personnel and the role of any advisory committee (including the required Student Leadership Council and the Council of Deans), executive committee, program committee, or their equivalent. Note that there is no recommendation for how ERCs should be managed. This solicitation provides for flexibility on organization structure and management and is part of the review criteria – as such the proposal should clearly justify the proposed structure.

IV. Convergent Research (CR): The role of convergence and team formation in the proposed research must be described. Research activities must address any gaps and barriers to achieve the proposed vision. Research must advance fundamental knowledge and support the development of technology that is proven through proof-of-concept testbeds as part of a well-defined engineered system. Integration of research activities must be graphically depicted on a clearly legible version of the ERC Program's 3-Plane Strategic Planning Chart ( http://erc-assoc.org/content/three-plane-diagram ) that is tailored to the proposed ERC. The chart should be at least half a page, but a full page is recommended for legibility, as this chart is used at several stages of the NSF review process. This section should clearly state what new knowledge is expected that would advance the state of the art in key research areas.

V. Engineering Workforce Development (EWD): A proposed evidence-based program for human capacity development for the future engineering and technical workforce must be described. The program goals and expected outcomes must be described. Proposed activities should logically lead to targeted outcomes and support diverse pathways and experiences for participants. Existing programs and partnerships may be leveraged to support the ERC EWD program and provide opportunities to engage with potential participants.

VI. Diversity and Culture of Inclusion (DCI): Preliminary ideas to create and nurture a culture of inclusion to foster the engagement of all ERC participants. This section should include evidence-based and intentional programming approach.

VII. Innovation Ecosystem (IE): An innovation ecosystem development effort must be proposed. However, DO NOT list potential or committed industrial or other supporters.

In addition, the preliminary proposal must also include these documents and information.

References Cited (required): See PAPPG for format guidelines.

Senior/Key Personnel Documents: The Lead PI, Center Director (if different from the Lead PI) and up to four co-PIs) must be designated as Senior/Key Personnel and must provide the following documents in accordance with the guidance contained in PAPPG Chapter II.D.2.h.

• Biographical Sketches
• Collaborators & Other Affiliations (COA)Information

Supplementary Documents:

A letter of commitment from the Dean of Engineering of the lead institution must be submitted which describes the support for and commitment to the ERC (including space for the ERC headquarters) should it be funded. While the Lead PI does not need to be from the School of Engineering, this letter must be from the Dean of Engineering to demonstrate the Engineering Dean's support for the proposed impact of the ERC on the engineering community.

The Dean should NOT include any financial commitments. Instead, the Dean should make a statement as to how the proposed ERC will align with the strategic directions of the college or the university. Proposals submitted without a letter of commitment from the Dean of Engineering will be returned without review. No letters of collaboration are allowed.

Participant Table (one page maximum): Provide a participant table that includes all committed ERC personnel: (1) Name of the Lead PI (and ERC Director, if different from the Lead PI) and Non-Lead PIs, (2) Institution(s), (3) Department(s), and (4) Most Relevant Field(s) of Expertise. In addition, please list all committed senior/key personnel. Do not identify members of advisory boards. The team table should include only those personnel who would receive NSF funds. This table is used by NSF in the merit review process to manage reviewer selection.

Single Copy Documents:

Collaborators & Other Affiliations Information: Information regarding collaborators and other affiliations (COA) must be separately provided for all members of the ERC Leadership Team and key faculty who are not designated as Senior/Key Personnel. Proposers must follow the guidance contained in PAPPG Chapter II.D.2.h. and include the COA information in the Additional Single Copy Documents section of the preliminary proposal. The accuracy of this section is very important to the integrity of the ERC review process. Please be accurate, up to date, and complete with the entries, including professional email addresses.

Institutional Affiliations: Beyond the affiliations captured on the COA form for individual ERC participants, the ERC Lead University must report any institutional affiliations arising from partnerships including any government agencies, international partners, industry partners or other non-academic institutional partners. The institutional affiliation information must be entered into the ERC Preliminary Proposal Institutional Conflict template (See bullet #2 on http://erc-assoc.org/content/templates-proposal-preparation-0 ) and uploaded into the Additional Single Copy Documents section.

DO NOT SUBMIT other documents, including letters of commitment or collaboration from the domestic partner universities, prospective industrial members, or other future partners. The only allowed item is the required letter of commitment from the Dean of Engineering at the Lead Institution.

RELIMINARY PROPOSAL REQUIREMENTS

(Note: This is NOT a total list of the ERC preliminary proposal requirements. Refer to the ERC Solicitation and the PAPPG for complete requirements).

Full Proposal Preparation Instructions : Proposers may opt to submit proposals in response to this Program Solicitation via Research.gov or Grants.gov.

• Full Proposals submitted via Research.gov: Proposals submitted in response to this program solicitation should be prepared and submitted in accordance with the general guidelines contained in the NSF Proposal and Award Policies and Procedures Guide (PAPPG). The complete text of the PAPPG is available electronically on the NSF website at: https://www.nsf.gov/publications/pub_summ.jsp?ods_key=pappg . Paper copies of the PAPPG may be obtained from the NSF Publications Clearinghouse, telephone (703) 292-8134 or by e-mail from [email protected] . The Prepare New Proposal setup will prompt you for the program solicitation number.
• Full proposals submitted via Grants.gov: Proposals submitted in response to this program solicitation via Grants.gov should be prepared and submitted in accordance with the NSF Grants.gov Application Guide: A Guide for the Preparation and Submission of NSF Applications via Grants.gov . The complete text of the NSF Grants.gov Application Guide is available on the Grants.gov website and on the NSF website at: ( https://www.nsf.gov/publications/pub_summ.jsp?ods_key=grantsgovguide ). To obtain copies of the Application Guide and Application Forms Package, click on the Apply tab on the Grants.gov site, then click on the Apply Step 1: Download a Grant Application Package and Application Instructions link and enter the funding opportunity number, (the program solicitation number without the NSF prefix) and press the Download Package button. Paper copies of the Grants.gov Application Guide also may be obtained from the NSF Publications Clearinghouse, telephone (703) 292-8134 or by e-mail from [email protected] .

See PAPPG Chapter II.D.2 for guidance on the required sections of a full research proposal submitted to NSF. Please note that the proposal preparation instructions provided in this program solicitation may deviate from the PAPPG instructions.

3. FULL PROPOSAL

Full Proposal Preparation Instructions :

As a multi-university ERC, the proposal must be submitted as a single integrated proposal by the Lead university, with proposed subawards to the other partner institutions. Separately submitted collaborative proposals from each partner will not be accepted.

Select "Prepare New Full Proposal" in Research.gov. Search for and select this solicitation title in Step One of the Full Proposal wizard. Select "Center" as the proposal type. In the proposal details section, select "Single proposal (with or without subawards)." Separately submitted collaborative proposals will be returned without review.

Title: Research.gov will pre-pend the title with "Center." The remainder of the title should begin with "NSF Engineering Research Center for ( insert the rest of the title and the Center's acronym )". The title should reflect the engineering system of the proposed ERC.

Cover Sheet: For planning purposes, September 1, 2026 should be shown as the requested start date. The award duration should be 60 months.

Project Summary (1 page): The Project Summary must have three separate section headers entitled "Overview", "Intellectual Merit", and "Broader Impacts"; each heading must be on its own line with no other text on that line. Within the Overview section, include a separate sub-section entitled "Proposed Vision".

The summary should be informative to those working in the same or related fields and understandable to a scientifically or technically literate reader. Full proposals that do not contain the Project Summary as described above will be returned without review.

Project Description: Maximum 26 pages, total, containing the following sections, not necessarily in this order. Figures and tables must be included within the 26-page limit.

Intellectual Merit and Broader Impacts: The intellectual merit and broader impacts of the ERC must be addressed and described throughout the narrative as an integral part of the Project Description. Between Sections IV and V, include a separate header for Broader Impacts, as specified below.

Outline for the Full Proposal Project Description (up to 26 pages)

BROADER IMPACTS ( Please note: The Project Description must include a separate section header labeled Broader Impacts and the heading must be on its own line with no other text on that line .)

VIII. Evaluation Plan

IX. Financial Support and Functional Allocation of Resources

X. Results from Prior NSF Support

The proposed vision for the ERC must be explained, with a discussion of the convergent engineering research theme and the anticipated societal impact. Explain the proposed transformative engineered system and the potential for impact on society, the engineering community and the greater scientific community.

Rationale: Make the case for why the proposed ERC is appropriate and why a convergent approach is needed for the targeted societal impact. Articulate why this vision cannot be realized with a series of individual investigators awards, the additional value of the proposed ERC compared with the sum of its parts.

The plan must clearly define the engineered system and describe how the features of the ERC will be integrated to achieve the vision, in particular the cohesive plan for involving participants at all levels in the four foundational components:

The Strategic Plan should include the high-level goals within each of these foundational components that will be described in more detail in later sections and the interrelationships among those goals, as well as the strategic role of partner institutions in integrating the foundation components and achieving these goals. The plan should also include the high-level expected progress of the ERC efforts across the 10-years of support in these four fundamental components, including ERC growth. The plan should further include discussions on the overarching convergent approach, the engagement of the stakeholder community, and the plans for convergent team formation. The ERC Strategic Plan should provide a roadmap with major milestones and describe how the ERC will know when it has been successful in meeting its goals. Finally, the ERC Strategic Plan should also articulate the logical reasoning that connects the proposed activities to the identified goals as well as the connections between the goals and the desired impacts expressed in the ERC Vision. The overall strategy must have the flexibility and the agility to evolve over time. An ERC needs to continually refine its vision based on a reliable feedback mechanism to focus on core advances, prune less compelling ERC elements, and refine as necessary the level of detail of its strategic plan over time.

Leadership Team: To properly address the four foundational components of the ERC, among the ERC Leadership Team, there must be identified individuals with: (a) deep expertise in the fundamental science/engineering areas envisioned by the ERC; (b) strategic leadership in innovation including intellectual property; (c) expertise in engineering workforce development and (d) experience in diversity and inclusion. Provide a chart summarizing the composition and expertise of the leadership team. Justify how each of the disciplines in this spectrum is needed for the convergent approach.

Management Plan: Proposals must include a management plan that describes the administration of the Center, including the functions of the leadership team, key personnel, and the role of any advisory committees, including the required Student Leadership Council and the Council of Deans, executive committee(s), and/or program committees or their equivalent. While the details of the structure are left to the proposers, the management structure should be designed to facilitate and integrate the ERC's critical and foundational components (CR, EWD, DCI, and IE). In addition, the proposed management plan should address the roles, authorities, and accountability for the leadership team that will ensure no bottlenecks in decision making.

Specifically, the successful proposal will delineate:

• The overall management and reporting structure of the ERC.
• Which personnel or groups will be responsible for CR, EWD, DCI, and IE. Please explain the relevant experience and expertise of these individuals and how they fit their assigned roles.
• These individuals should be included in the leadership team.
• An organizational chart, including advisory boards and the reporting/feedback loops involved.

The accompanying narrative for the organization chart should define the functional roles and responsibilities of each leadership position, and how these positions support the integrated strategic plan described earlier. It should also define the functional purpose of any additional advisory bodies that are deemed necessary to support the four foundational components, accomplish the proposed ERC vision, and achieve the desired long-term societal impact. Note that the functional roles of the two mandated ERC Advisory Bodies, the Council of Deans and the Student Leadership Council, are defined earlier in the section on Community Feedback. Since the quality of team member interaction is critical to team effectiveness, describe the managerial processes overlaying the organization chart that will be used to integrate the team. Please provide sufficient detail to allow critical evaluation.

Institutional Configuration: Describe the institutional configuration given the proposed vision for the ERC. Discuss the value added by each core partner university in meeting the goals of the four foundational components. Discuss the value added by any partnerships as described in the Key Elements of an ERC – Partners section.

IV. Convergent Research (CR)

ERCs are expected to have center-scale convergent engineering research that will support the ERC's overall potential for societal impact. The research program is the core of the ERC from which all ERC activities evolve.

Research Strategy: Clearly describe the proposed engineered system (a combination of components and elements that work together to perform a useful function) for the ERC. This section must include detailed research strategies, such as the 3-plane diagram (described below), research thrusts, and testbeds. A 10-year roadmap must illustrate the critical path, milestones, contributions from research projects, interdependence of research activities, short- and long-term deliverables, and overarching objectives in knowledge, technology, and proof of principle testbeds included in the ERC's vision. Impacts of the proposed research and technology outcomes on society, stakeholders, and the scientific and engineering communities must be included. Discuss how the research strategy will support the proposed societal impact of the ERC, including any potential negative consequences that would arise from the development of new technologies. Include risk mitigation strategies if appropriate. This section should also include strategies for building and maintaining teams appropriate for the proposed convergent approach and the process for starting, managing, and potentially ending research projects throughout the lifetime of the ERC. This section should clearly state what fundamental knowledge is expected within each thrust to advance the state of the art, including engineering as a whole discipline.

ERC 3-Plane Strategic Planning Chart: Identify and characterize interdependent research thrusts and activities at fundamental knowledge, enabling technology, and systems-level testbed(s) scales. Integration of research activities must be graphically depicted on a clearly legible version of the ERC Program's 3-Plane Strategic Planning Chart ( https://erc-assoc.org/content/strategic-planning-research-3-plane-chart ) that is tailored to the proposed ERC. The chart should be at least half a page, but a full page is recommended for legibility, as this chart is used at several stages of the NSF review process.

Research Thrusts: Each thrust description should start with a table that lists the thrust leader and other faculty/research participants by name, department, and institution. International partners, if any, who may be involved in the early stages of the thrust efforts must also be listed. Discuss the goals and objectives of the thrust vis-à-vis the goals of the ERC and the convergent research strategic plan and how these thrusts will support each other. Provide information on fundamental knowledge and technology deliverables. Identify the gaps and barriers the thrust will address in the context of the ERC's strategic plan. Discuss the convergent cross-disciplinary mix of expertise needed to achieve the goals of the thrust, as well as how the proposed team fulfills that need. Describe how future team building will support the convergent approach. Benchmark the research proposed for the thrust with respect to the state-of-the-art. Discuss the role of the thrust's research relative to the ERC's 3- Plane Strategic Planning Chart.

Project-level descriptions of specific research activities for each thrust must describe the proposed research and link it to the thrust goals. Describe a few exemplar projects in depth to allow judgment of the quality of the effort proposed, rather than superficially describing all projects. For these projects, provide examples of fundamental barriers the research will address, the need for a convergent approach, and project-level methods to address the barriers.

Demonstrate that the desired results constitute breakthroughs and are attainable in ten years. Discuss how projects support and integrate with other thrusts, enabling technologies, and systems-level testbeds in an overall convergent research approach.

Testbeds: Enabling- and systems-level testbeds must include a description of proposed proof-of-concept demonstration(s) in each testbed and personnel needed to construct and implement each proposed testbed. The research program budget should support technical staff to work with students and faculty to build these testbeds.

Note: NSF funds may not be used to support clinical trials. If the research involves vertebrate animals or includes human subjects, PAPPG requirements must be followed for the full proposal.

V. Engineering Workforce Development (EWD)

The ERC EWD program is driven by the future education, workforce development, and labor market needs relevant to the proposed Center. A proposed evidence-based program for building human capacity for the future engineering and technical workforce must be described. The proposed program should provide strategic goals for the ERC as well as targeted and specific outcomes related to workforce development and education.

Workforce Development occurs at all levels of the Center and provides opportunities for all ERC members including students, faculty, and external partners as appropriate. Proposed activities should logically lead to targeted outcomes and support diverse pathways and experiences for participants. Engineering workforce activities should contribute to a diverse, globally competitive, and team-oriented engineering workforce that has experience in convergent research, technology advancement, industrial practice, and innovation. Rather than a comprehensive set of training opportunities (general public, faculty, professional, vocational, graduate students, undergraduate students, and K-12), EWD programs should include a strategic selection of targeted activities that logically connect to each other and that will enable the long-term vision of the Center ERCs should leverage team and institutional expertise and resources to maximize impact with targeted activities.

At least 6 non-ERC students must enroll in a Research Experiences for Undergraduates (REU) program budgeted at a minimum of $80K per year from the ERC base budget, as well as at least 6 participants must be engaged in a Research Experiences for Teachers (RET) program budgeted at a minimum of $60K per year from the ERC base budget. Awarded ERCs are encouraged to submit proposals to the annual Research Experiences for Undergraduates (REU) Site and Research Experiences for Teachers (RET) Site competitions to expand the Center's workforce development impact. Partnerships with inner city, rural, or other high needs schools are especially encouraged, as is participation of the full spectrum of diverse talent in STEM. Suitable metrics to assess progress towards meeting the ERC's goals should be described, and feedback loops should be in place for continuous program improvement.

Describe how the leadership team will effectively support workforce development and educational programming and their growth. This section should also clearly describe how the proposed workforce development program will interact with existing educational or training systems at all partner institutions. Include a description of plans for engaging with partners, recruiting participants, and anticipated participant experiences. Educational partnerships may be leveraged to support the program and provide opportunities to engage with potential participants. All Engineering Workforce Development program participants, whether internal or external to the ERC, should have opportunities that are unique and would otherwise not be possible without the ERC.

VI. Diversity and Culture of Inclusion (DCI)

Describe the vision and plans for nurturing a culture that ensures participation of the full spectrum of diverse talent in STEM. A culture of inclusion has many important aspects that are essential for deep collaboration, including the participation of members from diverse scientific backgrounds and training which is necessary for true convergent research and innovation. A culture of inclusion must also foster participation of a diversity of partner institutions, including industry and practitioners, that will bring different perspectives to bear on the goals of the ERC. At least one core partner institution that enrolls and graduates a high percentage of underrepresented students in engineering and STEM fields must be included.

Describe preliminary ideas to create and nurture a culture that fosters the engagement of all ERC participants, including those from a diverse range of scientific backgrounds. This section should include evidence-based and intentional programming to support the inclusion of all talent that integrates and strengthen convergent research efforts across all institutions. Suitable metrics to assess the ERC's goals should be described, and feedback loops should be in place for independent assessment and continuous improvement in all dimensions of ERC operation.

In this section, describe how the leadership team will effectively create an inclusive culture for the ERC in which all members feel valued and welcomed, creatively contribute, and gain mutual benefit from participating. Include a description of plans for recruiting, mentoring, and retaining undergraduates, graduate students, and members of the research and leadership team from full spectrum of diverse talent in engineering. Describe the role of all partners, including plans to connect with ERC’s research and innovation goals in meaningful way, benefiting the students and faculty in the Center.

The ERC program is committed to including the participation of the full spectrum of diverse talent in STEM.

VII. Innovation Ecosystem (IE)

At its core, the innovation ecosystem is a network formed among trusted partners working together towards the common goal of creating and enhancing the capacity for innovation within the ecosystem.

In this section, discuss how the ERC will foster the creation of societal value from innovations (e.g., inventions, goods, services, businesses) that benefit society in a sustainable fashion (i.e., value creation). Identify the innovation ecosystem stakeholders relevant to realizing the proposed vision and societal impact.

Describe the strategy to form relationships with stakeholders to garner support for the Center's vision. Specifically, include the ERC's plans for developing and fostering industrial/practitioner memberships and involvement; technology transfer to member and non-member firms; if included, the role of university and state and local government as facilitators of entrepreneurship, civics, economic/workforce development and innovation; or regulatory agencies as influencers of the ERC innovation , end users or customers as beneficiaries of the ERC innovation, and plans for supporting translational research when appropriate.

To maximize positive social impact, any anticipated potential negative consequences caused by the introduction of the ERC technology should be addressed. In these cases, make sure to include stakeholder(s) that will work to mitigate the negative impacts, such as through consideration of regulation and ethics.

Provide a description of how the proposed member firms (e.g., innovation partners, facilitators, influencers, and beneficiaries) align to the proposed ERC's technology area. That is, as the ERC's research program evolves, note at which points in time in the ERC development over its 10-year lifespan different types of stakeholders engage with the ERC to enable success and create societal value. Some stakeholders may be engaged for the entire 10 years, and others may be involved with focused research activities at critical points in time (e.g., testbed development).

Discuss the integration of all stakeholders into the governance and operations of the ERC. Include a letter of collaboration ( please make sure to use the template provided in the PAPPG ) from each stakeholder that identifies their commitment to work with the ERC as described in the project description. The letters should be uploaded in the Supplementary Documents section.

Legal Frameworks: The different stakeholder groups/organizations/partners operate under very different legal frameworks that can make seamless collaboration difficult. Consequently, the ERC must work within the university structure to create an environment where the frameworks can be modified so that the different entities can come together for productive interaction. In advance of anyone joining the ERC, it is important to put in place legal agreements that protect the interests of the stakeholder entities and the university partners. Therefore, at a minimum, all ERCs require two legal frameworks to handle (1) intellectual property and (2) industry/practitioner membership agreements. The specifics of the ERC vision and the nature of the stakeholder community will determine whether additional legal frameworks are necessary.

• Intellectual Property: Describe the overall Intellectual Property (IP) strategy consistent with planned value creation in the ERC, and the corresponding management of the ERC IP across the lead and partner institutions and the approaches that will enable licensing of ERC's IP and/or adopting of other ERC outcomes. This plan must discuss management of possible conflicts-of-interest of any ERC researchers and the ERC's technology transfer endeavors. If an award is made, the IP policy must be prepared and submitted within 90 days of the award.
• Industry/Practitioner Membership Agreement: Discuss the terms of the draft membership agreement including the proposed fee structure and benefits. Describe the type(s) of support to be received. A letter of commitment (one page maximum for each) from each firm/practitioner organization committed to joining the ERC as a member and providing (cash and/or in-kind) support in the event that an award is made must be uploaded in Supplementary Documents.

Based on the goals and desired outcomes of the ERC strategic plan, a proposed evaluation plan is required that includes all four foundational components as well as a risk analysis . The purpose of ERC evaluation is to provide feedback on progress towards meeting Center goals. The evaluation plan should include formative aspects that allow the Center to make evidence-based decisions about changes in its activities and summative aspects to provide evidence of impact across all elements of the ERC. This section should include the evaluation questions, as well as, a description of the type of evaluation design and methods that will be used to address each question. This section should specify the mechanisms and timeline for how the results and recommendations from evaluation and assessment will be fed back into ERC goals, objectives, and milestones to ensure continual progress and attainment of goals, targets, and impacts during the project period. It should also identify the person(s) who will lead the ERC evaluation and briefly describe their academic training and professional experience that qualifies them to serve as an evaluator. Evaluator(s) may be internal or external to ERC institutions but should be positioned to carry out the evaluation plan as objectively as possible.

Awardees may be required to participate in program-level evaluation activities by which NSF can assess implementation processes and progress toward program level outcomes. NSF, an NSF contractor, or a grantee on behalf of NSF, may periodically conduct program evaluations or special projects that necessitate access to project level staff and data. This activity may occur at any time during the award period and could occur after NSF support has ended. ERC participation includes responding to inquiries, interview and other methods of common data collection and/or aggregation across ERCs. In addition, PIs and ERC evaluators may be asked to assist in developing program evaluation activities that will mutually benefit the agency and ERC participants.

Discuss the plans for financial and in-kind support from all sources, except cost sharing. Include plans for allocation of those resources to fulfill the goals of the ERC. Include a functional budget table, showing only the estimated proportional distribution of effort across the ERC in its first 5 years without showing the support levels from any sources. The table must not show the sources of support, since the reviewers cannot have access to the level of academic support. A template of the table can be found on bullet #3: http://erc-assoc.org/content/templates-proposal-preparation-0 .

This section of the proposal must also include a pie chart showing the allocation of resources and committed levels of support for the first five years from industrial or practitioner member firms and any additional non-member commitments from state and/or local governments for cash and/or in-kind support. A template of the table for Pie Chart Showing Allocation of Resources and Committed Levels of Support can be found on bullet #4: http://erc-assoc.org/content/templates-proposal-preparation-0 .

Provide a pie chart showing the planned distribution of the requested NSF funds for year one between the lead, each domestic partner university, and each university contributing affiliated faculty.

If the Director and Lead PI (if different) identified on the proposal have received prior NSF support, including any award with an end date in the past five years or current funding including any no-cost extensions, the intellectual merit and broader impacts accomplished under that award should be discussed. In cases where the Director and Lead PI have received more than one award (excluding amendments to existing awards), they should only report on the award that is most closely related to the proposal (for each, if the Director and Lead PI are different people) . See PAPPG II.D.2.iii for the required format of this section. Recommended length – no more than one page.

In addition, the proposal must also include these documents and information.

References Cited: See PAPPG for format guidelines.

Budgetary Information: Travel Funds for ERC Leadership Team's Participation in Biennial Meetings: Members of the ERC Leadership Team are required to participate in the ERC Biennial Meeting (typically held in odd years) and the cross- ERC Leadership Team retreats (which are typically held annually). The purpose of biennial meeting is to share successes and failures across the ERCs, receive updates on the ERC Program, and provide input for future ERC Program improvements. The purpose of the retreats is to focus on issues and best practices specific to the different leadership team groups. The biennial meetings are held in the Washington DC area for 2.5 days. Retreats are held in various locations for 1-2 days. Travel funds must be included in each annual budget to support participation in alternating biennial and leadership retreats for each person identified.

Note: The budget justification section should only identify items that are not cost shared. A justification and explanation of cost shared items needs to be appended to the cost sharing tables that are submitted in the single-copy documents section of the proposal.

Cost sharing is mandatory and is specific to the ERC solicitation . The percentage of cost share is determined using the Cost Sharing Formula in the Budgetary Information section of this solicitation. Lead and core partner institutions are responsible for cost share on their entire portion of NSF funds, including sub-awards from their institutions to affiliate partners or other payees. Please see the Budgetary Information section of this solicitation for additional information.

Facilities, Equipment and Other Resources . In this section, please include ONLY facilities, equipment, and personnel that are directly relevant and unique to the proposed ERC. Briefly discuss such laboratories, facilities, cyberinfrastructure, personnel, and equipment, particularly those shared by the ERC team members. Distinguish existing facilities and equipment from any that will be acquired by the ERC (see PAPPG Chapter II.C.2.i). Space must be identified on the campus of the lead academic institution for the ERC headquarters. Describe the headquarters, including the size, functionality, and features. Discuss how the cyberinfrastructure, facilities, and equipment of the ERC will be used to form and sustain a collaborative ERC team with shared resources and information.

Letters of commitment should be included in the supplementary documents for facilities, equipment, etc. that are being provided by institutions or collaborators which are not from the lead institution or the core partners.

Senior/Key Personnel Documents

In accordance with the guidance in the PAPPG, the following information must be provided for all individuals designated as Senior/Key Personnel. This includes the Lead PI, Center Director if different from the Lead PI, co-PIs, all members of the ERC Leadership Team and key faculty.

• Biographical Sketch
• Current and Pending (Other) Support
• Collaborators & Other Affiliations Information
• Synergistic Activities

Supplementary Documents . In addition to the requirements contained in the PAPPG, the following items must be provided as supplementary documents.

Table of Academic/Other Participants and Industrial/Practitioner Members: The table should be created using the table format available on the ERC Association website on bullet #5 at: http://erc-assoc.org/content/templates-proposal-preparation-0 . Download and use the Word file named " ERC Participants Table Template for Inclusion in Full Proposal. " Provide all the required information in each section of the table.

Letters of Commitment : These letters should express commitment, but should not praise or advocate for the project, and must follow the format for letters of collaboration given in the PAPPG. Submit the following required letters as indicated:

• Lead university: Senior university administrators (Dean of Engineering plus one other higher-level university official) for the lead university attesting to the institutional commitment to the goals of the ERC and a commitment to headquarters space in both letters. The letters should not mention cost sharing, as that information cannot be revealed to reviewers. The letters should indicate the institutional commitment to all major aspects of the ERC, including each of the four foundational components, and assure the development of a cross-ERC IP policy within 90 days, if an award is made.
• Each Core Partner University: A senior administrator (Dean or equivalent) attests to the partner's institutional commitment to the goals of the ERC.
• If applicable, officials from any participating federal laboratories indicating their involvement in the ERC and their commitment to provide support for their staff participating in the ERC.
• Member Organizations: A letter of commitment (one page maximum for each) from each firm/practitioner organization committed to joining the ERC as a member and providing (cash and/or in-kind) support.

Letters of Collaboration

The following Letters of Collaboration are required if applicable to the proposed ERC. These letters should state generic willingness to collaborate, but should not provide specific details on types or amounts of contributions and must follow the format for letters of collaboration given in the PAPPG:

• Officials of firms and agencies able to commit to membership.
• An administrator of each proposed pre-college or community college partners committing to their roles in the ERC as described in the Project Description.
• State or local government agencies and other organizations committed to partnership with the ERC.
• Domestic affiliated facult y if their projects are planned to be in place during years one through five. Note that no letters are required from the administrators of the universities providing affiliated faculty.
• Foreign collaborators , if any.

All letters should be addressed to:

ERC Program

Division of Engineering Education and Centers

U.S. National Science Foundation

All signed letters must be scanned and uploaded in the Other Supplementary Documents section of the proposal. Please instruct the letter writers not to mail, email, or fax copies to the NSF, as they will not be considered.

Draft Membership Agreement . Submit draft industry/practitioner membership agreement.

Data Management and Sharing Plan . Provide a Data Management and Sharing Plan according to guidance in the PAPPG. Go to ENG Data Management Plans | NSF - National Science Foundation ( https://www.nsf.gov/eng/general/dmp.jsp ) for Engineering-specific guidance.

Mentoring Plan . If applicable, provide a mentoring plan for postdoctoral scholars or graduate students who will be supported by ERC funds.

Single Copy Documents . Viewable only by NSF (also refer to the PAPPG Chapter II.C.1 on "Single-Copy Documents" for additional information):

Optional List of Suggested Reviewers or Reviewers Not to Include: Proposers may include in the single copy documents section a list of suggested reviewers who they believe are especially well qualified to review the proposal. Proposers also may designate persons they would prefer not to review the ERC proposal, indicating why. These suggestions are optional. PAPPG Exhibit II-2 contains information on conflicts of interest that may be useful in the preparation of this list. The cognizant Program Officer handling the proposal considers the suggestions and may contact the proposer for further information. However, the decision whether to use the suggestions remains with the Program Officer.

Required Cost Sharing Tables and Justification: Complete and submit the following tables: " Committed Cash and In-Kind Academic Support, Years 1-5 " and, if applicable, a table showing the " Nature of In-Kind Support " identifying any in-kind commitments and the sources of the commitments. A template of those tables can be found at (bullet #6): http://erc-assoc.org/content/templates-proposal-preparation-0 . The tables should be uploaded into the single copy documents section of the full proposal. Appended to the cost sharing tables will be a justification/explanation of the source, nature, amount, and availability of any proposed cost sharing. The Proposers are directed not to include these tables and the cost sharing justification in any other part of the proposal, as cost sharing commitments are not provided to the reviewers. Refer to the section on Budgetary Information and Cost Sharing in this solicitation for information on cost sharing requirements and policies.

Proposal Update: If the proposed ERC is evaluated by a Site Visit Team (SVT), a 10-page reply that integrates changes in the proposed ERC based on comments from the SVT members and the Site Visit Report will be requested to facilitate the final stages of the review process.

INVITED FULL PROPOSAL REQUIREMENTS

(Note: This is NOT a total list of the ERC proposal requirements. Refer to the ERC Solicitation and the PAPPG for complete requirements).

Post Proposal Submission to NSF: Other Required Documents

Cost Sharing:

Cost Sharing is required.

Invited full proposals will include a budget for each of the five years. Research.gov or Grants.gov will automatically provide a cumulative budget. Provide separate budgets for subawards to the domestic core partner institutions and any affiliated institutions whose faculty and students would be supported by the ERC's budget. Allowable budgets for the first five years are as follows: The budget for year one may be no more than $3,500,000, no more than $4,500,000 for year two, no more than $6,000,000 for year three, no more than $6,000,000 for year four, and for year five.

Cost Sharing: Mandatory Cost Sharing is required but inclusion of voluntary committed cost sharing is prohibited.

Mandatory Cost Sharing Requirements and Policies: Cost sharing is required of the lead university and core partner university(ies) to support and sustain the ERC. Cost sharing is not a review criterion for the ERCs; it is an eligibility criterion. Because cost sharing is not a review criterion, details on cost sharing will not be shared with the reviewers.

Upon issuance of the award, the lead university is responsible to secure, retain, manage, and certify to NSF the ERC cost sharing (cash and in-kind), at the level stated in the cooperative agreement. The total level of cost sharing proposed must be calculated using the "Cost Sharing Formula" below.

Cost sharing must not exceed the mandatory level stated in the ERC cost sharing formula. This would be considered "voluntary committed cost sharing" which is specifically prohibited according to NSF's cost sharing policies. ERC proposals that include cost sharing amounts in excess of the specified formula will be returned without review or declined.

Instructions for Disclosure and Non-Disclosure of Cost Sharing within the Proposal:

Cost Sharing and Letters of Commitment: Since cost sharing is not to be seen or considered by reviewers, any letters of commitment should not mention any cost sharing (cash or in-kind), since the reviewers will see these letters. See Section V.A for details concerning the letters of commitment.

Cost Sharing in the Budget Submission: The proposed cost sharing (including the estimated value of any in-kind cost sharing), according to the formula below, must be shown on Line M of the NSF proposal budget form. (Line M is masked from reviewers.)

Cumulative cost sharing should be entered for all 5 years on Line M of the first-year budget. Do not include the cost sharing figures on Line M of the budget for years 2-5. Do not include the justification / explanation for any cost-shared items in the budget justification section of the proposal. Only the non-cost shared items should be explained in the budget justification section, identifying the source, nature, amount and availability of non-cost shared items.

Cost Sharing Tables and Justification: The cost sharing commitment of the ERC must be documented in the proposal and the details presented in the tables of committed support. The lead institution is instructed to provide a table of "Committed Cash and In-Kind Academic Support, Years 1-5" (including any partner university providing cash for years 1-5). Proposers must also complete the table "Nature of In-Kind Support" identifying in-kind commitments and the sources of the commitments. A template of those tables can be found at (bullet #6) http://erc-assoc.org/content/templates-proposal-preparation-0 . The tables should be uploaded into the "Single Copy Documents" section of the proposal. Append to the cost sharing tables a justification / explanation of the source, nature, amount and availability of any proposed cost sharing. Do not include these tables and the cost sharing justification in any other part of the proposal, as cost sharing commitments are not to be provided to reviewers.

Cost Sharing Formula:

ERC cost sharing requirements are determined based on classification at the time of the LOI submission deadline as defined in the "Carnegie Foundation's Classification of Institutions of Higher Education." Limited financial resources at smaller colleges and universities that lack high research activity may present significant challenges to cost sharing. Therefore:

• RU/VH: Research Universities - required cost sharing level is 20% of the allocation of the NSF budget to the lead or core partner university;
• RU/H: Research Universities - required cost sharing level is 15% of the allocation of the NSF budget to the lead or core partner university;
• DRU: Doctoral/Research Universities - cost sharing level is 10% of the allocation of the NSF budget to that core partner university.
• Master's L: Master's Colleges and Universities - cost sharing level is 10% of the allocation of the NSF budget to that core partner university/college;
• Bac/Diverse: Baccalaureate Colleges--Diverse Fields - cost sharing level is 5% of the allocation of the NSF budget to that core partner college.

If the university is classified in more than one Carnegie category, it must cost share at the highest cost sharing category as described above. The Carnegie classification shall remain throughout the duration of the competition and any subsequent award. The total ERC cost share shall be 20% or less, depending upon the Carnegie classifications for each of the partners.

ERC Support Cost-Sharing Sources:

The proposed cost sharing must be shown on Line M on the proposal budget. For purposes of budget preparation, the cumulative cost sharing amount must be entered on Line M of the first year’s budget. Should an award be made, the organization’s cost sharing commitment, as specified on the first year’s approved budget, must be met prior to award expiration.

Such cost sharing will be an eligibility, rather than a review criterion. Proposers are advised not to exceed the mandatory cost sharing level or amount specified in the solicitation.

When mandatory cost sharing is included on Line M, and accepted by the Foundation, the commitment of funds becomes legally binding and is subject to audit. When applicable, the estimated value of any in-kind contributions also should be included on Line M. An explanation of the source, nature, amount and availability of any proposed cost sharing must be provided in the budget justification. Contributions may be made from any non-Federal source, including non-Federal grants or contracts, and may be cash or in-kind. 2 CFR § 200.306 describes criteria and procedures for the allowability of cash and in-kind contributions in satisfying cost sharing and matching requirements. It should be noted that contributions derived from other Federal funds or counted as cost sharing toward projects of another Federal agency must not be counted towards meeting the specific cost sharing requirements of the NSF award.

Failure to provide the level of cost sharing required by the NSF solicitation and reflected in the NSF award budget may result in termination of the NSF award, disallowance of award costs and/or refund of award funds to NSF by the awardee.

The overall ERC-level budget should be prepared to assure sufficient funding from all sources to achieve the goals of the ERC. Hence, this budget would include faculty and staff to support the research, education, diversity and culture of inclusion, industrial collaboration/innovation, and management of the ERC. Budgets should include resources for reporting, site visit costs, and travel for cross-ERC collaboration and NSF meetings. The budget submitted to NSF will include an allocation plan for the NSF funding only.

     May 09, 2025

D. Research.gov/Grants.gov Requirements

For Proposals Submitted Via Research.gov:

To prepare and submit a proposal via Research.gov, see detailed technical instructions available at: https://www.research.gov/research-portal/appmanager/base/desktop?_nfpb=true&_pageLabel=research_node_display&_nodePath=/researchGov/Service/Desktop/ProposalPreparationandSubmission.html . For Research.gov user support, call the Research.gov Help Desk at 1-800-381-1532 or e-mail [email protected] . The Research.gov Help Desk answers general technical questions related to the use of the Research.gov system. Specific questions related to this program solicitation should be referred to the NSF program staff contact(s) listed in Section VIII of this funding opportunity.

For Proposals Submitted Via Grants.gov:

Before using Grants.gov for the first time, each organization must register to create an institutional profile. Once registered, the applicant's organization can then apply for any federal grant on the Grants.gov website. Comprehensive information about using Grants.gov is available on the Grants.gov Applicant Resources webpage: https://www.grants.gov/applicants . In addition, the NSF Grants.gov Application Guide (see link in Section V.A) provides instructions regarding the technical preparation of proposals via Grants.gov. For Grants.gov user support, contact the Grants.gov Contact Center at 1-800-518-4726 or by email: [email protected] . The Grants.gov Contact Center answers general technical questions related to the use of Grants.gov. Specific questions related to this program solicitation should be referred to the NSF program staff contact(s) listed in Section VIII of this solicitation.

Submitting the Proposal: Once all documents have been completed, the Authorized Organizational Representative (AOR) must submit the application to Grants.gov and verify the desired funding opportunity and agency to which the application is submitted. The AOR must then sign and submit the application to Grants.gov. The completed application will be transferred to Research.gov for further processing.

The NSF Grants.gov Proposal Processing in Research.gov informational page provides submission guidance to applicants and links to helpful resources including the NSF Grants.gov Application Guide , Grants.gov Proposal Processing in Research.gov how-to guide , and Grants.gov Submitted Proposals Frequently Asked Questions . Grants.gov proposals must pass all NSF pre-check and post-check validations in order to be accepted by Research.gov at NSF.

When submitting via Grants.gov, NSF strongly recommends applicants initiate proposal submission at least five business days in advance of a deadline to allow adequate time to address NSF compliance errors and resubmissions by 5:00 p.m. submitting organization's local time on the deadline. Please note that some errors cannot be corrected in Grants.gov. Once a proposal passes pre-checks but fails any post-check, an applicant can only correct and submit the in-progress proposal in Research.gov.

Proposers that submitted via Research.gov may use Research.gov to verify the status of their submission to NSF. For proposers that submitted via Grants.gov, until an application has been received and validated by NSF, the Authorized Organizational Representative may check the status of an application on Grants.gov. After proposers have received an e-mail notification from NSF, Research.gov should be used to check the status of an application.

VI. NSF Proposal Processing And Review Procedures

Proposals received by NSF are assigned to the appropriate NSF program for acknowledgement and, if they meet NSF requirements, for review. All proposals are carefully reviewed by a scientist, engineer, or educator serving as an NSF Program Officer, and usually by three to ten other persons outside NSF either as ad hoc reviewers, panelists, or both, who are experts in the particular fields represented by the proposal. These reviewers are selected by Program Officers charged with oversight of the review process. Proposers are invited to suggest names of persons they believe are especially well qualified to review the proposal and/or persons they would prefer not review the proposal. These suggestions may serve as one source in the reviewer selection process at the Program Officer's discretion. Submission of such names, however, is optional. Care is taken to ensure that reviewers have no conflicts of interest with the proposal. In addition, Program Officers may obtain comments from site visits before recommending final action on proposals. Senior NSF staff further review recommendations for awards. A flowchart that depicts the entire NSF proposal and award process (and associated timeline) is included in PAPPG Exhibit III-1.

A comprehensive description of the Foundation's merit review process is available on the NSF website at: https://www.nsf.gov/bfa/dias/policy/merit_review/ .

Proposers should also be aware of core strategies that are essential to the fulfillment of NSF's mission, as articulated in Leading the World in Discovery and Innovation, STEM Talent Development and the Delivery of Benefits from Research - NSF Strategic Plan for Fiscal Years (FY) 2022 - 2026 . These strategies are integrated in the program planning and implementation process, of which proposal review is one part. NSF's mission is particularly well-implemented through the integration of research and education and broadening participation in NSF programs, projects, and activities.

One of the strategic objectives in support of NSF's mission is to foster integration of research and education through the programs, projects, and activities it supports at academic and research institutions. These institutions must recruit, train, and prepare a diverse STEM workforce to advance the frontiers of science and participate in the U.S. technology-based economy. NSF's contribution to the national innovation ecosystem is to provide cutting-edge research under the guidance of the Nation's most creative scientists and engineers. NSF also supports development of a strong science, technology, engineering, and mathematics (STEM) workforce by investing in building the knowledge that informs improvements in STEM teaching and learning.

NSF's mission calls for the broadening of opportunities and expanding participation of groups, institutions, and geographic regions that are underrepresented in STEM disciplines, which is essential to the health and vitality of science and engineering. NSF is committed to this principle of diversity and deems it central to the programs, projects, and activities it considers and supports.

A. Merit Review Principles and Criteria

The National Science Foundation strives to invest in a robust and diverse portfolio of projects that creates new knowledge and enables breakthroughs in understanding across all areas of science and engineering research and education. To identify which projects to support, NSF relies on a merit review process that incorporates consideration of both the technical aspects of a proposed project and its potential to contribute more broadly to advancing NSF's mission "to promote the progress of science; to advance the national health, prosperity, and welfare; to secure the national defense; and for other purposes." NSF makes every effort to conduct a fair, competitive, transparent merit review process for the selection of projects.

1. Merit Review Principles

These principles are to be given due diligence by PIs and organizations when preparing proposals and managing projects, by reviewers when reading and evaluating proposals, and by NSF program staff when determining whether or not to recommend proposals for funding and while overseeing awards. Given that NSF is the primary federal agency charged with nurturing and supporting excellence in basic research and education, the following three principles apply:

• All NSF projects should be of the highest quality and have the potential to advance, if not transform, the frontiers of knowledge.
• NSF projects, in the aggregate, should contribute more broadly to achieving societal goals. These "Broader Impacts" may be accomplished through the research itself, through activities that are directly related to specific research projects, or through activities that are supported by, but are complementary to, the project. The project activities may be based on previously established and/or innovative methods and approaches, but in either case must be well justified.
• Meaningful assessment and evaluation of NSF funded projects should be based on appropriate metrics, keeping in mind the likely correlation between the effect of broader impacts and the resources provided to implement projects. If the size of the activity is limited, evaluation of that activity in isolation is not likely to be meaningful. Thus, assessing the effectiveness of these activities may best be done at a higher, more aggregated, level than the individual project.

With respect to the third principle, even if assessment of Broader Impacts outcomes for particular projects is done at an aggregated level, PIs are expected to be accountable for carrying out the activities described in the funded project. Thus, individual projects should include clearly stated goals, specific descriptions of the activities that the PI intends to do, and a plan in place to document the outputs of those activities.

These three merit review principles provide the basis for the merit review criteria, as well as a context within which the users of the criteria can better understand their intent.

2. Merit Review Criteria

All NSF proposals are evaluated through use of the two National Science Board approved merit review criteria. In some instances, however, NSF will employ additional criteria as required to highlight the specific objectives of certain programs and activities.

The two merit review criteria are listed below. Both criteria are to be given full consideration during the review and decision-making processes; each criterion is necessary but neither, by itself, is sufficient. Therefore, proposers must fully address both criteria. (PAPPG Chapter II.C.2.d(i). contains additional information for use by proposers in development of the Project Description section of the proposal). Reviewers are strongly encouraged to review the criteria, including PAPPG Chapter II.C.2.d(i), prior to the review of a proposal.

When evaluating NSF proposals, reviewers will be asked to consider what the proposers want to do, why they want to do it, how they plan to do it, how they will know if they succeed, and what benefits could accrue if the project is successful. These issues apply both to the technical aspects of the proposal and the way in which the project may make broader contributions. To that end, reviewers will be asked to evaluate all proposals against two criteria:

• Intellectual Merit: The Intellectual Merit criterion encompasses the potential to advance knowledge; and
• Broader Impacts: The Broader Impacts criterion encompasses the potential to benefit society and contribute to the achievement of specific, desired societal outcomes.

The following elements should be considered in the review for both criteria:

• Advance knowledge and understanding within its own field or across different fields (Intellectual Merit); and
• Benefit society or advance desired societal outcomes (Broader Impacts)?
• To what extent do the proposed activities suggest and explore creative, original, or potentially transformative concepts?
• Is the plan for carrying out the proposed activities well-reasoned, well-organized, and based on a sound rationale? Does the plan incorporate a mechanism to assess success?
• How well qualified is the individual, team, or organization to conduct the proposed activities?
• Are there adequate resources available to the PI (either at the home organization or through collaborations) to carry out the proposed activities?

Broader impacts may be accomplished through the research itself, through the activities that are directly related to specific research projects, or through activities that are supported by, but are complementary to, the project. NSF values the advancement of scientific knowledge and activities that contribute to achievement of societally relevant outcomes. Such outcomes include, but are not limited to: full participation of women, persons with disabilities, and other underrepresented groups in science, technology, engineering, and mathematics (STEM); improved STEM education and educator development at any level; increased public scientific literacy and public engagement with science and technology; improved well-being of individuals in society; development of a diverse, globally competitive STEM workforce; increased partnerships between academia, industry, and others; improved national security; increased economic competitiveness of the United States; and enhanced infrastructure for research and education.

Proposers are reminded that reviewers will also be asked to review the Data Management Plan and the Postdoctoral Researcher Mentoring Plan, as appropriate.

Additional Solicitation Specific Review Criteria

PRELIMINARY Proposal Additional Review Criteria:

Reviewers should consider these high-level questions:

How well does the preliminary proposal narrative address the following in the project description?

• What is the compelling new idea and what is the potential high societal impact?
• What is the engineered system? Is it high-risk but high payoff?
• Is the 3-plane chart well-conceived and justified?
• How does the proposed Center's research benchmark against the state-of-the-art?
• What is the proposed management structure for the ERC? How will the proposed organization and management structure integrate and implement the four foundational components (CR, EWD, DCI, and IE) and foster team-formation?
• Does the proposed ERC create an inclusive environment where all the ERC participants learn to work on a team towards a common goal?

FULL Proposal Additional Review Criteria:

• What is the engineered system?
• Why is the proposed vision compelling?
• Why is the proposed research competitive when benchmarked against the state-of-the-art?
• How well does the proposed ERC justify the need for a center or institute-like approach?

High Societal Impact

• What is the potential for high societal impact?
• How realistic is the proposed plan for high societal impact?
• If the proposed strategy is high-risk does the potential payoff from anticipated impacts justify the investment?

Convergence Research

• Does the proposed research require a convergent approach and is its implementation well documented?
• How well justified is the argument that convergence is necessary for the desired impact?
• How well has the convergent approach been fully integrated into the proposal?
• What is the likelihood the research will lead to significant fundamental advances, new discoveries, and technological developments?
• How well does the proposed research use the testbeds to integrate and to advance proofs-of-concept to achieve the proposed vision?
• Are there well-defined implementation milestones for convergence research?

Stakeholder Engagement

• Are effective mechanisms to gather, engage, and implement feedback from appropriate stakeholders in place (i.e., collaborators, supporters, advisory boards, external committees)?

Team Formation

• How does the team formation and the implementation of team science support the proposed convergent research?
• How well has the ERC demonstrated strategies to overcome barriers for effective, dynamic teaming?

Strategic Plan

• How well does the Center present an integrated strategic plan for the ERC to address the key elements of each foundational component and their integration?
• How well does the proposal present an appropriate and compelling management structure and plan to carry out Center activities?

Management and Organization

• How appropriate are the qualifications of proposed leadership and management team?
• How well does the proposal present appropriate and compelling management structure and plan to carry out Center activities?
• Are effective mechanisms to gather and implement feedback from appropriate stakeholders in place, including advisory boards and external committees?

Engineering Workforce Development

• To what extent is the proposed program coherent and aligned with the overall goals and vision of the ERC?
• Do the proposed Engineering Workforce Development plans include appropriate strategies for recruiting participants and engaging with partners?
• Are the proposed Engineering Workforce Development plans evidence-based and likely to achieve the desired experiences, outcomes, and impact described?

Diversity and Culture of Inclusion

• How well does the discussion include a clear strategy to support Diversity and Culture of Inclusion?
• To what extent does the program propose evidence-based approaches for Diversity and Culture of Inclusion that are integrated with all dimensions of ERC operation?
• How well does the management plan include clear accountability for Diversity and Culture of Inclusion aspects of the ERC across all partners?

Innovation Ecosystem

• How well does the proposal describe a plan to build a network of trusted partners for innovation capacity?
• How appropriate is the proposed structure and processes for value creation to move from ideation to implementation?

Evaluation Plan

• How well has the Center developed a logic evaluation framework to guide the implementation of the strategic plan and evaluate Center performance?
• How well does the evaluation plan include formative aspects that allow the Center to make evidence-based decisions about changes in its activities and summative aspects to provide evidence of impact across all elements of the Center?

Financial Support and Resources

• Are the estimated budget allocations reasonable to achieve the proposed ERC vision?
• Does the Center have adequate capital (i.e., facilities, equipment, cyberinfrastructure) and procedural (i.e., safety, environmental) resources?
• Does the Center have a convincing plan for data sharing and management?

B. Review and Selection Process

Proposals submitted in response to this program solicitation will be reviewed by

Ad hoc Review and/or Panel Review, Site Visit Review, or Reverse Site Review.

For Additional Review Criteria (see above listing)

Reviewers will be asked to evaluate proposals using two National Science Board approved merit review criteria and, if applicable, additional program specific criteria. A summary rating and accompanying narrative will generally be completed and submitted by each reviewer and/or panel. The Program Officer assigned to manage the proposal's review will consider the advice of reviewers and will formulate a recommendation.

After scientific, technical and programmatic review and consideration of appropriate factors, the NSF Program Officer recommends to the cognizant Division Director whether the proposal should be declined or recommended for award. NSF strives to be able to tell proposers whether their proposals have been declined or recommended for funding within six months. Large or particularly complex proposals or proposals from new recipients may require additional review and processing time. The time interval begins on the deadline or target date, or receipt date, whichever is later. The interval ends when the Division Director acts upon the Program Officer's recommendation.

After programmatic approval has been obtained, the proposals recommended for funding will be forwarded to the Division of Grants and Agreements or the Division of Acquisition and Cooperative Support for review of business, financial, and policy implications. After an administrative review has occurred, Grants and Agreements Officers perform the processing and issuance of a grant or other agreement. Proposers are cautioned that only a Grants and Agreements Officer may make commitments, obligations or awards on behalf of NSF or authorize the expenditure of funds. No commitment on the part of NSF should be inferred from technical or budgetary discussions with a NSF Program Officer. A Principal Investigator or organization that makes financial or personnel commitments in the absence of a grant or cooperative agreement signed by the NSF Grants and Agreements Officer does so at their own risk.

Once an award or declination decision has been made, Principal Investigators are provided feedback about their proposals. In all cases, reviews are treated as confidential documents. Verbatim copies of reviews, excluding the names of the reviewers or any reviewer-identifying information, are sent to the Principal Investigator/Project Director by the Program Officer. In addition, the proposer will receive an explanation of the decision to award or decline funding.

VII. Award Administration Information

A. notification of the award.

Notification of the award is made to the submitting organization by an NSF Grants and Agreements Officer. Organizations whose proposals are declined will be advised as promptly as possible by the cognizant NSF Program administering the program. Verbatim copies of reviews, not including the identity of the reviewer, will be provided automatically to the Principal Investigator. (See Section VI.B. for additional information on the review process.)

B. Award Conditions

An NSF award consists of: (1) the award notice, which includes any special provisions applicable to the award and any numbered amendments thereto; (2) the budget, which indicates the amounts, by categories of expense, on which NSF has based its support (or otherwise communicates any specific approvals or disapprovals of proposed expenditures); (3) the proposal referenced in the award notice; (4) the applicable award conditions, such as Grant General Conditions (GC-1)*; or Research Terms and Conditions* and (5) any announcement or other NSF issuance that may be incorporated by reference in the award notice. Cooperative agreements also are administered in accordance with NSF Cooperative Agreement Financial and Administrative Terms and Conditions (CA-FATC) and the applicable Programmatic Terms and Conditions. NSF awards are electronically signed by an NSF Grants and Agreements Officer and transmitted electronically to the organization via e-mail.

*These documents may be accessed electronically on NSF's Website at https://www.nsf.gov/awards/managing/award_conditions.jsp?org=NSF . Paper copies may be obtained from the NSF Publications Clearinghouse, telephone (703) 292-8134 or by e-mail from [email protected] .

More comprehensive information on NSF Award Conditions and other important information on the administration of NSF awards is contained in the NSF Proposal & Award Policies & Procedures Guide (PAPPG) Chapter VII, available electronically on the NSF Website at https://www.nsf.gov/publications/pub_summ.jsp?ods_key=pappg .

Administrative and National Policy Requirements

Build America, Buy America

As expressed in Executive Order 14005, Ensuring the Future is Made in All of America by All of America’s Workers (86 FR 7475), it is the policy of the executive branch to use terms and conditions of Federal financial assistance awards to maximize, consistent with law, the use of goods, products, and materials produced in, and services offered in, the United States.

Consistent with the requirements of the Build America, Buy America Act (Pub. L. 117-58, Division G, Title IX, Subtitle A, November 15, 2021), no funding made available through this funding opportunity may be obligated for an award unless all iron, steel, manufactured products, and construction materials used in the project are produced in the United States. For additional information, visit NSF’s Build America, Buy America webpage.

Special Award Conditions:

TBD - Programmatic Terms and Conditions: TBD - Financial and Administrative Terms and Conditions:

C. Reporting Requirements

For all multi-year grants (including both standard and continuing grants), the Principal Investigator must submit an annual project report to the cognizant Program Officer no later than 90 days prior to the end of the current budget period. (Some programs or awards require submission of more frequent project reports). No later than 120 days following expiration of a grant, the PI also is required to submit a final annual project report, and a project outcomes report for the general public.

Failure to provide the required annual or final annual project reports, or the project outcomes report, will delay NSF review and processing of any future funding increments as well as any pending proposals for all identified PIs and co-PIs on a given award. PIs should examine the formats of the required reports in advance to assure availability of required data.

PIs are required to use NSF's electronic project-reporting system, available through Research.gov, for preparation and submission of annual and final annual project reports. Such reports provide information on accomplishments, project participants (individual and organizational), publications, and other specific products and impacts of the project. Submission of the report via Research.gov constitutes certification by the PI that the contents of the report are accurate and complete. The project outcomes report also must be prepared and submitted using Research.gov. This report serves as a brief summary, prepared specifically for the public, of the nature and outcomes of the project. This report will be posted on the NSF website exactly as it is submitted by the PI.

More comprehensive information on NSF Reporting Requirements and other important information on the administration of NSF awards is contained in the NSF Proposal & Award Policies & Procedures Guide (PAPPG) Chapter VII, available electronically on the NSF Website at https://www.nsf.gov/publications/pub_summ.jsp?ods_key=pappg .

NSF requires ERCs to submit annual reports that are more extensive in scope than those required of single investigator awards. NSF provides guidelines for these reports. NSF also requires ERCs to collect and submit to NSF data on indicators of progress, outcome, impact, and financial management. NSF provides data definition guidelines and templates for the recording and submission of these data through a secure web site.

VIII. Agency Contacts

Please note that the program contact information is current at the time of publishing. See program website for any updates to the points of contact.

General inquiries regarding this program should be made to:

For questions related to the use of NSF systems contact:

• NSF Help Desk: 1-800-381-1532
• Research.gov Help Desk e-mail: [email protected]

For questions relating to Grants.gov contact:

Grants.gov Contact Center: If the Authorized Organizational Representatives (AOR) has not received a confirmation message from Grants.gov within 48 hours of submission of application, please contact via telephone: 1-800-518-4726; e-mail: [email protected] .

IX. Other Information

The NSF website provides the most comprehensive source of information on NSF Directorates (including contact information), programs and funding opportunities. Use of this website by potential proposers is strongly encouraged. In addition, "NSF Update" is an information-delivery system designed to keep potential proposers and other interested parties apprised of new NSF funding opportunities and publications, important changes in proposal and award policies and procedures, and upcoming NSF Grants Conferences . Subscribers are informed through e-mail or the user's Web browser each time new publications are issued that match their identified interests. "NSF Update" also is available on NSF's website .

Grants.gov provides an additional electronic capability to search for Federal government-wide grant opportunities. NSF funding opportunities may be accessed via this mechanism. Further information on Grants.gov may be obtained at https://www.grants.gov .

About The National Science Foundation

The National Science Foundation (NSF) is an independent Federal agency created by the National Science Foundation Act of 1950, as amended (42 USC 1861-75). The Act states the purpose of the NSF is "to promote the progress of science; [and] to advance the national health, prosperity, and welfare by supporting research and education in all fields of science and engineering."

NSF funds research and education in most fields of science and engineering. It does this through grants and cooperative agreements to more than 2,000 colleges, universities, K-12 school systems, businesses, informal science organizations and other research organizations throughout the US. The Foundation accounts for about one-fourth of Federal support to academic institutions for basic research.

NSF receives approximately 55,000 proposals each year for research, education and training projects, of which approximately 11,000 are funded. In addition, the Foundation receives several thousand applications for graduate and postdoctoral fellowships. The agency operates no laboratories itself but does support National Research Centers, user facilities, certain oceanographic vessels and Arctic and Antarctic research stations. The Foundation also supports cooperative research between universities and industry, US participation in international scientific and engineering efforts, and educational activities at every academic level.

Facilitation Awards for Scientists and Engineers with Disabilities (FASED) provide funding for special assistance or equipment to enable persons with disabilities to work on NSF-supported projects. See the NSF Proposal & Award Policies & Procedures Guide Chapter II.F.7 for instructions regarding preparation of these types of proposals.

The National Science Foundation has Telephonic Device for the Deaf (TDD) and Federal Information Relay Service (FIRS) capabilities that enable individuals with hearing impairments to communicate with the Foundation about NSF programs, employment or general information. TDD may be accessed at (703) 292-5090 and (800) 281-8749, FIRS at (800) 877-8339.

The National Science Foundation Information Center may be reached at (703) 292-5111.

The National Science Foundation promotes and advances scientific progress in the United States by competitively awarding grants and cooperative agreements for research and education in the sciences, mathematics, and engineering. To get the latest information about program deadlines, to download copies of NSF publications, and to access abstracts of awards, visit the NSF Website at 2415 Eisenhower Avenue, Alexandria, VA 22314 (NSF Information Center) (703) 292-5111 (703) 292-5090 Send an e-mail to: or telephone: (703) 292-8134 (703) 292-5111 Privacy Act And Public Burden Statements The information requested on proposal forms and project reports is solicited under the authority of the National Science Foundation Act of 1950, as amended. The information on proposal forms will be used in connection with the selection of qualified proposals; and project reports submitted by proposers will be used for program evaluation and reporting within the Executive Branch and to Congress. The information requested may be disclosed to qualified reviewers and staff assistants as part of the proposal review process; to proposer institutions/grantees to provide or obtain data regarding the proposal review process, award decisions, or the administration of awards; to government contractors, experts, volunteers and researchers and educators as necessary to complete assigned work; to other government agencies or other entities needing information regarding proposers or nominees as part of a joint application review process, or in order to coordinate programs or policy; and to another Federal agency, court, or party in a court or Federal administrative proceeding if the government is a party. Information about Principal Investigators may be added to the Reviewer file and used to select potential candidates to serve as peer reviewers or advisory committee members. See System of Record Notices , NSF-50 , "Principal Investigator/Proposal File and Associated Records," and NSF-51 , "Reviewer/Proposal File and Associated Records.” Submission of the information is voluntary. Failure to provide full and complete information, however, may reduce the possibility of receiving an award. An agency may not conduct or sponsor, and a person is not required to respond to, an information collection unless it displays a valid Office of Management and Budget (OMB) control number. The OMB control number for this collection is 3145-0058. Public reporting burden for this collection of information is estimated to average 120 hours per response, including the time for reviewing instructions. Send comments regarding the burden estimate and any other aspect of this collection of information, including suggestions for reducing this burden, to: Suzanne H. 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