Determine proposal type

The bottom line

Use this page to determine the type of proposal you will be submitting and how you should proceed for that type of proposal.

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Formal proposals

BOTTOM LINE: All formal proposals must follow ASU's routing and approval process. If you are submitting a formal proposal, continue to the next step in the Proposals section of this handbook.

Definition: A formal proposal is any proposal endorsed by an authorized ASU official and submitted to a sponsor. There are several types of formal proposals. Each type is defined below.

New

Definition: A new proposal is one that is being submitted to the sponsor for the first time.

Revisions

Definition: If you send a proposal to a sponsor and the sponsor asks you to make changes and send it again, this second version of your proposal is called a revision.

Non-competing continuations or renewals

Definition: Some sponsors require non-competing continuations or renewals to request the next year’s funding within a multi-year grant. These usually consist of a progress report, vitae for new personnel, reprints of journal articles, and occasionally a budget.

Competing continuations or renewals

Definition: A competing continuation or renewal is a request for continued funding of a project that is ending. They are usually prepared in the same format as new proposals and will be reviewed competitively.

Supplemental

Definition: Supplemental proposals request additional support to make sure the original scope of work can be done adequately.

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Informal proposals

BOTTOM LINE: With the exception of pre-proposals, most informal proposals do not need to follow ASU's routing and approval process before being sent to the sponsor. However, a courtesy copy should be sent to your SPO.

Definition: An informal proposal is a short (generally 2-5 pages) description of the proposed project that does not involve a commitment of university resources or a signature on behalf of the university.

An informal proposal may include a total cost estimate but does not include a budget and is not expected to result directly in an award. The purpose of an informal proposal is usually to get the potential sponsor interested enough to request a formal proposal.

Informal proposals go by many names and can vary slightly. Some types of informal proposals are described below.

Concept papers, white papers, or letters of inquiry

Definition: Each of these documents is typically a short (generally a 1-3 page) description of the proposed project to determine if an idea is within the agency’s funding interests. PIs can also use this opportunity to request program information as well as guidelines and forms.

Preliminary proposals or pre-proposals

BOTTOM LINE: if you are submitting a preliminary or pre-proposal, contact your SPO to see how you should proceed.

Definition: A preliminary proposal is essentially an expanded abstract. It is normally 3-5 pages describing the proposed Scope of Work (SOW) and the expected outcomes of the project. The certifications and assurances normally required for full proposals are not included at this stage. The pre-proposal does not include the detailed and justified budget required of formal proposals. However, some may include an estimated budget.

Often the submission of a preliminary proposal/pre-proposal to a federal agency is recommended or even required before submitting a formal proposal. After reviewing the preliminary proposal, the sponsor will determine whether you will be invited to submit a full proposal.

Any preliminary proposal that requires institutional endorsement must be handled as a formal proposal.

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Internal grant proposals

BOTTOM LINE: The procedure for submitting a proposal to an internal grant program differs for each program. Follow the instructions for the program you are interested in.

Definition: Internal grants are grants that are offered by ASU for ASU. Below are some of the internal grants that ASU offers:

• Travel of Research Investigators to Potential Sponsors (TRIPS)
• Investigator Incentive Awards (IIA)

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