Last modified 07/31/2023

Grant Application Guidelines
This document lays out the content and formatting requirements when writing a grant proposal to the
Alfred P. Sloan Foundation for the following types of projects:

Research Projects
Projects that involve both a research component and a non-research component (for example, you plan

both to conduct research and hold several workshops to shape and/or disseminate this research or you
plan to launch a campus-based DEI initiative that includes evaluative research) are considered

research projects for the purpose of which guidelines to use.
For non-research projects, use these guidelines instead.

If you have not been invited to submit a proposal, you may instead submit a Letter of Inquiry. The Sloan
Foundation website has guidelines for what information Letters of Inquiry should include and how tosubmit them.

The Foundation's proposal review and approval process has the same rigorous standards as the peer

review processes at funding agencies or high-quality academic journals. In addition to an internal

review by all senior staff, grant proposals may be subject to independent outside review by relevant

experts. If so, proposers are given the opportunity to respond in writing to reviewer comments. It is not

unusual for a proposer to be asked to make (sometimes significant) revisions or provide supplementarymaterial as a result of the proposal review process. The Foundation recommends prospective proposers

familiarize themselves with the Sloan grantmaking process as laid out on the Sloan Foundation
website.

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Contents

Elements of a Complete Grant Proposal ..................................................................................................................... 3
Formatting Requirements................................................................................................................................................ 3
Section Page Limits .......................................................................................................................................................... 3
Proposal Cover Sheet ....................................................................................................................................................... 4
Proposal Narrative ............................................................................................................................................................. 4
Diversity, Equity & Inclusion Plan .................................................................................................................................. 6
Budget & Detailed Budget Justification ....................................................................................................................... 6
Required Appendices ....................................................................................................................................................... 9
List of Citations ........................................................................................................................................................... 10
Curricula Vitae ............................................................................................................................................................. 10
Conflicts of Interest / Sources of Bias .................................................................................................................. 10
Empirical Research Methods ................................................................................................................................... 10
Information Products .................................................................................................................................................. 11
Additional Appendices ................................................................................................................................................... 12
Workshops, Conferences, or Other Large Meetings .......................................................................................... 12
Letters of Support ....................................................................................................................................................... 13
Procedural Mechanics ................................................................................................................................................... 13
Proposal Administration Form ................................................................................................................................. 13
How to Submit a Completed Grant Proposal....................................................................................................... 13
Collection of Demographic Data on Principal and Co-Principal Investigators ........................................... 13
Confidentiality ............................................................................................................................................................. 14

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Elements of a Complete Grant Proposal

All grant proposals to the Alfred P. Sloan Foundation must contain the following elements. Proposals

missing any of these elements are not complete and will not be considered for funding until allelements have been submitted.
1.

2.

Proposal Cover Sheet

5. Required Appendices

Proposal Narrative

6. Additional Appendices3. Diversity, Equity & Inclusion Plan

7.

4. Budget & Budget Justification

Proposal Administration Form

The first six elements should appear in a single document in the order indicated above. (Proposal coversheet first, then proposal narrative, then diversity plan, etc.) The Proposal Administration Form
(element 7) should be submitted as a separate document.

Formatting Requirements
Proposals must:Be double-spaced

Be in an 11-point fontHave 1-inch margins
Have page numbers

Section Page Limits

The elements of a grant proposal may not exceed the following lengths.
Cover Sheet

1 pageProposal Narrative

If amount requested ≤ $250,000, 15 pages
If amount requested > $250,000, 20 pages

Diversity, Equity & Inclusion Plan

As needed, generally 2 pages

Budget & Budget Justification

As needed

Required Appendices
List of Citations

As needed

Curriculum Vita(e)3 pages per person

Conflicts of Interest

As needed, generally 1 page

Empirical Methods

As needed, generally 3-8 pages

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Information Products

As needed, generally 2-4 pages

Additional AppendicesWorkshops & Conferences

As needed

Letters of Support

2 pages per letter

Proposal Administration Form

2 pages

Proposal Cover Sheet

All grant proposals must be accompanied by a completed Proposal Cover Sheet Form. To download,

visit the Forms section of the Alfred P. Sloan Foundation website.

Proposal Narrative

The grant proposal narrative must be divided into sections that address the following questions. Be

mindful that proposal narratives are read by all senior staff inside the Foundation and should be
written in a style accessible to an interested non-specialist.

1. What is the research question and why is it important? The proposal narrative should start with a

discussion of the research question(s) that the proposer expects to address and why these questions
are important.

2. What is the state of the research on this question? The proposal narrative should contain a concise
summary of the existing literature on the research question(s) being addressed and how the proposed

project fits into, supplements, or extends that literature. This summary should include references to theimportant papers in the literature, and gaps in the literature should be identified. This literature review
should refer to key papers written both by the proposer(s) and by other scholars in the field.

3. What is the research project? What are its goals and its methodology? In this section, the proposal
should provide a description of the proposed research project, including a clear statement of the work
to be undertaken, the goals of the project, how those goals relate to the present state of research aslaid out in Section 2, above, and the research methods to be deployed. Essentially, the narrative should
describe what 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 will accrue from success, all written at a level that is understandable

to an educated and interested non-expert. This is the most important part of the proposal, and typicallythis section will make up the most substantial portion of the proposal narrative. Proposers should be
explicit about all critical assumptions, plans, and methods. The discussion may include theoreticalframeworks, data sources, experimental equipment, analysis methodologies, and other details, as

appropriate to the nature of the research. Additional technical detail, at the “expert” level, should be
attached as an Empirical Research Methods Appendix.

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4. Who are the key members of the research team? In a few sentences, the narrative should introduce
the key members of the research team, the role they will play in the project, and key accomplishments,

training, or experience relevant to their ability to perform that role. More detailed information about the
project team (education, honors, publication history) should not be included here, but instead listed in
the C.V. appendix.

5. What is the work plan? The proposal narrative should discuss the project timeline and how it will be

implemented. This should include an account of who will do what and when, project oversight andmanagement, and who will have what duties and responsibilities. Key project milestones should be

identified, and success metrics delineated. If the project involves collaboration with other individuals ororganizations, those collaborators and their expected contributions to the project should be listed. The
proposal narrative should also describe, if applicable, the status of the work to date and plans fordissemination and/or sustainability.

6. What will be the output from the research project? The proposal narrative should include a general

discussion of anticipated publications, datasets, conferences, briefings, trainings of undergraduate or
graduate students and postdoctoral researchers, etc., that the research is expected to yield. As

appropriate, the proposal narrative should include metrics for these outputs describing what would
constitute success (for example, where papers will be published, number of software downloads,

number of conference registrants, etc.). A more thorough discussion of the expected outputs should be
attached as an Information Products Appendix.

7. What is the summary justification for the requested funding? The proposer should justify thebudget request and why it is consistent with the research and associated output that the funds will
support. This should be a general discussion, with additional detail provided in the detailed budget
justification.

8. What other sources of research support has the proposer applied for or have in hand to support

the research team? If funds are being provided or requested from other sources, the proposal narrative
should list those sources, amounts, and the status of funding from each. This narrative information canbe integrated into the previous question, with detail provided in the budget.

When a current or former Sloan grantee seeks funds for a new project in an area related to their Sloan
grant, or if a grantee is seeking renewed or expanded funding for an ongoing project supported by
Sloan, an additional section should be included in the proposal narrative answering the following

question:

9. What is the status and output of current and/or previous Sloan grants? The proposal narrative

should include a discussion of the work that has been produced (or is in process) in connection withprevious Sloan Foundation grants. This discussion should include a list of publications (working

papers, articles published in journals, books, Ph.D. dissertations, etc.) and other products(conferences, presentations, films, training, etc.) designated as output or outcome metrics from current
and/or previous grants.

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Diversity, Equity & Inclusion Plan

The Foundation’s investments in research, education, and public understanding of science, technology,
and economics are guided by two core principles. First, that these areas are crucial drivers of thenation's health and prosperity. Second, that such prosperity relies on full and equitable participation inthese fields by those who have been and continue to be excluded. Research and experience tell us that

more diverse teams produce better scholarship and that inclusivity is essential to the health ofscholarly communities. In view of the long history of sexism and racial and ethnic bias in the UnitedStates and related exclusion in science, the Foundation places a specific emphasis on the participationof women and of Black, Indigenous, and Latina/o/e scholars and communities.

To this end, proposals must include a section describing current and planned efforts to ensure diversity
and inclusion of women and Black, Indigenous, and Latina/o/e individuals and communities in the

proposed project. In this section, Foundation staff will be looking for concrete plans to advancediversity, equity, and inclusion, especially through project team participation and ensuring an inclusive
environment for team members. Mere provision of the diversity or equal opportunity policy of one’s

institution is insufficient, as is a statement of commitment without a specific plan for implementation.
Proposers should discuss:The demographic makeup of the project team (i.e., co/PIs, trainees, etc.) and strategies that will

be used to further develop a diverse collaboration. When sharing the team makeup, proposersshould disaggregate by gender and race/ethnicity;

The project team’s experience and past record on issues of diversity, equity, and inclusion
relevant to the proposed work;

Current or planned strategies to ensure an equitable and inclusive work environment within the
project team itself, and if appropriate, in the broader institutional (e.g., departmental) context;

Resources the project team will draw on to support these strategies.

Depending on the nature of the project, proposers may also wish to discuss, among other things:








How the project will ensure that outreach and dissemination activities are inclusive;

How the project will contribute to reducing gender and racial/ethnic inequity in the relevant
field(s), specifically for Black, Indigenous, and Latina/o/e communities;

How the content of the project addresses issues of gender and racial/ethnic inequity

Complementary projects or initiatives that the project will tap into;

The proposers’ mentoring philosophy and their experience working with diverse trainees;

How the project will collaborate meaningfully with institutions that serve large numbers ofunderrepresented students or with organizations that focus on gender or racial/ethnic equity;

How the project and its work may advance diversity, equity, and inclusion in other forms for the
benefit of underrepresented communities.

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Please note that this section will not count toward the 20-page proposal narrative limit. Proposers may

include in an appendix additional information such as samples of past work that is relevant to theseplans.

Finally, we recognize that some institutions are subject to legal and policy constraints that shape thespecific approaches, strategies, and terminology that they may use in addressing issues of diversity,
equity, and inclusion. The Foundation is thus flexible about the language in which these plans are

expressed and welcomes a discussion about the state or institutional context within which such work
is being advanced.

Budget & Detailed Budget Justification

This section should include a tabular budget, broken down by year for multi-year projects. The Sloan
Foundation strongly recommends that proposers use the Foundation’s Project Budget Form for thispurpose. The tabular budget should be followed by a detailed written discussion that explains andjustifies the amount requested and that lays out what line items cover and how they were derived.

Budgets should also meet the following requirements.


Salary Support: Requests for salary should adhere to the following restrictions based on thetype of staff seeking support. (See next page)Type of Staff

Max Support

Faculty (on a 9-

For senior1 faculty:

academicmonth summer

monthsalary)Notes
No more than one
salary per year offull-timereceive a standard benefits package customary for
their institution.
No more than twomonths summer

salary per year offull-timeequivalent salary.

1

Budgets must include the number of faculty

supported, the full-time equivalent salary of each,

equivalent salary.
For junior 1 faculty:

All faculty supported through a Sloan grant must

and the percentage of the faculty member’s timethat will be devoted to work on the grant.


The Foundation discourages budget requests to pay
summer salary for senior faculty. Proposals may
request (and must justify) up to one month ofsummer salary support for senior faculty membersin the amount of either 1/9 of academic-year salary
or $35,000, whichever is lower. The Foundation

We define “senior faculty” as faculty who are either tenured or who are more than 10 years beyond attainment of their Ph.D. We

define “junior faculty” as non-senior faculty.

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Type of Staff

Max Support

Notes
may make exceptions to this policy in unusual
circumstances, but a strong case for such an

exception must be made in the budget justification.
For faculty on unpaid leave, the Foundation may
consider modest academic-year salary support.

Project Staff

As needed, up to

100 percent of full-

All project/research staff employed by the grantee
institution must receive a standard benefits

time salary

package customary for the institution.
Budgets should list the number of staff supported,
the full-time salary of each, and the percentage ofthe staff member’s time that will be devoted to workon the grant.

Postdoctoral
Researchers

As needed, up totime salary.



100 percent of full-

Salary must be customary for the department andinstitution employing the researcher.

Budgets must include the number of positions

supported, the full-time salary of each supported

researcher, and the percentage of the researcher’stime that will be devoted to work on the grant.


All Sloan-supported postdoctoral researchers mustreceive a standard benefits package customary for
their institution.

Graduate
Students

As needed, up totime salary

100 percent of full-

Salary must be customary for the department andinstitution employing the student.

Budgets must include the number of graduate

students supported, the full-time salary of each,and the percentage of each student’s time that will
be devoted to work on the grant.


Tuition. The Foundation strongly prefers that funds

requested for graduate students be allocatedtoward salaries, stipends, and other forms of direct
support. If tuition coverage must be requested, aclear rationale must be provided in the budget
justification. In all circumstances, tuition

reimbursement will be capped at the NSF Graduate

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Type of Staff

Max Support

Notes
Research Fellow cost-of-education allowance, as
specified in the most recent NSF program

solicitation, currently set at $16,000 per student
per year. The Foundation does not pay indirect
costs on graduate student tuition.

For grant requests of $50,000 or less, no indirect (overhead) costs are permitted.

For grant requests in excess of $50,000, indirect (overhead) costs may not exceed 20 percent
of direct project costs.



If there is a subcontract, proposers must split overhead costs with the subcontractor

institution, with total overhead not to exceed 20 percent of direct project costs. The

Foundation suggests that the grantee’s institution take 4% of the overhead on the subcontract

and assign the remaining 16% to the subcontractor (although this specific overhead split is nota strict requirement). Note also that tuition is excluded from overhead calculations, so if thesubcontractor is spending money on grad student tuition, that money is not eligible foroverhead. The Foundation’s Project Budget Form has been designed to easily andautomatically calculate overhead on subcontracts. We strongly recommend that proposers use
this form to minimize work and ensure that overhead is calculated correctly.


If the total cost of the project is larger than the amount requested from the Alfred P. Sloan

Foundation, the request should include a financial plan for the whole effort that identifies anyother financial contributions (either secured or anticipated). When possible, letters of support
from other funders should be included indicating their willingness to provide funds and theamount of support to be provided.

Required Appendices

All grant proposals for research projects must contain (at least) five appendices:

List of Citations
Curricula Vitae



Conflicts of Interest / Sources of Bias

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List of Citations
This appendix should contain a list of all papers or other work cited in the proposal. Citations may beformatted in any widely used style (Chicago, APA, etc.)

Curricula Vitae
This appendix should include abbreviated CVs or biographies of the principal investigator and any key

project staff that will implement or supervise activities.


CVs should include education, employment history, a list of the proposer’s most importantprevious publications, and important honors (NAS, AAAS, best paper awards, etc.).
Full CVs are not requested; one to three pages per person is sufficient.

Conflicts of Interest / Sources of Bias
The proposal must disclose potential conflicts of interest or sources of bias on the part of the primary
investigator, all key project staff, and the grantee institution. The following are examples of potential

conflicts:Financial interests: Any significant financial interests (equity holdings, stock options, etc.) in

any corporate entity involved with the subject matter of the proposed research;

Management/advisory affiliations: Any status as an officer, trustee, or member of an advisorycommittee in any entity involved with the subject matter of the proposed research;

Paid consulting: Any compensation or honoraria received (within the last three years) from anentity involved with the subject matter of the proposed research in exchange for consulting

services, speaking engagements, or expert testimony;

Patents: Any planned, pending, or awarded patents or intellectual property the value of which

may depend on the outcome of the proposed research.

Do not omit this appendix if there are no conflicts of interest or sources of bias to report. Instead, if
there are no conflicts to report, this appendix should consist of a statement to that effect.

Empirical Research Methods
Grant proposals that request support for research must include a detailed methodological discussion
in the form of an appendix. Proposers should expect the review of their empirical methods to be similar
to the scrutiny given such matters by NSF scientific panels or top research journals, as the Sloan
Foundation often calls on the same kinds of external methodological experts to evaluate proposals.
Thus, in contrast to the research methodology section of the main proposal narrative, the Empirical
Research Methods appendix should be written with such an expert audience in mind.

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The Empirical Research Methods appendix should include detailed and technical information about
research design, data or sample collection, instrumentation (if applicable), and approach to analysis
and validation (including, if applicable, such details as power calculations and preregistration plans).
The structure, operations, and usage criteria of models employed as part of the research process
should be described in appropriate technical detail. Proposals for qualitative research should also
describe research design, mode of data collection, and analytic approach. Interview, survey, and datacollection protocols may be included in this appendix.
Some projects will produce data, models, or code that are intended to be used by others. In this case,the appendix should list specific individuals or groups who plan to use such a product and who arewilling to work with the investigators to make sure it meets their needs. In the case of data sets that are
private, proprietary, or otherwise sensitive, the appendix should describe what will be done to protect
the interests of others. Research that brings up these or other ethical concerns should be cleared by an
Institutional Review Board or similar independent body concerned with the rights and welfare of humansubjects. This section should indicate when such a review has or will be done.
Sloan programs seek to support research whose conclusions are sound, trustworthy, and generalizable.
Of course, research practice varies with context; work may involve exploratory or confirmatory analysis,
sampled or reference data, descriptive or predictive models, correlational or causal inference, etc. For
further advice about what details to include, should such be needed, please consult the relevant
program director.

Information Products
Scientific progress depends on the sharing of information and on the replication of findings. Maximal
and appropriate openness remains a core value of the Sloan Foundation. In the Information Products
appendix, we ask proposers to delineate, in list form, all information products anticipated to be
produced with Sloan funding, including but not limited to the following:For articles, books, websites, and other artistic works: who will hold the copyright; how they

will be licensed, shared, and archived; and for academic works, whether they will be shared as
preprints and/or in institutional repositories.


For datasets: where and in what format project data will be stored or archived at the conclusionof the project; and whether there any legal issues that will complicate sharing and access tothe archived data.
For software, including but not limited to data processing and analysis pipelines, models,computational notebooks, instrument control systems, and applications: the computational

environment in which code will be developed and executed; under what conditions, if any, it

will be shared with other developers and users, and under what license; where project software
will be developed and later archived; and whether it will be maintained after the conclusion of
the project and if so, by whom.

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For instruments and other hardware, how will novel designs be documented and shared, andunder what license or agreement; what if any plans exist for commercialization; and under whatterms will access to the specific hardware built under this grant be offered to others.

Additional Appendices

The following appendices do not necessarily apply to all research projects. If one or more applies toyour project, you must provide it as part of a complete grant proposal.
Appendix for Projects that Support Workshops, Conferences, or other Large Meetings

Letters of Support

Workshops, Conferences, or Other Large Meetings
The following documents should be included in an appendix to any grant proposal requesting support

for a workshop, conference, or other large meeting:








Draft conference agenda;

Draft list of conference invitees listing the name, title, and institutional affiliation of each;

Draft letter of invitation;

Draft list of invited speakers, presenters, and/or panel participants listing the name, title, andinstitutional affiliation of each;

Draft call for papers (if applicable);

Draft anti-harassment policy;

Participant survey or evaluation plan.

The Foundation urges conference organizers to be mindful that Black, Indigenous, Latina/o/x, andwomen scholars are often underrepresented at conferences, especially as panel chairs, speakers, andpanel participants. Conference organizers should strive for diversity and inclusion when drafting
conference agendas, invitation lists, lists of speakers, and outreach plans. The Foundation alsostrongly encourages the establishment of a formal anti-harassment policy for every conference.
All proposals should contain an evaluation plan that includes a survey of conference participants at theconclusion of the conference, designed so that conference organizers can use the collected survey
data to evaluate what participants valued, where there is room for improvement, and whether the
conference achieved its goals.

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Letters of Support
If the success of the project depends critically on the support of key figures or institutions other thanthe principle investigator or project team, the proposal must include an appendix with a letter fromeach such institution articulating the nature of their relationship to the project and their understandingof the role they expect to play in the project’s success.

Procedural Mechanics
Proposal Administration Form
To process a successful grant proposal, the Foundation needs certain administrative information about
your institution, in particular, its EIN number, tax status, and payment address. Universities should
include on the form relevant contacts from within the Office of Sponsored Research or equivalentadministrative unit. For institutions with 170(c)(1) status, please include the IRS letter documenting
such. Visit the Forms page of the Alfred P. Sloan Foundation website to download the Proposal

Administration Form.

To ensure prompt payment upon a successful grant application, a completed Proposal Administration
Form must be submitted with (ideally) or soon after the grant proposal. The Proposal Administration

Form should be submitted as a separate standalone document.

How to Submit a Completed Grant Proposal
Grant proposals invited by a program director of the Alfred P. Sloan Foundation should be submitted as

an email attachment directly to the program director. If a program director has not invited you to submit
a proposal, you may instead compose and submit a Letter of Inquiry to the relevant program director via
email. For guidelines on Letters of Inquiry, please see the Foundation’s website.

Collection of Demographic Data on Principal and Co-Principal Investigators
The Sloan Foundation is committed to advancing diversity, equity, and inclusion in the disciplines wesupport. Essential to achieving this aim is the collection of demographic data on those who lead the
projects we fund.

Subsequent to grant approval, the PI, Co-PIs (if applicable) and key project staff of the grant will beemailed a form asking them to provide information on their gender identity, country of origin, andrace/ethnicity. Information shared through this form will be held strictly confidential by the Foundation

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and will be used for the sole purpose of helping the Foundation analyze our grantmaking and assess
whether we are living up to our commitments.

To learn more about the Sloan Foundation’s commitment to racial and gender equity and how it informs
the pursuit of our mission, please read our Commitment to Diversity, Equity, and Inclusion statement.

Confidentiality
The Foundation requests that prospective grantees treat grant proposals as confidential during theapplication process and refrain from publicly distributing their proposals (in whole or part) or disclosing
their status in the application process until the Foundation has completed its evaluation and made afunding decision.

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