Santa Clara University

Some type of informal communication, either a telephone call, personal contact or written correspondence, should precede submission of the full proposal. A preliminary inquiry permits the agency representative to examine the idea for consistency with the purposes and priorities of the agency. This can save the principal investigator time and effort if the agency is either not interested or the project is ineligible for funding under the terms of the particular program. Frequently, in the latter case, other programs or agencies may be suggested to the PI.

1. Letters of Inquiry & Pre-Proposals

Some sponsors, especially foundations, require a letter of inquiry. Certain government sponsored programs require letters of intent or pre-proposals prior to submission of a formal proposal, but most do not. Nevertheless, a letter of inquiry is an effective way to initiate contact with public and private sponsors.

Unlike formal proposals, there is usually no required format for preliminary inquiries. However, they should be short, preferably 2-3 pages, and include the following:

• Title -- Select an appropriate, concise but descriptive title, suitable for indexing.
• Statement of the Problem/Project -- At the preliminary stage this is the most important section and it should:
  • (a) demonstrate a precise understanding of the problem or need
  • (b) indicate the project's relationship to a larger set of problems and justify why this particular focus has been chosen
  • (c) establish the importance and significance of the problem, especially to a national audience
  • (d) signify the potential generalizability and contribution of the project
  • (e) establish a theoretical or conceptual base for the project
  • (f) justify why the problem should be of interest to the sponsor.
• Project Objectives & Methodology -- This should be a brief description of the research design or approach to the problem, emphasizing any innovative features and a schedule for the project.
• Budget -- Costs should be calculated precisely, but only major budget categories should be included at this time. Also major items of equipment or other unusual expenditures should be included and justified, if they are critical to the project.
• SPO should be involved in developing the preliminary budget to assure that it is not significantly different from the budget submitted with the formal proposal.
• Curriculum Vitae - Only a brief vita should be included to identify the principal investigator.