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How To Write A Research Proposal – Step-by-Step [Template]

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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 Udemy Course, Research Proposal Bootcamp . If you want to work smart, you don't want to miss this .

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51 Comments

I truly enjoyed this video, as it was eye-opening to what I have to do in the preparation of preparing a Research proposal.

I would be interested in getting some coaching.

I real appreciate on your elaboration on how to develop research proposal,the video explains each steps clearly.

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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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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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Blog Education

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

By Danesh Ramuthi , Nov 29, 2023

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

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

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

What to include in a research proposal?

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

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

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

How to format a research proposal?

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

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

How to write a research proposal in 11 steps?

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

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

Step 1: title and abstract.

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

Step 2: Introduction

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

Step 3: Research objectives

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

Step 4: Literature review

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

Step 5: Methodology

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

Step 6: Timeline

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

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

Step 7: Resources

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

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

Step 8: Ethical considerations

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

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

Step 9: Expected outcomes and significance

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

Step 10: References

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

Step 11: Appendices

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

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

Research proposal FAQs

1. how long should a research proposal be.

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

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

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

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

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

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

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

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

Want to create or adapt books like this? Learn more about how Pressbooks supports open publishing practices.

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.

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Components of a research proposal.

In general, the proposal components include:

Introduction: Provides reader with a broad overview of problem in context.

Statement of problem: Answers the question, “What research problem are you going to investigate?”

Literature review: Shows how your approach builds on existing research; helps you identify methodological and design issues in studies similar to your own; introduces you to measurement tools others have used effectively; helps you interpret findings; and ties results of your work to those who’ve preceded you.

Research design and methods: Describes how you’ll go about answering your research questions and confirming your hypothesis(es). Lists the hypothesis(es) to be tested, or states research question you’ll ask to seek a solution to your research problem. Include as much detail as possible: measurement instruments and procedures, subjects and sample size.

The research design is what you’ll also need to submit for approval from the Institutional Review Board (IRB) or the Institutional Animal Care and Use Committee (IACUC) if your research involves human or animal subjects, respectively.

Timeline: Breaks your project into small, easily doable steps via backwards calendar.

How to Write a PhD Research Proposal

• Applying to a PhD
• A research proposal summarises your intended research.
• Your research proposal is used to confirm you understand the topic, and that the university has the expertise to support your study.
• The length of a research proposal varies. It is usually specified by either the programme requirements or the supervisor upon request. 1500 to 3500 words is common.
• The typical research proposal structure consists of: Title, Abstract, Background and Rationale, Research Aims and Objectives, Research Design and Methodology, Timetable, and a Bibliography.

What is a Research Proposal?

A research proposal is a supporting document that may be required when applying to a research degree. It summarises your intended research by outlining what your research questions are, why they’re important to your field and what knowledge gaps surround your topic. It also outlines your research in terms of your aims, methods and proposed timetable .

What Is It Used for and Why Is It Important?

A research proposal will be used to:

• Confirm whether you understand the topic and can communicate complex ideas.
• Confirm whether the university has adequate expertise to support you in your research topic.
• Apply for funding or research grants to external bodies.

How Long Should a PhD Research Proposal Be?

Some universities will specify a word count all students will need to adhere to. You will typically find these in the description of the PhD listing. If they haven’t stated a word count limit, you should contact the potential supervisor to clarify whether there are any requirements. If not, aim for 1500 to 3500 words (3 to 7 pages).

Your title should indicate clearly what your research question is. It needs to be simple and to the point; if the reader needs to read further into your proposal to understand your question, your working title isn’t clear enough.

Directly below your title, state the topic your research question relates to. Whether you include this information at the top of your proposal or insert a dedicated title page is your choice and will come down to personal preference.

2. Abstract

If your research proposal is over 2000 words, consider providing an abstract. Your abstract should summarise your question, why it’s important to your field and how you intend to answer it; in other words, explain your research context.

Only include crucial information in this section – 250 words should be sufficient to get across your main points.

3. Background & Rationale

First, specify which subject area your research problem falls in. This will help set the context of your study and will help the reader anticipate the direction of your proposed research.

Following this, include a literature review . A literature review summarises the existing knowledge which surrounds your research topic. This should include a discussion of the theories, models and bodies of text which directly relate to your research problem. As well as discussing the information available, discuss those which aren’t. In other words, identify what the current gaps in knowledge are and discuss how this will influence your research. Your aim here is to convince the potential supervisor and funding providers of why your intended research is worth investing time and money into.

Last, discuss the key debates and developments currently at the centre of your research area.

4. Research Aims & Objectives

Identify the aims and objectives of your research. The aims are the problems your project intends to solve; the objectives are the measurable steps and outcomes required to achieve the aim.

In outlining your aims and objectives, you will need to explain why your proposed research is worth exploring. Consider these aspects:

• Will your research solve a problem?
• Will your research address a current gap in knowledge?
• Will your research have any social or practical benefits?

If you fail to address the above questions, it’s unlikely they will accept your proposal – all PhD research projects must show originality and value to be considered.

5. Research Design and Methodology

The following structure is recommended when discussing your research design:

• Sample/Population – Discuss your sample size, target populations, specimen types etc.
• Methods – What research methods have you considered, how did you evaluate them and how did you decide on your chosen one?
• Data Collection – How are you going to collect and validate your data? Are there any limitations?
• Data Analysis – How are you going to interpret your results and obtain a meaningful conclusion from them?
• Ethical Considerations – Are there any potential implications associated with your research approach? This could either be to research participants or to your field as a whole on the outcome of your findings (i.e. if you’re researching a particularly controversial area). How are you going to monitor for these implications and what types of preventive steps will you need to put into place?

6. Timetable

We’ve outlined the various stages of a PhD and the approximate duration of a PhD programme which you can refer to when designing your own research study.

7. Bibliography

Plagiarism is taken seriously across all academic levels, but even more so for doctorates. Therefore, ensure you reference the existing literature you have used in writing your PhD proposal. Besides this, try to adopt the same referencing style as the University you’re applying to uses. You can easily find this information in the PhD Thesis formatting guidelines published on the University’s website.

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Questions & Answers

Here are answers to some of the most common questions we’re asked about the Research Proposal:

Can You Change a Research Proposal?

Yes, your PhD research proposal outlines the start of your project only. It’s well accepted that the direction of your research will develop with time, therefore, you can revise it at later dates.

Can the Potential Supervisor Review My Draft Proposal?

Whether the potential supervisor will review your draft will depend on the individual. However, it is highly advisable that you at least attempt to discuss your draft with them. Even if they can’t review it, they may provide you with useful information regarding their department’s expertise which could help shape your PhD proposal. For example, you may amend your methodology should you come to learn that their laboratory is better equipped for an alternative method.

How Should I Structure and Format My Proposal?

Ensure you follow the same order as the headings given above. This is the most logical structure and will be the order your proposed supervisor will expect.

Most universities don’t provide formatting requirements for research proposals on the basis that they are a supporting document only, however, we recommend that you follow the same format they require for their PhD thesis submissions. This will give your reader familiarity and their guidelines should be readily available on their website.

Last, try to have someone within the same academic field or discipline area to review your proposal. The key is to confirm that they understand the importance of your work and how you intend to execute it. If they don’t, it’s likely a sign you need to rewrite some of your sections to be more coherent.

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How to write a research proposal

Advice and guidance on writing a proposal for a student research project.

Purpose of a Research Proposal

A research proposal should describe what you will investigate, why it is important to the discipline and how you will conduct your research.

Simply put, it is your plan for the research you intend to conduct. All research proposals are designed to persuade someone about how and why your intended project is worthwhile. 

In your proposal you will need to explain and defend your choices. Always think about the exact reasons why you are making specific choices and why they are the best options available to you and your project. 

Your research proposal aims should be centred on: 

• Relevance - You want to convince the reader how and why your research is relevant and significant to your field and how it is original. This is typically done in parts of the introduction and the literature review.
• Context - You should demonstrate that you are familiar with the field, you understand the current state of research on the topic and your ideas have a strong academic basis (i.e., not simply based on your instincts or personal views). This will be the focus of your introduction and literature review. 
• Approach - You need to make a case for your methodology, showing that you have carefully thought about the data, tools and procedures you will need to conduct the research. You need to explicitly defend all of your choices. This will be presented in the research design section. 
• Feasibility - You need to demonstrate clearly that your project is both reasonable and feasible within the practical constraints of the course, timescales, institution or funding. You need to make sure you have the time and access to resources to complete the project in a reasonable period. 

301 Recommends:

Our Research Writing workshop will look at some of the main writing challenges associated with writing a large-scale research project and look at strategies to manage your writing on a day-to-day basis. It will identify ways to plan, organise and map out the structure of your writing to allow you to develop an effective writing schedule and make continuous progress on your dissertation project.

Proposal format

The format of a research proposal varies between fields and levels of study but most proposals should contain at least these elements: introduction, literature review, research design and reference list.

Generally, research proposals can range from 500-1500 words or one to a few pages long. Typically, proposals for larger projects such as a PhD dissertation or funding requests, are longer and much more detailed.

Remember, the goal of your research proposal is to outline clearly and concisely exactly what your research will entail and accomplish, how it will do so and why it is important. If you are writing to a strictly enforced word count, a research proposal can be a great test of your ability to express yourself concisely!

Introduction

The first part of your proposal is the initial pitch for your project, so make sure it succinctly explains what you want to do and why. In other words, this is where you answer the reader’s “so what?” It should typically include: introducing the topic , outlining your problem statement and research question(s) and giving background and context. Some important questions to shape your introduction include: 

• Who has an interest in the topic (e.g. scientists, practitioners, policymakers, particular members of society)?
• How much is already known about the problem and why is it important?
• What is missing from current knowledge and why?
• What new insights will your research contribute?
• Why is this research worth doing?

If your proposal is very long, you might include separate sections with more detailed information on the background and context, problem statement, aims and objectives, and importance of the research.

Literature Review 

It’s important to show that you’re familiar with the most important research on your topic. A strong literature review convinces the reader that your project has a solid foundation in existing knowledge or theory (i.e. how it relates to established research in the field).

Your literature review will also show that you’re not simply repeating what other people have already done or said. This is also where you explain why your research is necessary. You might want to consider some of the following prompts:

• Comparing and contrasting: what are the main theories, methods, debates and controversies?
• Being critical: what are the strengths and weaknesses of different approaches?
• Showing how your research fits in: how will you build on, challenge or synthesise the work of others? 
• Filling a gap in the existing body of research: why is your idea innovative? 

Research design and methods

Following the literature review, it is a good idea to restate your main objectives, bringing the focus back to your own project. The research design/ methodology section should describe the overall approach and practical steps you will take to answer your research questions. You also need to demonstrate the feasibility of the project keeping in mind time and other constraints. 

You should definitely include:

• Qualitative vs quantitative research? Combination? 
• Will you collect original data or work with primary/secondary sources? 
• Is your research design descriptive, correlational or experimental? Something completely different?
• If you are undertaking your own study, when and where will you collect the data? How will you select subjects or sources? Ethics review? Exactly what or who will you study?
• What tools and procedures will you use (e.g. systematic reviews, surveys, interviews, observation, experiments, bibliographic data) to collect your data? 
• What tools/methods will you use to analyse your data? 
• Why are these the best methods to answer your research question(s)? This is where you should justify your choices. 
• How much time will you need to collect the data? 
• How will you gain access to participants and sources?
• Do you foresee any potential obstacles and if so, how will you address them?

Make sure you are not simply compiling a list of methods. Instead, aim to make an argument for why this is the most appropriate, valid and reliable way to approach answering your question. Remember you should always be defending your choices! 

Implications and Contributions to Knowledge

To ensure you finish your proposal on a strong note, it is a good idea to explore and/or emphasise the potential implications of the research. This means: what do you intend to contribute to existing knowledge on the topic?

Although you cannot know the results of your research until you have actually done the work, you should be going into the project with a clear idea of how your work will contribute to your field. This section might even be considered the most critical to your research proposal’s argument because it expresses exactly why your research is necessary. 

You should consider covering at least some of the following topics:

• Ways in which your work can challenge existing theories and assumptions in your field. 
• How your work will create the foundation for future research and theory. 
• The practical value your findings will provide to practitioners, educators and other academics in your field. 
• The problems or issues your work can potentially help to resolve. 
• Policies that could be impacted by your findings. 
• How your findings can be implemented in academia or other settings and how this will improve or otherwise transform these settings. 

This part is not about stating the specific results that you expect to obtain but rather, this is the section where you explicitly state how your findings will be valuable. 

This section is where you want to wrap it all up in a nice pretty bow. It is just like the concluding paragraph that you would structure and craft for a typical essay. You should briefly summarise your research proposal and reinforce your research purpose. 

Reference List or Bibliography

Your research proposal MUST include proper citations for every source you have used and full references. Please consult your departmental referencing styles to ensure you are citing and referencing in an appropriate way. 

Common mistakes to avoid 

Try and avoid these common pitfalls when you are writing your research proposal: 

• Being too wordy: Remember formal does not mean flowery or pretentious. In fact, you should really aim to keep your writing as concise and accessible as possible. The more economically you can express your goals and ideas, the better. 
• Failing to cite relevant information/sources: You are adding to the existing body of knowledge on the subject you are covering. Therefore, your research proposal should reference the main research pieces in your field (while referencing them correctly!) and connect your proposal to these works in some way. This does not mean just communicating the relevance of your work, it should explicitly demonstrate your familiarity with the field. 
• Focusing too much on minor issues: Your research is most likely important for so many great reasons. However, they do not all need to be listed in your research proposal. Generally, including too many questions and issues in your research proposal can serve as a red flag and detract from your main purpose(s). This will in turn weaken your proposal. Only involve the main/key issues you plan to address. 
• Failing to make a strong argument for your research: This is the simplest way to undermine your proposal. Your proposal is a piece of persuasive and critical writing . This means that, although you are presenting your proposal in an academic and hopefully objective manner, the goal is to get the reader to say ‘yes’ to your work. 
• Not polishing your writing : If your proposal has spelling or grammatical errors, an inconsistent or inappropriate tone or even just awkward phrasing it can undermine your credibility. Check out some of these resources to help guide you in the right direction: Manchester Academic Phrasebank , Proofreading Guide , Essay Checklist and Grammar Guide . Remember to double and triple check your work. 

Links and Resources

You might also need to include a schedule and/or a budget depending on your requirements. Some tools to help include: 

• Manchester University Academic Phrasebank
• Leeds Beckett Assignment Calculator
• Calendarpedia

Related information

Dissertation planning

Writing a literature review

Research methods

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Chapter 14: The Research Proposal

14.3 Components of a Research Proposal

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

Introduction

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

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

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

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

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

Background and significance

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

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

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

Literature review

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

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

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

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

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

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

Research design and methods

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

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

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

Tips for writing the research design and methods section:

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

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

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

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

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

Preliminary suppositions and implications

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

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

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

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

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

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

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

Citations and references

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

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

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

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

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How to Write a Successful Research Proposal

A research proposal is essentially a plan for work in order to test a hypothesis or set of hypotheses in order to answer a research question. One of the most important things to bear in mind when drafting a proposal is the fact that authors are required to tailor it to suit the audience. If the document being written is a PhD research proposal, it is imperative that authors follow the guidelines laid out by the university or faculty for this type of document. A PhD research proposal, as an example, will be read by experts in the field. This means that authors will be expected to use jargon specific to their area. If the research proposal forms part of a grant application , authors would have to write it so that reviewers who might not be as familiar with their specialty can easily understand the research problem and why the project should receive funding. A typical research proposal will generally include a title, summary of the aims and expected outcomes, literature review , research methodology, proposed timeline, and references. The characteristics of a good research title all generally focus on catching the reader’s attention.  Again, word limits, formatting, and what is considered essential content will depend on the institution or faculty requirements and should be strictly adhered to.

Writing An Effective Research Proposal

Since the details of what should be in the research proposal will be governed by the institution, the rest of this article will focus on general hints to write a high-quality research proposal.

• Although introduction is the first major section, it is not mandatory that it has to be written first. Authors may find it easier to start writing the research methodology since methods have usually been standardized. Once this is on paper, it will help authors feel accomplished and will no longer be intimidated by a blank page.
• An effective research title should be easily understood by someone who is not a specialist in the field. It should be seen as more of a marketing tool than a demonstration of scientific knowledge. Authors should read the title aloud. Authors should consider if the title is easily understood and if the significance of what they are trying to accomplish clear. The purpose of the title is to pique the interest of the reader; which is why it needs to be concise and easily understood while communicating why this research needs to be done.
• Authors should ensure that the purpose of the research is apparent from the beginning of the document how the study could improve or change lives. If the research is not applied, this will be harder to justify but authors can cite examples of blue skies research that has led to technologies that are in use today. It is fairly well accepted by the research community that both fundamental and applied research projects are necessary. It is critical that anyone who reads the document agrees that the research question needs to be answered.
• Demonstrate competence. Even if we all agree that the PhD research proposal must be executed, the proposal will not be successful without some key elements. One of these elements is demonstrating that the infrastructure is in place to support the execution of the experiments. The team that will be conducting the work is also a critical component of this success. Authors should include evidence of their track record where possible to inspire confidence that they are the person for the job. Where authors lack competence, they may include collaborators with the necessary skills to help answer the research question.
• Authors should never underestimate how getting others to review their proposal can improve it. Often the suggestions will help clarify the document or they may suggest a new angle that has been missed out. Once authors have incorporated any suggestions that were found useful, it would be a good idea to ask a new person to review it before submission. Doing suggested corrections at this stage generally, means there will be fewer problems with the study identified by reviewers.
• Authors must remember that the proposal is not the final thesis. Reviewers expect proposals to change as the study commences. The results obtained may require authors to change direction or add new sections and that is acceptable. The most important thing is that authors continue to use the scientific method to find answers to their stated research question.

Key Points to Remember

These are just some guidelines on writing a research proposal. Writing a successful PhD research proposal means remembering to write for a specific audience and adhering to the format prescribed by the institution. There are a few characteristics of a good research title but the main thing authors need to remember is that the point of the title is to hold the reader’s attention and pique their interest in the rest of the research proposal. Authors should never submit the proposal without having someone else review it and should always feel free to work on whatever section they need to – there is no rule that says it has to be written in its presentation order.

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• What is a Research Proposal?
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Information on Writing a Research Proposal

From the Sage Encyclopedia of Educational Research, Measurement and Evaluation:

Research proposals are written to propose a research project and oftentimes request funding, or sponsorship, for that research. The research proposal is used to assess the originality and quality of ideas and the feasibility of a proposed project. The goal of the research proposal is to convince others that the investigator has (a) an important idea; (b) the skills, knowledge, and resources to carry out the project; and (c) a plan to implement the project on time and within budget. This entry discusses the process of developing a research proposal and the elements of an effective proposal.

For a graduate student, a research proposal may be required to begin the dissertation process. This serves to communicate the research focus to others, such as members of the student’s dissertation committee. It also indicates the investigator’s plan of action, including a level of thoroughness and sufficient detail to replicate the study. The research proposal could also be considered as a contract, once members of the committee agree to the execution of the project.

Requirements may include:  an abstract, introduction, literature review, method section, and conclusion.  A research proposal has to clearly and concisely identify the proposed research and its importance. The background literature should support the need for the research and the potential impact of the findings.

The method section proposes a comprehensive explanation of the research design, including subjects, timeline, and data analysis. Research questions should be identified as well as measurement instruments and methods to answer the research questions. Proposals for research involving human subjects identify how the investigators will protect participants throughout their research project. 

Proposals often require engaging in an external review either by an external evaluator or advisory  board consisting of expert consultants in the field. References are included to provide documentation about the supporting literature identified in the proposal. Appendixes and supplemental materials may also be included, following the sponsoring organization’s guidelines. As a general rule, educational research proposals follow the American Psychological Association formatting guidelines and publishing standards. If funding is being requested, it is important for the proposal to identify how the research will benefit the sponsoring organization and its constituents.

The success of a research proposal depends on both the quality of the project and its presentation. A proposal may have specific goals, but if they are neither realistic nor desirable, the probability of obtaining funding is reduced. Similar to manuscripts being considered for journal articles, reviewers evaluate each research proposal to identify strengths and criticisms based on a general framework and scoring rubric determined by the sponsoring organization. Research proposals that meet the scoring criteria are considered for funding opportunities. If a proposal does not meet the scoring criteria, revisions may be necessary before resubmitting the proposal to the same or a different sponsoring organization.

Common mistakes and pitfalls can often be avoided in research proposal writing through awareness and careful planning. In an effective research proposal, the research idea is clearly stated as a problem and there is an explanation of how the proposed research addresses a demonstrable gap in the current literature. In addition, an effective proposal is well structured, frames the research question(s) within sufficient context supported by the literature, and has a timeline that is appropriate to address the focus and scope of the research project. All requirements of the sponsoring organization, including required project elements and document formatting, need to be met within the research proposal. Finally, an effective proposal is engaging and demonstrates the researcher’s passion and commitment to the research addressed.

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• Starting the research process

A Beginner's Guide to Starting the Research Process

When you have to write a thesis or dissertation , it can be hard to know where to begin, but there are some clear steps you can follow.

The research process often begins with a very broad idea for a topic you’d like to know more about. You do some preliminary research to identify a  problem . After refining your research questions , you can lay out the foundations of your research design , leading to a proposal that outlines your ideas and plans.

This article takes you through the first steps of the research process, helping you narrow down your ideas and build up a strong foundation for your research project.

Table of contents

Step 1: choose your topic, step 2: identify a problem, step 3: formulate research questions, step 4: create a research design, step 5: write a research proposal, other interesting articles.

First you have to come up with some ideas. Your thesis or dissertation topic can start out very broad. Think about the general area or field you’re interested in—maybe you already have specific research interests based on classes you’ve taken, or maybe you had to consider your topic when applying to graduate school and writing a statement of purpose .

Even if you already have a good sense of your topic, you’ll need to read widely to build background knowledge and begin narrowing down your ideas. Conduct an initial literature review to begin gathering relevant sources. As you read, take notes and try to identify problems, questions, debates, contradictions and gaps. Your aim is to narrow down from a broad area of interest to a specific niche.

Make sure to consider the practicalities: the requirements of your programme, the amount of time you have to complete the research, and how difficult it will be to access sources and data on the topic. Before moving onto the next stage, it’s a good idea to discuss the topic with your thesis supervisor.

>>Read more about narrowing down a research topic

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So you’ve settled on a topic and found a niche—but what exactly will your research investigate, and why does it matter? To give your project focus and purpose, you have to define a research problem .

The problem might be a practical issue—for example, a process or practice that isn’t working well, an area of concern in an organization’s performance, or a difficulty faced by a specific group of people in society.

Alternatively, you might choose to investigate a theoretical problem—for example, an underexplored phenomenon or relationship, a contradiction between different models or theories, or an unresolved debate among scholars.

To put the problem in context and set your objectives, you can write a problem statement . This describes who the problem affects, why research is needed, and how your research project will contribute to solving it.

>>Read more about defining a research problem

Next, based on the problem statement, you need to write one or more research questions . These target exactly what you want to find out. They might focus on describing, comparing, evaluating, or explaining the research problem.

A strong research question should be specific enough that you can answer it thoroughly using appropriate qualitative or quantitative research methods. It should also be complex enough to require in-depth investigation, analysis, and argument. Questions that can be answered with “yes/no” or with easily available facts are not complex enough for a thesis or dissertation.

In some types of research, at this stage you might also have to develop a conceptual framework and testable hypotheses .

>>See research question examples

The research design is a practical framework for answering your research questions. It involves making decisions about the type of data you need, the methods you’ll use to collect and analyze it, and the location and timescale of your research.

There are often many possible paths you can take to answering your questions. The decisions you make will partly be based on your priorities. For example, do you want to determine causes and effects, draw generalizable conclusions, or understand the details of a specific context?

You need to decide whether you will use primary or secondary data and qualitative or quantitative methods . You also need to determine the specific tools, procedures, and materials you’ll use to collect and analyze your data, as well as your criteria for selecting participants or sources.

>>Read more about creating a research design

Finally, after completing these steps, you are ready to complete a research proposal . The proposal outlines the context, relevance, purpose, and plan of your research.

As well as outlining the background, problem statement, and research questions, the proposal should also include a literature review that shows how your project will fit into existing work on the topic. The research design section describes your approach and explains exactly what you will do.

You might have to get the proposal approved by your supervisor before you get started, and it will guide the process of writing your thesis or dissertation.

>>Read more about writing a research proposal

If you want to know more about the research process , methodology , research bias , or statistics , make sure to check out some of our other articles with explanations and examples.

Methodology

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 Statistics

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Research bias

• Optimism bias
• Cognitive bias
• Implicit bias
• Hawthorne effect
• Anchoring bias
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How to Write a Research Proposal

As part of the application for admission onto our MJur, MPhil and PhD programmes, you must prepare a research proposal outlining your proposed area of study.

What is a research proposal?

A research proposal is a concise and coherent summary of your proposed research. It sets out the central issues or questions that you intend to address. It outlines the general area of study within which your research falls, referring to the current state of knowledge and any recent debates on the topic. It also demonstrates the originality of your proposed research.

The proposal is the most important document that you submit as part of the application process. It gives you an opportunity to demonstrate that you have the aptitude for graduate level research, for example, by demonstrating that you have the ability to communicate complex ideas clearly, concisely and critically. The proposal also helps us to match your research interest with an appropriate supervisor.

What should you include in the proposal?

Regardless of whether you are applying for the MJur, MPhil or PhD programmes, your research proposal should normally include the following information:

This is just a tentative title for your intended research. You will be able to revise your title during the course of your research if you are accepted for admission.

Examples of the thesis titles of some of our current and recent research students can be seen on our Current Projects page .

2. Abstract

The proposal should include a concise statement of your intended research of no more than 100 words. This may be a couple of sentences setting out the problem that you want to examine or the central question that you wish to address.

3. Research Context

You should explain the broad background against which you will conduct your research. You should include a brief overview of the general area of study within which your proposed research falls, summarising the current state of knowledge and recent debates on the topic. This will allow you to demonstrate a familiarity with the relevant field as well as the ability to communicate clearly and concisely.

4. Research Questions

The proposal should set out the central aims and questions that will guide your research. Before writing your proposal, you should take time to reflect on the key questions that you are seeking to answer. Many research proposals are too broad, so reflecting on your key research questions is a good way to make sure that your project is sufficiently narrow and feasible (i.e. one that is likely to be completed with the normal period for a MJur, MPhil or PhD degree).

You might find it helpful to prioritize one or two main questions, from which you can then derive a number of secondary research questions. The proposal should also explain your intended approach to answering the questions: will your approach be empirical, doctrinal or theoretical etc?

5. Research Methods

The proposal should outline your research methods, explaining how you are going to conduct your research. Your methods may include visiting particular libraries or archives, field work or interviews.

Most research is library-based. If your proposed research is library-based, you should explain where your key resources (e.g. law reports, journal articles) are located (in the Law School’s library, Westlaw etc). If you plan to conduct field work or collect empirical data, you should provide details about this (e.g. if you plan interviews, who will you interview? How many interviews will you conduct? Will there be problems of access?). This section should also explain how you are going to analyse your research findings.

6. Significance of Research

The proposal should demonstrate the originality of your intended research. You should therefore explain why your research is important (for example, by explaining how your research builds on and adds to the current state of knowledge in the field or by setting out reasons why it is timely to research your proposed topic).

7. Bibliography

The proposal should include a short bibliography identifying the most relevant works for your topic.

How long should the proposal be?

The proposal should usually be around 2,500 words. It is important to bear in mind that specific funding bodies might have different word limits.

Can the School comment on my draft proposal?

We recognise that you are likely still developing your research topic. We therefore recommend that you contact a member of our staff with appropriate expertise to discuss your proposed research. If there is a good fit between your proposed research and our research strengths, we will give you advice on a draft of your research proposal before you make a formal application. For details of our staff and there areas of expertise please visit our staff pages . 

Read a sample proposal from a successful application  

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How to prepare a Research Proposal

Health research, medical education and clinical practice form the three pillars of modern day medical practice. As one authority rightly put it: ‘Health research is not a luxury, but an essential need that no nation can afford to ignore’. Health research can and should be pursued by a broad range of people. Even if they do not conduct research themselves, they need to grasp the principles of the scientific method to understand the value and limitations of science and to be able to assess and evaluate results of research before applying them. This review paper aims to highlight the essential concepts to the students and beginning researchers and sensitize and motivate the readers to access the vast literature available on research methodologies.

Most students and beginning researchers do not fully understand what a research proposal means, nor do they understand its importance. 1 A research proposal is a detailed description of a proposed study designed to investigate a given problem. 2

A research proposal is intended to convince others that you have a worthwhile research project and that you have the competence and the work-plan to complete it. Broadly the research proposal must address the following questions regardless of your research area and the methodology you choose: What you plan to accomplish, why do you want to do it and how are you going to do it. 1 The aim of this article is to highlight the essential concepts and not to provide extensive details about this topic.

The elements of a research proposal are highlighted below:

1. Title: It should be concise and descriptive. It must be informative and catchy. An effective title not only prick’s the readers interest, but also predisposes him/her favorably towards the proposal. Often titles are stated in terms of a functional relationship, because such titles clearly indicate the independent and dependent variables. 1 The title may need to be revised after completion of writing of the protocol to reflect more closely the sense of the study. 3

2. Abstract: It is a brief summary of approximately 300 words. It should include the main research question, the rationale for the study, the hypothesis (if any) and the method. Descriptions of the method may include the design, procedures, the sample and any instruments that will be used. 1 It should stand on its own, and not refer the reader to points in the project description. 3

3. Introduction: The introduction provides the readers with the background information. Its purpose is to establish a framework for the research, so that readers can understand how it relates to other research. 4 It should answer the question of why the research needs to be done and what will be its relevance. It puts the proposal in context. 3

The introduction typically begins with a statement of the research problem in precise and clear terms. 1

The importance of the statement of the research problem 5 : The statement of the problem is the essential basis for the construction of a research proposal (research objectives, hypotheses, methodology, work plan and budget etc). It is an integral part of selecting a research topic. It will guide and put into sharper focus the research design being considered for solving the problem. It allows the investigator to describe the problem systematically, to reflect on its importance, its priority in the country and region and to point out why the proposed research on the problem should be undertaken. It also facilitates peer review of the research proposal by the funding agencies.

Then it is necessary to provide the context and set the stage for the research question in such a way as to show its necessity and importance. 1 This step is necessary for the investigators to familiarize themselves with existing knowledge about the research problem and to find out whether or not others have investigated the same or similar problems. This step is accomplished by a thorough and critical review of the literature and by personal communication with experts. 5 It helps further understanding of the problem proposed for research and may lead to refining the statement of the problem, to identify the study variables and conceptualize their relationships, and in formulation and selection of a research hypothesis. 5 It ensures that you are not "re-inventing the wheel" and demonstrates your understanding of the research problem. It gives due credit to those who have laid the groundwork for your proposed research. 1 In a proposal, the literature review is generally brief and to the point. The literature selected should be pertinent and relevant. 6

Against this background, you then present the rationale of the proposed study and clearly indicate why it is worth doing.

4. Objectives: Research objectives are the goals to be achieved by conducting the research. 5 They may be stated as ‘general’ and ‘specific’.

The general objective of the research is what is to be accomplished by the research project, for example, to determine whether or not a new vaccine should be incorporated in a public health program.

The specific objectives relate to the specific research questions the investigator wants to answer through the proposed study and may be presented as primary and secondary objectives, for example, primary: To determine the degree of protection that is attributable to the new vaccine in a study population by comparing the vaccinated and unvaccinated groups. 5 Secondary: To study the cost-effectiveness of this programme.

Young investigators are advised to resist the temptation to put too many objectives or over-ambitious objectives that cannot be adequately achieved by the implementation of the protocol. 3

5. Variables: During the planning stage, it is necessary to identify the key variables of the study and their method of measurement and unit of measurement must be clearly indicated. Four types of variables are important in research 5 :

a. Independent variables: variables that are manipulated or treated in a study in order to see what effect differences in them will have on those variables proposed as being dependent on them. The different synonyms for the term ‘independent variable’ which are used in literature are: cause, input, predisposing factor, risk factor, determinant, antecedent, characteristic and attribute.

b. Dependent variables: variables in which changes are results of the level or amount of the independent variable or variables.

Synonyms: effect, outcome, consequence, result, condition, disease.

c. Confounding or intervening variables: variables that should be studied because they may influence or ‘mix’ the effect of the independent variables. For instance, in a study of the effect of measles (independent variable) on child mortality (dependent variable), the nutritional status of the child may play an intervening (confounding) role.

d. Background variables: variables that are so often of relevance in investigations of groups or populations that they should be considered for possible inclusion in the study. For example sex, age, ethnic origin, education, marital status, social status etc.

The objective of research is usually to determine the effect of changes in one or more independent variables on one or more dependent variables. For example, a study may ask "Will alcohol intake (independent variable) have an effect on development of gastric ulcer (dependent variable)?"

Certain variables may not be easy to identify. The characteristics that define these variables must be clearly identified for the purpose of the study.

6. Questions and/ or hypotheses: If you as a researcher know enough to make prediction concerning what you are studying, then the hypothesis may be formulated. A hypothesis can be defined as a tentative prediction or explanation of the relationship between two or more variables. In other words, the hypothesis translates the problem statement into a precise, unambiguous prediction of expected outcomes. Hypotheses are not meant to be haphazard guesses, but should reflect the depth of knowledge, imagination and experience of the investigator. 5 In the process of formulating the hypotheses, all variables relevant to the study must be identified. For example: "Health education involving active participation by mothers will produce more positive changes in child feeding than health education based on lectures". Here the independent variable is types of health education and the dependent variable is changes in child feeding.

A research question poses a relationship between two or more variables but phrases the relationship as a question; a hypothesis represents a declarative statement of the relations between two or more variables. 7

For exploratory or phenomenological research, you may not have any hypothesis (please do not confuse the hypothesis with the statistical null hypothesis). 1 Questions are relevant to normative or census type research (How many of them are there? Is there a relationship between them?). Deciding whether to use questions or hypotheses depends on factors such as the purpose of the study, the nature of the design and methodology, and the audience of the research (at times even the outlook and preference of the committee members, particularly the Chair). 6

7. Methodology: The method section is very important because it tells your research Committee how you plan to tackle your research problem. The guiding principle for writing the Methods section is that it should contain sufficient information for the reader to determine whether the methodology is sound. Some even argue that a good proposal should contain sufficient details for another qualified researcher to implement the study. 1 Indicate the methodological steps you will take to answer every question or to test every hypothesis illustrated in the Questions/hypotheses section. 6 It is vital that you consult a biostatistician during the planning stage of your study, 8 to resolve the methodological issues before submitting the proposal.

This section should include:

Research design: The selection of the research strategy is the core of research design and is probably the single most important decision the investigator has to make. The choice of the strategy, whether descriptive, analytical, experimental, operational or a combination of these depend on a number of considerations, 5 but this choice must be explained in relation to the study objectives. 3

Research subjects or participants: Depending on the type of your study, the following questions should be answered 3 , 5

• - What are the criteria for inclusion or selection?
• - What are the criteria for exclusion?
• - What is the sampling procedure you will use so as to ensure representativeness and reliability of the sample and to minimize sampling errors? The key reason for being concerned with sampling is the issue of validity-both internal and external of the study results. 9
• - Will there be use of controls in your study? Controls or comparison groups are used in scientific research in order to increase the validity of the conclusions. Control groups are necessary in all analytical epidemiological studies, in experimental studies of drug trials, in research on effects of intervention programmes and disease control measures and in many other investigations. Some descriptive studies (studies of existing data, surveys) may not require control groups.
• - What are the criteria for discontinuation?

Sample size: The proposal should provide information and justification (basis on which the sample size is calculated) about sample size in the methodology section. 3 A larger sample size than needed to test the research hypothesis increases the cost and duration of the study and will be unethical if it exposes human subjects to any potential unnecessary risk without additional benefit. A smaller sample size than needed can also be unethical as it exposes human subjects to risk with no benefit to scientific knowledge. Calculation of sample size has been made easy by computer software programmes, but the principles underlying the estimation should be well understood.

Interventions: If an intervention is introduced, a description must be given of the drugs or devices (proprietary names, manufacturer, chemical composition, dose, frequency of administration) if they are already commercially available. If they are in phases of experimentation or are already commercially available but used for other indications, information must be provided on available pre-clinical investigations in animals and/or results of studies already conducted in humans (in such cases, approval of the drug regulatory agency in the country is needed before the study). 3

Ethical issues 3 : Ethical considerations apply to all types of health research. Before the proposal is submitted to the Ethics Committee for approval, two important documents mentioned below (where appropriate) must be appended to the proposal. In additions, there is another vital issue of Conflict of Interest, wherein the researchers should furnish a statement regarding the same.

The Informed consent form (informed decision-making): A consent form, where appropriate, must be developed and attached to the proposal. It should be written in the prospective subjects’ mother tongue and in simple language which can be easily understood by the subject. The use of medical terminology should be avoided as far as possible. Special care is needed when subjects are illiterate. It should explain why the study is being done and why the subject has been asked to participate. It should describe, in sequence, what will happen in the course of the study, giving enough detail for the subject to gain a clear idea of what to expect. It should clarify whether or not the study procedures offer any benefits to the subject or to others, and explain the nature, likelihood and treatment of anticipated discomfort or adverse effects, including psychological and social risks, if any. Where relevant, a comparison with risks posed by standard drugs or treatment must be included. If the risks are unknown or a comparative risk cannot be given it should be so stated. It should indicate that the subject has the right to withdraw from the study at any time without, in any way, affecting his/her further medical care. It should assure the participant of confidentiality of the findings.

Ethics checklist: The proposal must describe the measures that will be undertaken to ensure that the proposed research is carried out in accordance with the World Medical Association Declaration of Helsinki on Ethical Principles for Medical research involving Human Subjects. 10 It must answer the following questions:

• • Is the research design adequate to provide answers to the research question? It is unethical to expose subjects to research that will have no value.
• • Is the method of selection of research subjects justified? The use of vulnerable subjects as research participants needs special justification. Vulnerable subjects include those in prison, minors and persons with mental disability. In international research it is important to mention that the population in which the study is conducted will benefit from any potential outcome of the research and the research is not being conducted solely for the benefit of some other population. Justification is needed for any inducement, financial or otherwise, for the participants to be enrolled in the study.
• • Are the interventions justified, in terms of risk/benefit ratio? Risks are not limited to physical harm. Psychological and social risks must also be considered.
• • For observations made, have measures been taken to ensure confidentiality?

Research setting 5 : The research setting includes all the pertinent facets of the study, such as the population to be studied (sampling frame), the place and time of study.

Study instruments 3 , 5 : Instruments are the tools by which the data are collected. For validated questionnaires/interview schedules, reference to published work should be given and the instrument appended to the proposal. For new a questionnaire which is being designed specifically for your study the details about preparing, precoding and pretesting of questionnaire should be furnished and the document appended to the proposal. Descriptions of other methods of observations like medical examination, laboratory tests and screening procedures is necessary- for established procedures, reference of published work cited but for new or modified procedure, an adequate description is necessary with justification for the same.

Collection of data: A short description of the protocol of data collection. For example, in a study on blood pressure measurement: time of participant arrival, rest for 5p. 10 minutes, which apparatus (standard calibrated) to be used, in which room to take measurement, measurement in sitting or lying down position, how many measurements, measurement in which arm first (whether this is going to be randomized), details of cuff and its placement, who will take the measurement. This minimizes the possibility of confusion, delays and errors.

Data analysis: The description should include the design of the analysis form, plans for processing and coding the data and the choice of the statistical method to be applied to each data. What will be the procedures for accounting for missing, unused or spurious data?

Monitoring, supervision and quality control: Detailed statement about the all logistical issues to satisfy the requirements of Good Clinical Practices (GCP), protocol procedures, responsibilities of each member of the research team, training of study investigators, steps taken to assure quality control (laboratory procedures, equipment calibration etc)

Gantt chart: A Gantt chart is an overview of tasks/proposed activities and a time frame for the same. You put weeks, days or months at one side, and the tasks at the other. You draw fat lines to indicate the period the task will be performed to give a timeline for your research study (take help of tutorial on youtube). 11

Significance of the study: Indicate how your research will refine, revise or extend existing knowledge in the area under investigation. How will it benefit the concerned stakeholders? What could be the larger implications of your research study?

Dissemination of the study results: How do you propose to share the findings of your study with professional peers, practitioners, participants and the funding agency?

Budget: A proposal budget with item wise/activity wise breakdown and justification for the same. Indicate how will the study be financed.

References: The proposal should end with relevant references on the subject. For web based search include the date of access for the cited website, for example: add the sentence "accessed on June 10, 2008".

Appendixes: Include the appropriate appendixes in the proposal. For example: Interview protocols, sample of informed consent forms, cover letters sent to appropriate stakeholders, official letters for permission to conduct research. Regarding original scales or questionnaires, if the instrument is copyrighted then permission in writing to reproduce the instrument from the copyright holder or proof of purchase of the instrument must be submitted.

• Memberships

Research Proposal explained and guide

Research proposal: this article provides a practical explanation of the research proposal . The article starts with a definition of the term research proposal and why the proposal is an important part of research as a whole. Then you will find a step-by-step guide and valuable tips on how to write a good research proposal. Enjoy reading!

What is a research proposal?

A research proposal is an important first step that is carried out before the research starts. Every student who is going to write a thesis must submit a research proposal in advance. This proposal provides a picture of the problem that will be researched and how the research will be designed.

Research proposal structure

The research proposal is a document that usually consists of the following different elements:

• Background information
• Problem statement, research objectives and research questions
• Research methods
• Preliminary bibliography

It is important to pay attention to this as it serves as a blueprint for the research project and helps to convince the reader that the research is worthwhile.

Students use the research proposal as a guideline for their thesis, an extensive research that forms the pinnacle of their academic career. Many students dread writing a thesis.

This proposal helps ensure that the student is on the right track with their research and provides a roadmap for writing the thesis. In this article you will find all the information you need to complete a research proposal.

Step 1 of the research proposal: Background information

The first step in writing a research proposal is to prepare background information. This section provides an explanation of the problem being researched, why it is important to research this problem, and how the problem compares to existing research conducted in the same field.

The background information may also include a brief overview of the main theories and concepts relevant to the research topic. However, these are also included in the last step under the provisional bibliography heading.

The purpose of this section is to help the reader understand why the research is needed and how it fits into the wider context of the field. We call this the academic relevance of the research.

Example of a good description of background information

In recent years, the rise of artificial intelligence (AI) has had a major impact on the way companies shape their marketing activities.

AI technologies are used to analyze data , predict consumer behavior and create personalized advertisements.

These developments have created both opportunities and challenges for marketers. This research focuses on examining the impact of AI on marketing in companies and exploring ways companies can use these technologies to improve their marketing strategies.

A study of the effects of AI in marketing is academically relevant because it focuses on a current and relevant topic within the marketing world, namely the emergence of AI technologies and their impact on companies’ marketing strategy.

The research is relevant because it contributes to the development of knowledge and understanding of this topic, and can help improve the way companies develop and execute their marketing strategies.

In addition, the research is also theoretically relevant, because it contributes to the development of academic literature on this topic, for example by introducing new insights or concepts on this relatively new and unknown topic.

Research Methods For Business Students Course A-Z guide to writing a rockstar Research Paper with a bulletproof Research Methodology!   More information

Step 2 of the research proposal: the Problem statement

The problem analysis in a research proposal ensures that the researcher gets a picture of the situation being researched and why it concerns a problem that needs to be researched. The problem statement then describes exactly what the problem or issue is and why research is needed.

Example problem statement

The rise of artificial intelligence (AI) is transforming the way companies approach marketing.

As AI becomes more sophisticated and accessible, it can automate many tasks traditionally performed by human marketers, including data analysis, customer segmentation, and personalized targeting. While AI offers significant opportunities to improve the efficiency and effectiveness of marketing efforts, it also poses challenges for companies in organizing and managing their marketing teams in this new landscape.

Research question

Therefore, the research question for this study is as follows:

What are the implications of AI for the organization of marketing efforts in companies, and how can companies best adapt to these changes to remain competitive in the marketplace?

Sub-questions

Examples of sub-questions that can help answer the research question of this study are:

• What specific marketing tasks can AI automate, and how can companies effectively integrate AI into their existing marketing strategies?
• What are the advantages and disadvantages of using AI in marketing and in which different sectors and companies do they differ?
• How do AI-powered marketing tools influence the skills and roles needed for human marketers?
• Which organizational structures and business processes are best suited for integrating AI into marketing teams?

Step 3 of the research proposal: Research methods

To answer the above questions, it is important to know which research methods can be used to collect the right data. This part of the research proposal therefore revolves around determining and partly explaining the methods used.

Please try to complete this section as completely as possible. Keep the purpose of the research proposal in mind: the document serves as a blueprint and guideline for actually carrying out the research.

The better the preparation is, the easier it will be to go through the research process.

Example research methods

To answer the sub-questions, a mixed-methods research approach is used, combining both qualitative and quantitative research methods.

For the first sub-question, qualitative research methods are used, such as interviews with marketing experts and industry leaders.

This is done to gain a comprehensive understanding of the ways AI can be integrated into existing marketing strategies. In addition, a thorough literature review is performed to identify best practices and successful case studies of AI-driven marketing campaigns.

To answer the second sub-question, both qualitative and quantitative research methods are used to examine the potential benefits and drawbacks of AI in marketing across different industries and companies. Surveys and focus groups are the primary tools to collect qualitative data on consumer attitudes towards AI in marketing, while financial data will also be analyzed to measure the economic impact of AI on marketing efforts.

The third sub-question will be answered through a combination of qualitative research methods, specifically interviews and focus groups, as well as quantitative data analysis. Surveys are also being used to collect data on the skills and roles needed for human marketers in the age of AI. Job openings are also analyzed to identify emerging skills and roles in AI-driven marketing.

Finally, answering the fourth sub-question uses both qualitative and quantitative research methods again, where surveys and interviews will be used to collect data on the most effective organizational structures and processes for integrating AI into marketing teams.

A timeframe is also included in the research proposal. When it comes to a thesis, supervisors are mainly interested in the feasibility of the planning. Make sure you allocate enough time for each part and use margins so that you can meet the deadline even if there are delays. Use a tool like the Gantt chart .

Step 4 of the research proposal: Provisional bibliography and references

The reference list is an essential part of any research paper or proposal, as it lists all sources used in the research process. In this section, students should include a complete list of all references cited in their proposal, following a particular reference style such as APA or MLA.

The citation section should include the author’s name, publication year, article or book title, publication name, and page numbers. If the source is a website or online article, students should also include the URL and date of access.

Tips for writing a research proposal

Use the following tips to write a good research proposal:

1. Write a concise research question

Your research question should be focused and well-defined to keep you on track throughout the research process.

2. Conduct a thorough literature review

Before you start writing the actual research, it is important to conduct an extensive literature review to understand what research has already been done on the topic.

3. Describe your research methodology

Clearly explain the research methods you plan to use, including any data collection and analysis methods.

4. Academic relevance

Explain clearly why your research is important and how it will contribute to the field. The lack of academic relevance is a common reason for rejecting a research proposal.

5. Be realistic

Make sure that your research question is feasible and that you have access to the necessary resources to conduct the research.

6. Follow the guidelines

Check and follow the specific guidelines and requirements set by your institution or professor. This can also be a reason for rejection of a research proposal.

7. Proofreading

Check your proposal for errors in grammar, spelling, and punctuation, and ask a colleague or consultant to review it and provide feedback.

It’s Your Turn

What do you think? Do you recognize the explanation of the research proposal? Does this article help you write a research proposal? Which tips in this article did you find most useful? Are you still missing information? Or do you have other tips and comments?

Share your experience and knowledge in the comments box below.

More information

• Barick, R. (2021). Research Methods For Business Students . Retrieved 02/16/2024 from Udemy.
• Denscombe, M. (2012). Research proposals: A practical guide . McGraw-Hill Education .
• Klopper, H. (2008). The qualitative research proposal . Curationis, 31(4), 62-72.
• Punch, K. (2000). D eveloping effective research proposals . Sage Publishing .

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Vincent van Vliet is co-founder and responsible for the content and release management. Together with the team Vincent sets the strategy and manages the content planning, go-to-market, customer experience and corporate development aspects of the company.

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What are the Sections of a Research Proposal?

Research proposals that are written by graduate students or academic researchers typically follow a similar format consisting of headings and sections that explain the purpose of the research, specify the scope and scale of the study, and argue for its importance in contributing to the scientific literature. Knowing how to write a research proposal checklist  is crucial to getting your dissertation or thesis project accepted.

Although the research proposal sections may vary depending on whether it is a grant,  doctoral dissertation , conference paper, or professional project, there are certainly some sections in common. This article will cover sections you will often see in research proposals, explain their purpose, and provide a sample research proposal template.

What are the sections of a research proposal?

Let’s take a look at each section of a research proposal:

• Overall purpose
• Background literature
• Research question
• Definitions of terms and nomenclature
• Research methodology
• Problems and limitations
• Required resources and budget
• Ethical considerations
• Proposed timetable

What is the purpose of each research proposal section?

The research proposal sections and headings above resemble a fully edited and published academic journal article, which you probably can recognize if you are a new PhD or master’s graduate student who is just starting out reading peer-reviewed academic journal articles. 

However, the purpose of each heading in a research proposal is quite different from that of a final article. 

Purpose : To explain briefly, in a few words, what the research will be about.

What you should do:  Give your research proposal a concise and accurate title. Include the name of your faculty mentor (and his/her academic department).

Note : Title pages for research proposals are generally standardized or specified and provide or summarize basic administrative information‌, such as the university or research institution. Titles should be concise and brief enough to inform the reader of the purpose and nature of the research.

Related Article:  How to choose the best title for your research manuscript

Purpose:  To provide an overview of the study, which you will expand on in detail in later sections of the research proposal.

What you should do:  Provide a brief overview of your project. Include the goals of your research proposal and clearly specify the research questions you want to address. Explain the hypotheses you want to test.

Note : A good summary should emphasize the problems the applicant intends to solve, identify the solution to the problems, and specify the objectives and design‌ ‌of‌ ‌the‌ ‌research. It should also describe the applicant’s qualifications and budget requirements.

Check out a webinar on how to write an effective research introduction

Overall purpose.

Purpose:  To state the overall goal of the work in a clear, concise manner.

What you should do : Summarize your problem for someone who is scientifically knowledgeable but potentially uninformed regarding your specific research topic.

Note : The aim or purpose of a research proposal should be results-oriented as opposed to process-oriented. For example, the result of a research study may be “To determine the enzyme involved in X” while the process is “to perform a protein electrophoresis study on mice expressing Y gene.” There should be at least three objectives per proposal. 

Background Literature Review

Purpose : To demonstrate the relationship between the goals of the proposed study and what has already been established in the relevant field of study.

What you should do : Selectively and critically analyze the literature. Explain other researchers’ work so that your professor or project manager has a clear understanding of how you will address past research and progress the literature.

Note : One of the most effective ways to support your research’s purpose and importance is to address gaps in the literature, controversies in your research field, and current trends in research. This will put into context how your dissertation or study will contribute to general scientific knowledge. Learn  how to write a literature review  before writing this section.

Research Question or Hypothesis

Purpose : To state precisely what the study will investigate or falsify.

What you should do : Clearly distinguish the dependent and independent variables and be certain the reader understands them. Make sure you use your terms consistently. Whenever possible, use the same nomenclature.

Note : A research question presents the relationship between two or more variables in the form of a question, whereas a hypothesis is a declarative statement of the relationship between two or more variables. Knowing  where to put the research question in a science paper  is also crucial to writing a strong Introduction section.

Definition of Terms

Purpose : To define the meanings of the key terms used in the research.

What you should do:  Align your term and nomenclature usage throughout your entire research proposal. Clearly define abbreviations and make sure they are understandable to scientists from other disciplines.

Note : Different scientific fields of study often use different terms for the same thing. Further, there are language consistency issues that should be considered. In organic chemistry, there are international standards for naming compounds, but common names are still regularly used, e.g., acetic acid versus ethanoic acid.

Research Methodology

Purpose:  To break down the steps of your research proposal.

What you should do:   Explain how you will achieve‌ ‌your research goals ‌specified‌ ‌earlier using terms that a general reader can understand. Explain your approach, design, and methods.

Note : Your research proposal should explain the broad scope of your research to other researchers‌ ‌in‌ ‌your‌ ‌field. This section represents the most important part of a research proposal and is therefore ‌the‌ ‌primary‌ ‌concern‌ ‌of‌ ‌reviewers. Knowing  how to explain research methodology for reproducibility  is important to explaining your methodology to dissertation or thesis advisors and committees. 

Problems and Limitations

Purpose:  To demonstrate awareness of any study limitations, potential problems, and barriers to answering the research question, and how to deal with them

What you should do:  Thoroughly head off any criticisms before they can torpedo your research proposal. Explain that any limitations or potential conflicts will only delay your research or alter/narrow its scope; they will not fundamentally degrade the importance of your research.

Note : Any research proposal or scientific study will have limitations in its scope and execution. Sometimes it may be a key procedure that is problematic or a material you cannot readily obtain. Discussing limitations is key to demonstrating you are an adept and experienced researcher worth approving.

Related Article:  How to present study limitations and alternatives

Required resources and budget.

Purpose:  To list what resources your research may require and what costs and timelines may affect your completion.

What you should do:  Think as a businessperson. Breakdown what resources are available at your institution or university as well as the required resources you still need. These can be materials, machinery, lab equipment, and computers. Resources can also be human: expertise to perform a procedure and other kinds of collaboration. 

Note : This section underscores why your funding institution or academic committee should fund your university, laboratory team, or yourself for this particular research. 

Ethical Considerations

Purpose:  To state how participants will be advised of

the overall nature and purpose of the study and how informed consent will

be obtained.

What you should do:  Consult with your academic institution, PhD advisor, and laboratory colleagues. Do not gloss over this part since it has legal consequences.

Note : Often, these types of legal disclaimers are well established and readily available in template format from your research institution or university. Just obtain the proper clearance and permission and have the legal authority at your institution check it over.

Read about how  conflicts of interest  should be disclosed in research proposals

Proposed timeline.

Purpose:  To give a projected timeline for planning, completing, verifying, and reporting your research.

What you should do:  Approach this part with a project management style. In an organized fashion, set out a specific timeline for how long each part of your research will take. Identify bottlenecks and specify them.

Note:  Savvy time management is something that comes with lots of research experience. Ask your professor or colleagues if you have questions about how long certain procedures will take.

Purpose:  To provide detailed bibliographic and reference citations.

What you should do:  Use an online citation machine ( APA citation machine , MLA citation machine , Chicago citation machine , Vancouver citation machine ) that can instantly organize your references in any format. Make sure you do this as you go, not saving it for the last when you have lost track.

Note:  The bibliographic format used varies according to the research discipline. Consistency is the main consideration; whichever style is chosen should be followed carefully throughout the entire paper. 

Related Article:  How many references to include in a research proposal?

Purpose : To include any extra materials or information.

What you should do:  Add letters of endorsement or collaboration and reprints of relevant articles if they are not available electronically. In addition to the above, you may want to include data tables, surveys, questionnaires, data collection procedures, clinical protocols, and informed consent documents.

Notes : Many writers tend to attach supporting documents to support their research proposal. But remember, more is not always better. Be sure to only include information that strengthens your case, not simply make it longer.

Note : Savvy time management is something that comes with lots of research experience. Ask your professor or colleagues if you have questions about how long certain procedures will take.

The Bottom Line

Whether your research is academic (PhD or master’s graduate student) or professional (competing for government or private funding), how you organize your research proposal sections is one of the first things evaluators will notice. Many academic reviewers will simply scan and check for key section headings. If any headings are missing or strangely written, they may instantly give the reviewer a bad impression of your proposal. 

One tip before submitting or even writing your research proposal is to search for the best journal to publish your research in and follow the guidelines in the Guide for Authors section, as well as read as many articles from that journal as possible to gain an understanding of the appropriate style and formatting.

Preparing Your Research Proposal for Publication

So make sure to use some of our resources, such as our  FREE APA citation generator  and  research proposal checklist , or contact us to ask about  professional proofreading services , including academic editing and manuscript editing for academic documents.

And check our guide on the  editing process  to learn more about how language editing for manuscripts can enhance your writing and increase your chances of publication.

2025 Delta Research Awards: Proposal Solicitation

IMPORTANT DATES

April 19, 2024 10:00AM PDT: RFP Informational Webinar (Optional)

May 14, 2024 5:00PM PDT:  Letter of Intent due to eSeaGrant

June 14, 2024 10:00AM PDT: Proposal Preparation Webinar (Optional)

August 26, 2024 5:00PM PDT: Full proposals due to eSeaGrant 

December 2024: Intent to Award issued

April 1, 2025: Expected project start date

Proposals will only be accepted from applicants whose Letters of Intent have been approved and who have received an invitation to submit a full proposal. 

Table of Contents

• What's new about this Solicitation? 
• Where to Find Help
• Award Information and Project Categories
• Submittal Requirements
• Eligibility Requirements
• Solicitation Focus
• Proposal Requirements
• Proposal Review Procedure
• Resources for Applicants

1. Background

The Delta Stewardship Council (Council) is pleased to announce the 2024 Delta Research Awards Proposal Solicitation. This proposal solicitation for Delta research projects (Solicitation) is funded by the Council, led by the Council’s Delta Science Program (DSP), and administered in partnership with the University of California San Diego, California Sea Grant (Sea Grant). The Solicitation will further the DSP’s legislatively mandated mission to: 

… provide the best possible unbiased scientific information to inform water and environmental decision-making in the Delta … through funding research, synthesizing and communicating scientific information to policy-makers and decision-makers…  -Delta Reform Act 2009, Water Code Section 85280(b)(4).

Through this Solicitation, the DSP seeks to identify and fund research that will promote an integrated understanding of the Sacramento-San Joaquin Delta and Suisun Marsh, particularly to support the science and natural resource management community’s ability to measure, anticipate, and plan for a rapidly changing climate. Proposals must advance one or more of the Science Actions in the 2022-2026 Science Action Agenda (SAA) . The SAA prioritizes science actions to fill gaps in knowledge and aligns them with management needs. For more information about the Solicitation focus and the SAA, see Section 8 . 

Eligible entities that wish to submit a proposal must first submit a Letter of Intent by the deadline set forth in the Solicitation as a prerequisite to be considered for an invitation to submit a full proposal. Letters of Intent will be evaluated based on the requirements in Section 6.1 of the Solicitation and successful applicants will receive a notification to submit a proposal. All proposals will be evaluated by independent experts with the appropriate specialized knowledge, based on requirements and criteria in Sections 9 and 10 of the Solicitation. The Council will select proposals for final awards. Selected applicants will receive an “intent to award” letter and will be required to enter into a contract agreement (agreement) to be negotiated with Sea Grant. If additional funding is available from external partners, successful proposals may receive an “intent to award” letter from the Council and/or external funding partners such as the Bureau of Reclamation and State Water Contractors, as applicable. There is a total of approximately $6 million available for awards. Sea Grant will collaborate closely with the Council in administering the Solicitation as well as for external and expert review of submitted proposals, award agreements, and communication of funded work with key interested parties. 

2. What's new about this solicitation?

• There are separate award categories for large projects ($200,001 to $1,500,000) and small projects ($90,000 to $200,000). The category for small projects was added following public input on the 2021 Solicitation. 
• Projects must directly advance at least one science action from the 2022-2026 SAA.
• In recognition of the importance of SAA actions related to the human dimensions of the Delta, projects with a substantial social science component will be eligible for additional points during the review process ( Section 10 ). Data from the 2023 Delta Residents Survey may be relevant to researchers (Section 11.2).
• Letters of Intent will be assessed based on whether the proposed project aligns with science actions identified in the 2022-2026 Science Action Agenda, meets eligibility criteria, and falls within the geographic scope of the Delta (Section 6.1).
• Large projects are required to have one or more Letter(s) of Support from a Delta community partner, resource manager, or decision-maker (Section 9.6).
• All awards will be administered as formal agreements with Sea Grant. All collaborating entities will also be required to enter into sub-agreements with the primary applicant or may be required to enter into a separate agreement with Sea Grant.
• For optional assistance identifying tribal and/or community partners, please submit a Partnership Survey response here by May 1, 2024: https://www.surveymonkey.com/r/N7X8S9F

3. Schedule

Table 1. Schedule in Pacific Daylight Time (PDT) 

Schedule is subject to change. Updates will be sent to applicants who have submitted a Letter of Intent via the eSeaGrant online portal .

4. Where to Find Help

Please see this website for the most updated copy of the Solicitation , answers to questions, and other information about the Solicitation and proposal process. For important resources and links, reference Section 11 , Resources for Applicants.

For technical assistance and questions about the Solicitation, please contact [email protected].

Communications with Council or Sea Grant staff related to the Solicitation, other than as specified and allowed in the Solicitation, may disqualify a potential proposal from being considered. To ensure that your questions will be answered in a timely manner, we recommend sending questions relating to proposal preparation and submission prior to August 19, 2024. 

Two optional virtual webinars will be held to provide technical assistance and other guidance for proposals (see Section 3 , Schedule). Additional virtual webinars and/or workshops may be held on topics relevant to this Solicitation. Applicants registered on eSeaGrant will be notified of workshop details. The information will also be posted on the Council’s events calendar web page . Workshops will be recorded, and the recordings will be made available on the Solicitation website.

5. Award Information and Project Categories

There is a total of approximately $6 million available for awards. Projects must directly advance at least one science action from the 2022-2026 SAA. Availability of funding is dependent upon State and Federal budget appropriations for the specified fiscal year and is subject to change. All awards selected by the Council will be administered as formal agreements with Sea Grant. In some cases, additional awards may be selected by, and administered as formal agreements with, external partners.

Project categories (dollar amount limits include all eligible costs including indirect costs): 

• Small Projects: Awards between $90,000 and $200,000 
• Large Projects: Awards between $200,001 and $1,500,000

The project duration may be up to a maximum of three years (36 months). 

Applicants may submit more than one Letter of Intent and proposal (subject to receiving an invitation to submit a proposal), but a maximum of one proposal per individual lead Principal Investigator (PI) can be selected for an award. However, lead PIs may be listed as co-PIs on other awarded projects if the total combined effort of awarded projects is less than or equal to 100% of their time. 

Budget Contingency Clause for State-Funded Contract Agreements

If the Budget Act of the current year and/or any subsequent years covered under the ensuing agreement does not appropriate sufficient funds for the program, the agreement shall be of no further force and effect. In this event, the Council will have no liability to pay any funds whatsoever or to furnish any other considerations under the agreement and the contractor shall not be obligated to perform any provisions of the agreement.

If funding for any fiscal year is reduced or deleted by the Budget Act for purposes of this program, the Council will have the option to either: cancel the agreement with no liability occurring to the Council or offer an agreement amendment to the contractor to reflect the reduced amount. The contractor shall be reimbursed for any completed work or work in progress at the time of termination of an executed agreement if approved by the Council.

Recognition of Funding Source

Successful applicants must acknowledge funding from the Delta Stewardship Council and its Delta Science Program, and any partner organizations providing project funds, as specified in the agreement language, for any publication (including online webpages) of any material based on or developed under a project funded through this Solicitation. Support must also be orally acknowledged during all news media interviews, including radio, television, and news magazines.

6. Submittal Requirements

Letter of intent (loi).

Letters of Intent (LOI) are required and must be submitted by the deadline in Section 3 (Schedule) using eSeaGrant: http://eseagrant2.ucsd.edu/. If you have never used California Sea Grant's eSeaGrant portal before, you will need to register for an account. You can change the randomly-generated password once you log in successfully into the website. Contact [email protected] with any access issues related to eSeaGrant. NOTE: We advise not to wait until the last minute to submit your LOI; when eSeaGrant experiences high user traffic, you may experience page loading delays. It is the applicant’s responsibility to get all required materials submitted before the deadline, and the submission deadline will not be extended.

All interested applicants must submit a Letter of Intent (LOI), which contains a brief description of their project, using eSeaGrant by the deadline specified in the Solicitation (see Section 3, Schedule). For projects with multiple collaborating entities requesting funds, one lead PI should submit a single LOI on behalf of all collaborating entities. LOIs will be used to screen for eligibility and relevance to the Science Action Agenda, to enable the timely selection of reviewers, and to help avoid potential conflicts of interest in the review process. Interested applicants may submit more than one LOI, but an individual may only be the Primary Investigator for a single submitted project.

LOIs will be screened based on the requirements below. An invitation to submit a proposal will be issued to each applicant whose LOI passes the screening process. LOIs received after the deadline will not be considered. 

If there are any proposed changes to the scope of the successful LOIs, applicants must notify California Sea Grant via [email protected] as soon as possible and no later than July 15th, 2024. Proposed changes may only include changes in the lead PI/institution or contact information, co-PI(s), budget, award type sought (large/small), geographic scope, and the approach including which SAAs will be addressed. Applicants will be notified by email no later than July 23rd, 2024 regarding whether the changes to their LOI are accepted, including an invitation to submit a proposal (if applicable) with the accepted revision(s).

LOIs will be assigned a pass/fail score based on their relevance to the science actions identified in the 2022-2026 Science Action Agenda ( Section 8 , Solicitation Focus), eligibility ( Section 7 , Eligibility Requirements), and whether they fall within the geographic scope of the Delta. Projects are not required to be physically located within the Delta; however, project activities must provide a demonstrable link(s) to the Delta. A link to the Delta could include hydrologic connection, tribal ancestral/spiritual connection, social/cultural connection, etc. The ‘Delta’ means the Sacramento-San Joaquin Delta as defined in Water Code Section 12220 and the Suisun Marsh as defined in Public Resources Code Section 29101 (Water Code Section 85058).

Applicants will be notified electronically in writing if their LOIs were or were not successful. Applicants with successful LOIs will receive an electronic invitation to submit a full proposal. Applicants that did not receive an invitation to submit will not be considered.

The page limit for the LOI is two (2) pages, Arial font size 12, single spacing, and standard margins, including header, footer, labeling, and address information. If the LOI exceeds two pages, only information in the first two pages will be considered.

LOIs must include the following information submitted through forms in eSeaGrant: 

• Name of lead PI, affiliation, and contact information (name of lead PI must not change from LOI to proposal submission).
• Name of Co-PI(s) with affiliation(s), if applicable.
• Title of project.
• Indication of award type sought (Large Project or Small Project, see Section 5 , Award Information and Project Categories) and which SAA Science Action(s) will be addressed.
• Geographic scope of the project.
• Brief discussion of the topic and approach, including how the specified science action(s) will be addressed.
• Approximate total budget and a list of all the collaborating entities who will receive funds as part of the award.

Project proposal

Proposals will only be accepted from applicants whose Letters of Intent have been approved and who have received an invitation to submit a full proposal. Applicants who do not receive an invitation to submit a proposal will not be considered. 

All proposals must present clear hypotheses or cogent research questions that can be addressed using a scientifically-sound research design. Research may invoke disciplines within, for example, the biophysical sciences, social sciences, integrated social-ecological disciplines, traditional knowledge, and/or local place-based knowledge.

Proposals are encouraged to:

• Include substantial roles for undergraduate, graduate, and/or postdoctoral students, particularly those from underrepresented groups and a diversity of lived experiences;
• Have a plan for meaningful, early, and sustained engagement with community members or community organizations;
• Be based on or thoughtfully and respectfully incorporate tribal, traditional, and/or local knowledges, as applicable.
• Proposals must meet all the requirements in Section 9 (Proposal Requirements) and must be submitted by the deadline in Section 3 (Schedule) using eSeaGrant: http://eseagrant2.ucsd.edu/. If you have never used California Sea Grant's eSeaGrant portal before, you will need to register for an account. You can change the randomly-generated password once you log in successfully into the website. Contact [email protected] with any access issues related to eSeaGrant.  NOTE: We advise not to wait until the last minute to submit your proposal; when eSeaGrant experiences high user traffic, you may experience page loading delays. It is the applicant’s responsibility to get all required materials submitted before the deadline, and the submission deadline will not be extended.

7. Eligibility Requirements

Eligible entities.

All entities will be required to fulfill the award conditions of the University Terms & Conditions (UTC-220) and all pass-through terms and conditions from the Council unless otherwise agreed upon by the parties.

Eligible entities for agreements are entities that are in good standing and eligible to do business in California, including but not limited to:

• A California Native American Tribe; 
• A California State agency, State college, or State university, including an auxiliary organization of the California State University (CSU);
• A State agency, State college, or State university from another state;
• A local governmental entity, including those created as a Joint Powers Authority and local government entities from other states;
• California community colleges including an auxiliary organization or foundation organized to support the Board of Governors of the California Community Colleges;
• The Federal government including National Laboratories;
• An auxiliary organization of the Student Aid Commission established under Education Code;
• A corporation (both domestic and foreign), partnership, limited partnership, or limited liability company, or other such similar organization that meets the requirements for doing business in California, including tax-exempt organizations such as 501(c)(3) non-profit organizations;
• A private independent business, including sole proprietors;
• A domestic or foreign private college, university, or educational or research entity.

For proposals involving multiple entities, a single entity must be identified as the primary lead entity, and a single proposal describing the entire project must be submitted by that entity. The budgets of those participating entities must be clearly identified in the comprehensive project budget submitted by the lead entity and not exceed the total project budget.

Eligible activities include, but are not limited to:

• Research and data collection, analysis, synthesis, management, and delivery;
• Development of resource management tools and technologies;
• Development of conceptual or quantitative models;
• Production of peer-reviewed journal articles, conference presentations, and communications for the scientific/management community;
• Science communication for broader audiences and/or community engagement;
• Project management and coordination of a multidisciplinary team;
• Institutional Review Board (IRB) review;
• Document/report preparation. 

Ineligible Activities

Funds shall not be expended to pay:

• the design, construction, operation, mitigation, or maintenance of restoration projects or any Delta Plan covered actions , or 
• implementation activities (e.g., construction or improvement of a capital asset), or 
• land acquisition or easement purchase, or
• information technology (IT) services (e.g., hardware, software, web services) as defined: https://www.dgs.ca.gov/PD/Resources/SCM/TOC/10/10-2

See Proposal Requirements Section for Ineligible Costs.

8. Solicitation Focus

Proposals must directly address one or more of the 25 priority science actions described in the 2022-2026 SAA and must either be physically located in the Delta or provide a demonstrable link to the Delta. The ‘Delta’ means the Sacramento-San Joaquin Delta as defined in Water Code Section 12220 and the Suisun Marsh as defined in Public Resources Code Section 29101 (Water Code Section 85058). A link to the Delta could include hydrologic connection, tribal ancestral/spiritual connection, social/cultural connection, etc.

In the Solicitation Notice , the section, “Solicitation Focus,” provides a high-level summary of the SAA, listing actions under thematic management needs. The management needs and the science actions are of equal priority and not listed in order of importance and are cross-cutting and integrative and unlikely to be addressed by only one project. More points will be awarded to projects that address multiple components of a science action or multiple science actions, where appropriate. For more information about the 25 priority science actions that are the focus of this Solicitation, please review the full SAA document. 

Science Actions:

• Establish publicly accessible repositories, interactive platforms, and protocols for sharing information, products, and tools associated with monitoring and modeling efforts, in support of forecast and scenario development, timely decision-making, and collaborative efforts.
• Evaluate the individual and institutional factors that enable or present barriers to coordination, learning, trusting, and using scientific information to inform decision-making and resource sharing within and among organizations.
• Identify and implement large-scale experiments that can address uncertainties in the outcomes of management actions for water supply, ecosystem function, and socioeconomic conditions in the Delta.

Science Actions: 

• Evaluate and update monitoring programs to ensure their ability to track and inform the management of climate change impacts, emerging stressors, and changes in species distributions.
• Develop a framework for monitoring, modeling, and information dissemination in support of operational forecasting and near real-time visualization of the extent, toxicity, and health impacts of Harmful Algal Blooms (HABs).
• Enhance flood risk models through a co-production process with Delta communities to quantify and consider tradeoffs among flood risk management, water supply and water quality management, habitat restoration, and climate adaptation.
• Iteratively develop, update, and make widely available forecasts of climatological, hydrological, social-ecological, and water quality conditions at various spatial and temporal scales that consider climate change scenarios.
• Conduct studies to inform restoration and approaches to protecting human communities that are resilient to interannual hydrologic variation and climate change impacts.
• Develop integrated frameworks, data visualization tools, and models of the Delta social-ecological system that evaluate the distribution of environmental benefits and burdens of management actions alongside anticipated climate change impacts.
• Identify how ecosystem restoration projects, in comparison to existing water management strategies, benefit and burden human communities, with an emphasis on environmental justice.
• Test and monitor the ability of tidal, nontidal, and managed wetlands and inundated floodplains to achieve multiple benefits over a range of spatial scales, including potential management costs, tradeoffs, and unintended consequences.
• Synthesize existing knowledge and conduct applied, interdisciplinary research to evaluate the costs and benefits of different strategies for minimizing the introduction and spread of invasive species, and to inform early detection and rapid response strategies.
• Use multi-method approaches (e.g., surveys, interviews, oral histories, and/or observations) to develop an understanding of how human communities’ values, and uses of cultural, recreational, agricultural, and natural resources vary across geography, demographics, and time.
• Synthesize existing data and collaboratively develop additional long-term data collection and monitoring strategies to address knowledge gaps on human communities within the Delta and those reliant on the Delta, with the goal of tracking and modeling metrics of resilience, equity, and well-being over time.
• Measure and evaluate the effects of using co-production or community science approaches (in management and planning processes) on communities' perceptions of governance and on institutional outcomes, such as implementation or innovation.
• Identify and test innovative methods for effective control or management of invasive aquatic vegetation in tidal portions of the Delta under current and projected climate conditions.
• Identify thresholds in the survival and health of managed fish and wildlife species with respect to environmental variables (e.g., flow, temperature, dissolved oxygen) and location-specific survival probabilities to develop strategies that will support species recovery.
• Determine how environmental drivers (e.g., nutrients, temperatures, water residence time) interact to cause HABs in the Delta, identify impacts on human and ecosystem health and well-being, and test possible mitigation strategies.
• Integrate and expand on existing models of hydrodynamics, nutrients, and other food web drivers to allow for the forecasting of the effects of interacting stressors on primary production and listed species.
• Quantify spatial and temporal patterns and trends of chemical contaminants and evaluate ecosystem effects through monitoring, modeling, and laboratory studies.
• Evaluate how climate change, sea level rise, and more frequent extremes will impact habitats, water supply, water quality, sediment supply, long-term species persistence, primary productivity, and food webs.
• Evaluate individual and cumulative impacts and tradeoffs of drought management actions on ecological and human communities over multiple timescales.
• Evaluate the possible multi-benefits of management actions that promote groundwater recharge for ecological functions and water resilience under climate change (e.g., multiple dry year scenarios).
• Identify how human communities connected to the Delta watershed are adapting to climate change, what opportunities and tradeoffs exist for climate adaptation approaches (i.e., agricultural practices, carbon sequestration, nature-based solutions/green infrastructure), and how behaviors vary with adaptive capacity.
• Predict and test how water allocation and supply decisions, and ecological flow scenarios should change under projected climate change to maintain habitat conditions, access of target species to critical habitat, and interactions among native and invasive species.

9. Proposal Requirements

Eligible entities that wish to submit a proposal must first submit a LOI by the deadline set forth in the Solicitation as a prerequisite to be considered for an invitation to submit a full proposal (See Section 3 , Schedule).

Applicants with successful Letters of Intent will receive an electronic invitation to submit a full proposal. The invitation to submit must be included with the proposal submittal. 

Listed below are the requirements for a complete proposal package; for full details on each component, please refer to the Proposal Solicitation Notice . For lead PIs affiliated with academic institutions, final proposals must be submitted by the institution’s sponsored research office. For deadlines, see Section 3 (Schedule). For instructions on how to submit a proposal via eSeaGrant, see Section 6.2 (Project Proposal). For award information, see Section 5 (Award Information and Project Categories).

10. Proposal Review Procedure

Each proposal submitted by the deadline specified in Section 3 will undergo several steps in the review and selection process:

• Proposals will be screened in an administrative review by Sea Grant; 
• Proposals that pass the administrative review will be advanced to a technical review by subject matter experts ( individual expert technical reviews ); 
• Individual expert technical reviews will be considered during one or more technical evaluation panel(s) during which the proposals will be reviewed, discussed and ranked;
• The Council, in consultation with the Delta Lead Scientist, will make funding decisions based on consideration of the technical reviews, rankings, and factors described in Section 10.4, Funding Decisions. 

Further details on each of these steps are below.

Administrative Review

Administrative review determines if the proposal meets the following criteria:

• The applicant and project are eligible. See Section 7 , Eligibility Requirements, for eligibility requirements.
• The proposal is complete. The proposal has all required sections: see Section 9 , Proposal Requirements.

Proposals that do not meet both criteria may not be considered eligible under this Solicitation.

Individual Expert Technical Reviews

All proposals that advance past administrative review will go through independent technical review by at least two external experts. Technical reviewers will be professionals in fields relevant to the proposed project and screened to avoid any potential conflicts of interest. Technical reviewers will evaluate each proposal in accordance with the Technical Review Criteria (Table 2) and may submit narrative comments that support their scores.

Table 2. Technical Review Criteria

The following is a list of questions that will be provided as guidance for proposal reviewers:

• Will the work address key scientific uncertainties and fill important information gaps? The proposed research does not have to be hypothesis-driven but must, at a minimum, include a clear statement of research questions.
• Is the underlying scientific basis or underlying knowledge base for the proposed work clearly explained, the need for the project justified, and is it based on the best possible information, such as current scientific literature, Tribal expertise, traditional knowledge, and local knowledge?
• Are the methods, including data analysis and reporting, clearly linked to and appropriate for the objectives and research questions?
• How is the project responsive to the 2022-2026 SAA? Which science action(s) will be addressed? Does the project address more than one science action? How comprehensively does the project address the science action(s)?
• Large Projects Only: Does the letter of support demonstrate an effective connection with management needs and meaningful engagement with practitioners, Delta communities, and/or resource managers?
• Is the proposed work significant on the landscape and regional scale?
• Will the information produced contribute to effective adaptive management or co-production (i.e., participatory knowledge development) of science for the Delta?
• If applicable: Will the project leverage existing datasets or tools?
• Is there evidence that the project team has made good faith efforts to engage with community groups or Tribes?
• How well does the proposed project incorporate realistic and ample opportunities for community partnership, participation, and/or input? 
• How will feedback from engagement be incorporated into or influence the proposed work?
• Will there be any co-production of knowledge or participatory research with tribal experts or community groups?
• Will the research process and/or products have the potential for a meaningful positive impact on underrepresented groups or to promote EJ?
• Will the process and /or products promote principles of justice, equity, diversity, and inclusion?
• Does the Engagement and Communication Plan explain how the information will be made directly available to the entities that will most benefit from it, including scientists, managers, and the public? 
• Does the proposed work include training and mentoring for students (K-12, undergraduate, graduate), post-doctoral scholars, and/or educators (e.g., curriculum development), particularly those from underrepresented groups and with a diversity of lived experiences?
• Is there a plan for policy engagement, such as presentations to decision-makers?
• Will the proposed work include partnerships among academic, industry, and/or non-governmental organizations?
• Does the proposed project employ methods, theories, or data from any of the social science disciplines, including but not limited to political science, sociology, economics, anthropology, geography, or psychology? 
• Does the project meaningfully integrate information on social and natural dimensions of the Delta?
• Is there an adequate description of how each element of the project will be implemented (e.g., methods, materials, equipment, responsible parties)? 
• Does the schedule demonstrate a logical sequence and timing of project tasks? Is it feasible to complete the proposed work within the proposed time frame? Are potential pitfalls and contingencies described in sufficient detail?
• Are the necessary facilities, equipment, and administrative capacity available to successfully perform and manage the proposed tasks?
• Is there justification for all costs in the budget?
• Are all costs well justified and realistic for the work being proposed?
• Does the project team have adequate expertise to complete the proposed work?
• What is the project team’s record of publication, productivity, management, engagement, training, and outreach?
• Does the DMP address all sections described in the Solicitation, including best practices for open science?

Technical Evaluation Panel(s)

The Review Panel(s) will consider the individual reviews by technical experts and rank projects according to the review criteria listed in the Individual Expert Technical Reviews Section. Members of the review panel(s) will be professionals in fields relevant to the proposed projects and screened to avoid any potential conflicts of interest.

Funding Decisions

The Council will select proposals for awards in consultation with the Delta Lead Scientist (or if the Delta Lead Scientist Position is vacant, the Deputy Executive Officer for Science or the Deputy Executive Officer for Science’s designee). Funding decisions will be made with consideration of the following: 

• Review Panel feedback and rankings
• Distribution of projects across SAA science actions
• Budget requests relative to available funds
• Management relevance to the Delta
• Distribution of applicants’ institutions and career stages 

Any funding partners will select proposals in coordination with the Council and issue intent to award letters separately. 

The intent to award does not guarantee an ensuing agreement. For proposals recommended for funding, intent to award letters will be distributed to the primary applicant and will include any requested changes to the proposal and/or budget in response to proposal review feedback. The Council reserves the right to revise funding decisions. To proceed to an executed agreement, successful applicants must provide any revisions and additional documentation as requested by Sea Grant in a timely manner.

11. Resources for Applicants

Please see the funding solicitation PDF for a full list of resources relating to:

• Science Action Agenda
• Delta Residents Survey Data
• Environmental Justice
• Community Engagement
• Data Management
• More About the Delta Stewardship Council
• State and Regional Resources
• Definitions 

Appendix A: Award Reporting Template

Appendix B: Budget Template

Appendix C: Engagement and Communication Template

Application Resources

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• Funding, fellowship, and job announcements
• Russian River Salmon & Steelhead Program
• Delta Stewardship Council Funding/Fellowships

View previous campaigns.

Computer Science Thesis Proposal

April 1, 2024 9:00am — 10:30am.

Location: 4405 - Reddy Conference Room, Gates Hillman 4405

Speaker: YIGE HONG , Ph.D. Student, Computer Science Department, Carnegie Mellon University https://www.cs.cmu.edu/~yigeh/

Understanding and Optimizing Complex Stochastic Systems Through Simple System

Complex stochastic systems that consist of a large number of interacting components naturally arise in various research domains, such as resource allocation in computing systems, congestion control in networks, wireless communication, machine maintenance, clinical trials, etc. 

The scale of these systems, coupled with the interactions among the components, makes the dynamics within them highly complex. Consequently, decision-making problems for such stochastic systems are often highly challenging. 

To understand and optimize these complex systems, we consider first solving a simple problem, and then converting the policy or performance bound obtained from the simple problem back to the complex problems. If the simple problem is properly constructed and the conversion is properly done, we can design a policy and prove its near-optimality. 

In this thesis proposal, we will present several pieces of work that investigate some example problems through the related simple systems. These problems include restless bandits, stochastic bin-packing, optimal scheduling of the G/G/k/setup queueing model, and multiserver-job scheduling. We will also present three problems that we plan to study. Two of these problems are related to restless bandits; the third problem is about the G/G/n queueing model. 

Thesis Committee:  

Weina Wang (Chair) Mor Harchol-Balter Alan Scheller-Wolf Jim Dai (Cornell University) Qiaomin Xie (University of Wisconsin-Madison) Yudong Chen (University of Wisconsin-Madison)  

 Information In Person and Zoom Participation. See announcement.

For More Information : In Person &amp; Zoom

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Opinion | Biden administration proposal threatens…

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Opinion | Biden administration proposal threatens innovative research at universities across the country

UCLA just purchased a 700,000-square-foot property in Westwood that it’s planning to remodel into a state-of-the-art research park for quantum science, immunology, immunotherapy, and other high-tech fields. UCLA has billed the park as the “future home of discoveries that will change the world.”

Despite such visionary local leadership, however, policymakers in Washington are poised to scuttle innovation at universities across the country. The Biden administration plans to reinterpret a decades-old law, the Bayh-Dole Act, that is at the heart of university-based research and development.

The proposal would affect patents on any invention arising from federally funded research. It asserts the federal government’s supposed authority to “march in” and effectively seize patents when officials think a product’s price is too high.

In essence, the federal government wants to control the price of university-based innovations. Doing so would blow up the “technology transfer” system that turns breakthrough discoveries into real solutions. Products on the chopping block include life-saving therapies and quantum computers.

This would set us back to before 1980, when the government maintained control over all patents associated with federal funding. Because Washington had neither the capacity nor incentive to commercialize these inventions, and universities cannot make and sell products on their own, publicly funded breakthroughs rarely yielded tangible benefits.

Bayh-Dole solved this problem by allowing universities and other federally funded research institutions to retain patent rights for their discoveries. That enabled them to partner with private businesses that bring their inventions to market. In turn, universities collect royalties that support more students and more research, creating a continuous cycle of innovation.

Bayh-Dole unlocked the vast innovation potential of America’s universities. Before Bayh-Dole, federally funded research had produced roughly 30,000 patents, but the government had licensed fewer than 1,500 for commercialization. In comparison, 2022 alone saw nearly 17,000 patent applications filed for federally funded discoveries and almost 10,000 licenses executed. The Act supports millions of jobs, has helped launch over 17,000 start-ups, and has contributed around $2 trillion to U.S. output.

UCLA’s new research park helps illustrate Bayh-Dole’s influence. Google, which supported UCLA’s acquisition of the site, was founded to commercialize a patented search engine algorithm from Stanford University. Meanwhile, it was a revolutionary drug developed by UCLA faculty that sparked the launch of the field of cancer immunotherapy, a primary focus of the new park.

Private sector partners are critical for bringing such university innovations to market, and they rely on patents to justify their investment. If the government casts doubt on the reliability of these patents, firms will hesitate to license and develop early-stage research. Unfortunately, the new patent seizure plan will do just that.

The administration maintains it will only exercise this newfound authority when prices are “unreasonable,” whatever that means. But if the government can decide the level of profitability, especially based on such arbitrary, unpredictable standards, the private sector will avoid all promising inventions generated from federal funds. In the end, they will not reach the public.

Not only is the proposal bad policy, it is also illegal. The Bayh-Dole Act does not give the administration price-control authority. In fact, the law’s bipartisan architects, Senators Birch Bayh and Bob Dole, explicitly cautioned against it. And every single presidential administration, from both parties, has consistently declined to use the law to regulate prices.

UCLA envisions the new research park as “bring[ing] scholars from different higher education institutions, corporate partners, government agencies and startups together to…achieve breakthroughs that will serve our global society.” This type of cooperation has become the norm under Bayh-Dole. It will end abruptly if the Biden administration rewrites the rules of the game.

Fortunately, there are better approaches to improving access to drugs and other technologies. UCLA, for example, recently partnered with the UN’s Medicines Patent Pool and the student-led UAEM (Universities Allied for Essential Medicines) to require that licenses include an Affordable Access Plan for low- and middle-income countries. Leaving the crafting of such plans to private-public partnerships makes more sense than Washington big-footing it.

UCLA is investing $500 million in developing the new research park. The private sector will add much more. But for these investments to ultimately benefit the public, the Biden administration must lay off Bayh-Dole.

Amir Naiberg serves as associate vice chancellor and president & CEO of UCLA Technology Development Corporation. Andrei Iancu served as the undersecretary of Commerce for intellectual property and director of the U.S. Patent and Trademark Office from 2018 to 2021 and serves as board co-chair of the Council for Innovation Promotion.

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*New* Call for Proposals: University of Wisconsin Retirement and Disability Research Consortium (UW-RDRC) FY 2025

Posted: 4/3/2024 (Funding)

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Deadline: 04/19/2024