findings in research proposal

Organizing Your Social Sciences Research Assignments

• Annotated Bibliography
• Analyzing a Scholarly Journal Article
• Group Presentations
• Dealing with Nervousness
• Using Visual Aids
• Grading Someone Else's Paper
• Types of Structured Group Activities
• Group Project Survival Skills
• Leading a Class Discussion
• Multiple Book Review Essay
• Reviewing Collected Works
• Writing a Case Analysis Paper
• Writing a Case Study
• About Informed Consent
• Writing Field Notes
• Writing a Policy Memo
• Writing a Reflective Paper
• Writing a Research Proposal
• Generative AI and Writing
• Acknowledgments

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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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 .

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51 Comments

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I would be interested in getting some coaching.

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Bundle of thanks to you for the research proposal guide it was really good and useful if it is possible please send me the sample of research proposal

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/

Cheruiyot Moses Kipyegon

Thanks alot. It was an eye opener that came timely enough before my imminent proposal defense. Thanks, again

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I am an undergraduate student (First Degree) preparing to write my project,this video and explanation had shed more light to me thanks for your efforts keep it up.

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Wonderful guidelines for writing a research proposal, I am a student of m.phil( education), this guideline is suitable for me. Thanks

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Thank you. This is a great insight. I am a student preparing for a PhD program. I am requested to write my Research Proposal as part of what I am required to submit before my unconditional admission. I am grateful having listened to this video which will go a long way in helping me to actually choose a topic of interest and not just any topic as well as to narrow down the topic and be specific about it. I indeed need more of this especially as am trying to choose a topic suitable for a DBA am about embarking on. Thank you once more. The video is indeed helpful.

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Hi. For my MSc medical education research, please evaluate this topic for me: Training Needs Assessment of Faculty in Medical Training Institutions in Kericho and Bomet Counties

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I need any research proposal

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thank you for the video but i need a written example

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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.

Organizing Your Social Sciences Research Paper: Writing a Research Proposal

• Purpose of Guide
• Writing a Research Proposal
• Design Flaws to Avoid
• Independent and Dependent Variables
• Narrowing a Topic Idea
• Broadening a Topic Idea
• The Research Problem/Question
• Academic Writing Style
• Choosing a Title
• Making an Outline
• Paragraph Development
• The C.A.R.S. Model
• Background Information
• Theoretical Framework
• Citation Tracking
• Evaluating Sources
• Reading Research Effectively
• Primary Sources
• Secondary Sources
• What Is Scholarly vs. Popular?
• Is it Peer-Reviewed?
• Qualitative Methods
• Quantitative Methods
• Common Grammar Mistakes
• Writing Concisely
• Avoiding Plagiarism [linked guide]
• Annotated Bibliography
• Grading Someone Else's Paper

The goal of a research proposal is 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 the research are governed by standards within the predominant discipline in which the problem resides, so 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/or 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 ensure a research problem has not already been answered [or you may determine the problem has been answered ineffectively] and, in so doing, become better at locating 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 doing 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 results. Finally, an effective proposal is judged on the quality of your writing and, therefore, it is 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 succinct 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. If you're having trouble formulating a research problem to propose investigating, go here .

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 problem; going off on unrelated tangents.
• Sloppy or imprecise writing, or 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 regular academic paper, research proposals are generally organized the same way throughout most social science disciplines. Proposals vary between ten and twenty-five 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?
• 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!"

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 a doctoral dissertation. Even if this is just a course assignment, treat your introduction as the initial pitch of an idea or 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 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 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, what is its significance, and why should someone reading the proposal care about the outcomes of the proposed 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 narrative flow of your proposal. This is where you explain the context of your proposal and describe in detail 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 topic; instead, you must choose what is relevant to help explain the goals for your study.

To that end, 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 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. Answer the "So What? question [i.e., why should anyone care].
• Describe the major issues or problems to be addressed by your research. Be sure to note how your proposed study builds on previous assumptions about the research problem.
• 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 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 is excluded from the study.
• If necessary, provide definitions of key concepts 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 demonstrating to your readers that your work is original and innovative. Think about what questions other researchers have asked, what methods they have used, and what is your understanding of their findings and, where stated, their recommendations. Do not be afraid to challenge the conclusions of prior research. Assess what you believe is missing and state how previous research has failed to adequately examine the issue that your study addresses. For more information on writing literature reviews, GO HERE .

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 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 read 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.

To help frame your proposal's literature review, here are 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: 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, 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 it is 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 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 operations you will undertake and the way you will interpret the results of these operations 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 a methodology is not just a list of 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 be performed does not demonstrate that, collectively, they effectively address the research problem. Be sure you 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 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 reader.

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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• 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

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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

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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Guidelines on writing a research proposal

This is a work in progress, intended to organize my thoughts on the process of formulating a proposal. If you have any thoughts on the contents, or on the notion of making this available to students, please share them with me. Thanks.

Introduction

Proposal writing, different theses, similar proposals, a couple of models for proposals, a two page (preliminary proposal) model, the (longer) standard model.

The two outlines below are intended to show both what are the standard parts of a proposal and of a science paper. Notice that the only real difference is that you change "expected results" to "results" in the paper, and usually leave the budget out, of the paper.

Another outline (maybe from Gary Fuller?).

The Sections of the Proposal

The introduction, literature review, research questions in detail, methodology, expected results, bibliography, tips and tricks, useful references:.

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The Research Proposal: Communicating Research Findings

Introduction This chapter is linked to the dissemination of findings section of the web program. Unlike the previous chapters in this book, it is not devoted to the theory behind the research in order to provide you with the tools to help you to write a research proposal. Rather, it gives you practical tips to help you with: writing your research report; writing for publication; presenting at a conference. These are all important aspects of your research study and as you must disseminate your results in order to validate your research, we have included practical advice on how to do this. You may have thought that your research proposal was complete. However, you would be wrong. You may have included in your research proposal the collection and analysis of your data, but even when you have done that, your study is far from over. It is only completed when you have written your research report and disseminated the findings (you need to mention this in your research proposal) and possibly implemented them (see chapter 11 and the web program). Once you have written your report, you still have to communicate your findings to your colleagues, peers and others interested in your subject. This chapter gives you some tips on how to write a research report at the end of the study, and then explains how you can go about disseminating your research study, especially its findings and recommendations, to as wide an audience as possible. There are two main ways of doing this: 1. writing for publication; 2. presentations at conferences. However, before we look at these, there are some other people who need to be apprised of your findings. These are the people who participated in your research as subjects and without whose participation your research would not have taken place. Do not overlook them. You need to have in place some means of letting them know the results of their endeavours on your behalf. Some of the ways in which this can be done are: Letting them see copies of the final research report – perhaps by making it available in the hospital or clinic. Giving each of them a copy of the executive summary. Meeting them individually to discuss your results and recommendations, and possibly implementation. Meeting them in groups to disseminate the results and recommendations. Telephoning them. Finally, do not forget to send them a note of thanks (this should be included in your research proposal, as the research ethics committee in particular will expect this). The following sections are concerned with the dissemination of your results to colleagues and peers and mainly offer practical advice on what to do and what not to do. We begin with writing the final research report and then look at writing papers for publication. Writing a research report The plan of your research report is similar to your proposal, with the exception that your proposal is written in the future tense whilst the report is written in the past tense (Munhall&Chenail 2008). The other major differences are that the research proposal does not contain sections on results and discussion, as well as recommendations, whilst the research report will need these in order to be complete. The box is a plan for a quantitative research study. Plan of a research report for a quantitative study into pain relief Contents Acknowledgements Executive summary Part One: Introduction Introduction – including background to the research and aims of the study Review of literature Research methodology Part Two: Research findings Results – introduction Results – statistics Part Three: Discussion and conclusion Discussion Conclusion and recommendations Part Four: References References Appendices Next is an example of the plan of a research proposal for a recent study into palliative care. The plan for the subsequent research report following the completion of the study appears in the third box. If you work through the linked web program on writing a research proposal, you will see this proposal in full. In this chapter, only the headings are given. Plan of a research proposal for a qualitative study into palliative care Title Abstract – summary Introduction – purpose of the research (Aim) Background and literature review Outcomes Study design – Methodology Subjects: – inclusion/exclusion criteria – method of recruitment – potential problems The health and comfort of the subjects Ethical considerations Resources References Plan of a research report for a qualitative study into palliative care Contents Acknowledgements Executive summary Part One: Introduction Introduction – including background to the research and aims of the study Review of literature Research methodology Part Two: Research findings Results – introduction Results – patients Results – carers and families Results – palliative care team members Part Three: Discussion and conclusion Discussion Conclusion and recommendations Part Four: References References Appendices This was a phenomenological qualitative research study looking at the perceptions of adults with cancer accessing palliative care services, their families and members of the palliative care teams in the area, regarding the needs of the patients and families, and whether the palliative care services were meeting those needs. Another significant difference between a research proposal and a research report is their length. For example, for this study, the proposal is three pages long and the research report is 270 pages long, excluding the appendices, which themselves total 60 pages. Research reports Concentrating for now on the research reports, you can see from the two examples that the sections within the plans are very similar for both the quantitative and qualitative research studies; the major differences between them lie in the research findings sections, with the quantitative research study being concerned with the presentation and analysis of statistics, whilst the qualitative research study is concerned with the presentation and analysis of the text from interviews and focus groups. So, let us look at the research reports in more detail. Contents This is simply a list of the chapters and sections in your report and the page numbers so that a reader can easily locate any chapter or section. For example: Chapter Three: Research methodology Subsection Contents Page 3.1 Introduction 48 3.2 Qualitative methodology 50 3.3 Sample 57 And so on. Acknowledgements This comes at the beginning of your report where you acknowledge the people who have helped with your research – particularly the participants. Others usually acknowledged are colleagues and people who have helped in any way. Executive summary This is a summary of your research which, although part of your research, can be detached and given to people who do not want to read the whole report. It usually includes the title of the study, the background to the study, the aim/hypothesis and objectives, a brief note on the methodology and, most importantly, the key findings and recommendations. This is also usually signed by the researcher(s). It can also be printed as a separate document because many of the users will be happy just to have the results, which should be given prominence in the executive summary. Introduction This includes the background to the study (in more detail than is found in the executive summary) and the aims/hypothesis of the study. A review of literature linked to the topic of the study is included, as is the methodology (much of this can be taken from the research proposal – although do remember to change the tenses of the verbs from the future to the past). Research findings This is usually a straightforward account and analysis of the findings from the study. It may be in the form of statistics or of whatever data you collected from a qualitative study. The statistical tests and the statistics themselves often follow on one from another, although they may be grouped in related sets. Qualitative data are often presented within the themes that you have identified from the data. Discussion This is the section where you discuss the results and try to make sense of them in the context of your research study. This is the crux of your report because it can include the conclusions from the report, recommendations arising from the data and analysis of data, and implications for practice. Reflections on the study – the way you carried it out, any problems or weaknesses (and strengths) with your research study and suggestions for further research that have arisen also come in this section. References As with any academic work, this is where you include the references you have cited in the text of your report. These references mainly appear in the introduction, review of literature, research methodology and discussion sections, although some may be found in the results section – but these are few, if they occur there at all. Remember to ensure that your references are given accurately and in full, and that none is missing. Appendices This is where you add (append) any important documents related to the research which you do not think are appropriate to include in the main body of the report (e.g. information sheets about the study, interview guides). Summary You can see that the first few sections can remain almost as they were in your research proposal, except for changes or alterations that needed to take place during the study itself (Munhall&Chenail 2008). You can see now that the research proposal leads eventually to the research report, so it is very important that your proposal is as full and complete as possible – this will make it easy for you to write your final report. In the same way, if you write your report fully and accurately, and include a very good, comprehensive, but succinct, executive summary, this will help you when you come to disseminate your findings. You will be able to use sections of your report for publication or for presentations without having to change things too much. This leads on to the next two sections – writing for publication and presenting at conferences. Writing for publication Writing for publication is a worthwhile endeavour – indeed, for some healthcare professionals it is essential, as it forms part of their employment contract. However, writing for publication does not come naturally to everyone. To be successful, the twin attributes of practice and perseverance are important. Before you commence writing, there are a few points to consider. These include the type of writing that you wish to pursue and could be: a research paper (also referred to as an article or a manuscript); a book; a report; a short article. In this section we focus on issues pertaining to writing a research article for a peer- reviewed journal. The discussion is divided into three sections: getting started; developing a detailed structure of your work; issues associated with healthcare professionals and publication. Getting started Among the first things to do is to decide on the area in which you are interested and the line you wish to take – what aspect of the topic you want to write about and for whom exactly it is intended. Albert (2009) suggests developing a broad plan of what you intend to write about, so, using landscape orientation (i.e. the longer measure being used as the width) A4 paper (or larger), draw a large circle in the middle of the sheet. Write the theme of your topic in the centre of the circle. Working outwards from this circle, draw lines to connect four smaller circles, two on each side of the larger circle. In each of the small circles, write: Why did we start? What did we do? What did we find? What does it mean? To answer these questions, use lines and arrows to make connections with items or points in your paper. This is known as ‘mind mapping’ (Buzan 1993). Continue until you believe that you have enough information to formulate major headings for your paper. At this preliminary stage, you may wish to discuss your ideas with colleagues. During this start-up period, you should set yourself feasible goals and stick to them. Murray&Moore (2006) advocate viewing the writing of your article as a project which should have specific activities, accompanied by instructions to yourself for each of the activities. Decide on your audience and journal You should think carefully about your target audience and choose a suitable peer- reviewed journal that you know is read by them. A peer-reviewed (or refereed) journal is one which subjects all articles that are submitted to it for publication to critical assessment by independent scholars working in the same area as the author before it is even considered for acceptance for publication. A common practice is for an article to be double-blind peer-reviewed. This means that the names of the author and the reviewers are not revealed to each other. The reviewers recommend whether the article should be accepted, revised or rejected based on specific criteria set by the journal. The process is the accepted method for ensuing fairness, high quality information and contribution of new knowledge to the field. However, do be aware that some articles which appear in peer- reviewed journals may not have undergone peer review; these include book reviews, news items and editorials. However, basically anything that you submit will be peer- reviewed. Peer-reviewed journals have Instructions for Authors. These are the house style of how articles should be written and are sometimes found in the journal, but are certainly found on the journal’s webpage. It is important that you familiarise yourself with these instructions and also with the layout of articles which appear in your selected journal and adapt your work accordingly so that it fits in with the journal’s house style, for example: Presentation style: do they use ‘Introduction’ or ‘Background’? Are there any limitations on the number of tables, figures or references? What are the font requirements? What referencing style do they use? Do they have a particular variation on the style? What types of articles are accepted – research-based, evaluation or service development? Familiarise yourself with the submission details – e.g. length, turnaround time. Your covering letter to the editor(s) should ‘sell’ your article – but note, you do not usually get paid; the prestige of being published is supposed to be sufficient reward. Also make sure that you send your article to one journal at a time – do not mass mail it to all the journals you can think of, because the journals do communicate with each other and will discard any article that has been sent to another journal. You may also wish to check the journal’s rating. This is particularly important for academic research writers as some journals are more highly rated than others and publications in these journals have relevance for the assessment of research quality in all higher education institutions in the UK. The higher education funding bodies use the quality profiles to determine the grant for research to the institutions ( http://www.rae.ac.uk and http://www.hefce.ac.uk/research/ref / ). Review the literature You should provide up-to-date literature about your topic (see chapter 4). You should also be able to articulate how your current work supports/refutes what is already available. Your literature review should contain a critique of the papers under discussion and the contribution your work will make to the debate. Draft an outline of your work An early draft of your work helps with the structure of the paper (Albert 2009). Murray (2006: 195) employs Brown’s eight questions strategy to focus writing: 1. Who are the intended readers? (3–5 names) 2. What did I do? (50 words answering this question) 3. Why did I do it? (50 words) 4. What happened? (50 words) 5. What do the results mean in theory? (50 words) 6. What do the results mean in practice? (50 words) 7. What is the key benefit for readers? (25 words) 8. What remains unresolved? (no word limit) These questions are designed to be used as a tool for outlining the paper and provide a device for checking the coherence of your work. Comments from colleagues This is a useful procedure to undertake as constructive critical comments may broaden your outlook of the topic or provide another way of expressing your ideas. Develop a detailed structure for the paper The basic structure of research paper is formatted sequentially, as follows: Introduction Methods Results and Discussion This is usually referred to as IMRaD. An overview (Gray 2004, Parahoo 2006, Houser 2008, Polit&Beck 2008) of each of these is explained below. However, you must bear in mind the journal’s requirements as each journal will differ in the detail of what they expect, particularly their word limit for articles. The abstract This is usually written last as it contains an extract from your paper. It provides the reader with a summary of the contents of your paper. Typically an abstract includes: an outline of the background and the objective of the paper; the principal activity of the study and its scope; minimal information about the methodology; the most important results emerging from the study; a statement of conclusion or recommendation. The abstract should ‘sell’ your work and entice the reader to read the entire paper. It really is worthwhile spending a lot of time writing a good abstract, because in many instances this is the only part of the paper that gets read! (See also chapter 4.) Reflect on the literature search you carried out for your own topic – you may only have been able to read the abstract because some abstracts are published in abstract journals or online databases. This highlights the need to provide the essential features of your work in your own abstract. Some journals ask you to provide keywords which, when accepted, are stored electronically along with titles and abstracts. This is very useful, because you probably remember using keywords, which you typed in the database, for the literature search you undertook for your topic and this was followed by a printout of titles of articles appearing on the computer screen containing those keywords (which are often highlighted). So you can see that it is vital that your keywords reflect what your paper contains so that others can retrieve information from it and subsequently retrieve your paper for reading. Introduction This section should contain: the background to the area under discussion; a critical discussion of the literature; identification of the research problem; an explanation of the theoretical/conceptual framework (if appropriate); the aims and objectives/hypothesis of study. Methods Your methods section should include: an explanation and justification of the research paradigm that you used; the rationale for your sampling approach, a description of the study setting and how you selected the participants; a justification of your data collection strategies; the identification of the main study variables; a description of the intervention that you use (if applicable); all ethical considerations related to your research study; a discussion of the issues that relate to the validity and reliability of your study (if applicable); a discussion of the issues that relate to the trustworthiness and rig our of the study (if applicable); a justification of the data analysis techniques that you employed. Results This section should include all the relevant points in this list: a clear and coherent presentation of all the relevant data; a report on response rates (if applicable); all numerical data presented in tables, figures and other graphical representation must be clearly and adequately labelled (if applicable); all verbal data clearly and simply described and accurately interpreted (if applicable); strict anonymity of participants; a description of the participants (making sure that you maintain their anonymity); interpretation of the results that are consistent with the results. Discussion The discussion section allows you the freedom to interpret the study. It should examine critically: key findings of the research in relation to the research questions and the literature discussed in the review and any literature subsequently found to be relevant, analysing similarities and differences between your findings and those in the literature; methodological issues, including strengths, limitations and issues relating to rigour. Conclusions These will cover: the extent to which the research aims and objectives have been addressed; the implications, significance and recommendations of the study for professional practice, management or education; suggestions for further research. Acknowledgements This section is reserved for those whom you may wish to thank for their support, for example, funding bodies, sponsors, participants in the research or critical readers who guided you during the writing process. References All references must accord to the journal’s house style. Issues associated with healthcare professionals and publication There is an increasing expectation that healthcare professionals will disseminate their work and so contribute to improving practice and patient care, as well as forming an increasingly important part of their professional development. Nelms (2004) considers that writing for publication is essential to the advancement of the nursing profession (and other healthcare professionals), whilst Paul (2002) sees that a body of researched and evidence-based knowledge is the key to a developing academic profession. However, writing for publication is a skill and requires time. Unfortunately, many healthcare professionals may not have these qualities or may not have had any formal training in academic writing (Murray&Moore 2006). Other barriers to writing include: lack of confidence in their skills and in their research; fear of rejection – by the journal initially, but also by peers, who may be critical of their paper once it is published; a lack of understanding about the writing process and procedures; too many other commitments. However, writing and getting a paper published is a rewarding exercise. Service redesign as a result of government policy (Department of Health 2006a, 2006b, 2008) offers opportunities for healthcare professionals to communicate and disseminate new ways of working (Offredy et al. 2008), which may then be used to revise and improve patient care. Publication has other advantages, such as informing clinical intervention and assisting in the journey to ensure that healthcare theory is applied to practice, so further increasing the research and evidence base of clinical and academic practice (Clarke 2000). Nonetheless, you should be aware of some of the pitfalls of submitting typescripts which result in rejection (Perneger&Hudelson 2004, Morse 2007), many of which are avoidable. These are summarised in Table 10.1 . It should be noted that the reasons for accepting a typescript do not mirror the reasons for rejecting them. Morse (2007: 1164) sums up acceptance of an article in one word: that they are ‘strong’. She explains that this means that: The article is balanced. The article uses adequate quotations to illustrate or convince of the rigour of the paper. Table 10.1 Reasons for rejection of submitted typescripts. • The paper does not contribute any new thinking to the literature. • Inaccurate, incomplete or outdated literature. • The research question is not specified. • There is an imbalance in the amount of information presented in each of the sections of the paper. • The structure of the paper is incoherent (e.g. methods are described in the Results section). • Inadequate or insufficient description/discussion of methods, instruments and intervention. • Results do not relate to the main research question. • The paper does not follow the journal’s instructions to authors. • The paper exceeds the journal’s word limit. • Key arguments are unsupported by appropriate references. • Quotations have not been attributed. • The discussion does not answer the research question. • The discussion and conclusions speculate beyond what has been shown in the paper. • There are missing data (e.g. drop-outs, non-responders), for which there is no account. • Ethical violations. • The paper is poorly written (e.g. poor English grammar, style and syntax). • Plagiarism (i.e. using others’ work and passing it off as your own) is suspected. (adapted from Bordage 2001 , Perneger&Hudelson 2004, Morse 2007 ). The discussion explains the contribution of the research to the topic area, that is, the researchers/authors are stating their claim to knowledge. The article discusses the strengths and weaknesses of the study. In other words, typescripts are accepted because of their contribution and relevance to the field to which they relate, for the excellence of the writing and for the quality of the study design and analysis (Bordage 2001). Summary This section has discussed a number of important points you should consider when thinking about writing for publication. It has also demonstrated that some of the common errors resulting in rejection can be avoided if attention is paid to the journal’s specific requirements. The section has concluded by highlighting that the task of writing and getting published is rewarding as well as contributing to the evidence base of practice. However, in terms of your research proposal, it is enough to say, regarding publication, something along the lines of ‘dissemination will be through the writing of papers for peer-reviewed journals within the sphere of the subject matter of the research study’. Scenario 1

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17 Research Proposal Examples

A research proposal systematically and transparently outlines a proposed research project.

The purpose of a research proposal is to demonstrate a project’s viability and the researcher’s preparedness to conduct an academic study. It serves as a roadmap for the researcher.

The process holds value both externally (for accountability purposes and often as a requirement for a grant application) and intrinsic value (for helping the researcher to clarify the mechanics, purpose, and potential signficance of the study).

Key sections of a research proposal include: the title, abstract, introduction, literature review, research design and methods, timeline, budget, outcomes and implications, references, and appendix. Each is briefly explained below.

Watch my Guide: How to Write a Research Proposal

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Research Proposal Sample Structure

Title: The title should present a concise and descriptive statement that clearly conveys the core idea of the research projects. Make it as specific as possible. The reader should immediately be able to grasp the core idea of the intended research project. Often, the title is left too vague and does not help give an understanding of what exactly the study looks at.

Abstract: Abstracts are usually around 250-300 words and provide an overview of what is to follow – including the research problem , objectives, methods, expected outcomes, and significance of the study. Use it as a roadmap and ensure that, if the abstract is the only thing someone reads, they’ll get a good fly-by of what will be discussed in the peice.

Introduction: Introductions are all about contextualization. They often set the background information with a statement of the problem. At the end of the introduction, the reader should understand what the rationale for the study truly is. I like to see the research questions or hypotheses included in the introduction and I like to get a good understanding of what the significance of the research will be. It’s often easiest to write the introduction last

Literature Review: The literature review dives deep into the existing literature on the topic, demosntrating your thorough understanding of the existing literature including themes, strengths, weaknesses, and gaps in the literature. It serves both to demonstrate your knowledge of the field and, to demonstrate how the proposed study will fit alongside the literature on the topic. A good literature review concludes by clearly demonstrating how your research will contribute something new and innovative to the conversation in the literature.

Research Design and Methods: This section needs to clearly demonstrate how the data will be gathered and analyzed in a systematic and academically sound manner. Here, you need to demonstrate that the conclusions of your research will be both valid and reliable. Common points discussed in the research design and methods section include highlighting the research paradigm, methodologies, intended population or sample to be studied, data collection techniques, and data analysis procedures . Toward the end of this section, you are encouraged to also address ethical considerations and limitations of the research process , but also to explain why you chose your research design and how you are mitigating the identified risks and limitations.

Timeline: Provide an outline of the anticipated timeline for the study. Break it down into its various stages (including data collection, data analysis, and report writing). The goal of this section is firstly to establish a reasonable breakdown of steps for you to follow and secondly to demonstrate to the assessors that your project is practicable and feasible.

Budget: Estimate the costs associated with the research project and include evidence for your estimations. Typical costs include staffing costs, equipment, travel, and data collection tools. When applying for a scholarship, the budget should demonstrate that you are being responsible with your expensive and that your funding application is reasonable.

Expected Outcomes and Implications: A discussion of the anticipated findings or results of the research, as well as the potential contributions to the existing knowledge, theory, or practice in the field. This section should also address the potential impact of the research on relevant stakeholders and any broader implications for policy or practice.

References: A complete list of all the sources cited in the research proposal, formatted according to the required citation style. This demonstrates the researcher’s familiarity with the relevant literature and ensures proper attribution of ideas and information.

Appendices (if applicable): Any additional materials, such as questionnaires, interview guides, or consent forms, that provide further information or support for the research proposal. These materials should be included as appendices at the end of the document.

Research Proposal Examples

Research proposals often extend anywhere between 2,000 and 15,000 words in length. The following snippets are samples designed to briefly demonstrate what might be discussed in each section.

1. Education Studies Research Proposals

See some real sample pieces:

• Assessment of the perceptions of teachers towards a new grading system
• Does ICT use in secondary classrooms help or hinder student learning?
• Digital technologies in focus project
• Urban Middle School Teachers’ Experiences of the Implementation of
• Restorative Justice Practices
• Experiences of students of color in service learning

Consider this hypothetical education research proposal:

The Impact of Game-Based Learning on Student Engagement and Academic Performance in Middle School Mathematics

Abstract: The proposed study will explore multiplayer game-based learning techniques in middle school mathematics curricula and their effects on student engagement. The study aims to contribute to the current literature on game-based learning by examining the effects of multiplayer gaming in learning.

Introduction: Digital game-based learning has long been shunned within mathematics education for fears that it may distract students or lower the academic integrity of the classrooms. However, there is emerging evidence that digital games in math have emerging benefits not only for engagement but also academic skill development. Contributing to this discourse, this study seeks to explore the potential benefits of multiplayer digital game-based learning by examining its impact on middle school students’ engagement and academic performance in a mathematics class.

Literature Review: The literature review has identified gaps in the current knowledge, namely, while game-based learning has been extensively explored, the role of multiplayer games in supporting learning has not been studied.

Research Design and Methods: This study will employ a mixed-methods research design based upon action research in the classroom. A quasi-experimental pre-test/post-test control group design will first be used to compare the academic performance and engagement of middle school students exposed to game-based learning techniques with those in a control group receiving instruction without the aid of technology. Students will also be observed and interviewed in regard to the effect of communication and collaboration during gameplay on their learning.

Timeline: The study will take place across the second term of the school year with a pre-test taking place on the first day of the term and the post-test taking place on Wednesday in Week 10.

Budget: The key budgetary requirements will be the technologies required, including the subscription cost for the identified games and computers.

Expected Outcomes and Implications: It is expected that the findings will contribute to the current literature on game-based learning and inform educational practices, providing educators and policymakers with insights into how to better support student achievement in mathematics.

2. Psychology Research Proposals

See some real examples:

• A situational analysis of shared leadership in a self-managing team
• The effect of musical preference on running performance
• Relationship between self-esteem and disordered eating amongst adolescent females

Consider this hypothetical psychology research proposal:

The Effects of Mindfulness-Based Interventions on Stress Reduction in College Students

Abstract: This research proposal examines the impact of mindfulness-based interventions on stress reduction among college students, using a pre-test/post-test experimental design with both quantitative and qualitative data collection methods .

Introduction: College students face heightened stress levels during exam weeks. This can affect both mental health and test performance. This study explores the potential benefits of mindfulness-based interventions such as meditation as a way to mediate stress levels in the weeks leading up to exam time.

Literature Review: Existing research on mindfulness-based meditation has shown the ability for mindfulness to increase metacognition, decrease anxiety levels, and decrease stress. Existing literature has looked at workplace, high school and general college-level applications. This study will contribute to the corpus of literature by exploring the effects of mindfulness directly in the context of exam weeks.

Research Design and Methods: Participants ( n= 234 ) will be randomly assigned to either an experimental group, receiving 5 days per week of 10-minute mindfulness-based interventions, or a control group, receiving no intervention. Data will be collected through self-report questionnaires, measuring stress levels, semi-structured interviews exploring participants’ experiences, and students’ test scores.

Timeline: The study will begin three weeks before the students’ exam week and conclude after each student’s final exam. Data collection will occur at the beginning (pre-test of self-reported stress levels) and end (post-test) of the three weeks.

Expected Outcomes and Implications: The study aims to provide evidence supporting the effectiveness of mindfulness-based interventions in reducing stress among college students in the lead up to exams, with potential implications for mental health support and stress management programs on college campuses.

3. Sociology Research Proposals

• Understanding emerging social movements: A case study of ‘Jersey in Transition’
• The interaction of health, education and employment in Western China
• Can we preserve lower-income affordable neighbourhoods in the face of rising costs?

Consider this hypothetical sociology research proposal:

The Impact of Social Media Usage on Interpersonal Relationships among Young Adults

Abstract: This research proposal investigates the effects of social media usage on interpersonal relationships among young adults, using a longitudinal mixed-methods approach with ongoing semi-structured interviews to collect qualitative data.

Introduction: Social media platforms have become a key medium for the development of interpersonal relationships, particularly for young adults. This study examines the potential positive and negative effects of social media usage on young adults’ relationships and development over time.

Literature Review: A preliminary review of relevant literature has demonstrated that social media usage is central to development of a personal identity and relationships with others with similar subcultural interests. However, it has also been accompanied by data on mental health deline and deteriorating off-screen relationships. The literature is to-date lacking important longitudinal data on these topics.

Research Design and Methods: Participants ( n = 454 ) will be young adults aged 18-24. Ongoing self-report surveys will assess participants’ social media usage, relationship satisfaction, and communication patterns. A subset of participants will be selected for longitudinal in-depth interviews starting at age 18 and continuing for 5 years.

Timeline: The study will be conducted over a period of five years, including recruitment, data collection, analysis, and report writing.

Expected Outcomes and Implications: This study aims to provide insights into the complex relationship between social media usage and interpersonal relationships among young adults, potentially informing social policies and mental health support related to social media use.

4. Nursing Research Proposals

• Does Orthopaedic Pre-assessment clinic prepare the patient for admission to hospital?
• Nurses’ perceptions and experiences of providing psychological care to burns patients
• Registered psychiatric nurse’s practice with mentally ill parents and their children

Consider this hypothetical nursing research proposal:

The Influence of Nurse-Patient Communication on Patient Satisfaction and Health Outcomes following Emergency Cesarians

Abstract: This research will examines the impact of effective nurse-patient communication on patient satisfaction and health outcomes for women following c-sections, utilizing a mixed-methods approach with patient surveys and semi-structured interviews.

Introduction: It has long been known that effective communication between nurses and patients is crucial for quality care. However, additional complications arise following emergency c-sections due to the interaction between new mother’s changing roles and recovery from surgery.

Literature Review: A review of the literature demonstrates the importance of nurse-patient communication, its impact on patient satisfaction, and potential links to health outcomes. However, communication between nurses and new mothers is less examined, and the specific experiences of those who have given birth via emergency c-section are to date unexamined.

Research Design and Methods: Participants will be patients in a hospital setting who have recently had an emergency c-section. A self-report survey will assess their satisfaction with nurse-patient communication and perceived health outcomes. A subset of participants will be selected for in-depth interviews to explore their experiences and perceptions of the communication with their nurses.

Timeline: The study will be conducted over a period of six months, including rolling recruitment, data collection, analysis, and report writing within the hospital.

Expected Outcomes and Implications: This study aims to provide evidence for the significance of nurse-patient communication in supporting new mothers who have had an emergency c-section. Recommendations will be presented for supporting nurses and midwives in improving outcomes for new mothers who had complications during birth.

5. Social Work Research Proposals

• Experiences of negotiating employment and caring responsibilities of fathers post-divorce
• Exploring kinship care in the north region of British Columbia

Consider this hypothetical social work research proposal:

The Role of a Family-Centered Intervention in Preventing Homelessness Among At-Risk Youthin a working-class town in Northern England

Abstract: This research proposal investigates the effectiveness of a family-centered intervention provided by a local council area in preventing homelessness among at-risk youth. This case study will use a mixed-methods approach with program evaluation data and semi-structured interviews to collect quantitative and qualitative data .

Introduction: Homelessness among youth remains a significant social issue. This study aims to assess the effectiveness of family-centered interventions in addressing this problem and identify factors that contribute to successful prevention strategies.

Literature Review: A review of the literature has demonstrated several key factors contributing to youth homelessness including lack of parental support, lack of social support, and low levels of family involvement. It also demonstrates the important role of family-centered interventions in addressing this issue. Drawing on current evidence, this study explores the effectiveness of one such intervention in preventing homelessness among at-risk youth in a working-class town in Northern England.

Research Design and Methods: The study will evaluate a new family-centered intervention program targeting at-risk youth and their families. Quantitative data on program outcomes, including housing stability and family functioning, will be collected through program records and evaluation reports. Semi-structured interviews with program staff, participants, and relevant stakeholders will provide qualitative insights into the factors contributing to program success or failure.

Timeline: The study will be conducted over a period of six months, including recruitment, data collection, analysis, and report writing.

Budget: Expenses include access to program evaluation data, interview materials, data analysis software, and any related travel costs for in-person interviews.

Expected Outcomes and Implications: This study aims to provide evidence for the effectiveness of family-centered interventions in preventing youth homelessness, potentially informing the expansion of or necessary changes to social work practices in Northern England.

Research Proposal Template

Get your Detailed Template for Writing your Research Proposal Here (With AI Prompts!)

This is a template for a 2500-word research proposal. You may find it difficult to squeeze everything into this wordcount, but it’s a common wordcount for Honors and MA-level dissertations.

Your research proposal is where you really get going with your study. I’d strongly recommend working closely with your teacher in developing a research proposal that’s consistent with the requirements and culture of your institution, as in my experience it varies considerably. The above template is from my own courses that walk students through research proposals in a British School of Education.

Chris Drew (PhD)

Dr. Chris Drew is the founder of the Helpful Professor. He holds a PhD in education and has published over 20 articles in scholarly journals. He is the former editor of the Journal of Learning Development in Higher Education. [Image Descriptor: Photo of Chris]

• Chris Drew (PhD) https://helpfulprofessor.com/author/chris-drew-phd/ Social-Emotional Learning (Definition, Examples, Pros & Cons)
• Chris Drew (PhD) https://helpfulprofessor.com/author/chris-drew-phd/ What is Educational Psychology?
• Chris Drew (PhD) https://helpfulprofessor.com/author/chris-drew-phd/ What is IQ? (Intelligence Quotient)
• Chris Drew (PhD) https://helpfulprofessor.com/author/chris-drew-phd/ 5 Top Tips for Succeeding at University

8 thoughts on “17 Research Proposal Examples”

Very excellent research proposals

very helpful

Very helpful

Dear Sir, I need some help to write an educational research proposal. Thank you.

Hi Levi, use the site search bar to ask a question and I’ll likely have a guide already written for your specific question. Thanks for reading!

very good research proposal

Thank you so much sir! ❤️

Very helpful 👌

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Climate-smart agriculture: adoption, impacts, and implications for sustainable development

• Original Article
• Open access
• Published: 29 April 2024
• Volume 29 , article number  44 , ( 2024 )

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• Wanglin Ma   ORCID: orcid.org/0000-0001-7847-8459 1 &
• Dil Bahadur Rahut   ORCID: orcid.org/0000-0002-7505-5271 2  

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The 19 papers included in this special issue examined the factors influencing the adoption of climate-smart agriculture (CSA) practices among smallholder farmers and estimated the impacts of CSA adoption on farm production, income, and well-being. Key findings from this special issue include: (1) the variables, including age, gender, education, risk perception and preferences, access to credit, farm size, production conditions, off-farm income, and labour allocation, have a mixed (either positive or negative) influence on the adoption of CSA practices; (2) the variables, including labour endowment, land tenure security, access to extension services, agricultural training, membership in farmers’ organizations, support from non-governmental organizations, climate conditions, and access to information consistently have a positive impact on CSA adoption; (3) diverse forms of capital (physical, social, human, financial, natural, and institutional), social responsibility awareness, and digital advisory services can effectively promote CSA adoption; (4) the establishment of climate-smart villages and civil-society organizations enhances CSA adoption by improving their access to credit; (5) CSA adoption contributes to improved farm resilience to climate change and mitigation of greenhouse gas emissions; (6) CSA adoption leads to higher crop yields, increased farm income, and greater economic diversification; (7) integrating CSA technologies into traditional agricultural practices not only boosts economic viability but also contributes to environmental sustainability and health benefits; and (8) there is a critical need for international collaboration in transferring technology for CSA. Overall, the findings of this special issue highlight that through targeted interventions and collaborative efforts, CSA can play a pivotal role in achieving food security, poverty alleviation, and climate resilience in farming communities worldwide and contribute to the achievements of the United Nations Sustainable Development Goals.

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1 Introduction

Climate change reduces agricultural productivity and leads to greater instability in crop production, disrupting the global food supply and resulting in food and nutritional insecurity. In particular, climate change adversely affects food production through water shortages, pest outbreaks, and soil degradation, leading to significant crop yield losses and posing significant challenges to global food security (Kang et al. 2009 ; Läderach et al. 2017 ; Arora 2019 ; Zizinga et al. 2022 ; Mirón et al. 2023 ). United Nations reported that the human population will reach 9.7 billion by 2050. In response, food-calorie production will have to expand by 70% to meet the food demand of the growing population (United Nations 2021 ). Hence, it is imperative to advocate for robust mitigation strategies that counteract the negative impacts of climate change and enhance the flexibility and speed of response in smallholder farming systems.

A transformation of the agricultural sector towards climate-resilient practices can help tackle food security and climate change challenges successfully. Climate-smart agriculture (CSA) is an approach that guides farmers’ actions to transform agrifood systems towards building the agricultural sector’s resilience to climate change based on three pillars: increasing farm productivity and incomes, enhancing the resilience of livelihoods and ecosystems, and reducing and removing greenhouse gas emissions from the atmosphere (FAO 2013 ). Promoting the adoption of CSA practices is crucial to improve smallholder farmers’ capacity to adapt to climate change, mitigate its impact, and help achieve the United Nations Sustainable Development Goals.

Realizing the benefits of adopting CSA, governments in different countries and international organizations such as the Consultative Group on International Agricultural Research (CGIAR), the Food and Agriculture Organisation (FAO) of the United Nations, and non-governmental organizations (NGOs) have made great efforts to scale up and out the CSA. For example, climate-smart villages in India (Alam and Sikka 2019 ; Hariharan et al. 2020 ) and civil society organizations in Africa, Asia, and Latin America (Waters-Bayer et al. 2015 ; Brown 2016 ) have been developed to reduce information costs and barriers and bridge the gap in finance access to promote farmers’ adoption of sustainable agricultural practices, including CSA. Besides, agricultural training programs have been used to enhance farmers’ knowledge of CSA and their adoption of the technology in Ghana (Zakaria et al. 2020 ; Martey et al. 2021 ).

As a result, smallholder farmers worldwide have adopted various CSA practices and technologies (e.g., integrated crop systems, drop diversification, inter-cropping, improved pest, water, and nutrient management, improved grassland management, reduced tillage and use of diverse varieties and breeds, restoring degraded lands, and improved the efficiency of input use) to reach the objectives of CSA (Kpadonou et al. 2017 ; Zakaria et al. 2020 ; Khatri-Chhetri et al. 2020 ; Aryal et al. 2020a ; Waaswa et al. 2022 ; Vatsa et al. 2023 ). In the Indian context, technologies such as laser land levelling and the happy seeder have been promoted widely for their potential in climate change adaptation and mitigation, offering benefits in terms of farm profitability, emission reduction, and water and land productivity (Aryal et al. 2020b ; Keil et al. 2021 ). In some African countries such as Tanzania and Kenya, climate-smart feeding practices in the livestock sector have been suggested to tackle challenges in feed quality and availability exacerbated by climate change, aiming to improve livestock productivity and resilience (García de Jalón et al. 2017 ; Shikuku et al. 2017 ; Radeny et al. 2022 ).

Several studies have investigated the factors influencing farmers’ decisions to adopt CSA practices. They have focused on, for example, farmers’ characteristics (e.g., age, gender, and education), farm-level characteristics (e.g., farm size, land fertility, and land tenure security), socioeconomic factors (e.g., economic conditions), institutional factors (e.g., development programs, membership in farmers’ organizations, and access to agricultural training), climate conditions, and access to information (Aryal et al. 2018 ; Tran et al. 2020 ; Zakaria et al. 2020 ; Kangogo et al. 2021 ; Diro et al. 2022 ; Kifle et al. 2022 ; Belay et al. 2023 ; Zhou et al. 2023 ). For example, Aryal et al. ( 2018 ) found that household characteristics (e.g., general caste, education, and migration status), plot characteristics (e.g., tenure of plot, plot size, and soil fertility), distance to market, and major climate risks are major factors determining farmers’ adoption of multiple CSA practices in India. Tran et al. ( 2020 ) reported that age, gender, number of family workers, climate-related factors, farm characteristics, distance to markets, access to climate information, confidence in the know-how of extension workers, membership in social/agricultural groups, and attitude toward risk are the major factors affecting rice farmers’ decisions to adopt CSA technologies in Vietnam. Diro et al.’s ( 2022 ) analysis revealed that coffee growers’ decisions to adopt CSA practices are determined by their education, extension (access to extension services and participation on field days), and ownership of communication devices, specifically radio in Ethiopia. Zhou et al. 2023 ) found that cooperative membership significantly increases the adoption of climate-smart agricultural practices among banana-producing farmers in China. These studies provide significant insights regarding the factors influencing farmers’ decisions regarding CSA adoption.

A growing body of studies have also estimated the effects of CSA adoption. They have found that CSA practices enhance food security and dietary diversity by increasing crop yields and rural incomes (Amadu et al. 2020 ; Akter et al. 2022 ; Santalucia 2023 ; Tabe-Ojong et al. 2023 ; Vatsa et al. 2023 ; Omotoso and Omotayo 2024 ). For example, Akter et al. ( 2022 ) found that adoption of CSA practices was positively associated with rice, wheat, and maize yields and household income, contributing to household food security in Bangladesh. By estimating data from rice farmers in China, Vatsa et al. ( 2023 ) reported that intensifying the adoption of climate-smart agricultural practices improved rice yield by 94 kg/mu and contributed to food security. Santalucia ( 2023 ) and Omotoso and Omotayo ( 2024 ) found that adoption of CSA practices (improved maize varieties and maize-legume intercropping) increases household dietary diversity and food security among smallholders in Tanzania and Nigeria, respectively.

Agriculture is crucial in climate change, accounting for roughly 20% of worldwide greenhouse gas (GHG) emissions. Additionally, it is responsible for approximately 45% of the global emissions of methane, a potent gas that significantly contributes to heat absorption in the atmosphere. CSA adoption improves farm resilience to climate variability (e.g., Makate et al. 2019 ; Jamil et al. 2021 ) and mitigates greenhouse gas emissions (Israel et al. 2020 ; McNunn et al. 2020 ). For example, Makate et al. ( 2019 ) for southern Africa and Jamil et al. ( 2021 ) for Pakistan found that promoting CSA innovations is crucial for boosting farmers’ resilience to climate change. McNunn et al. ( 2020 ) reported that CSA adoption significantly reduces greenhouse gas emissions from agriculture by increasing soil organic carbon stocks and decreasing nitrous oxide emissions.

Although a growing number of studies have enriched our understanding of the determinants and impacts of ICT adoption, it should be emphasized that no one-size-fits-all approach exists for CSA technology adoption due to geographical and environmental variability. The definitions of CSA should also be advanced to better adapt to changing climate and regional production conditions. Clearly, despite the extensive research on CSA, several gaps remain. First, there is a lack of comprehensive studies that consolidate findings across different geographical regions to inform policymaking effectively. The calls for studies on literature review and meta-analysis to synthesize the findings of the existing studies to make our understanding generalized. Second, although the literature on determinants of CSA adoption is becoming rich, there is a lack of understanding of how CSA adoption is influenced by different forms of capital, social responsibility awareness of farmers’ cultivating family farms, and digital advisory services. Third, there is a lack of understanding of how climate-smart villages and civil society organizations address farmers’ financial constraints and encourage them to adopt modern sustainable agricultural practices, including CSA practices. Fourth, very few studies have explored how CSA adoption influences the benefit–cost ratio of farm production, factor demand, and input substitution. Fifth, no previous studies have reported the progress of research on CSA. Addressing these gaps is crucial for designing and implementing effective policies and programs that support the widespread adoption of CSA practices, thereby contributing to sustainable agricultural development and climate resilience.

We address the research gaps mentioned above and extend the findings in previous studies by organizing a Special Issue on “Climate-Smart Agriculture: Adoption, Impacts, and Implications for Sustainable Development” in the Mitigation and Adaptation Strategies for Global Change (MASGC) journal. We aim to collect high-quality theoretical and applied research papers discussing CSA and seek to comprehensively understand the associations between CSA and sustainable rural and agricultural development. To achieve this goal, we aim to find answers to these questions: What are the CSA practices and technologies (either single or multiple) that are currently adopted in smallholder farming systems? What are the key barriers, challenges, and drivers of promoting CSA practices? What are the impacts of adopting these practices? Answers to these questions will help devise appropriate solutions for promoting sustainable agricultural production and rural development. They will also provide insights for policymakers to design appropriate policy instruments to develop agricultural practices and technologies and promote them to sustainably enhance the farm sector’s resilience to climate change and increase productivity.

Finally, 19 papers were selected after a rigorous peer-review process and published in this special issue. We collected 10 papers investigating the determinants of CSA adoption. Among them, four papers investigated the determinants of CSA adoption among smallholders by reviewing and summarizing the findings in the literature and conducting a meta-analysis. Three papers explored the role of social-economic factors on ICT adoption, including capital, social responsibility awareness, and digital advisory services. Besides, three papers examined the associations between external development interventions, including climate-smart villages and civil-society initiatives, and CSA adoption. We collected eight papers exploring the impacts of CSA adoption. Among them, one paper conducted a comprehensive literature review to summarize the impacts of CSA adoption on crop yields, farm income, and environmental sustainability. Six papers estimated the impacts of CSA adoption on crop yields and farm income, and one paper focused on the impact of CSA adoption on factor demand and input substitution. The last paper included in this special issue delved into the advancements in technological innovation for agricultural adaptation within the context of climate-smart agriculture.

The structure of this paper is as follows: Section  2 summarizes the papers received in this special issue. Section  3 introduces the international conference that was purposely organized for the special issue. Section  4 summarizes the key findings of the 19 papers published in the special issue, followed by a summary of their policy implications, presented in Section  5 . The final section provides a brief conclusion.

2 Summary of received manuscripts

The special issue received 77 submissions, with the contributing authors hailing from 22 countries, as illustrated in Fig.  1 . This diversity highlights the global interest and wide-ranging contributions to the issue. Notably, over half of these submissions (53.2%) originated from corresponding authors in India and China, with 29 and 12 manuscripts, respectively. New Zealand authors contributed six manuscripts, while their Australian counterparts submitted four. Following closely, authors from the United Kingdom and Kenya each submitted three manuscripts. Authors from Thailand, Pakistan, Japan, and Germany submitted two manuscripts each. The remaining 12 manuscripts came from authors in Vietnam, Uzbekistan, the Philippines, Nigeria, the Netherlands, Malaysia, Italy, Indonesia, Ghana, Ethiopia, Brazil, and Bangladesh.

Distributions of 77 received manuscripts by corresponding authors' countries

Among the 77 received manuscripts, 30 were desk-rejected by the guest editors because they did not meet the aims and scope of the special issue, and the remaining 47, considered candidate papers for the special issue, were sent for external review. The decision on each manuscript was made based on review reports of 2–4 experts in this field. The guest editors also read and commented on each manuscript before they made decisions.

3 ADBI virtual international conference

3.1 selected presentations.

The guest editors from Lincoln University (New Zealand) and the Asian Development Bank Institute (ADBI) (Tokyo, Japan) organized a virtual international conference on the special issue theme “ Climate-Smart Agriculture: Adoption, Impacts, and Implications for Sustainable Development ”. The conference was organized on 10–11 October 2023 and was supported by the ADBI. Footnote 1 As previously noted, the guest editors curated a selection of 47 manuscripts from the pool of 77 submissions, identifying them as potential candidates for inclusion in the special issue, and sent them out for external review. Given the logistical constraints of orchestrating a two-day conference, the guest editors ultimately extended invitations to 20 corresponding authors. These authors were invited to present their work at the virtual international conference.

Figure  2 illustrates the native countries of the presenters, showing that the presenters were from 10 different countries. Most of the presenters were from India, accounting for 40% of the presenters. This is followed by China, where the four presenters were originally from. The conference presentations and discussions proved immensely beneficial, fostering knowledge exchange among presenters, discussants, and participants. It significantly allowed presenters to refine their manuscripts, leveraging the constructive feedback from discussants and fellow attendees.

Distributions of selected presentations by corresponding authors' countries

3.2 Keynote speeches

The guest editors invited two keynote speakers to present at the two-day conference. They were Prof. Edward B. Barbier from the Colorado State University in the United States Footnote 2 and Prof. Tatsuyoshi Saijo from Kyoto University of Advanced Science in Japan. Footnote 3

Prof. Edward Barbier gave a speech, “ A Policy Strategy for Climate-Smart Agriculture for Sustainable Rural Development ”, on 10th October 2023. He outlined a strategic approach for integrating CSA into sustainable rural development, particularly within emerging markets and developing economies. He emphasized the necessity of CSA and nature-based solutions (NbS) to tackle food security, climate change, and rural poverty simultaneously. Highlighting the substantial investment needs and the significant role of international and domestic financing, Prof. Barbier advocated reducing harmful subsidies in agriculture, forestry, fishing, and fossil fuel consumption to redirect funds toward CSA and NbS investments. He also proposed the implementation of a tropical carbon tax as an innovative financing mechanism. By focusing on recycling environmentally harmful subsidies and leveraging additional funding through public and private investments, Prof. Barbier’s strategy aims to foster a “win–win” scenario for climate action and sustainable development, underscoring the urgency of adopting comprehensive policies to mobilize the necessary resources for these critical investments.

Prof. Tatsuyoshi Saijo, gave his speech, “ Future Design ”, on 11th October 2023. He explored the significant impact of the Haber–Bosch process on human civilization and the environment. Prof. Saijo identifies this process, which synthetically fixed nitrogen from the atmosphere to create ammonia for fertilizers and other products, as the greatest invention from the twentieth century to the present, fundamentally transforming the world’s food production and enabling the global population and industrial activities to expand dramatically. He also discussed the environmental costs of this technological advancement, including increased greenhouse gas emissions, pollution, and contribution to climate change. Prof. Saijo then introduced the concept of “Future Design” as a method to envision and implement sustainable social systems that consider the well-being of future generations. He presented various experiments and case studies from Japan and beyond, showing how incorporating perspectives of imaginary future generations into decision-making processes can lead to more sustainable choices. By doing so, Prof. Saijo suggested that humanity can address the “Intergenerational Sustainability Dilemma” and potentially avoid the ecological overshoot and collapse faced by past civilizations like Easter Island. He called for a redesign of social systems to activate “futurability”, where individuals derive happiness from decisions that benefit future generations, ultimately aiming to ensure the long-term survival of humankind amidst environmental challenges.

4 Summary of published articles

As a result of a rigorous double-anonymized reviewing process, the special issue accepted 19 articles for publication. These studies have investigated the determinants and impacts of CSA adoption. Table 1 in the Appendix summarises the CSA technologies and practices considered in each paper. Below, we summarize the key findings of the contributions based on their research themes.

4.1 Determinants of CSA adoption among smallholders

4.1.1 influencing factors of csa adoption from literature review.

Investigating the factors influencing farmers’ adoption of CSA practices through a literature review helps offer a comprehensive understanding of the multifaceted determinants of CSA adoption. Investigating the factors influencing farmers’ adoption of CSA practices through a literature review helps provide a comprehensive understanding of the determinants of CSA adoption. Such analyses help identify consistent trends and divergences in how different variables influence farmers’ CSA adoption decisions. In this special issue, we collected four papers that reviewed the literature and synthesized the factors influencing farmers’ decisions to adopt CSA.

Li, Ma and Zhu’s paper, “ A systematic literature review of factors influencing the adoption of climate-smart agricultural practices ”, conducted a systematic review of the literature on the adoption of CSA, summarizing the definitions of CSA practices and the factors that influence farmers’ decisions to adopt these practices. The authors reviewed 190 studies published between 2013 and 2023. They broadly defined CSA practices as “agricultural production-related and unrelated practices that can help adapt to climate change and increase agricultural outputs”. Narrowly, they defined CSA practices as “agricultural production-related practices that can effectively adapt agriculture to climate change and reinforce agricultural production capacity”. The review identified that many factors, including age, gender, education, risk perception, preferences, access to credit, farm size, production conditions, off-farm income, and labour allocation, have a mixed (positive or negative) influence on the adoption of CSA practices. Variables such as labour endowment, land tenure security, access to extension services, agricultural training, membership in farmers’ organizations, support from non-governmental organizations (NGOs), climate conditions, and access to information were consistently found to positively influence CSA practice adoption.

Thottadi and Singh’s paper, “ Climate-smart agriculture (CSA) adaptation, adaptation determinants and extension services synergies: A systematic review ””, reviewed 45 articles published between 2011 and 2022 to explore different CAS practices adopted by farmers and the factors determining their adoption. They found that CSA practices adopted by farmers can be categorized into five groups. These included resilient technologies (e.g., early maturing varieties, drought-resistant varieties, and winter ploughing), management strategies (e.g., nutrient management, water management, and pest management), conservation technologies (e.g., vermicomposting and residue management, drip and sprinkler irrigation, and soil conservation), diversification of income security (e.g., mixed farming, livestock, and crop diversification), and risk mitigation strategies (e.g., contingent planning, adjusting plant dates, and crop insurance). They also found that farmers’ decisions to adopt CSA practices are mainly determined by individual characteristics (age, gender, and education), socioeconomic factors (income and wealth), institutional factors (social group, access to credit, crop insurance, distance, land tenure, and rights), behavioural factors (climate perception, farmers’ perception on CSA, Bookkeeping), and factor endowments (family labour, machinery, and land size). The authors emphasized that extension services improved CSA adaptation by reducing information asymmetry.

Naveen, Datta, Behera and Rahut’s paper, “ Climate-Smart Agriculture in South Asia: Exploring Practices, Determinants, and Contribution to Sustainable Development Goals ”, offered a comprehensive systematic review of 78 research papers on CSA practice adoption in South Asia. Their objective was to assess the current implementation of CSA practices and to identify the factors that influence farmers’ decisions to adopt these practices. They identified various CSA practices widely adopted in South Asia, including climate-resilient seeds, zero tillage, water conservation, rescheduling of planting, crop diversification, soil conservation and water harvesting, and agroforestry. They also identified several key factors that collectively drive farmers’ adoption of CSA practices. These included socioeconomic factors (age, education, livestock ownership, size of land holdings, and market access), institutional factors (access to information and communication technology, availability of credit, input subsidies, agricultural training and demonstrations, direct cash transfers, and crop insurance), and climatic factors (notably rising temperatures, floods, droughts, reduced rainfall, and delayed rainfall).

Wang, Wang and Fu’s paper, “ Can social networks facilitate smallholders’ decisions to adopt Climate-smart Agriculture technologies? A three-level meta-analysis ”, explored the influence of social networks on the adoption of CSA technologies by smallholder farmers through a detailed three-level meta-analysis. This analysis encompassed 26 empirical studies, incorporating 150 effect sizes. The authors reported a modest overall effect size of 0.065 between social networks and the decision-making process for CSA technology adoption, with an 85.21% variance observed among the sample effect sizes. They found that over half (55.17%) of this variance was attributed to the differences in outcomes within each study, highlighting the impact of diverse social network types explored across the studies as significant contributors. They did not identify publication bias in this field. Among the three types of social networks (official-advising network, peer-advising network, and kinship and friendship network), kinship and friendship networks are the most effective in facilitating smallholders’ decisions to adopt climate-smart agriculture technologies.

4.1.2 Socioeconomic factors influencing CSA adoption

We collected three papers highlighting the diverse forms of capital, social responsibility awareness, and effectiveness of digital advisory services in promoting CSA in India, China and Ghana. These studies showcase how digital tools can significantly increase the adoption of CSA technologies, how social responsibility can motivate CSA practices and the importance of various forms of capital in CSA strategy adoption.

Sandilya and Goswami’s paper, “ Effect of different forms of capital on the adoption of multiple climate-smart agriculture strategies by smallholder farmers in Assam, India ”, delved into the determinants behind the adoption of CSA strategies by smallholder farmers in Nagaon district, India, a region notably prone to climate adversities. The authors focused on six types of capital: physical, social, human, financial, natural, and institutional. They considered four CSA practices: alternate land use systems, integrated nutrient management, site-specific nutrient management, and crop diversification. Their analyses encompassed a dual approach, combining a quantitative analysis via a multivariate probit model with qualitative insights from focus group discussions. They found that agricultural cooperatives and mobile applications, both forms of social capital, play a significant role in facilitating the adoption of CSA. In contrast, the authors also identified certain barriers to CSA adoption, such as the remoteness of farm plots from all-weather roads (a component of physical capital) and a lack of comprehensive climate change advisories (a component of institutional capital). Furthermore, the authors highlighted the beneficial impact of irrigation availability (a component of physical capital) on embracing alternate land use and crop diversification strategies. Additionally, the application of indigenous technical knowledge (a component of human capital) and the provision of government-supplied seeds (a component of institutional capital) were found to influence the adoption of CSA practices distinctly.

Ye, Zhang, Song and Li’s paper, “ Social Responsibility Awareness and Adoption of Climate-smart Agricultural Practices: Evidence from Food-based Family Farms in China ”, examined whether social responsibility awareness (SRA) can be a driver for the adoption of CSA on family farms in China. Using multiple linear regression and hierarchical regression analyses, the authors analyzed data from 637 family farms in five provinces (Zhejiang, Shandong, Henan, Heilongjiang, and Hebei) in China. They found that SRA positively impacted the adoption of CSA practice. Pro-social motivation and impression management motivation partially and completely mediated the relationship between SRA and the adoption of CSA practices.

Asante, Ma, Prah and Temoso’s paper, “ Promoting the adoption of climate-smart agricultural technologies among maize farmers in Ghana: Using digital advisory services ”, investigated the impacts of digital advisory services (DAS) use on CSA technology adoption and estimated data collected from 3,197 maize farmers in China. The authors used a recursive bivariate probit model to address the self-selection bias issues when farmers use DAS. They found that DAS notably increases the propensity to adopt drought-tolerant seeds, zero tillage, and row planting by 4.6%, 4.2%, and 12.4%, respectively. The average treatment effect on the treated indicated that maize farmers who use DAS are significantly more likely to adopt row planting, zero tillage, and drought-tolerant seeds—by 38.8%, 24.9%, and 47.2%, respectively. Gender differences in DAS impact were observed; male farmers showed a higher likelihood of adopting zero tillage and drought-tolerant seeds by 2.5% and 3.6%, respectively, whereas female farmers exhibited a greater influence on the adoption of row planting, with a 2.4% probability compared to 1.5% for males. Additionally, factors such as age, education, household size, membership in farmer-based organizations, farm size, perceived drought stress, perceived pest and disease incidence, and geographic location were significant determinants in the adoption of CSA technologies.

4.1.3 Climate-smart villages and CSA adoption

Climate-Smart Villages (CSVs) play a pivotal role in promoting CSA by significantly improving farmers’ access to savings and credit, and the adoption of improved agricultural practices among smallholder farmers. CSV interventions demonstrate the power of community-based financial initiatives in enabling investments in CSA technologies. In this special issue, we collected two insightful papers investigating the relationship between CSVs and the adoption of CSA practices, focusing on India and Kenya.

Villalba, Joshi, Daum and Venus’s paper, “ Financing Climate-Smart Agriculture: A Case Study from the Indo-Gangetic Plains ”, investigated the adoption and financing of CSA technologies in India, focusing on two capital-intensive technologies: laser land levelers and happy seeders. Conducted in Karnal, Haryana, within the framework of Climate-Smart-Villages, the authors combined data from a household survey of 120 farmers, interviews, and focus group discussions with stakeholders like banks and cooperatives. The authors found that adoption rates are high, with 77% for laser land levelers and 52% for happy seeders, but ownership is low, indicating a preference for renting from Custom-Hiring Centers. Farmers tended to avoid formal banking channels for financing, opting instead for informal sources like family, savings, and money lenders, due to the immediate access to credit and avoidance of bureaucratic hurdles. The authors suggested that institutional innovations and governmental support could streamline credit access for renting CSA technologies, emphasizing the importance of knowledge transfer, capacity building, and the development of digital tools to inform farmers about financing options. This research highlights the critical role of financing mechanisms in promoting CSA technology adoption among smallholder farmers in climate-vulnerable regions.

Asseldonk, Oostendorp, Recha, Gathiaka, Mulwa, Radeny Wattel and Wesenbeeck’s paper, “ Distributional impact of climate‑smart villages on access to savings and credit and adoption of improved climate‑smart agricultural practices in the Nyando Basin, Kenya ”, investigated the impact of CSV interventions in Kenya on smallholder farmers’ access to savings, credit, and adoption of improved livestock breeds as part of CSA practices. The authors employed a linear probability model to estimate a balanced panel of 118 farm households interviewed across 2017, 2019, and 2020. They found that CSV interventions significantly increased the adoption of improved livestock breeds and membership in savings and credit groups, which further facilitated the adoption of these improved breeds. The findings highlighted that community-based savings and loan initiatives effectively enable farmers to invest in CSA practices. Although there was a sustained positive trend in savings and loans group membership, the adoption of improved livestock did not show a similar sustained increase. Moreover, the introduction of improved breeds initially benefited larger livestock owners more. However, credit availability was found to reduce this inequity in ownership among participants, making the distribution of improved livestock more equitable within CSVs compared to non-CSV areas, thus highlighting the potential of CSV interventions to reduce disparities in access to improved CSA practices.

4.1.4 Civil-society initiatives and CSA adoption

Civil society initiatives are critical in promoting CSA by embedding its principles across diverse agricultural development projects. These initiatives enhance mitigation, adaptation, and food security efforts for smallholder farmers, demonstrating the importance of varied implementation strategies to address the challenges of CSA. We collected one paper investigating how civil society-based development projects in Asia and Africa incorporated CSA principles to benefit smallholder farmers and local communities.

Davila, Jacobs, Nadeem, Kelly and Kurimoto’s paper, “ Finding climate smart agriculture in civil-society initiatives ”, scrutinized the role of international civil society and non-government organizations (NGOs) in embedding CSA principles within agricultural development projects aimed at enhancing mitigation, adaptation, and food security. Through a thematic analysis of documentation from six projects selected on the basis that they represented a range of geographical regions (East Africa, South, and Southeast Asia) and initiated since 2009, the authors assessed how development programs incorporate CSA principles to support smallholder farmers under CSA’s major pillars. They found heterogeneous application of CSA principles across the projects, underscoring a diversity in implementation strategies despite vague definitions and focuses of CSA. The projects variedly contributed to greening and forests, knowledge exchange, market development, policy and institutional engagement, nutrition, carbon and climate action, and gender considerations.

4.2 Impacts of CSA adoption

4.2.1 impacts of csa adoption from literature review.

A comprehensive literature review on the impacts of CSA adoption plays an indispensable role in bridging the gap between theoretical knowledge and practical implementation in the agricultural sector. In this special issue, we collected one paper that comprehensively reviewed the literature on the impacts of CSA adoption from the perspective of the triple win of CSA.

Zheng, Ma and He’s paper, “ Climate-smart agricultural practices for enhanced farm productivity, income, resilience, and Greenhouse gas mitigation: A comprehensive review ”, reviewed 107 articles published between 2013–2023 to distill a broad understanding of the impacts of CSA practices. The review categorized the literature into three critical areas of CSA benefits: (a) the sustainable increase of agricultural productivity and incomes; (b) the adaptation and enhancement of resilience among individuals and agrifood systems to climate change; and (c) the reduction or avoidance of greenhouse gas (GHG) emissions where feasible. The authors found that CSA practices significantly improved farm productivity and incomes and boosted technical and resource use efficiency. Moreover, CSA practices strengthened individual resilience through improved food consumption, dietary diversity, and food security while enhancing agrifood systems’ resilience by mitigating production risks and reducing vulnerability. Additionally, CSA adoption was crucial in lowering Greenhouse gas emissions and fostering carbon sequestration in soils and biomass, contributing to improved soil quality.

4.2.2 Impacts on crop yields and farm income

Understanding the impact of CSA adoption on crop yields and income is crucial for improving agricultural resilience and sustainability. In this special issue, we collected three papers highlighting the transformative potential of CSA practices in boosting crop yields, commercialization, and farm income. One paper focuses on India and the other concentrates on Ghana and Kenya.

Tanti, Jena, Timilsina and Rahut’s paper, “ Enhancing crop yields and farm income through climate-smart agricultural practices in Eastern India ”, examined the impact of CSA practices (crop rotation and integrated soil management practices) on crop yields and incomes. The authors used propensity score matching and the two-stage least square model to control self-selection bias and endogeneity and analyzed data collected from 494 farm households in India. They found that adopting CSA practices increases agricultural income and paddy yield. The crucial factor determining the adoption of CSA practices was the income-enhancing potential to transform subsistence farming into a profoundly ingrained farming culture.

Asante, Ma, Prah and Temoso’s paper, “ Farmers’ adoption of multiple climate-smart agricultural technologies in Ghana: Determinants and impacts on maize yields and net farm income ”, investigated the factors influencing maize growers’ decisions to adopt CSA technologies and estimated the impact of adopting CSA technologies on maize yields and net farm income. They considered three CSA technology types: drought-resistant seeds, row planting, and zero tillage. The authors used the multinomial endogenous switching regression model to estimate the treatment effect of CSA technology adoption and analyze data collected from 3,197 smallholder farmers in Ghana. They found that farmer-based organization membership, education, resource constraints such as lack of land, access to markets, and production shocks such as perceived pest and disease stress and drought are the main factors that drive farmers’ decisions to adopt CSA technologies. They also found that integrating any CSA technology or adopting all three CSA technologies greatly enhances maize yields and net farm income. Adopting all three CSA technologies had the largest impact on maize yields, while adopting row planting and zero tillage had the greatest impact on net farm income.

Mburu, Mburu, Nyikal, Mugera and Ndambi’s paper, “ Assessment of Socioeconomic Determinants and Impacts of Climate-Smart Feeding Practices in the Kenyan Dairy Sector ”, assessed the determinants and impacts of adopting climate-smart feeding practices (fodder and feed concentrates) on yield, milk commercialization, and household income. The authors used multinomial endogenous switching regression to account for self-selection bias arising from observable and unobservable factors and estimated data collected from 665 dairy farmers in Kenya. They found that human and social capital, resource endowment, dairy feeding systems, the source of information about feeding practices, and perceived characteristics were the main factors influencing farmers’ adoption of climate-smart feeding practices. They also found that combining climate-smart feed concentrates and fodder significantly increased milk productivity, output, and dairy income. Climate-smart feed concentrates yielded more benefits regarding dairy milk commercialization and household income than climate-smart fodder.

4.2.3 Impacts on crop yields

Estimating the impacts of CSA adoption on crop yields is crucial for enhancing food security, improving farmers’ resilience to climate change, and guiding policy and investment towards sustainable agricultural development. In this special issue, we collected one paper that provided insights into this field.

Singh, Bisaria, Sinha, Patasaraiya and Sreerag’s paper, “ Developing A Composite Weighted Indicator-based Index for Monitoring and Evaluating Climate-Smart Agriculture in India ”, developed a composite index based on a weighted index to calculate the Climate Smart Score (CSS) at the farm level in India and tested the relationship between computed CSS and farm-level productivity. Through an intensive literature review, the authors selected 34 indicators, which were then grouped into five dimensions for calculating CSS. These dimensions encompassed governance (e.g., land ownership, subsidized fertilizer, and subsidized seeds), farm management practices (mulching, zero tillage farming, and inter-cropping and crop diversification), environment management practices (e.g., not converting forested land into agricultural land and Agroforestry/plantation), energy management (e.g., solar water pump and Biogas digester), and awareness and training (e.g., knowledge of climate-related risk and timely access to weather and agro-advisory). They tested the relationship between CSS and farm productivity using data collected from 315 farmers. They found that improved seeds, direct seeding of rice, crop diversification, zero tillage, agroforestry, crop residue management, integrated nutrient management, and training on these practices were the most popular CSA practices the sampled farmers adopted. In addition, there was a positive association between CSS and paddy, wheat, and maize yields. This finding underscores the beneficial impact of CSA practices on enhancing farm productivity.

4.2.4 Impacts on incomes and benefit–cost ratio

Understanding the income effects of CSA adoption is crucial for assessing its impact on household livelihoods, farm profitability, and income diversity. Quantifying income enhancements would contribute to informed decision-making and investment strategies to improve farming communities’ economic well-being. In this special issue, we collected two papers looking into the effects of CSA adoption on income.

Sang, Chen, Hu and Rahut’s paper, “ Economic benefits of climate-smart agricultural practices: Empirical investigations and policy implications ”, investigated the impact of CSA adoption intensity on household income, net farm income, and income diversity. They used the two-stage residual inclusion model to mitigate the endogeneity of CSA adoption intensity and analyzed the 2020 China Rural Revitalization Survey data. They also used the instrumental-variable-based quantile regression model to investigate the heterogeneous impacts of CSA adoption intensity. The authors found that the education level of the household head and geographical location determine farmers’ adoption intensity of CSAs.CSA practices. The higher levels of CSA adoption were positively and significantly associated with higher household income, net farm income, and income diversity. They also found that while the impact of CSA adoption intensity on household income escalates across selected quantiles, its effect on net farm income diminishes over these quantiles. Additionally, the study reveals that CSA adoption intensity notably enhances income diversity at the 20th quantile only.

Kandulu, Zuo, Wheeler, Dusingizimana and Chagund’s paper, “ Influence of climate-smart technologies on the success of livestock donation programs for smallholder farmers in Rwanda ”, investigated the economic, environmental, and health benefits of integrating CSA technologies —specifically barns and biogas plants—into livestock donation programs in Rwanda. Employing a stochastic benefit–cost analysis from the perspective of the beneficiaries, the authors assessed the net advantages for households that receive heifers under an enhanced program compared to those under the existing scheme. They found that incorporating CSA technologies not only boosts the economic viability of these programs but also significantly increases the resilience and sustainability of smallholder farming systems. More precisely, households equipped with cows and CSA technologies can attain net benefits up to 3.5 times greater than those provided by the current program, with the benefit–cost ratios reaching up to 5. Furthermore, biogas technology reduces deforestation, mitigating greenhouse gas emissions, and lowering the risk of respiratory illnesses, underscoring the multifaceted advantages of integrating such innovations into livestock donation initiatives.

4.2.5 Impacts on factor demand and input substitution

Estimating the impacts of CSA adoption on factor demand and input substitution is key to optimizing resource use, reducing environmental footprints, and ensuring agricultural sustainability by enabling informed decisions on efficient input use and technology adoption. In this field, we collected one paper that enriched our understanding in this field. Understanding the impacts of CSA adoption on factor demand, input substitution, and financing options is crucial for promoting sustainable farming in diverse contexts. In this special issue, we collected one paper comprehensively discussing how CSA adoption impacted factor demand and input substitution.

Kehinde, Shittu, Awe and Ajayi’s paper, “ Effects of Using Climate-Smart Agricultural Practices on Factor Demand and Input Substitution among Smallholder Rice Farmers in Nigeria ”, examined the impacts of agricultural practices with CSA potential (AP-CSAPs) on the demand of labour and other production factors (seed, pesticides, fertilizers, and mechanization) and input substitution. The AP-CSAPs considered in this research included zero/minimum tillage, rotational cropping, green manuring, organic manuring, residue retention, and agroforestry. The authors employed the seemingly unrelated regression method to estimate data collected from 1,500 smallholder rice farmers in Nigeria. The authors found that labour and fertilizer were not easily substitutable in the Nigerian context; increases in the unit price of labour (wage rate) and fertilizer lead to a greater budget allocation towards these inputs. Conversely, a rise in the cost of mechanization services per hectare significantly reduced labour costs while increasing expenditure on pesticides and mechanization services. They also found that most AP-CSAPs were labour-intensive, except for agroforestry, which is labor-neutral. Organic manure and residue retention notably conserved pesticides, whereas zero/minimum tillage practices increased the use of pesticides and fertilizers. Furthermore, the demand for most production factors, except pesticides, was found to be price inelastic, indicating that price changes do not significantly alter the quantity demanded.

4.3 Progress of research on CSA

Understanding the progress of research on CSA is essential for identifying and leveraging technological innovations—like greenhouse advancements, organic fertilizer products, and biotechnological crop improvements—that support sustainable agricultural adaptation. This knowledge enables the integration of nature-based strategies, informs policy, and underscores the importance of international cooperation in overcoming patent and CSA adoption challenges to ensure global food security amidst climate change. We collected one paper in this field.

Tey, Brindal, Darham and Zainalabidin’s paper, “ Adaptation technologies for climate-smart agriculture: A patent network analysis ”, delved into the advancements in technological innovation for agricultural adaptation within the context of CSA by analyzing global patent databases. The authors found that greenhouse technologies have seen a surge in research and development (R&D) efforts, whereas composting technologies have evolved into innovations in organic fertilizer products. Additionally, biotechnology has been a significant focus, aiming to develop crop traits better suited to changing climate conditions. A notable emergence is seen in resource restoration innovations addressing climate challenges. These technologies offer a range of policy options for climate-smart agriculture, from broad strategies to specific operational techniques, and pave the way for integration with nature-based adaptation strategies. However, the widespread adoption and potential impact of these technologies may be hindered by issues related to patent ownership and the path dependency this creates. Despite commercial interests driving the diffusion of innovation, international cooperation is clearly needed to enhance technology transfer.

5 Summary of key policy implications

The collection of 19 papers in this special issue sheds light on the critical aspects of promoting farmers’ adoption of CSA practices, which eventually help enhance agricultural productivity and resilience, reduce greenhouse gas emissions, improve food security and soil health, offer economic benefits to farmers, and contribute to sustainable development and climate change adaptation. We summarize and discuss the policy implications derived from this special issue from the following four aspects:

5.1 Improving CSA adoption through extension services

Extension services help reduce information asymmetry associated with CSA adoption and increase farmers’ awareness of CSA practices’ benefits, costs, and risks while addressing their specific challenges. Therefore, the government should improve farmers’ access to extension services. These services need to be inclusive and customized to meet the gender-specific needs and the diverse requirements of various farming stakeholders. Additionally, fostering partnerships between small and medium enterprises and agricultural extension agents is crucial for enhancing the local availability of CSA technologies. Government-sponsored extension services should prioritize equipping farmers with essential CSA skills, ensuring they are well-prepared to implement these practices. This structured approach will streamline the adoption process and significantly improve the effectiveness of CSA initiatives.

5.2 Facilitating CSA adoption through farmers’ organizations

Farmers’ organizations, such as village cooperatives, farmer groups, and self-help groups, play a pivotal role in facilitating farmers’ CSA adoption and empowering rural women’s adoption through effective information dissemination and the use of agricultural apps. Therefore, the government should facilitate the establishment and development of farmers’ organizations and encourage farmers to join those organizations as members. In particular, the proven positive impacts of farmer-based organizations (FBOs) highlight the importance of fostering collaborations between governments and FBOs. Supporting farmer cooperatives with government financial and technical aid is essential for catalyzing community-driven climate adaptation efforts. Furthermore, the successful use of DAS in promoting CSA adoption underscores the need for government collaboration with farmer groups to expand DAS utilization. This includes overcoming usage barriers and emphasizing DAS’s reliability as a source of climate-smart information. By establishing and expanding digital hubs and demonstration centres in rural areas, farmers can access and experience DAS technologies firsthand, leading to broader adoption and integration into their CSA practices.

5.3 Enhancing CSA adoption through agricultural training and education

Agricultural training and education are essential in enhancing farmers’ adoption of CSA. To effectively extend the reach of CSA practices, the government should prioritize expanding rural ICT infrastructure investments and establish CSA training centres equipped with ICT tools that target key demographics such as women and older people, aiming to bridge the digital adoption gaps. Further efforts should prioritize awareness and training programs to ensure farmers can access weather and agro-advisory services. These programs should promote the use of ICT-based tools through collaborations with technology providers and include regular CSA training and the establishment of demonstration fields that showcase the tangible benefits of CSA practices.

Education plays a vital role in adopting CAPs, suggesting targeted interventions such as comprehensive technical training to assist farmers with limited educational backgrounds in understanding the value of CAPs, ultimately improving their adoption rates. Establishing robust monitoring mechanisms is crucial to maintaining farmer engagement and success in CSA practices. These mechanisms will facilitate the ongoing adoption and evaluation of CSA practices and help educate farmers on the long-term benefits. Centralizing and disseminating information about financial products and subsidies through various channels, including digital platforms tailored to local languages and contexts, is essential. This approach helps educate farmers on financing options and requirements, supporting the adoption of CSA technologies among smallholder farmers. Lastly, integrating traditional and local knowledge with scientific research and development can effectively tailor CSA initiatives. This integration requires the involvement of a range of stakeholders, including NGOs, to navigate the complexities of CSA and ensure that interventions are effective but also equitable and sustainable. The enhanced capacity of institutions and their extension teams will further support these CSA initiatives.

5.4 Promoting CSA adoption through establishing social networks and innovating strategies

The finding that social networks play a crucial role in promoting the adoption of CSA suggests that implementing reward systems to incentivize current CSA adopters to advocate for climate-smart practices within their social circles could be an effective strategy to promote CSA among farmers. The evidence of a significant link between family farms’ awareness of social responsibility and their adoption of CSA highlights that governments should undertake initiatives, such as employing lectures and pamphlets, to enhance family farm operating farmers’ understanding of social responsibility. The government should consider introducing incentives that foster positive behavioural changes among family farms to cultivate a more profound commitment to social responsibility. The government can also consider integrating social responsibility criteria into the family farm awards and recognition evaluation process. These measures would encourage family farms to align their operations with broader social and environmental goals, promoting CSA practices.

Combining traditional incentives, such as higher wages and access to improved agricultural inputs, with innovative strategies like community-driven development for equipment sharing and integrating moral suasion with Payment for Ecosystem Services would foster farmers’ commitment to CSA practices. The finding that technological evolution plays a vital role in shaping adaptation strategies for CSA highlights the necessity for policy instruments that not only leverage modern technologies but also integrate them with traditional, nature-based adaptation strategies, enhancing their capacity to address specific CSA challenges. Policymakers should consider the region’s unique socioeconomic, environmental, and geographical characteristics when promoting CSA, moving away from a one-size-fits-all approach to ensure the adaptability and relevance of CSA practices across different agricultural landscapes. They should foster an environment that encourages the reporting of all research outcomes to develop evidence-based policies that are informed by a balanced view of CSA’s potential benefits and limitations.

Finally, governance is critical in creating an enabling environment for CSA adoption. Policies should support CSA practices and integrate environmental sustainability to enhance productivity and ecosystem health. Development programs must offer financial incentives, establish well-supported voluntary schemes, provide robust training programs, and ensure the wide dissemination of informational tools. These measures are designed to help farmers integrate CAPs into their operations, improving economic and operational sustainability.

6 Concluding remarks

This special issue has provided a wealth of insights into the adoption and impact of CSA practices across various contexts, underscoring the complexity and multifaceted nature of CSA implementation. The 19 papers in this special issue collectively emphasize the importance of understanding local conditions, farmer characteristics, and broader socioeconomic and institutional factors that influence CSA adoption. They highlight the crucial role of extension services, digital advisory services, social responsibility awareness, and diverse forms of capital in facilitating the adoption of CSA practices. Moreover, the findings stress the positive impact of CSA on farm productivity, income diversification, and resilience to climate change while also pointing out the potential for CSA practices to address broader sustainability goals.

Significantly, the discussions underline the need for policy frameworks that are supportive and adaptive, tailored to specific regional and local contexts to promote CSA adoption effectively. Leveraging social networks, enhancing access to financial products and mechanisms, and integrating technological innovations with traditional agricultural practices are vital strategies for scaling CSA adoption. Furthermore, the discussions advocate for a balanced approach that combines economic incentives with moral persuasion and community engagement to foster sustainable agricultural practices.

These comprehensive insights call for concerted efforts from policymakers, researchers, extension agents, and the agricultural community to foster an enabling environment for CSA. Such an environment would support knowledge exchange, financial accessibility, and the adoption of CSA practices that contribute to the resilience and sustainability of agricultural systems in the face of climate change. As CSA continues to evolve, future research should focus on addressing the gaps identified, exploring innovative financing and technology dissemination models, and assessing the long-term impacts of CSA practices on agricultural sustainability and food security. This special issue lays the groundwork for further exploration and implementation of CSA practices, aiming to achieve resilient, productive, and sustainable agricultural systems worldwide and contribute to the achievements of the United Nations Sustainable Development Goals.

Data availability

No new data were created or analyzed during this study. Data sharing is not applicable to this article.

The conference agenda, biographies of the speakers, and conference recordings are available at the ADBI website: https://www.adb.org/news/events/climate-smart-agriculture-adoption-impacts-and-implications-for-sustainable-development .

Profile of Prof. Edward B. Barbie: http://www.edwardbbarbier.com/ .

Google Scholar of Prof. Tatsuyoshi Saijo: https://scholar.google.co.nz/citations?user=ju72inUAAAAJ&hl=en&oi=ao .

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Acknowledgements

We want to thank all the authors who have submitted papers for the special issue and the reviewers who reviewed manuscripts on time. We acknowledge the Asian Development Bank Institute (ADBI) for supporting the virtual international conference on “ Climate-smart Agriculture: Adoption, Impacts, and Implications for Sustainable Development ” held on 10-11 October 2023. Special thanks to the invited keynote speakers, Prof. Edward Barbier and Prof. Tatsuyoshi Saijo. Finally, we would like to express our thanks, gratitude, and appreciation to the session chairs (Prof. Anita Wreford, Prof. Jianjun Tang, Prof. Alan Renwick, and Assoc. Prof. Sukanya Das), ADBI supporting team (Panharoth Chhay, Mami Nomoto, Mami Yoshida, and Raja Rajendra Timilsina), and discussants who made substantial contributions to the conference.

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Dil Bahadur Rahut

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Ma, W., Rahut, D.B. Climate-smart agriculture: adoption, impacts, and implications for sustainable development. Mitig Adapt Strateg Glob Change 29 , 44 (2024). https://doi.org/10.1007/s11027-024-10139-z

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Received : 08 April 2024

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DOI : https://doi.org/10.1007/s11027-024-10139-z

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