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How to Write a Conclusion for Research Papers (with Examples)

The conclusion of a research paper is a crucial section that plays a significant role in the overall impact and effectiveness of your research paper. However, this is also the section that typically receives less attention compared to the introduction and the body of the paper. The conclusion serves to provide a concise summary of the key findings, their significance, their implications, and a sense of closure to the study. Discussing how can the findings be applied in real-world scenarios or inform policy, practice, or decision-making is especially valuable to practitioners and policymakers. The research paper conclusion also provides researchers with clear insights and valuable information for their own work, which they can then build on and contribute to the advancement of knowledge in the field.

The research paper conclusion should explain the significance of your findings within the broader context of your field. It restates how your results contribute to the existing body of knowledge and whether they confirm or challenge existing theories or hypotheses. Also, by identifying unanswered questions or areas requiring further investigation, your awareness of the broader research landscape can be demonstrated.

Remember to tailor the research paper conclusion to the specific needs and interests of your intended audience, which may include researchers, practitioners, policymakers, or a combination of these.

Table of Contents

What is a conclusion in a research paper, summarizing conclusion, editorial conclusion, externalizing conclusion, importance of a good research paper conclusion, how to write a conclusion for your research paper, research paper conclusion examples.

• How to write a research paper conclusion with Paperpal? 

Frequently Asked Questions

A conclusion in a research paper is the final section where you summarize and wrap up your research, presenting the key findings and insights derived from your study. The research paper conclusion is not the place to introduce new information or data that was not discussed in the main body of the paper. When working on how to conclude a research paper, remember to stick to summarizing and interpreting existing content. The research paper conclusion serves the following purposes: 1

• Warn readers of the possible consequences of not attending to the problem.
• Recommend specific course(s) of action.
• Restate key ideas to drive home the ultimate point of your research paper.
• Provide a “take-home” message that you want the readers to remember about your study.

Types of conclusions for research papers

In research papers, the conclusion provides closure to the reader. The type of research paper conclusion you choose depends on the nature of your study, your goals, and your target audience. I provide you with three common types of conclusions:

A summarizing conclusion is the most common type of conclusion in research papers. It involves summarizing the main points, reiterating the research question, and restating the significance of the findings. This common type of research paper conclusion is used across different disciplines.

An editorial conclusion is less common but can be used in research papers that are focused on proposing or advocating for a particular viewpoint or policy. It involves presenting a strong editorial or opinion based on the research findings and offering recommendations or calls to action.

An externalizing conclusion is a type of conclusion that extends the research beyond the scope of the paper by suggesting potential future research directions or discussing the broader implications of the findings. This type of conclusion is often used in more theoretical or exploratory research papers.

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The conclusion in a research paper serves several important purposes:

• Offers Implications and Recommendations : Your research paper conclusion is an excellent place to discuss the broader implications of your research and suggest potential areas for further study. It’s also an opportunity to offer practical recommendations based on your findings.
• Provides Closure : A good research paper conclusion provides a sense of closure to your paper. It should leave the reader with a feeling that they have reached the end of a well-structured and thought-provoking research project.
• Leaves a Lasting Impression : Writing a well-crafted research paper conclusion leaves a lasting impression on your readers. It’s your final opportunity to leave them with a new idea, a call to action, or a memorable quote.

Writing a strong conclusion for your research paper is essential to leave a lasting impression on your readers. Here’s a step-by-step process to help you create and know what to put in the conclusion of a research paper: 2

• Research Statement : Begin your research paper conclusion by restating your research statement. This reminds the reader of the main point you’ve been trying to prove throughout your paper. Keep it concise and clear.
• Key Points : Summarize the main arguments and key points you’ve made in your paper. Avoid introducing new information in the research paper conclusion. Instead, provide a concise overview of what you’ve discussed in the body of your paper.
• Address the Research Questions : If your research paper is based on specific research questions or hypotheses, briefly address whether you’ve answered them or achieved your research goals. Discuss the significance of your findings in this context.
• Significance : Highlight the importance of your research and its relevance in the broader context. Explain why your findings matter and how they contribute to the existing knowledge in your field.
• Implications : Explore the practical or theoretical implications of your research. How might your findings impact future research, policy, or real-world applications? Consider the “so what?” question.
• Future Research : Offer suggestions for future research in your area. What questions or aspects remain unanswered or warrant further investigation? This shows that your work opens the door for future exploration.
• Closing Thought : Conclude your research paper conclusion with a thought-provoking or memorable statement. This can leave a lasting impression on your readers and wrap up your paper effectively. Avoid introducing new information or arguments here.
• Proofread and Revise : Carefully proofread your conclusion for grammar, spelling, and clarity. Ensure that your ideas flow smoothly and that your conclusion is coherent and well-structured.

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Remember that a well-crafted research paper conclusion is a reflection of the strength of your research and your ability to communicate its significance effectively. It should leave a lasting impression on your readers and tie together all the threads of your paper. Now you know how to start the conclusion of a research paper and what elements to include to make it impactful, let’s look at a research paper conclusion sample.

How to write a research paper conclusion with Paperpal?

A research paper conclusion is not just a summary of your study, but a synthesis of the key findings that ties the research together and places it in a broader context. A research paper conclusion should be concise, typically around one paragraph in length. However, some complex topics may require a longer conclusion to ensure the reader is left with a clear understanding of the study’s significance. Paperpal, an AI writing assistant trusted by over 800,000 academics globally, can help you write a well-structured conclusion for your research paper. 

• Sign Up or Log In: Create a new Paperpal account or login with your details.  
• Navigate to Features : Once logged in, head over to the features’ side navigation pane. Click on Templates and you’ll find a suite of generative AI features to help you write better, faster.  
• Generate an outline: Under Templates, select ‘Outlines’. Choose ‘Research article’ as your document type.  
• Select your section: Since you’re focusing on the conclusion, select this section when prompted.  
• Choose your field of study: Identifying your field of study allows Paperpal to provide more targeted suggestions, ensuring the relevance of your conclusion to your specific area of research. 
• Provide a brief description of your study: Enter details about your research topic and findings. This information helps Paperpal generate a tailored outline that aligns with your paper’s content. 
• Generate the conclusion outline: After entering all necessary details, click on ‘generate’. Paperpal will then create a structured outline for your conclusion, to help you start writing and build upon the outline.  
• Write your conclusion: Use the generated outline to build your conclusion. The outline serves as a guide, ensuring you cover all critical aspects of a strong conclusion, from summarizing key findings to highlighting the research’s implications. 
• Refine and enhance: Paperpal’s ‘Make Academic’ feature can be particularly useful in the final stages. Select any paragraph of your conclusion and use this feature to elevate the academic tone, ensuring your writing is aligned to the academic journal standards. 

By following these steps, Paperpal not only simplifies the process of writing a research paper conclusion but also ensures it is impactful, concise, and aligned with academic standards. Sign up with Paperpal today and write your research paper conclusion 2x faster .  

The research paper conclusion is a crucial part of your paper as it provides the final opportunity to leave a strong impression on your readers. In the research paper conclusion, summarize the main points of your research paper by restating your research statement, highlighting the most important findings, addressing the research questions or objectives, explaining the broader context of the study, discussing the significance of your findings, providing recommendations if applicable, and emphasizing the takeaway message. The main purpose of the conclusion is to remind the reader of the main point or argument of your paper and to provide a clear and concise summary of the key findings and their implications. All these elements should feature on your list of what to put in the conclusion of a research paper to create a strong final statement for your work.

A strong conclusion is a critical component of a research paper, as it provides an opportunity to wrap up your arguments, reiterate your main points, and leave a lasting impression on your readers. Here are the key elements of a strong research paper conclusion: 1. Conciseness : A research paper conclusion should be concise and to the point. It should not introduce new information or ideas that were not discussed in the body of the paper. 2. Summarization : The research paper conclusion should be comprehensive enough to give the reader a clear understanding of the research’s main contributions. 3 . Relevance : Ensure that the information included in the research paper conclusion is directly relevant to the research paper’s main topic and objectives; avoid unnecessary details. 4 . Connection to the Introduction : A well-structured research paper conclusion often revisits the key points made in the introduction and shows how the research has addressed the initial questions or objectives. 5. Emphasis : Highlight the significance and implications of your research. Why is your study important? What are the broader implications or applications of your findings? 6 . Call to Action : Include a call to action or a recommendation for future research or action based on your findings.

The length of a research paper conclusion can vary depending on several factors, including the overall length of the paper, the complexity of the research, and the specific journal requirements. While there is no strict rule for the length of a conclusion, but it’s generally advisable to keep it relatively short. A typical research paper conclusion might be around 5-10% of the paper’s total length. For example, if your paper is 10 pages long, the conclusion might be roughly half a page to one page in length.

In general, you do not need to include citations in the research paper conclusion. Citations are typically reserved for the body of the paper to support your arguments and provide evidence for your claims. However, there may be some exceptions to this rule: 1. If you are drawing a direct quote or paraphrasing a specific source in your research paper conclusion, you should include a citation to give proper credit to the original author. 2. If your conclusion refers to or discusses specific research, data, or sources that are crucial to the overall argument, citations can be included to reinforce your conclusion’s validity.

The conclusion of a research paper serves several important purposes: 1. Summarize the Key Points 2. Reinforce the Main Argument 3. Provide Closure 4. Offer Insights or Implications 5. Engage the Reader. 6. Reflect on Limitations

Remember that the primary purpose of the research paper conclusion is to leave a lasting impression on the reader, reinforcing the key points and providing closure to your research. It’s often the last part of the paper that the reader will see, so it should be strong and well-crafted.

• Makar, G., Foltz, C., Lendner, M., & Vaccaro, A. R. (2018). How to write effective discussion and conclusion sections. Clinical spine surgery, 31(8), 345-346.
• Bunton, D. (2005). The structure of PhD conclusion chapters.  Journal of English for academic purposes ,  4 (3), 207-224.

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• How to Write Discussions and Conclusions

The discussion section contains the results and outcomes of a study. An effective discussion informs readers what can be learned from your experiment and provides context for the results.

What makes an effective discussion?

When you’re ready to write your discussion, you’ve already introduced the purpose of your study and provided an in-depth description of the methodology. The discussion informs readers about the larger implications of your study based on the results. Highlighting these implications while not overstating the findings can be challenging, especially when you’re submitting to a journal that selects articles based on novelty or potential impact. Regardless of what journal you are submitting to, the discussion section always serves the same purpose: concluding what your study results actually mean.

A successful discussion section puts your findings in context. It should include:

• the results of your research,
• a discussion of related research, and
• a comparison between your results and initial hypothesis.

Tip: Not all journals share the same naming conventions.

You can apply the advice in this article to the conclusion, results or discussion sections of your manuscript.

Our Early Career Researcher community tells us that the conclusion is often considered the most difficult aspect of a manuscript to write. To help, this guide provides questions to ask yourself, a basic structure to model your discussion off of and examples from published manuscripts. 

Questions to ask yourself:

• Was my hypothesis correct?
• If my hypothesis is partially correct or entirely different, what can be learned from the results? 
• How do the conclusions reshape or add onto the existing knowledge in the field? What does previous research say about the topic? 
• Why are the results important or relevant to your audience? Do they add further evidence to a scientific consensus or disprove prior studies? 
• How can future research build on these observations? What are the key experiments that must be done? 
• What is the “take-home” message you want your reader to leave with?

How to structure a discussion

Trying to fit a complete discussion into a single paragraph can add unnecessary stress to the writing process. If possible, you’ll want to give yourself two or three paragraphs to give the reader a comprehensive understanding of your study as a whole. Here’s one way to structure an effective discussion:

Writing Tips

While the above sections can help you brainstorm and structure your discussion, there are many common mistakes that writers revert to when having difficulties with their paper. Writing a discussion can be a delicate balance between summarizing your results, providing proper context for your research and avoiding introducing new information. Remember that your paper should be both confident and honest about the results! 

• Read the journal’s guidelines on the discussion and conclusion sections. If possible, learn about the guidelines before writing the discussion to ensure you’re writing to meet their expectations. 
• Begin with a clear statement of the principal findings. This will reinforce the main take-away for the reader and set up the rest of the discussion. 
• Explain why the outcomes of your study are important to the reader. Discuss the implications of your findings realistically based on previous literature, highlighting both the strengths and limitations of the research. 
• State whether the results prove or disprove your hypothesis. If your hypothesis was disproved, what might be the reasons? 
• Introduce new or expanded ways to think about the research question. Indicate what next steps can be taken to further pursue any unresolved questions. 
• If dealing with a contemporary or ongoing problem, such as climate change, discuss possible consequences if the problem is avoided. 
• Be concise. Adding unnecessary detail can distract from the main findings. 

Don’t

• Rewrite your abstract. Statements with “we investigated” or “we studied” generally do not belong in the discussion. 
• Include new arguments or evidence not previously discussed. Necessary information and evidence should be introduced in the main body of the paper. 
• Apologize. Even if your research contains significant limitations, don’t undermine your authority by including statements that doubt your methodology or execution. 
• Shy away from speaking on limitations or negative results. Including limitations and negative results will give readers a complete understanding of the presented research. Potential limitations include sources of potential bias, threats to internal or external validity, barriers to implementing an intervention and other issues inherent to the study design. 
• Overstate the importance of your findings. Making grand statements about how a study will fully resolve large questions can lead readers to doubt the success of the research. 

Snippets of Effective Discussions:

Consumer-based actions to reduce plastic pollution in rivers: A multi-criteria decision analysis approach

Identifying reliable indicators of fitness in polar bears

• How to Write a Great Title
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The conclusion is intended to help the reader understand why your research should matter to them after they have finished reading the paper. A conclusion is not merely a summary of the main topics covered or a re-statement of your research problem, but a synthesis of key points derived from the findings of your study and, if applicable, where you recommend new areas for future research. For most college-level research papers, two or three well-developed paragraphs is sufficient for a conclusion, although in some cases, more paragraphs may be required in describing the key findings and their significance.

Conclusions. The Writing Center. University of North Carolina; Conclusions. The Writing Lab and The OWL. Purdue University.

Importance of a Good Conclusion

A well-written conclusion provides you with important opportunities to demonstrate to the reader your understanding of the research problem. These include:

• Presenting the last word on the issues you raised in your paper . Just as the introduction gives a first impression to your reader, the conclusion offers a chance to leave a lasting impression. Do this, for example, by highlighting key findings in your analysis that advance new understanding about the research problem, that are unusual or unexpected, or that have important implications applied to practice.
• Summarizing your thoughts and conveying the larger significance of your study . The conclusion is an opportunity to succinctly re-emphasize  your answer to the "So What?" question by placing the study within the context of how your research advances past research about the topic.
• Identifying how a gap in the literature has been addressed . The conclusion can be where you describe how a previously identified gap in the literature [first identified in your literature review section] has been addressed by your research and why this contribution is significant.
• Demonstrating the importance of your ideas . Don't be shy. The conclusion offers an opportunity to elaborate on the impact and significance of your findings. This is particularly important if your study approached examining the research problem from an unusual or innovative perspective.
• Introducing possible new or expanded ways of thinking about the research problem . This does not refer to introducing new information [which should be avoided], but to offer new insight and creative approaches for framing or contextualizing the research problem based on the results of your study.

Bunton, David. “The Structure of PhD Conclusion Chapters.” Journal of English for Academic Purposes 4 (July 2005): 207–224; Conclusions. The Writing Center. University of North Carolina; Kretchmer, Paul. Twelve Steps to Writing an Effective Conclusion. San Francisco Edit, 2003-2008; Conclusions. The Writing Lab and The OWL. Purdue University; Assan, Joseph. "Writing the Conclusion Chapter: The Good, the Bad and the Missing." Liverpool: Development Studies Association (2009): 1-8.

Structure and Writing Style

I.  General Rules

The general function of your paper's conclusion is to restate the main argument . It reminds the reader of the strengths of your main argument(s) and reiterates the most important evidence supporting those argument(s). Do this by clearly summarizing the context, background, and necessity of pursuing the research problem you investigated in relation to an issue, controversy, or a gap found in the literature. However, make sure that your conclusion is not simply a repetitive summary of the findings. This reduces the impact of the argument(s) you have developed in your paper.

When writing the conclusion to your paper, follow these general rules:

• Present your conclusions in clear, concise language. Re-state the purpose of your study, then describe how your findings differ or support those of other studies and why [i.e., what were the unique, new, or crucial contributions your study made to the overall research about your topic?].
• Do not simply reiterate your findings or the discussion of your results. Provide a synthesis of arguments presented in the paper to show how these converge to address the research problem and the overall objectives of your study.
• Indicate opportunities for future research if you haven't already done so in the discussion section of your paper. Highlighting the need for further research provides the reader with evidence that you have an in-depth awareness of the research problem but that further investigations should take place beyond the scope of your investigation.

Consider the following points to help ensure your conclusion is presented well:

• If the argument or purpose of your paper is complex, you may need to summarize the argument for your reader.
• If, prior to your conclusion, you have not yet explained the significance of your findings or if you are proceeding inductively, use the end of your paper to describe your main points and explain their significance.
• Move from a detailed to a general level of consideration that returns the topic to the context provided by the introduction or within a new context that emerges from the data [this is opposite of the introduction, which begins with general discussion of the context and ends with a detailed description of the research problem]. 

The conclusion also provides a place for you to persuasively and succinctly restate the research problem, given that the reader has now been presented with all the information about the topic . Depending on the discipline you are writing in, the concluding paragraph may contain your reflections on the evidence presented. However, the nature of being introspective about the research you have conducted will depend on the topic and whether your professor wants you to express your observations in this way. If asked to think introspectively about the topics, do not delve into idle speculation. Being introspective means looking within yourself as an author to try and understand an issue more deeply, not to guess at possible outcomes or make up scenarios not supported by the evidence.

II.  Developing a Compelling Conclusion

Although an effective conclusion needs to be clear and succinct, it does not need to be written passively or lack a compelling narrative. Strategies to help you move beyond merely summarizing the key points of your research paper may include any of the following:

• If your essay deals with a critical, contemporary problem, warn readers of the possible consequences of not attending to the problem proactively.
• Recommend a specific course or courses of action that, if adopted, could address a specific problem in practice or in the development of new knowledge leading to positive change.
• Cite a relevant quotation or expert opinion already noted in your paper in order to lend authority and support to the conclusion(s) you have reached [a good source would be from your literature review].
• Explain the consequences of your research in a way that elicits action or demonstrates urgency in seeking change.
• Restate a key statistic, fact, or visual image to emphasize the most important finding of your paper.
• If your discipline encourages personal reflection, illustrate your concluding point by drawing from your own life experiences.
• Return to an anecdote, an example, or a quotation that you presented in your introduction, but add further insight derived from the findings of your study; use your interpretation of results from your study to recast it in new or important ways.
• Provide a "take-home" message in the form of a succinct, declarative statement that you want the reader to remember about your study.

III. Problems to Avoid

Failure to be concise Your conclusion section should be concise and to the point. Conclusions that are too lengthy often have unnecessary information in them. The conclusion is not the place for details about your methodology or results. Although you should give a summary of what was learned from your research, this summary should be relatively brief, since the emphasis in the conclusion is on the implications, evaluations, insights, and other forms of analysis that you make. Strategies for writing concisely can be found here .

Failure to comment on larger, more significant issues In the introduction, your task was to move from the general [the field of study] to the specific [the research problem]. However, in the conclusion, your task is to move from a specific discussion [your research problem] back to a general discussion framed around the implications and significance of your findings [i.e., how your research contributes new understanding or fills an important gap in the literature]. In short, the conclusion is where you should place your research within a larger context [visualize your paper as an hourglass--start with a broad introduction and review of the literature, move to the specific analysis and discussion, conclude with a broad summary of the study's implications and significance].

Failure to reveal problems and negative results Negative aspects of the research process should never be ignored. These are problems, deficiencies, or challenges encountered during your study. They should be summarized as a way of qualifying your overall conclusions. If you encountered negative or unintended results [i.e., findings that are validated outside the research context in which they were generated], you must report them in the results section and discuss their implications in the discussion section of your paper. In the conclusion, use negative results as an opportunity to explain their possible significance and/or how they may form the basis for future research.

Failure to provide a clear summary of what was learned In order to be able to discuss how your research fits within your field of study [and possibly the world at large], you need to summarize briefly and succinctly how it contributes to new knowledge or a new understanding about the research problem. This element of your conclusion may be only a few sentences long.

Failure to match the objectives of your research Often research objectives in the social and behavioral sciences change while the research is being carried out. This is not a problem unless you forget to go back and refine the original objectives in your introduction. As these changes emerge they must be documented so that they accurately reflect what you were trying to accomplish in your research [not what you thought you might accomplish when you began].

Resist the urge to apologize If you've immersed yourself in studying the research problem, you presumably should know a good deal about it [perhaps even more than your professor!]. Nevertheless, by the time you have finished writing, you may be having some doubts about what you have produced. Repress those doubts! Don't undermine your authority as a researcher by saying something like, "This is just one approach to examining this problem; there may be other, much better approaches that...." The overall tone of your conclusion should convey confidence to the reader about the study's validity and realiability.

Assan, Joseph. "Writing the Conclusion Chapter: The Good, the Bad and the Missing." Liverpool: Development Studies Association (2009): 1-8; Concluding Paragraphs. College Writing Center at Meramec. St. Louis Community College; Conclusions. The Writing Center. University of North Carolina; Conclusions. The Writing Lab and The OWL. Purdue University; Freedman, Leora  and Jerry Plotnick. Introductions and Conclusions. The Lab Report. University College Writing Centre. University of Toronto; Leibensperger, Summer. Draft Your Conclusion. Academic Center, the University of Houston-Victoria, 2003; Make Your Last Words Count. The Writer’s Handbook. Writing Center. University of Wisconsin Madison; Miquel, Fuster-Marquez and Carmen Gregori-Signes. “Chapter Six: ‘Last but Not Least:’ Writing the Conclusion of Your Paper.” In Writing an Applied Linguistics Thesis or Dissertation: A Guide to Presenting Empirical Research . John Bitchener, editor. (Basingstoke,UK: Palgrave Macmillan, 2010), pp. 93-105; Tips for Writing a Good Conclusion. Writing@CSU. Colorado State University; Kretchmer, Paul. Twelve Steps to Writing an Effective Conclusion. San Francisco Edit, 2003-2008; Writing Conclusions. Writing Tutorial Services, Center for Innovative Teaching and Learning. Indiana University; Writing: Considering Structure and Organization. Institute for Writing Rhetoric. Dartmouth College.

Writing Tip

Don't Belabor the Obvious!

Avoid phrases like "in conclusion...," "in summary...," or "in closing...." These phrases can be useful, even welcome, in oral presentations. But readers can see by the tell-tale section heading and number of pages remaining that they are reaching the end of your paper. You'll irritate your readers if you belabor the obvious.

Assan, Joseph. "Writing the Conclusion Chapter: The Good, the Bad and the Missing." Liverpool: Development Studies Association (2009): 1-8.

Another Writing Tip

New Insight, Not New Information!

Don't surprise the reader with new information in your conclusion that was never referenced anywhere else in the paper. This why the conclusion rarely has citations to sources. If you have new information to present, add it to the discussion or other appropriate section of the paper. Note that, although no new information is introduced, the conclusion, along with the discussion section, is where you offer your most "original" contributions in the paper; the conclusion is where you describe the value of your research, demonstrate that you understand the material that you’ve presented, and position your findings within the larger context of scholarship on the topic, including describing how your research contributes new insights to that scholarship.

Assan, Joseph. "Writing the Conclusion Chapter: The Good, the Bad and the Missing." Liverpool: Development Studies Association (2009): 1-8; Conclusions. The Writing Center. University of North Carolina.

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Conclusions

What this handout is about.

This handout will explain the functions of conclusions, offer strategies for writing effective ones, help you evaluate conclusions you’ve drafted, and suggest approaches to avoid.

About conclusions

Introductions and conclusions can be difficult to write, but they’re worth investing time in. They can have a significant influence on a reader’s experience of your paper.

Just as your introduction acts as a bridge that transports your readers from their own lives into the “place” of your analysis, your conclusion can provide a bridge to help your readers make the transition back to their daily lives. Such a conclusion will help them see why all your analysis and information should matter to them after they put the paper down.

Your conclusion is your chance to have the last word on the subject. The conclusion allows you to have the final say on the issues you have raised in your paper, to synthesize your thoughts, to demonstrate the importance of your ideas, and to propel your reader to a new view of the subject. It is also your opportunity to make a good final impression and to end on a positive note.

Your conclusion can go beyond the confines of the assignment. The conclusion pushes beyond the boundaries of the prompt and allows you to consider broader issues, make new connections, and elaborate on the significance of your findings.

Your conclusion should make your readers glad they read your paper. Your conclusion gives your reader something to take away that will help them see things differently or appreciate your topic in personally relevant ways. It can suggest broader implications that will not only interest your reader, but also enrich your reader’s life in some way. It is your gift to the reader.

Strategies for writing an effective conclusion

One or more of the following strategies may help you write an effective conclusion:

• Play the “So What” Game. If you’re stuck and feel like your conclusion isn’t saying anything new or interesting, ask a friend to read it with you. Whenever you make a statement from your conclusion, ask the friend to say, “So what?” or “Why should anybody care?” Then ponder that question and answer it. Here’s how it might go: You: Basically, I’m just saying that education was important to Douglass. Friend: So what? You: Well, it was important because it was a key to him feeling like a free and equal citizen. Friend: Why should anybody care? You: That’s important because plantation owners tried to keep slaves from being educated so that they could maintain control. When Douglass obtained an education, he undermined that control personally. You can also use this strategy on your own, asking yourself “So What?” as you develop your ideas or your draft.
• Return to the theme or themes in the introduction. This strategy brings the reader full circle. For example, if you begin by describing a scenario, you can end with the same scenario as proof that your essay is helpful in creating a new understanding. You may also refer to the introductory paragraph by using key words or parallel concepts and images that you also used in the introduction.
• Synthesize, don’t summarize. Include a brief summary of the paper’s main points, but don’t simply repeat things that were in your paper. Instead, show your reader how the points you made and the support and examples you used fit together. Pull it all together.
• Include a provocative insight or quotation from the research or reading you did for your paper.
• Propose a course of action, a solution to an issue, or questions for further study. This can redirect your reader’s thought process and help them to apply your info and ideas to their own life or to see the broader implications.
• Point to broader implications. For example, if your paper examines the Greensboro sit-ins or another event in the Civil Rights Movement, you could point out its impact on the Civil Rights Movement as a whole. A paper about the style of writer Virginia Woolf could point to her influence on other writers or on later feminists.

Strategies to avoid

• Beginning with an unnecessary, overused phrase such as “in conclusion,” “in summary,” or “in closing.” Although these phrases can work in speeches, they come across as wooden and trite in writing.
• Stating the thesis for the very first time in the conclusion.
• Introducing a new idea or subtopic in your conclusion.
• Ending with a rephrased thesis statement without any substantive changes.
• Making sentimental, emotional appeals that are out of character with the rest of an analytical paper.
• Including evidence (quotations, statistics, etc.) that should be in the body of the paper.

Four kinds of ineffective conclusions

• The “That’s My Story and I’m Sticking to It” Conclusion. This conclusion just restates the thesis and is usually painfully short. It does not push the ideas forward. People write this kind of conclusion when they can’t think of anything else to say. Example: In conclusion, Frederick Douglass was, as we have seen, a pioneer in American education, proving that education was a major force for social change with regard to slavery.
• The “Sherlock Holmes” Conclusion. Sometimes writers will state the thesis for the very first time in the conclusion. You might be tempted to use this strategy if you don’t want to give everything away too early in your paper. You may think it would be more dramatic to keep the reader in the dark until the end and then “wow” them with your main idea, as in a Sherlock Holmes mystery. The reader, however, does not expect a mystery, but an analytical discussion of your topic in an academic style, with the main argument (thesis) stated up front. Example: (After a paper that lists numerous incidents from the book but never says what these incidents reveal about Douglass and his views on education): So, as the evidence above demonstrates, Douglass saw education as a way to undermine the slaveholders’ power and also an important step toward freedom.
• The “America the Beautiful”/”I Am Woman”/”We Shall Overcome” Conclusion. This kind of conclusion usually draws on emotion to make its appeal, but while this emotion and even sentimentality may be very heartfelt, it is usually out of character with the rest of an analytical paper. A more sophisticated commentary, rather than emotional praise, would be a more fitting tribute to the topic. Example: Because of the efforts of fine Americans like Frederick Douglass, countless others have seen the shining beacon of light that is education. His example was a torch that lit the way for others. Frederick Douglass was truly an American hero.
• The “Grab Bag” Conclusion. This kind of conclusion includes extra information that the writer found or thought of but couldn’t integrate into the main paper. You may find it hard to leave out details that you discovered after hours of research and thought, but adding random facts and bits of evidence at the end of an otherwise-well-organized essay can just create confusion. Example: In addition to being an educational pioneer, Frederick Douglass provides an interesting case study for masculinity in the American South. He also offers historians an interesting glimpse into slave resistance when he confronts Covey, the overseer. His relationships with female relatives reveal the importance of family in the slave community.

Works consulted

We consulted these works while writing this handout. This is not a comprehensive list of resources on the handout’s topic, and we encourage you to do your own research to find additional publications. Please do not use this list as a model for the format of your own reference list, as it may not match the citation style you are using. For guidance on formatting citations, please see the UNC Libraries citation tutorial . We revise these tips periodically and welcome feedback.

Douglass, Frederick. 1995. Narrative of the Life of Frederick Douglass, an American Slave, Written by Himself. New York: Dover.

Hamilton College. n.d. “Conclusions.” Writing Center. Accessed June 14, 2019. https://www.hamilton.edu//academics/centers/writing/writing-resources/conclusions .

Holewa, Randa. 2004. “Strategies for Writing a Conclusion.” LEO: Literacy Education Online. Last updated February 19, 2004. https://leo.stcloudstate.edu/acadwrite/conclude.html.

You may reproduce it for non-commercial use if you use the entire handout and attribute the source: The Writing Center, University of North Carolina at Chapel Hill

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How To Write The Conclusion Chapter

A Simple Explainer With Examples + Free Template

By: Jenna Crossley (PhD) | Reviewed By: Dr. Eunice Rautenbach | September 2021

So, you’ve wrapped up your results and discussion chapters, and you’re finally on the home stretch – the conclusion chapter . In this post, we’ll discuss everything you need to know to craft a high-quality conclusion chapter for your dissertation or thesis project.

Overview: The Conclusion Chapter

• What the thesis/dissertation conclusion chapter is
• What to include in your conclusion
• How to structure and write up your conclusion
• A few tips  to help you ace the chapter
• FREE conclusion template

What is the conclusion chapter?

The conclusion chapter is typically the final major chapter of a dissertation or thesis. As such, it serves as a concluding summary of your research findings and wraps up the document. While some publications such as journal articles and research reports combine the discussion and conclusion sections, these are typically separate chapters in a dissertation or thesis. As always, be sure to check what your university’s structural preference is before you start writing up these chapters.

So, what’s the difference between the discussion and the conclusion chapter?

Well, the two chapters are quite similar , as they both discuss the key findings of the study. However, the conclusion chapter is typically more general and high-level in nature. In your discussion chapter, you’ll typically discuss the intricate details of your study, but in your conclusion chapter, you’ll take a   broader perspective, reporting on the main research outcomes and how these addressed your research aim (or aims) .

A core function of the conclusion chapter is to synthesise all major points covered in your study and to tell the reader what they should take away from your work. Basically, you need to tell them what you found , why it’s valuable , how it can be applied , and what further research can be done.

Whatever you do, don’t just copy and paste what you’ve written in your discussion chapter! The conclusion chapter should not be a simple rehash of the discussion chapter. While the two chapters are similar, they have distinctly different functions.  

What should I include in the conclusion chapter?

To understand what needs to go into your conclusion chapter, it’s useful to understand what the chapter needs to achieve. In general, a good dissertation conclusion chapter should achieve the following:

• Summarise the key findings of the study
• Explicitly answer the research question(s) and address the research aims
• Inform the reader of the study’s main contributions
• Discuss any limitations or weaknesses of the study
• Present recommendations for future research

Therefore, your conclusion chapter needs to cover these core components. Importantly, you need to be careful not to include any new findings or data points. Your conclusion chapter should be based purely on data and analysis findings that you’ve already presented in the earlier chapters. If there’s a new point you want to introduce, you’ll need to go back to your results and discussion chapters to weave the foundation in there.

In many cases, readers will jump from the introduction chapter directly to the conclusions chapter to get a quick overview of the study’s purpose and key findings. Therefore, when you write up your conclusion chapter, it’s useful to assume that the reader hasn’t consumed the inner chapters of your dissertation or thesis. In other words, craft your conclusion chapter such that there’s a strong connection and smooth flow between the introduction and conclusion chapters, even though they’re on opposite ends of your document.

Need a helping hand?

How to write the conclusion chapter

Now that you have a clearer view of what the conclusion chapter is about, let’s break down the structure of this chapter so that you can get writing. Keep in mind that this is merely a typical structure – it’s not set in stone or universal. Some universities will prefer that you cover some of these points in the discussion chapter , or that you cover the points at different levels in different chapters.

Step 1: Craft a brief introduction section

As with all chapters in your dissertation or thesis, the conclusions chapter needs to start with a brief introduction. In this introductory section, you’ll want to tell the reader what they can expect to find in the chapter, and in what order . Here’s an example of what this might look like:

This chapter will conclude the study by summarising the key research findings in relation to the research aims and questions and discussing the value and contribution thereof. It will also review the limitations of the study and propose opportunities for future research.

Importantly, the objective here is just to give the reader a taste of what’s to come (a roadmap of sorts), not a summary of the chapter. So, keep it short and sweet – a paragraph or two should be ample.

Step 2: Discuss the overall findings in relation to the research aims

The next step in writing your conclusions chapter is to discuss the overall findings of your study , as they relate to the research aims and research questions . You would have likely covered similar ground in the discussion chapter, so it’s important to zoom out a little bit here and focus on the broader findings – specifically, how these help address the research aims .

In practical terms, it’s useful to start this section by reminding your reader of your research aims and research questions, so that the findings are well contextualised. In this section, phrases such as, “This study aimed to…” and “the results indicate that…” will likely come in handy. For example, you could say something like the following:

This study aimed to investigate the feeding habits of the naked mole-rat. The results indicate that naked mole rats feed on underground roots and tubers. Further findings show that these creatures eat only a part of the plant, leaving essential parts to ensure long-term food stability.

Be careful not to make overly bold claims here. Avoid claims such as “this study proves that” or “the findings disprove existing the existing theory”. It’s seldom the case that a single study can prove or disprove something. Typically, this is achieved by a broader body of research, not a single study – especially not a dissertation or thesis which will inherently have significant  limitations . We’ll discuss those limitations a little later.

Step 3: Discuss how your study contributes to the field

Next, you’ll need to discuss how your research has contributed to the field – both in terms of theory and practice . This involves talking about what you achieved in your study, highlighting why this is important and valuable, and how it can be used or applied.

In this section you’ll want to:

• Mention any research outputs created as a result of your study (e.g., articles, publications, etc.)
• Inform the reader on just how your research solves your research problem , and why that matters
• Reflect on gaps in the existing research and discuss how your study contributes towards addressing these gaps
• Discuss your study in relation to relevant theories . For example, does it confirm these theories or constructively challenge them?
• Discuss how your research findings can be applied in the real world . For example, what specific actions can practitioners take, based on your findings?

Be careful to strike a careful balance between being firm but humble in your arguments here. It’s unlikely that your one study will fundamentally change paradigms or shake up the discipline, so making claims to this effect will be frowned upon . At the same time though, you need to present your arguments with confidence, firmly asserting the contribution your research has made, however small that contribution may be. Simply put, you need to keep it balanced .

Step 4: Reflect on the limitations of your study

Now that you’ve pumped your research up, the next step is to critically reflect on the limitations and potential shortcomings of your study. You may have already covered this in the discussion chapter, depending on your university’s structural preferences, so be careful not to repeat yourself unnecessarily.

There are many potential limitations that can apply to any given study. Some common ones include:

• Sampling issues that reduce the generalisability of the findings (e.g., non-probability sampling )
• Insufficient sample size (e.g., not getting enough survey responses ) or limited data access
• Low-resolution data collection or analysis techniques
• Researcher bias or lack of experience
• Lack of access to research equipment
• Time constraints that limit the methodology (e.g. cross-sectional vs longitudinal time horizon)
• Budget constraints that limit various aspects of the study

Discussing the limitations of your research may feel self-defeating (no one wants to highlight their weaknesses, right), but it’s a critical component of high-quality research. It’s important to appreciate that all studies have limitations (even well-funded studies by expert researchers) – therefore acknowledging these limitations adds credibility to your research by showing that you understand the limitations of your research design .

That being said, keep an eye on your wording and make sure that you don’t undermine your research . It’s important to strike a balance between recognising the limitations, but also highlighting the value of your research despite those limitations. Show the reader that you understand the limitations, that these were justified given your constraints, and that you know how they can be improved upon – this will get you marks.

Next, you’ll need to make recommendations for future studies. This will largely be built on the limitations you just discussed. For example, if one of your study’s weaknesses was related to a specific data collection or analysis method, you can make a recommendation that future researchers undertake similar research using a more sophisticated method.

Another potential source of future research recommendations is any data points or analysis findings that were interesting or surprising , but not directly related to your study’s research aims and research questions. So, if you observed anything that “stood out” in your analysis, but you didn’t explore it in your discussion (due to a lack of relevance to your research aims), you can earmark that for further exploration in this section.

Essentially, this section is an opportunity to outline how other researchers can build on your study to take the research further and help develop the body of knowledge. So, think carefully about the new questions that your study has raised, and clearly outline these for future researchers to pick up on.

Step 6: Wrap up with a closing summary

Tips for a top-notch conclusion chapter

Now that we’ve covered the what , why and how of the conclusion chapter, here are some quick tips and suggestions to help you craft a rock-solid conclusion.

• Don’t ramble . The conclusion chapter usually consumes 5-7% of the total word count (although this will vary between universities), so you need to be concise. Edit this chapter thoroughly with a focus on brevity and clarity.
• Be very careful about the claims you make in terms of your study’s contribution. Nothing will make the marker’s eyes roll back faster than exaggerated or unfounded claims. Be humble but firm in your claim-making.
• Use clear and simple language that can be easily understood by an intelligent layman. Remember that not every reader will be an expert in your field, so it’s important to make your writing accessible. Bear in mind that no one knows your research better than you do, so it’s important to spell things out clearly for readers.

Hopefully, this post has given you some direction and confidence to take on the conclusion chapter of your dissertation or thesis with confidence. If you’re still feeling a little shaky and need a helping hand, consider booking a free initial consultation with a friendly Grad Coach to discuss how we can help you with hands-on, private coaching.

Psst... there’s more!

This post was based on one of our popular Research Bootcamps . If you're working on a research project, you'll definitely want to check this out ...

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17 Comments

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So much is at stake in writing a conclusion. This is, after all, your last chance to persuade your readers to your point of view, to impress yourself upon them as a writer and thinker. And the impression you create in your conclusion will shape the impression that stays with your readers after they've finished the essay.

The end of an essay should therefore convey a sense of completeness and closure as well as a sense of the lingering possibilities of the topic, its larger meaning, its implications: the final paragraph should close the discussion without closing it off.

To establish a sense of closure, you might do one or more of the following:

• Conclude by linking the last paragraph to the first, perhaps by reiterating a word or phrase you used at the beginning.
• Conclude with a sentence composed mainly of one-syllable words. Simple language can help create an effect of understated drama.
• Conclude with a sentence that's compound or parallel in structure; such sentences can establish a sense of balance or order that may feel just right at the end of a complex discussion.

To close the discussion without closing it off, you might do one or more of the following:

• Conclude with a quotation from or reference to a primary or secondary source, one that amplifies your main point or puts it in a different perspective. A quotation from, say, the novel or poem you're writing about can add texture and specificity to your discussion; a critic or scholar can help confirm or complicate your final point. For example, you might conclude an essay on the idea of home in James Joyce's short story collection,  Dubliners , with information about Joyce's own complex feelings towards Dublin, his home. Or you might end with a biographer's statement about Joyce's attitude toward Dublin, which could illuminate his characters' responses to the city. Just be cautious, especially about using secondary material: make sure that you get the last word.
• Conclude by setting your discussion into a different, perhaps larger, context. For example, you might end an essay on nineteenth-century muckraking journalism by linking it to a current news magazine program like  60 Minutes .
• Conclude by redefining one of the key terms of your argument. For example, an essay on Marx's treatment of the conflict between wage labor and capital might begin with Marx's claim that the "capitalist economy is . . . a gigantic enterprise of dehumanization "; the essay might end by suggesting that Marxist analysis is itself dehumanizing because it construes everything in economic -- rather than moral or ethical-- terms.
• Conclude by considering the implications of your argument (or analysis or discussion). What does your argument imply, or involve, or suggest? For example, an essay on the novel  Ambiguous Adventure , by the Senegalese writer Cheikh Hamidou Kane, might open with the idea that the protagonist's development suggests Kane's belief in the need to integrate Western materialism and Sufi spirituality in modern Senegal. The conclusion might make the new but related point that the novel on the whole suggests that such an integration is (or isn't) possible.

Finally, some advice on how not to end an essay:

• Don't simply summarize your essay. A brief summary of your argument may be useful, especially if your essay is long--more than ten pages or so. But shorter essays tend not to require a restatement of your main ideas.
• Avoid phrases like "in conclusion," "to conclude," "in summary," and "to sum up." These phrases can be useful--even welcome--in oral presentations. But readers can see, by the tell-tale compression of the pages, when an essay is about to end. You'll irritate your audience if you belabor the obvious.
• Resist the urge to apologize. If you've immersed yourself in your subject, you now know a good deal more about it than you can possibly include in a five- or ten- or 20-page essay. As a result, by the time you've finished writing, you may be having some doubts about what you've produced. (And if you haven't immersed yourself in your subject, you may be feeling even more doubtful about your essay as you approach the conclusion.) Repress those doubts. Don't undercut your authority by saying things like, "this is just one approach to the subject; there may be other, better approaches. . ."

Copyright 1998, Pat Bellanca, for the Writing Center at Harvard University

Concluding Remarks

Definition of concluding remarks in an essay.

A concluding remark is the last sentence of the conclusion in an essay . It is called a concluding remark because it sums up the entire purpose of the essay in a single sentence. As the name suggests, this remark wraps up the entire essay with a period at the end. However, sometimes there could be a question mark or an exclamation mark instead of a period, depending upon the type of remark.

Types of Concluding Remarks

A concluding remark depends upon the type of the essay, or upon the purpose of the writer of the essay. It could be of several types such as:

• A Recommendation Remark A recommendation remark presents a recommendation that the author makes. It is somewhat like a suggestion, but it is mandatory, while a suggestion is not.
• A Suggestion Remark A suggestion remark comes when the essay ends with a suggestion. Such remarks often have the auxiliary verb “should,” or in case of something compulsory or essential, it uses “must” or “ought to.” For example, an essay about pollution could end on a suggestive note of, “People should not throw away plastic shopping bags in the open.”
• A Reflective Remark A reflective remark could make the readers think about several themes , lessons, or insights having emerged out of the essay. For example, “People sometimes wish to take charge of their destinies to make their lives a success.”
• A Futuristic Remark A futuristic remark predicts what might happen in the future. It is often placed at the end of an essay when something imaginary is presented in it, or some potential solution to a problem is posed.
• A Quizzical Remark A quizzical remark is not a question or a rhetorical question , but it still poses some question such as, “It is now up to the people to respond to such traumas.”
• A Rhetorical Question As the name suggests, it is a question writers leave for the audience to reflect upon and respond.
• An Explanatory Remark An explanatory remark is something that gives further explanation or just says that something is obvious.

Examples of Concluding Remarks from Essays

Example #1:  the battle for aleppo, syria’s stalingrad, ends (by robin wright in the new yorker ).

“There will be little of Syria left, physically, for its people to return to—not an environment offering much hope for real reconciliation.”

This is an explanatory type of concluding remark. It comes at the end of the essay of Robin Wright about the Syrian civil war. It makes clear that what has already been said is again explained in these words.

Example #2: The Iraq Invasion’s Legacy Is Still Bloodily Apparent (by Jared Malsin from Time )

“He adds, “The question we usually get posed is, ‘Was it better under Saddam Hussein?’ And I think it should be posed the other way around. Is it worse now under the post-American regime? And I think it is worse.” He adds, “The question we usually get posed is, ‘Was it better under Saddam Hussein?’ And I think it should be posed the other way around. Is it worse now under the post-American regime? And I think it is worse.”

This is the conclusion of the essay of Jared Malsin. It ends with a rhetorical question, asking the readers what they think, before the writer gives his own opinion. This is a type of rhetorical question concluding remark.

Example #3: The Case of the Wrong Justice (by Liz Spayed from The New York Times )

“Flagging more significant corrections falls into the same category. Being upfront about mistakes or regrets would bring more transparency to The Times’s relationship with its readers. It’s rather like the derelictions of youth: If you break the vase, don’t wait for mom to notice and then confess. Best to catch her when she walks in the door.”

Read this conclusion of the editorial essay of Liz Spayed. It ends on a suggestive note that is called a suggestion type of concluding remarks.

Function of Concluding Remarks

A concluding remark is necessary to give a sense of satisfaction to readers about what they gave read and what they should do now. Different types of concluding remarks act on readers differently. Concluding remarks differentiate essays from short stories , giving them an edge in that they are considered a whole and unified piece; while a short story , having no concluding remark at the end, makes readers feel the desire to read more.

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National Research Council (US) and Institute of Medicine (US) Committee on Assessing Integrity in Research Environments. Integrity in Scientific Research: Creating an Environment That Promotes Responsible Conduct. Washington (DC): National Academies Press (US); 2002.

Integrity in Scientific Research: Creating an Environment That Promotes Responsible Conduct.

• Hardcopy Version at National Academies Press

7 Concluding Remarks and Recommendations

• OVERARCHING CONCLUSIONS

Several overarching conclusions emerged as the Committee on Assessing Integrity in Research Environments addressed the need of the U.S. Department of Health and Human Services (DHHS) to develop means for assessing and tracking the state of integrity in the research environment:

• Attention to issues of integrity in scientific research is very important to the public, scientists, the institutions in which they work, and the scientific enterprise itself.
• No established measures for assessing integrity in the research environment exist.
• Promulgation of and adherence to policies and procedures are necessary, but they are not sufficient means to ensure the responsible conduct of research.
• There is a lack of evidence to definitively support any one way to approach the problem of promoting and evaluating research integrity.
• Education in the responsible conduct of research is critical, but if not done appropriately and in a creative way, education is likely to be of only modest help and may be ineffective.
• Institutional self-assessment is one promising approach to assessing and continually improving integrity in research.
• RESEARCH AGENDA

The committee found that existing data are insufficient to enable it to draw definitive conclusions as to which elements of the research environment promote integrity. The elements discussed in Chapter 2 appear to be associated with integrity in research, but the specific contribution of each element remains poorly defined. Empirical studies evaluating the ethical climate before and after implementation of specific policies or practices are lacking; as a consequence, the decision to implement particular programs is often based on anecdotal evidence. True misconduct is rare, and statistics on misconduct are approximate. Thus, looking for a decrease in rates of misconduct is not a viable way to assess the effectiveness of measures implemented to foster integrity in research. In addition, although it is relatively easy to catalog lists of policies and procedures, it is much less straightforward to measure performance and outcomes in the research environment.

Because of the limited empirical data on factors influencing responsible conduct in the scientific environment, the committee drew on more general theory (e.g., theories of organizational behavior, ethical decision making, and adult learning) to formulate the suggestions presented in this report. The findings and conclusions are based on the committee's collective knowledge and experience after its review of the available literature in the science and business arenas as well as its discussions with experts who presented talks at the committee's open meetings.

On the basis of the available information, the committee has described practices that promote the responsible conduct of research ( Chapter 2 ) and has presented a theoretical model ( Chapter 3 ) that contains many of the key components of the research environment and their interactivity. However, this is relatively new territory that needs to be examined with greater precision. Generating specific empirical data on integrity in scientific research is essential to help institutions determine the effectiveness of their efforts to foster a research climate that promotes integrity. Such data will also aid them in the development of better programs and policies in the future.

The request for applications issued by the Office of Research Integrity (ORI) of DHHS on May 2, 2001 (Research on Research Integrity. RFA-NS-02-005), is an important first step toward this goal, as it highlights a variety of potentially productive research topics, as does the ORI website ( http://www.ori.dhhs.gov/html/programs/potentialrestopics.asp ). The committee believes these topics are best studied in the context of the model presented in Figures 3-1 and 3-2 . In addition to the important research questions identified by ORI in its program announcements, the committee identified additional topics that warrant further study.

Methods and Measures

Gaining the methodological expertise needed to carry out research on the relationship between the research environment and integrity in research will require the development and validation of measures, particularly indicators that are observable and quantifiable within the research environment. For example, existing means of conceptualization and measurement of the organizational climate will have to be adapted to the specific context of the assessment of the ethical climate within the research environment.

Furthermore, to measure the outcomes of efforts related to fostering integrity in the research environment, either new instruments must be designed and validated, or existing outcomes and measures (see Appendix B for examples) must be modified and validated in the specific context of the assessment of the ethical climate within the research environment. This development of reliable and valid measures can take considerable time and effort, but it is a necessary first step in a research process leading to a better understanding of the relationship between the research environment and integrity in research. Note that two distinct types of measures should be considered: measures that assess the integrity of the institution with respect to the conduct of research and measures that assess aspects of the integrity of the individual (see Chapter 2 and Appendix B ).

Existing methods and measures, examples of which are described in Appendix B , provide models that could be adopted or adapted to evaluate the factors of culture and climate that promote integrity in research. Similarly, Appendix B also provides examples of measures that have successfully been used to assess learning outcomes in professional ethics programs.

Elements of the Research Environment

Research is needed to fully understand the roles of the various elements of the environment that foster the responsible conduct of research. Questions to be considered include the following:

Organizational structure

In what ways do variations in organizational structure (e.g., the size of an institution, the importance of research within the institution, institutional review board composition and procedures, and reward systems) affect the ethical and moral climate and the responsible conduct of research?

Physical structure

Does the physical structure and layout of the research space, or how the space is allocated, affect the ethical and moral climate and the responsible conduct of research? For example, what are the effects of open spaces versus closed spaces for conducting research? What are the effects of various groupings of people within these spaces?

What is the relationship between the availability of and competition for funding and the responsible conduct of research?

Incentives and rewards

How do existing incentive and reward systems within and outside universities affect the responsible conduct of research? What, if any, aspects of these systems are counterproductive in fostering integrity in research?

Collaboration

How is integrity in research affected by collaborations within and across institutions?

Effectiveness of codes of conduct and honor codes

Do honor codes and professional codes of conduct foster integrity in research? If so, under what conditions do they have an impact?

• RECOMMENDATIONS

To facilitate the assessment and promotion of integrity in the research environment, the committee makes several recommendations, which are presented in the sections that follow. In combination, these recommendations are aimed at efforts to foster integrity in research at the individual and institutional levels and to ensure continuous institutional self-assessment and quality improvement.

Future Research

RECOMMENDATION 1: Funding agencies should establish re search grant programs to identify, measure, and assess those factors that influence integrity in research.

• The Office of Research Integrity should broaden its current support for research to fund studies that explore new approaches to monitoring and evaluating the integrity of the research environment.
• Federal agencies and foundations that fund extramural research should include in their funding portfolios support for research designed to assess the factors that promote integrity in research across different disciplines and institutions.
• Federal agencies and foundations should fund research designed to assess the relationship between various elements of the research environment and integrity in research; similarities and differences across disciplines and institutions should be determined.

As discussed earlier in this chapter, further research in needed to (1) develop and validate assessment methods and measures and (2) fully understand the roles of the various elements of the research environment in the responsible conduct of research. The results of such research will allow for more effective implementation of the following recommendations.

Institutional Commitment to Integrity

RECOMMENDATION 2: Each research institution should develop and implement a comprehensive program designed to promote integrity in research, using multiple approaches adapted to the specific environments within each institution.

• It is incumbent upon institutions to take a more active role in the development and maintenance of climate and culture within their research environments that promote and support the responsible conduct of research.
• The factors within the research environment that institutions should consider in the development and maintenance of such a culture and climate include, but are not limited to, supportive leadership, appropriate policies and procedures, effective educational programs, and evaluation of any efforts devoted to fostering integrity in research.
• Federal research agencies and private foundations should work with educational institutions to develop funding mechanisms to provide support for programs that promote the responsible conduct of research.

Integrity in research is critical to the progress and acceptance of science. Although a high level of integrity generally characterizes the research community today, lapses in integrity do occur, and some are destructive. It is in the interest of the entire research community that there be sustained, systematic, and explicit efforts to ensure integrity in research. It is important that all institutions have a clear organizational structure and an unambiguous designation of who has the authority and responsibility for research integrity. Institutional leaders should set the tone for their institutions with their own actions. Senior researchers should set an example, not only in their own research practices but also in their willingness to engage in dialogue about ethical questions that arise. Because of the ever-changing nature of science, the research community needs to continuously adapt and improve upon its traditions of responsible behavior, communication, education, and policies with regard to integrity in research.

Federal research agencies and private foundations are appropriate sponsors of grant programs to support research into the development of programs to promote integrity in research and the assessment of the effectiveness of such approaches. In addition to funding the process of development and validation of programs, financial resources are needed for the ongoing implementation of the programs themselves. In principle, costs associated with federally sponsored research could be supported through the indirect costs associated with federal research grants and contracts. However, administrative costs on grants and contracts to educational institutions (but not to other research entities) have been capped, and universities alone now bear the additional costs associated with the development or enhancement of programs that promote or evaluate integrity in research.

RECOMMENDATION 3: Institutions should implement effective educational programs that enhance the responsible conduct of research.

• Educational programs should be built around the development of abilities that give rise to the responsible conduct of research.
• The design of programs should be guided by basic principles of adult learning.
• Integrity in research should be developed within the context of other relevant aspects of an overall research education program, and instruction in the responsible conduct of research should be provided by faculty who are actively engaged in research related to that of the trainees.

Given the large variation in the human contribution to the research organization, the committee believes that it is particularly important for institutions to create an environment in which scientists are able to gain an awareness of the responsible conduct of research as it is defined within today's culture. They need to understand the importance of these standards and expectations, acquire the capacity to resolve ethical dilemmas, and recognize and be able to address conflicting standards of research conduct (see Chapter 5 ). For lasting change in ethical climate to occur, changes in an institution's curriculum content alone are not sufficient. Attention also needs to focus on how education in the responsible conduct of research is conducted.

The processes that give rise to the responsible conduct of research include the ability to (1) identify the ethical dimensions of situations that arise in the research setting and the laws, regulations, and guidelines that govern one's field (ethical sensitivity); (2) develop defensible rationales for a choice of action (ethical reasoning); (3) integrate the values of one's professional discipline with one's own personal values (identity formation) and appropriately prioritize professional values over personal ones (moral motivation and commitment); and (4) perform with integrity the complex tasks (e.g., communicate ideas and results, obtain funding, teach, and supervise) that are essential to one's career (survival skills).

Education in the responsible conduct of research should (1) be provided within the context of the overall educational program, including as part of mentor-student interactions, the core discipline-specific curriculum, and explicit education in professional skills; (2) take place over an extended period of time—preferably the entire educational program— and include review, practice, and assessment; and (3) involve active learning, including interactions among the instructors and the trainees.

Educational efforts related to the responsible conduct of research should be designed to reach all those involved in scientific research at all levels. Without formal training for existing senior researchers and an instructional program for new researchers, an institution will not be able to develop a consistent message to trainees and students.

Institutional Self-Assessment

RECOMMENDATION 4: Research institutions should evaluate and enhance the integrity of their research environments using a process of self-assessment and external peer review, in an ongoing process that provides input for continuous quality improvement.

• The importance of external peer review of the institution cannot be overemphasized. Such a process will help to ensure the credibility of the review, provide suggestions for improvement of the process, and increase public confidence in the research enterprise.
• Effective self-assessment will require the development and validation of evaluation instruments and measures.
• Assessment of integrity and the factors associated with it (including educational efforts) should occur at all levels within the institution— for example, at the institutional level, the research unit level, and the individual level. At the individual level, assessment of integrity should be an integral part of regular performance appraisals.
• As with any new program, a phase-in or pilot testing period is to be expected, and the assessment and accreditation process should be continually modified as needed based on results of these early actions.

RECOMMENDATION 5: Institutional self-assessment of integrity in research should be part of existing accreditation processes whenever possible.

• Accreditation provides established procedures, including external peer review, that can be modified to incorporate assessments of efforts related to integrity in research within an institution.
• Entities that currently accredit educational programs at institutions where research is conducted would be the bodies to also review the process and the outcome data from the institution's self-assessment of its climate for promotion of integrity in research. These entities include the six regional organizations that accredit institutions of higher education in the United States, as well as the organizations that accredit professional schools or professional educational programs.
• Federal research agencies and private foundations should support efforts to integrate self-assessment of the research environment into existing accreditation processes, and they also should fund research into the effectiveness of such efforts.

Accrediting bodies rely heavily on the process of institutional self-assessment when reviewing an educational institution ( Chapter 6 ). Institutions critically evaluate their strengths and weaknesses and strive for continuous quality improvement.

The committee believes that the research mission should be considered as a whole, and that evaluation of institutional culture for promotion of integrity in research should be an important component of the overall process of accreditation of educational institutions that conduct scientific research. Thus, it seems reasonable that entities charged with accrediting the quality of education at institutions of higher learning that conduct scientific research should be charged with reviewing the process and the outcome data from the institution's self-assessment of its climate for promotion of integrity in research.

In institutions where accreditation is not available (e.g., freestanding research institutes) or where this additional mandate cannot be incorporated into existing institutional processes of accreditation, other approaches to ensuring external validation should be explored.

RECOMMENDATION 6: ORI should establish and maintain a public database of institutions that are actively pursuing or employing institutional self-assessment and external peer-review of integrity in research.

• This database should initially include institutions that receive funding for, or are actively engaged in, the development and validation of self-assessment instruments.

A publicly available informational database of ongoing efforts in institutional self-assessment and peer review could serve two purposes. First, the database could serve as a resource for other institutions seeking to develop their own programs, and second, it could serve as an accountability instrument, enabling the public to see which institutions are receiving public funding to develop such programs. ORI, as the federal entity formally charged with developing and implementing activities to promote research integrity as well as being one of the federal agencies that will fund research in this area, is the appropriate locus for this task. ORI would also be a centralized location of the information, which would be preferable to developing multiple databases scattered throughout the professional societies of different disciplines.

Integrity in research is essential for maintaining scientific excellence and keeping the public's trust. Research institutions bear the primary burden of promoting and monitoring the responsible conduct of research. They must consistently and effectively provide members of research teams with the resources they need to conduct research responsibly. These resources include leadership and example, training and education, and policies and procedures, as well as tools and support systems. What is expected of individuals should be unambiguous, the consequences of one's conduct should be clear, and anyone needing assistance should have ready access to knowledgeable leaders. Individuals should be able to seek assistance without fear of retribution. Research institutions, accrediting agencies, and public and private organizations that fund research should collaborate to establish and ensure the integrity of the scientific research enterprise.

• Cite this Page National Research Council (US) and Institute of Medicine (US) Committee on Assessing Integrity in Research Environments. Integrity in Scientific Research: Creating an Environment That Promotes Responsible Conduct. Washington (DC): National Academies Press (US); 2002. 7, Concluding Remarks and Recommendations.
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Concluding Remarks

• First Online: 02 August 2016

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• Nikolay K. Vitanov 4 , 5  

Part of the book series: Qualitative and Quantitative Analysis of Scientific and Scholarly Communication ((QQASSC))

1 Citations

In this chapter, several concluding remarks are provided about the importance of science for society and about general characteristics of research systems. The importance of statistical laws for research systems is emphasized, and we stress the usefulness of mathematical models and methods for the study and understanding of the dynamics of science and scientific production.

Governments will always play a huge part in solving big problems. They set public policy and are uniquely able to provide the resources to make sure solutions reach everyone who needs them. They also fund basic research, which is a crucial component of the innovation that improves life for everyone. Bill Gates Up to a certain level of economic development the production of basic science information does not increase the wealth of an underdeveloped country but on an advanced economic and social level, further development will not be possible without increasing the level of maintenance of fundamental research. Peter Vinkler [ 1 ]

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Vitanov, N.K. (2016). Concluding Remarks. In: Science Dynamics and Research Production. Qualitative and Quantitative Analysis of Scientific and Scholarly Communication. Springer, Cham. https://doi.org/10.1007/978-3-319-41631-1_6

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10 Of The Best Things To Say In Closing Remarks

Hrideep barot.

• Presentation , Public Speaking , Speech Writing

What are closing remarks?

A closing remark is the last sentence, paragraph or concluding part of your speech or presentation. They are also referred to as ‘concluding remarks’.

In a speech/presentation, the outset and the conclusion are 2 essentials. It leaves an impact on the audience and makes your speech/presentation eloquent .

We have written an article on opening lines in speech writing , read this article to know how to begin your speech perfectly.

Every speech or presentation comes with an objective and something to take away from it. The point is that if you don’t end your speech appropriately the main essence of your speech /presentation will be forgotten and dispersed just as quickly.

The closing remark will be your last chance to be innovative and make up for the missing bits if any.

The limit of your closing remark must last between 10% to 15% of your speech. So for instance, if your speech is a 7-minute speech your closing remark must last for at least a minute.

The purpose of closing remarks

The main purpose of closing remarks is, it lets the audience know that the speech is supposed to end.It helps to summarize your speech in short and accentuate the main points of your speech.

Also, research suggests that the audience often remembers the end closing part precisely than the entire speech.

A powerful speech ending does 40% of your work. It’s also not easy to write a ‘Closing remark’. You have to think and choose the right words that hit hard and leave a mark. Here’s a detailed video we have made of some amazing speech ending lines you can get inspiration for your own speech:

Some Dos of closing remarks

The speaker must follow a few things with respect to the format of the speech. Here are some dos which will help the speaker in concluding his speech.

Indicate that the speech is close to the end

An experienced speaker will always signal that the speech is about to end so that the audience is mentally ready for a conclusion. For example- In a novel, the author uses Epilogue as a tool to let the readers know that the story is going to get over soon.

Give a rundown of your speech/presentation

At times, it’s possible that the readers may have missed some points while you were speaking or they may have zoned out during the span of your speech. So give a brief run-through of your points at the end and this will reinforce the message of your speech.

Make eye-contact

As mentioned above, the closing remark or concluding part of your speech will be the last chance of leaving an impact on the audience. So a confident eye-contact may let the audience know so much more than just words could convey.

It will also make your call-to-action more effective and influencing.

In case you find eye contact difficult (like I did), here are some alternatives you can use that give the illusion that you are maintaining eye contact without you actually having to do so:

Some don’ts of closing remarks

Some things should be avoided when writing your closing remarks for a speech or presentation. Given below are the most primal things that the speaker should keep in mind.

Don’t make the closing remarks lengthy

If the speaker does not add a closing remark, the speech would look incomplete and end abruptly. Also, try not to make the closing remark too prolonged, this may bore the audience and they may lose interest.

The audience may also not be able to distinguish between the main points and jumble up what is important and what is not.

Don’t end with a simple ‘Thank You”

Saying a dry and plain ‘Thank you’ to be polite at the end of your speech is not very persuasive. It is a very mundane way of ending your speech.You need to drive your point home so be creative.

Don’t add new material out of no where

Adding in new material in the closing remarks which are not mentioned in the speech will catch the audience off guard. The audience may not be able to process what’s going on. So mention only those points in your closing remarks that have already been spoken about.

Types of closing remarks

You want your closing remarks to be such that the audience can get a flashback of the entire presentation or speech with just what you said at the end. These may alter accordingly with what kind of a presentation it is.

The fitting remark

What is it.

The fitting remark is the most basic remark of them all. It’s to the point, decisive and direct. The idea of your presentation is conveyed through this remark.

The fitting remark mainly summarizes your speech in sweet and simple words with no extra spice to your conclusion.

Example of a fitting remark

Here is an example of a Speech where Emma Watson closes her speech with a fitting remark. Like I mentioned above, this speech is to the point and decisive. The idea of Gender Equality was conveyed very clearly and directly by her closing remark.

The motivational remark

The motivational remark is used when the speaker uses motivational quotes, phrases, or even dialogues for that matter. The objective is to leave the audience on a ‘motivated to do something’ note.

This remark is to re-energize your audience towards your speech/presentation. When the speaker ends his speech it should have such an impact that they remember your words and do something with that motivation.

Motivational speeches can be given on a variety of topics. We have written an article about ‘How to give a motivational speech on leadership to students’ . You can check it out to get a better idea. This is just one example of how to go about it.

Example of a motivational remark

This speech by Jeremy Anderson just leaves a mark that has you sitting straight and energized. It motivates the audience to know their worth and not let themselves down.

The expository remark

In this type of a remark the speaker shares his anecdotes, his own experience or has a very relatable end to his speech. The main purpose of such an end is so that the audience can connect to the speaker on a deeper level and know exactly what he is saying.

It’s a sort of a congenial connect with the audience. We have written an article on Storytelling approaches you can use in your speech or presentation. This article will give you an insight into why storytelling is so important what are the different techniques used.

Example of a expository remark

Priyanka Chopra in this speech shares her own experiences and anecdotes that people can connect with which makes her speech so much more interesting and inspiring.

The contemplative remark

The contemplative remark leaves the audience pondering over what the speaker has said. Its goal is to make the audience think about all factors such as the lessons, the theme of the speech and wavelength during the span of the presentation/speech.

The speaker can emphasize ‘what the audience thinks’ and leave it there for them to figure out their thoughts.

Example of a contemplative remark

For instance, President Obama in his speech about Bin Laden’s death concludes with a contemplative remark that leaves the audience pensive.

“Finally, let me say to the families who lost loved ones on 9/11 that we have never forgotten your loss, nor wavered in our commitment to see that we do whatever it takes to prevent another attack on our shores. And tonight, let us think back to the sense of unity that prevailed on 9/11.  I know that it has, at times, frayed.  Yet today’s achievement is a testament to the greatness of our country and the determination of the American people. The cause of securing our country is not complete.  But tonight, we are once again reminded that America can do whatever we set our mind to.  That is the story of our history, whether it’s the pursuit of prosperity for our people, or the struggle for equality for all our citizens; our commitment to stand up for our values abroad, and our sacrifices to make the world a safer place. Let us remember that we can do these things not just because of wealth or power, but because of who we are:  one nation, under God, indivisible, with liberty and justice for all.” President Obama in his speech about Bin Laden’s death

The propositional remark

In this remark, the speaker ends with a piece of advice for the audience. It’s more subjective than objective. This is more like a suggestion/tip.

Example of a propositional remark

Michelle Obama’s speech is an advice for students about how to succeed in life. Her closing remark suggests that it’s not important if you went to an Ivy League or a State School what is important is the hard work you do and that will take you closer to success.

The rhetoric remark

The rhetoric remark has to do with a question that doesn’t really need an answer. The speaker leaves the audience hanging with this question.

The speaker has no intention of expecting an answer from the audience and neither does he want one. He just wants the audience to consider what he said and reflect upon it.

Rhetoric is used in many forms and speakers use rhetoric in their speeches for a powerful effect. Here are 4 ways how you can use rhetorical devices in your speech to make it powerful.

Example of a rhetoric remark

 “In the end, that’s what this election is about. Do we participate in a politics of cynicism, or do we participate in a politics of hope?” President Obama in 2004 Democratic National Convention Speech

The funny remark

One of the best thing that helps make your speech effective and interactive is humour. It lightens the environment and works as a tool to break the ice between the speaker and the audience.

Adding humour to your speech will make the audience lively and enthusiastic. If you leave the audience laughing at the end of your speech you will leave on a positive note and they will most probably leave with a good impression of you and your words.

Humour can be one of the strongest tools in a speech, especially for a closing remark, if used correctly.

Qualified speakers frequently make use of humour all through their speech and then at the end strike with a humourless thought and leave the audience serious. Such a sudden change has a powerful impact.

Example of a funny remark

In this speech by Dananjaya Hettiarachchi he uses humour to close a speech by successfully summing up the title and summarizes the content of his speech.

The factual remark

In this type of remark, the speaker ends with some facts related to his speech and presentation. Adding facts as the closing boosts your speech. Facts presented in the form of tables, graphs and diagrams are easy to understand and visually appealing.

At times facts can seem boring if not presented appropriately. To know what facts to add and what not to add in a speech follow our article on ’11 Steps to Add Facts in A Speech Without Making It Boring’.

Example of a factual remark

Given below is a paradigm of a pie diagram. The speaker can fill in his facts according to the theme and research of his presentation.

Call-to- action

This is the most common remark and can be utilized in most of the closing remarks. Call- to- action is simply requesting your audience to take a step forward and take action towards the theme of your speech.

Make your CTA direct and don’t hint at it, this may induce confusion.

Why is it a must, you may ask? This is because the audience may have listened to your entire speech but until and unless you won’t take the initiative and be upfront not everyone is compelled to take action.

Example of a call-to-action

Leonardo DiCaprio in this speech is asking the audience and people to take action to put a price tag on carbon emissions and eliminate government subsidies for coal, gas, and oil companies.

The Activity Remark

This closing remark can be one of a kind for the audience. In this kind of a remark the speaker can undertake an activity that will help the audience understand the theme of the speech with an act of creativity.

For instance, the speaker can make use of his talents to showcase his message through them. Like singing, doing a trick or playing a quiz with the audience.

Example of a activity remark

Sparsh Shah a 13 year old boy who ends his inspiring speech with a song and rap wants to tell the audience that nothing is impossible in life. He uses music as a closing remark to end his speech in a heartening way.

Scenarios for closing remarks 

Closing remarks for a meeting/conference.

Meetings are often compulsory as compared to presentations or speeches. They can be called at any time and are mostly informal. Whereas, a conference is formal and has a specific time and place, where it is conducted.

But in both of them, the purpose is to plan and execute. So end your closing remarks with action.

For example- Reiterate the actions that need to be executed so that the actions will remain fresh and can be recalled easily.

Here is a pro-tip, do not drag the meeting/conference over time and then rush up to close the conference. This will make no room for your closing remark and many things will remain unsaid even if you manage to close the meeting/conference in a rush.

Closing remarks for a school activity

As the heading suggests the closing remark for a school activity will be for school kids so try not to use too many technical terms or make it complicated. Keep the remarks simple and fun.

Here the speaker can use the Activity remark mentioned in the types of closing remarks. It is creative, engaging and hence the kids will connect more to fun activities rather than to boring long remarks.

For example- The speaker can use the Q & A method to end or play a quiz and include all the points mentioned in their speech/activity.

Closing remarks after a workshop

Workshops come with an intent to teach and for the audience to learn. So make your closing remarks interactive. You can ask questions like ‘What is your take-away from this workshop?’

This will let the audience ponder over what they learnt during the entire span of the workshop.

One more way to end is by requesting the audience to fill out the feedback form and cater step by step guidance.

Closing remarks for a webinar/Zoom meeting

Since a zoom meeting/webinar is a virtual platform, there are chances the speaker might not see all the audience or ‘participants’ of the meeting but everyone can see the speaker.

So this may also fall as a disadvantage in the speaker’s case but don’t let this demotivate you.

In your closing remark, you can add a poll that is a feature of zoom to know how many of them are listening. Before closing the webinar, leave your Twitter or Facebook handles so that if the audience has questions they can connect with you on these platforms.

Closing remarks for a ceremony speech

A ceremony is more of a large scale event with too many decorations, music, and arrangements.

Keep in mind though, these things are not what the audience will want to leave with, so what you say last will be the end of what they take-away. Therefore, in a ceremony, you can use any one of the types of closing remarks mentioned above.

For example- You can use ‘The expository remark’ where you can share your own story to make your closing remark relatable and two-sided.

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Some last words

Closing remarks are important in speech writing because without a closing remark your speech will seem unfinished. To leave on a happy note the speaker must organize his speech with the perfect end and time it accordingly.

Closing remarks can be of varied types but using the appropriate closing remark according to the situation and time can make a huge difference in your speech.

Still looking for inspiration? Check out this video we made on closing remarks:

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PROCEEDINGS OF A WORKSHOP | MAY 2024

Preparing the Future Workforce in Drug Research and Development

Introduction.

On October 16–17, 2023, the National Academies’ Forum on Drug Discovery, Development, and Translation , in collaboration with the Roundtable on Black Men and Black Women in Science, Engineering, and Medicine , convened a public workshop for participants to explore challenges and opportunities associated with supporting the next generation of the drug research and development (R&D) workforce—one that is resilient, culturally aware, and interdisciplinary. Workshop participants considered the types of expertise and disciplines needed to achieve the aspirations for a transformed clinical trials enterprise in 2030 and the opportunities to support a more diverse and person-centered workforce that meet the evolving needs of drug discovery, development, and translation.

Statements and opinions expressed are those of individual workshop presenters and participants. 1

“Addressing diversity in the clinical trials workforce is essential for achieving health equity.”

Jonathan Watanabe Professor of Clinical Pharmacy; Director, Center for Data-Driven Drugs Research and Policy; Associate Dean of Assessment and Quality, University of California, Irvine, School of Pharmacy and Pharmaceutical Science

“We have the infrastructure and framework in clinical research to test a molecule. But that’s not our problem. We need to be thinking about: who are we including [in the trial], why we are including them, and if we are engaging them the right way?”

Cherié Butts Medical Director, Therapeutics Development Unit, Biogen

“We're trying to make sure that everybody has equitable access to trials, because that is part of the care continuum.”

Ann Taylor (formerly of AstraZeneca)

“You need to have a plan, an action-oriented plan, where you have your targets, you measure them, you review and revise as necessary based upon outcomes of your plan. You need to use whatever are the best practices out there, and you need to be open to being flexible.”

Marie A. Bernard Chief Officer for Scientific Workforce Diversity, Office of the Director, National Institutes of Health

“Developing a sustainable workforce for the future will require multidisciplinary collaboration across teams, across siloes.”

Lola Fashoyin-Aje Associate Director, Oncology Center of Excellence; Deputy Director, Division of Oncology III, Center for Drug Evaluation and Research, U.S. Food and Drug Administration

Workshop Highlights

• Exploring the Future State of the Clinical Trials Enterprise

There is a need to think about what can be done now to prepare for the workforce of 2030, as well as what needs to be put in place for the longer term (Butts). Accordingly, researchers and other stakeholders should consider where to put resources to advance medicine and ensure equity (Bryant-Friedrich). The future workforce should be prepared to manage the large amount of data that will be available in the future (Aravamudan). Additionally, “soft skills” and interdisciplinary training will be critical for enabling a more inclusive and culturally aware workforce capable of supporting the evolving needs of drug R&D (Bryant-Friedrich, Butts).

• People involved throughout the clinical trials enterprise—from investigators to statisticians to those who sit on institutional review boards—should have the skills and training to understand the scientific and technical, as well as the ethical, societal, and legal implications of the research. (Monarez)
• The future R&D workforce should have the ability to assess the sources, limitations, and applicability of data. (Aravamundan)
• Resilience, cultural awareness, antiracism, and communication across disciplines will be critical for people working in all areas of drug R&D. (Bryant-Friedrich)
• The clinical trials enterprise should include interdisciplinary work that goes beyond already established fields, such as chemistry and biology, and bring together more disparate disciplines, including behavioral and natural sciences, to better “humanize” data. (Bryant-Friedrich, Butts)
• Retail pharmacies that are based in communities throughout the United States are well positioned to engage potential clinical trial participants and educate people about the benefits of participation. (Wigneswaran)
• There are workforce implications when considering the inherent tension between clinical trials to evaluate precision medicine interventions, which by necessity may not be all that diverse or inclusive, and ensuring that personalized therapeutics are made available to a diverse patient population. (Menetski)

“Constantly I’m hearing from my trainees, who are from historically marginalized groups, how the institution is breaking down their resilience.” Amanda Bryant-Friedrich Dean of Graduate School; Professor of Pharmaceutical Sciences, Wayne State University

“From the primary investigators to research statisticians to nurses working to oversee clinical trials, all of them need to have the sensitivity and understanding of the participants of the clinical trials and the technical training.” Susan Monarez Deputy Director, Advanced Research Projects Agency for Health

“Since the electronic medical record is so widely adopted, at least in this country, there is an opportunity to use and synthesize all of the data that are there to ask meaningful questions.” Murali Aravamudan Chief Executive Officer, nference

“We [Walmart] don’t look at clinical trials or research in that terminology, we look at it as a care option.” John (Wig) Wigneswaran Chief Medical Officer, Walmart

“There is no way that we can integrate artificial intelligence and machine learning as part of our ecosystem without understanding the potential impact and adverse outcomes.” Elizabeth Ofili Professor of Medicine, Morehouse School of Medicine

• Overcoming Barriers to Progress

Increased awareness of different career paths, access to training, and collaboration across sectors and disciplines will be vital to overcome barriers and prepare the future workforce in drug R&D (Demer, Kraft, Landis). It is critical to prepare the “soil”—people, practices, and resources–when growing a more diverse and inclusive workforce. (Schor). The current workforce is fit-for-purpose for 2010, so it will take efforts to expand and build a more diverse workforce that is fit-for-purpose for 2030. (Hernandez).

• To build an R&D workforce that is representative of the population, it will be necessary to make significant changes in approaches to recruitment, retention, and support. (August)
• To bring under-represented communities into the R&D workforce, education and training should be accessible to people who may have different circumstances and needs than traditional students. (Demer)
• Diversifying the student body can be accomplished with concerted effort that includes support from leadership, scholarships and financial aid, efforts to retain and support students, and policies and practices that facilitate progress. (Fancher)
• Clinical trialists should be trained not only in the science of research but also in the science of community outreach and engagement, which is a critical component for effectively carrying out clinical trials that reflect the intended patient population. (Winn)
• Rather than talking at people, researchers should speak with them. If care and attention are taken with the approach and messaging, communities are willing to listen and participate in clinical trials. (Winn)
• Retail pharmacies have an opportunity to leverage existing community partnerships and infrastructure to make clinical trials more accessible and convenient for the communities they serve. (Tandon)
• There is an opportunity to train pharmacists on ways to support clinical trial activities, which can build on existing relationships that pharmacists already have with local communities. (Tandon)
• Recruiting diverse participants for clinical trials requires understanding and addressing the perspectives, barriers, and needs of potential participants. One approach to inform funders and researchers is through community assessments, which can help identify the needs and strengths of a given community. (Cutler)

“Building trust is something someone gives to you. Trustworthiness is something that you can build.” Robert Winn Director, Virginia Commonwealth University Massey Cancer Center

“How do we start to educate and empower local communities so that they start to appreciate and understand the benefits of clinical trials as an extension of care?” Ramita Tandon Chief Clinical Trials Officer, Walgreens

“We need to dig deeper—not just in the college realm but also in the high school realm.” Marwan Fathallah President and Chief Executive Officer, Drug Information Association, Inc.

“Establishing an R&D drug workforce is not going to be achieved using our current workforce model.” Avery August Professor of Immunology; Deputy Provost, Cornell University

“People who already are interested in STEM careers, who have already been welcomed to academic institutions for the STEM track, often don’t know about careers in drug development, careers outside of medicine or academia.” Nina Schor Deputy Director for Intramural Research, Office of the Director, National Institutes of Health

• Scaling and Sustainability of Workforce Programs

Diversifying the R&D workforce is not just an issue of social justice—it is an issue of doing the best possible science (Bernard). There is a need to increase awareness of the many roles and careers throughout the clinical trials enterprise and to create education and training pathways to enable these opportunities (Landis). Efforts to build a more diverse and person-centered R&D workforce should take place on the local and federal level. Federal stakeholders should expand beyond traditional partners to collaborate on common goals (Tierney). Putting funding and other resources toward training and educating students and young professionals should be viewed through the lens of the business case; making investments now can pay off in the future with a more sustainable and effective clinical research enterprise. (Taylor)

• Young professionals entering R&D in the private sector should have training on industry practices and team science; conducting this type of training could be done through a collaborative industry consortium. (Menetski)
• Mentorship is essential for students and early career professionals; interactions between working scientists and the leaders of tomorrow can inspire and motivate both parties. (Fathallah)
• Partnerships with communities should be built well before a clinical trial begins, and investigators should be trained to recognize and value community knowledge. (Mainous)
• Young professionals benefit from exposure to multiple types of workplaces, including distinct government agencies, to learn about different roles and cultures within the R&D enterprise. (Araojo)
• Institutions that are making efforts to be more inclusive in clinical research could start by assessing diversity and inclusivity within the institution itself. (Fuhrmann)

“We're in the process of leaning in on policy development over the next few years—not just setting in place diversity action plans and goals for people to meet, but really thinking about what policies can facilitate the adoption of different tools and technologies.” Julie Tierney Chief of Staff, Office of the Commissioner, U.S. Food and Drug Administration

“For this to be a sustainable enterprise, there needs to be opportunity for people to advance. We need to value equitably the different roles on the research team without hierarchy.” Katherine Tuttle Executive Director for Research, Providence Health Care

“We cannot continue to have minorities looking after minority issues. We have to have majorities looking at minority issues, and we all need to come to the table. We all need to have skin in the game. So my question to you is what are you going to do? What commitment are you going to make and what are you going to do to help implementation?” Kenneth Maynard Director, Global Program Team Effectiveness and Global Program Leader Excellence, Takeda

• Concluding Remarks

To prepare the future workforce in drug R&D, a mindset of inclusiveness is needed to implement, scale, and sustain ideas brought up during the workshop. It is important to recognize that words matter and emphasize the value of “soft skills” to enable professionals to humanize data and build trustworthiness with the communities they serve. Furthermore, data on the current workforce are currently lacking and could be leveraged to develop policies, set expectations, and ensure accountability. Breaking down silos will be key in raising awareness of successful approaches that exist, making that information more accessible, and promoting team science. Engaging scientists, academics, and communities is paramount to achieving the goal of a transformed clinical trials enterprise (Butts, Watanabe).

• Read the Proceedings of a Workshop
• Download a PDF of the Proceedings of a Workshop
• Learn More About the Workshop
• Resource: Workforce Training Programs Spreadsheet
• Watch Full Workshop Session Recordings
• Learn More About the Forum on Drug Discovery, Development, and Translation
• Learn More About the Roundtable on Black Men and Black Women in Science, Engineering, and Medicine

Disclaimer: This page is a factual summary of what occurred at the workshop. Statements, recommendations, and opinions expressed are those of individual presenters and participants. These views are not necessarily endorsed or verified by the National Academies of Sciences, Engineering, and Medicine, and they should not be construed as reflecting any group consensus.

• Introductory Remarks
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EDITORIAL article

Editorial: advances in basic and applied research in photoplethysmography.

• 1 Research Centre for Intelligent Healthcare, Coventry University, Coventry, United Kingdom
• 2 Research Centre for Biomedical Engineering, University of London, London, United Kingdom

Editorial on the Research Topic Advances in basic and applied research in photoplethysmography

Introducing photoplethysmography

Welcome to this Research Topic in Frontiers in Physiology, focusing on Advances in Basic and Applied Research in Photoplethysmography.

Photoplethysmography (PPG) is a low-cost and simple vascular optics technique that can be used to detect blood volume changes in the microvascular bed of tissue with each heartbeat ( Allen, 2007 ; Kyriacou and Allen, 2021 ). The popularity of this Research Topic area can be attributed to the realization that PPG has important implications for a wide range of applications including assessment of the cardiovascular system, monitoring of vital signs including non-invasive estimation of blood pressure and heart rate, and the study of pain. There is currently a large body of literature contributing new knowledge on the relation of PPG pulse morphology, pulse wave analysis and pulse feature extraction with the physiological status of peripheral blood vessels, such as vascular aging and stiffness, blood pressure and compliance, microvascular disease, autonomic function, and others. There are also significant efforts in the utilization of the PPG for the detection of heart arrhythmias such as Atrial Fibrillation (AF). In addition, the recent significant contributions of PPG to wearable devices have had a major impact on the popularity and usability of PPG. Researchers continue to strive to combine the PPG sensory capabilities of wearables, such as smartwatches, with Artificial Intelligence (AI) machine learning approaches to deliver ubiquitous health monitoring solutions that go beyond currently available consumer devices. PPG and AI have a bright future together for the benefit of patients.

The aim of this Research Topic for Frontiers in Physiology is to bring together the latest cutting-edge basic and applied research in the field of Photoplethysmography. Our Research Topic comes from world-leading authors in the field and showcases 16 original research papers covering a diverse range of contributions in PPG measurement and analysis.

Summary of published papers in this Research Topic

Cardiovascular disease continues to be the leading cause of death globally - this is one of the very important areas where PPG has considerable potential to help impact the burden of disease by allowing us to better understand vascular aging and enable low-cost, accessible monitoring of cardiovascular status. Djurić et al. in “ Using the photoplethysmography method to monitor age-related changes in the cardiovascular system ” collected single-site PPG measurements from above the left common carotid artery in 117 healthy adult participants (up to 70 years of age) and analyzed the data using a non-linear technique (detrended fluctuation analysis, DFA) to produce a ratio of scalar coefficients that were found to decrease exponentially with age–giving a biomarker for monitoring aging. Age-related changes in PPG shape have also been reported in the literature including the classification of the pulse into one of four classes based on the position of the dicrotic notch ( Dawber et al., 1973 ). Zanelli et al. in “ Clustered photoplethysmogram pulse wave shapes and their associations with clinical data ” noted however that when working with real data, labeling waveforms into one of these four classes is no longer straightforward, but correct identification of the PPG shape could improve the precision and reliability of extracted biomarkers. Using a PPG dataset from 300 subjects (aged 19–83 years) the authors employed unsupervised machine learning and deep learning approaches to overcome the limitations of data labeling (including K-medoids-based clustering, a similarity matrix computed with Derivative Dynamic Time Warping, and PPG features extracted with CNN AutoEncoder). The results indicated that PPG waveforms do differ due to their dicrotic notch characteristics. However, there are additional differences such as the width of the systolic peak and the strength of a secondary systolic wave and by investigating the optimal number of clusters they found seven clusters of PPG wave shapes instead of the aforementioned four classes.

PPG provides a valuable way to study the dynamics of the cardiovascular system and key physiological variables such as blood pressure (BP) and heart rate (HR). Xing et al. in “ Temporal complexity in photoplethysmography and its influence on blood pressure ” used the Higuchi fractal dimension (HFD) and the autocorrelation function (ACF) to assess the temporal complexity of the PPG and interpreted the stochastic patterns with a model-based simulation which has the potential to help optimize BP estimation algorithms. The authors adapted the classic four-element Windkessel model to incorporate BP-dependent compliance profiles and simulations generated PPG responses at various time scales. Importantly, the relationship between complexity and hemodynamics predicted by their model aligned well with the experimental analysis of data collected from 40 healthy subjects. HFD and ACF had significant contributions to BP and displayed stability even in the presence of high cardiac output fluctuations. Temporal complexity patterns are essential for single-site PPG-based BP estimation and understanding the physiological implications of these patterns may aid in the development of such algorithms. A study of cardiovascular variability was also reported by Mejía-Mejía and Kyriacou with “ Spectral analysis for pulse rate variability assessment from simulated photoplethysmographic signals ”. Pulse rate variability (PRV) has been used as a surrogate for heart rate variability (HRV, measured via ECG) although it has been shown that there are differences that may result from physiological processes or from technical aspects of extracting PRV from PPG. The researchers extracted frequency-domain information from PRV in order to establish the best-performing combination of parameters and algorithms to obtain the spectral representation of PRV. They found that with specific interpolation methods, the Fast Fourier Transform (FFT) and multiple signal classification (PMUSIC) algorithms gave the best results, and considering the lower complexity of FFT over PMUSIC, it was recommended that FFT be considered as the appropriate technique to extract frequency-domain information from PRV signals.

The use of PPG for clinical monitoring was also covered in several leading-edge contributions. Stockwell et al. in “ Forehead monitoring of heart rate in neonatal intensive care ” described pioneering R&D in PPG sensor development for heart rate monitoring in critically unwell infants, with reflection mode measurements advantageously made at the forehead site rather than peripherally on a limb. They reported data comparing heart rates measured with a forehead-based PPG sensor against a wrist-based PPG sensor in 19 critically unwell infants in neonatal intensive care collecting 198 h of data, with good agreement between techniques (Bland-Altman limits of agreement of 8.44 bpm, bias −0.22 bpm) showing that the forehead is a reliable alternative location for measuring vital signs using the PPG. Roldan et al. in “ Non-invasive monitoring of intracranial pressure changes: healthy volunteers study ” aimed to evaluate the possible association between pulsatile near-infrared spectroscopic waveform features at the forehead and induced changes in intracranial pressure (ICP) in healthy volunteers. The authors reported data from 16 healthy volunteers with measurements acquired during changes in body position and during the Valsalva maneuver. The classification model features were extracted and an analysis was carried out to compare the two signals. The results revealed significant differences in the features extracted from these signals, demonstrating a correlation with ICP changes induced by position changes and the Valsalva maneuver. The classification models were able to identify changes in ICP using features from optical signals from the brain, with sensitivities ranging from 63% to 80% and specificities ranging from 60% to 70%; this work represents a first step toward non-invasive monitoring of intracranial pressure. Pettit et al. in “ Photoplethysmogram beat detection using Symmetric Projection Attractor Reconstruction ” presented a novel method that uses the Symmetric Projection Attractor Reconstruction (SPAR) method to generate an attractor in two-dimensional phase space from the PPG signal. A line was defined through the origin of this phase space as a Poincaré section, and beats were detected when the attractor trajectory crossed an optimally defined section. The method was assessed on the Wearable Stress and Affect Detection (WESAD) dataset and achieved median F1 scores of 74.3% in the Baseline phase, 63.0% during Stress, 93.6% during Amusement, and 97.7% during Meditation phases, comparable to one of the best algorithms identified in a recent benchmarking study of 15 beat detection algorithms. Iqbal et al. in “ Deep learning classification of systemic sclerosis from multi-site photoplethysmography signals ” described a pilot study assessing a novel approach to identify patients with the autoimmune connective tissue disease systemic sclerosis (SSc) using deep learning analysis of RGB scalograms of multi-site PPG waveforms ( Figure 1 shows examples of multi-site PPG amplitude variability with illustrative analysis approach). Two different convolutional neural networks (CNNs, namely, GoogLeNet and EfficientNetB0) were trained and evaluated, with EfficientNetB0 showing overall better performance (87.3% accuracy) compared to GoogLeNet (83.1%) - both CNNs were superior to traditional ML methods.

Figure 1 . Advanced PPG sensing and analysis can give exciting new ways in to assess cardiovascular patients - including the study of vascular dynamics and signal variability ( Kyriacou and Allen, 2021 ). For example, with AI, time-frequency image representations from combined resting and reactive hyperaemia PPG signals can be assessed using a pre-trained convolutional neural network (CNN) image classification system ( Iqbal et al. ).

A number of works in this Research Topic focused on non-invasive blood pressure (BP) measurement: “ Intensive care photoplethysmogram datasets and machine-learning for blood pressure estimation: Generalization not guaranteed ” ( Weber-Boisvert et al. ) studied the differences between the MIMIC waveform dataset and the PPG-BP dataset (an alternative public dataset obtained under controlled experimental conditions) and suggested that BP estimation models based on the MIMIC dataset have reduced predictive power in the general population; “ The identification of blood pressure variation with hypovolemia based on the volume compensation method ” ( Chen et al. ) studied the blood pressure variation, which is important in continuous blood pressure monitoring, especially in the case of low blood volume, and which is critical for survival; “ Towards continuous non-invasive blood pressure measurements—interpretation of the vasculature response to cuff inflation ” ( Loureiro et al. ) investigated BP surrogates (e.g., pulse transit or arrival time) and the results provide promising directions to improve the calibration process with cuff inflation toward accurate and robust non-invasive blood pressure estimation; “ Filtering-induced changes of pulse transmit time across different ages: a neglected concern in photoplethysmography-based cuffless blood pressure measurement ” ( Liao et al. ) showed that filtering-induced PTT changes are significantly influenced by age and PTT definition. These factors deserve further consideration to improve the accuracy of PPG-based cuffless blood pressure measurement using wearable sensors.

Several studies in this Research Topic addressed pain and its objective assessment: “ Induced pain affects auricular and body biosignals: From cold stressor to deep breathing ” ( Rapalis et al. ) examined targeted biofeedback parameters to close the loop in active pain therapy via auricular vagus nerve stimulation - personalizing pain therapy and increasing patient compliance; “ Photoplethysmography upon cold stress—impact of measurement site and acquisition mode ” ( Fleischhauer et al. ) systematically investigated the impact of the cold pressor test (CPT), i.e., a painful stimulus, on the morphology of PPG signals in 39 healthy volunteers and compared contact PPG recorded at the finger/earlobe with non-contact PPG (imaging PPG, iPPG) recorded at the face. The authors’ findings underlined the importance of the recording setup and physiological in addition to metrological differences related to the measurement protocol; “ Morphological features of the photoplethysmographic signal: a new approach to characterize the microcirculatory response to photobiomodulation ” ( Ovadia-Blechman et al. ) indicated that post-acquisition analysis of morphological features of the PPG waveform can provide new measures for investigating the microcirculatory response to photobiomodulation such as in the study of peripheral vasodilation, wound healing and pain; “ Contactless photoplethysmography for assessment of small fiber neuropathy ” ( Marcinkevics et al. ) also considered pain caused by small fiber neuropathy, seeking to develop objective non-invasive assessment methods. The team developed a modular prototype of a contactless (imaging) photoplethysmography system with three spectral bands (420, 540, and 800 nm) to assess peripheral neuropathy patients via a topical skin heating test and spectral analysis of cutaneous flow motion in 30 subjects, with results showing that neuropathic patients had a significantly lower vasomotor response (50%), flare area (63%), flare intensity index (19%), and neurogenic component (54%) of cutaneous flow motion compared to the control group, independent of photoplethysmography spectral band. iPPG has potential as a cost-effective alternative for the objective and non-invasive assessment of neuropathic patients, but further research is needed to enhance PPG signal quality and establish diagnostic criteria.

Concluding remarks

We, the Editors, hope that this Research Topic will provide you with a deeper appreciation and understanding of PPG technology and its wide range of applications in clinical physiological measurement. We also hope that this Research Topic will help spark fresh ideas and new research collaborations across disciplines, including with biomedical engineering, and scientific and clinical colleagues. With the current trends in PPG-based technologies, sensing and analysis techniques, and clinical applications we can predict with great confidence that PPG will continue to grow and enable the development of further disruptive technologies for use in healthcare and well-being applications.

Author contributions

JA: Conceptualization, Writing–original draft, Writing–review and editing. PAK: Conceptualization, Writing–original draft, Writing–review and editing.

Conflict of interest

The authors declare that the research was conducted in the absence of any commercial or financial relationships that could be construed as a potential conflict of interest.

The author(s) declared that they were an editorial board member of Frontiers, at the time of submission. This had no impact on the peer review process and the final decision.

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Allen J. (2007). Photoplethysmography and its application in clinical physiological measurement. Physiol. Meas. 28, R1–R39. doi:10.1088/0967-3334/28/3/R01

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Keywords: photoplethysmography, pulse wave analysis, diagnostic, physiology, optical, machine learning, cardiovascular

Citation: Allen J and Kyriacou PA (2024) Editorial: Advances in basic and applied research in photoplethysmography. Front. Physiol. 15:1415049. doi: 10.3389/fphys.2024.1415049

Received: 09 April 2024; Accepted: 17 April 2024; Published: 16 May 2024.

Edited and reviewed by:

Copyright © 2024 Allen and Kyriacou. This is an open-access article distributed under the terms of the Creative Commons Attribution License (CC BY). The use, distribution or reproduction in other forums is permitted, provided the original author(s) and the copyright owner(s) are credited and that the original publication in this journal is cited, in accordance with accepted academic practice. No use, distribution or reproduction is permitted which does not comply with these terms.

*Correspondence: John Allen, [email protected]

† ORCID: John Allen, http://orcid.org/0000-0002-7263-0533 ; Panicos A. Kyriacou, http://orcid.org/0000-0002-2868-485X

Disclaimer: All claims expressed in this article are solely those of the authors and do not necessarily represent those of their affiliated organizations, or those of the publisher, the editors and the reviewers. Any product that may be evaluated in this article or claim that may be made by its manufacturer is not guaranteed or endorsed by the publisher.

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• Published: 15 May 2024

Combating antimicrobial resistance in malaria, HIV and tuberculosis

• Maëlle Duffey   ORCID: orcid.org/0000-0002-4319-0647 1   nAff5 ,
• Robert W. Shafer   ORCID: orcid.org/0000-0003-2513-2643 2 ,
• Juliano Timm 3 ,
• Jeremy N. Burrows   ORCID: orcid.org/0000-0001-8448-6068 1 ,
• Nader Fotouhi 3 ,
• Mark Cockett   ORCID: orcid.org/0000-0002-9423-7548 4 &
• Didier Leroy   ORCID: orcid.org/0000-0002-5594-3204 1  

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Antimicrobial resistance poses a significant threat to the sustainability of effective treatments against the three most prevalent infectious diseases: malaria, human immunodeficiency virus (HIV) infection and tuberculosis. Therefore, there is an urgent need to develop novel drugs and treatment protocols capable of reducing the emergence of resistance and combating it when it does occur. In this Review, we present an overview of the status and underlying molecular mechanisms of drug resistance in these three diseases. We also discuss current strategies to address resistance during the research and development of next-generation therapies. These strategies vary depending on the infectious agent and the array of resistance mechanisms involved. Furthermore, we explore the potential for cross-fertilization of knowledge and technology among these diseases to create innovative approaches for minimizing drug resistance and advancing the discovery and development of new anti-infective treatments. In conclusion, we advocate for the implementation of well-defined strategies to effectively mitigate and manage resistance in all interventions against infectious diseases. 

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Acknowledgements

We thank P. Willis, S. Duparc and T. N. Wells for having carefully read and corrected the manuscript.

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Maëlle Duffey

Present address: The Global Antibiotic Research & Development Partnership, Geneva, Switzerland

Authors and Affiliations

Medicines for Malaria Venture (MMV), R&D Department/Drug Discovery, ICC, Geneva, Switzerland

Maëlle Duffey, Jeremy N. Burrows & Didier Leroy

Department of Medicine/Infectious Diseases, Stanford University, Palo Alto, CA, USA

Robert W. Shafer

TB Alliance, New York NY, NY, USA

Juliano Timm & Nader Fotouhi

Alphina Therapeutics, New Haven, CT, USA

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M.D. and D.L. developed the concept, wrote the article and created the figures. R.W.S. and J.T. had a major contribution to improving the HIV and tuberculosis (TB) sections, respectively. All authors reviewed and edited the manuscript before submission.

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Correspondence to Didier Leroy .

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M.D. is an employee of the Global Antibiotic Research & Development Partnership (GARDP, Geneva) and was an employee of MMV when this Review was drafted. R.W.S. is professor of medicine at Stanford University. D.L. and J.N.B. are working for Medicines for Malaria Venture (MMV, Geneva). J.T. and N.F. are working for TB Alliance. M.C. is currently CEO & President of the company Alphina Therapeutics and consultant/adviser for Exavir Therapeutics. He is a former employee of ViiV Healthcare and a shareholder in GSK.

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Related links

Pf3k genome database: https://www.malariagen.net/project/pf3k/

The capacity, or lack thereof, for a mutated drug-resistant pathogen to outcompete susceptible pathogens in the absence of the drug.

The frequency at which a detectable mutant cell emerges in a pathogen population in the presence of a drug.

The number of mutations required in a molecular target gene to confer a meaningful loss of susceptibility to a drug.

In the context of antimalarial drug development, when all attempts to provoke resistance in vitro with a drug fail; that is, drugs with a low frequency of resistance and/or a high genetic barrier to resistance.

(Also known as reduced parasite clearance). In the context of antimalarial drug resistance, particularly to artemisinin-based drugs, a delay in the clearance of malaria parasites due to a decrease of the parasite clearance rate after a properly administered treatment.

Analyses of common mutations to determine their association with a specific phenotype or clinical outcome.

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Duffey, M., Shafer, R.W., Timm, J. et al. Combating antimicrobial resistance in malaria, HIV and tuberculosis. Nat Rev Drug Discov (2024). https://doi.org/10.1038/s41573-024-00933-4

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Finance sits in the middle, like the neck of an hourglass whose grains of sand are money and risk.

Finance depends on data.

It’s with data that investors and issuers on either side of the hourglass participate in markets. It’s with data that the intermediaries who sit at the neck of the hourglass help price and allocate money and risk. Intermediaries don’t just sit passively passing the sand through the hourglass. They become important market participants themselves. They retain and transform money and risk. They also accumulate significant amounts of data on markets, pricing, and risk.

In finance, there also is a tendency toward concentrated data sets with sometimes dominant influence.

This is the nature of finance.

Data, a Public Good

Adam Smith, known as the father of modern economics, noted in The Wealth of Nations more than 200 years ago that the whole economy benefits when the price of information is lowered, or information is free. [1] Smith’s maxim is relevant every day in our modern capital markets.

Reliable, accessible data benefits everyone. No one private entity, though, has the incentive to create a database with reliable, comparable, and accessible data, even if they themselves may benefit. Thus, data is a public good.

Relying solely on market-based incentives would lead to under-production of the public good of information about securities.

President Franklin Roosevelt and Congress understood this. Setting rules that determine what data is provided to the public is one of the most consequential things we do at the SEC. The basic bargain Roosevelt and Congress laid out 90 years ago was that investors get to decide which risks to take so long as those companies raising money from the public make what Roosevelt called “complete and truthful disclosure.”

Roosevelt and Congress set up the SEC in 1934 to oversee the markets—and the intermediaries at the neck of the hourglass—to promote fair, orderly, and efficient markets.

While Smith’s maxim and the SEC’s role in promoting data as a public good is a constant, technology, business models, and risks change. Thus, we have an obligation to continue to refresh rules with regard to data, disclosure, and transparency.

I think of the SEC’s roles with regard to promoting data as a public good in at least four areas: issuer disclosure, disclosure by market participants, transparency of markets, and the SEC’s role providing to the public economic research as well as aggregate statistics.

Issuer Disclosure

First, Congress embedded in our securities laws a role for the SEC to oversee disclosures from public companies and registered investment companies. Further, they recognized from the SEC’s beginning the importance of guarding against insider trading where insiders abuse information that hasn’t been disclosed. [2] Few things undermine trust in the markets more than insiders abusing their positions for personal advantage, such as by trading using material nonpublic information.

The core benefits of a mandatory disclosure-based regime and guarding against insider trading haven’t changed in the last nine decades. As I said, though, technology and business models do change. What investors find important to their investment decisions also changes over time.

For instance, under Chair Arthur Levitt, the SEC in 2000 implemented Regulation Fair Disclosure to prevent companies from disclosing material non-public information to only certain individuals and not everyone. [3]

More recently, the SEC has updated disclosure requirements underlying the basic bargain. These last two years we’ve adopted rules providing investors with disclosures on emerging risks like climate [4] and cybersecurity; [5] capital raising technologies, like special purpose acquisition companies (SPACs), [6] and an age-old topic—executive compensation. [7]

The public has benefitted from the Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) in the three decades since the Commission first required mandatory EDGAR filings in 1993. To keep pace with ever-evolving markets, technology, and business models, we’ve updated EDGAR over the years. We recently made proposals that would enhance EDGAR’s security and further improve filers’ access to the EDGAR system. We have also worked across our rulemaking agenda to increase the structuring of data filed with the Commission. Further, since 2021, the Commission has made available Application Programming Interfaces (APIs) that facilitate public access to financial statements and other disclosures made by publicly traded companies. Studies show that machine-readable disclosures benefit investors, markets, and issuers, for example by decreasing information processing costs, making stock prices more informative, as well as reducing market inefficiencies and risks.

We are now working with other agencies to implement the Financial Data Transparency Act, which seeks to promote interoperability of financial regulatory data. 

We also have an important job in reviewing thousands of company and fund disclosures each year.

The Division of Corporation Finance in FY 2023 reviewed offering documents and periodic reports from among the approximately 7,400 actively reporting issuers, including more than 4,000 companies listed on U.S. exchanges.

The Division of Investment Management in FY 2023 reviewed more than 1,900 filings related to more than 4,400 funds and insurance products as well as annual reports from more than 4,200 funds.

Essential to investors’ trust in the reliability of public companies’ financial information is an independent audit of issuers’ financial statements. Congress understood this when they gave the SEC authority over setting accounting standards for public companies. Congress further understood this when they passed the Sarbanes-Oxley Act of 2002 in response to some of the largest accounting frauds and bankruptcies in the history of our country.

Market Participant Disclosure

Second, beyond issuer disclosure, the public benefits from data about market participants. Such data enhances price discovery, reduces information asymmetries, and promotes trust in the markets.

Such disclosures include institutional investment managers holdings, [8] beneficial ownership reporting, [9] and portions of broker-dealer annual audited financial statements. [10]

Again, technology, business models, and risks change. To that end, the SEC has updated a number of these market participant disclosure requirement in the last few years. For instance, we recently adopted rule amendments governing beneficial ownership reporting under Sections 13(d) and 13(g) of the Securities Exchange Act of 1934. [11] The rules shortened the deadlines by which certain beneficial owners of a company must inform the public of their position.

Further, as mandated by Congress, we adopted last year a rule to broaden the scope of short sale related data available to regulators as well as the investing public. [12]

Market Transparency

Third, the SEC has a role in promoting the transparency of the buying and selling of securities.

Such transparency matters, whether it’s prior to the transaction (so-called pre-trade transparency) or after the transaction (so-called post-trade transparency). We see this in our daily lives, whether we’re shopping for a car, a security, or a copy of Adam Smith’s book. We benefit from knowing what others paid for a product or a security in a transaction that recently occurred.

Post-trade transparency promotes liquidity and helps investors. There is something about that sunshine. It gives everyone a sense of where the current market is. The public gets to see details of the last trade that two counterparties just negotiated in that market.

Last year, we adopted a rule mandated by Dodd-Frank to bring greater transparency and efficiency to the securities lending market. [13]

We also recently adopted final rules to require that large broker-dealers—those with more than 100,000 customers—disclose execution quality to the public. [14]

In terms of the National Market System, a great deal has changed since we adopted Regulation NMS in 2005. In particular, a large and growing amount of equity trading now occurs in what many call the dark markets, particularly off-exchange market centers such as wholesalers and dark pools.

In addition to proposing a rule to narrow the minimum tick size, [15] the proposal would update the more than 120-year-old definition [16]   of round lot [17] by determining the size of round lots by the share price. The proposal also would add quotes on odd-lots to core data. Further, it would bring greater transparency to the access fees charged and related rebates paid by exchanges.

Earlier this year, we also approved a Financial Industry Regulatory Authority (FINRA) rule change to enhance post-trade transparency in the Treasury markets. [18] The FINRA rule, for the first time, will provide the public with post-trade transparency in the Treasury markets on a trade-by-trade basis, rather than on an aggregated basis. The scope of what will be published to the public will include a trade’s time, price, direction, venue, and volume.

Economic Research and Aggregate Market Statistics

Fourth, we have a role in publishing economic research. DERA provides impartial economic analyses that consider the costs and benefits of our rules as well as their effects on efficiency, competition, and capital formation.

We get feedback from the public on these economic analyses, which benefits our rulemaking. Our economic analyses also benefit the markets broadly because, as Smith said, making data available creates a public good. Our economists, from time to time, also publish research that’s outside of rulemaking. Taken together, this economic research helps improve market transparency and promotes the public’s understanding of markets.

The SEC also has had a history of publishing aggregate data with regard to the securities markets.

Since 2014, we have published quarterly aggregated trading information data, sourced from the Market Information Data Analytics System (MIDAS), as well as monthly money market fund statistics. In 2015, we began publishing quarterly private fund statistics. Since 2022, we have been publishing data on the security-based swaps market twice a year.

In addition, the SEC has made data more accessible and usable. Since 2015, DERA has published data sets aggregated from structured disclosures by individual registrants. Currently, it publishes 12 such data sets.

Such publications by the SEC helps the public better understand how our economy and securities markets function. 

We recently began publishing a new report, the Registered Fund Statistics report, [19] which aggregates data about the more than $25 trillion registered fund industry. This will give the public a view into the registered fund industry, which includes more than 12,000 mutual funds, exchange-traded funds, and closed-end funds.

I’ve asked staff to make recommendations about other areas where we might periodically publish aggregate market statistics.

Adam Smith’s nearly 250-year-old notion—that the whole economy benefits when the price of information is lowered, or information is free—is as relevant today as it has ever been. The SEC, as mandated by Congress, has an important role to promote data as a public good.

I’m proud to work with all of my colleagues at the SEC, including those of you from DERA, to ensure for the public good of data.  

[1] See Gary Gensler, “Keynote Remarks of Chairman Gary Gensler before the Americans for Financial Reform and Georgetown University Law Center’s Financial Transparency Symposium” (Oct. 11, 2013), available at https://www.cftc.gov/PressRoom/SpeechesTestimony/opagensler-147b .

[2] Section 16 of the 1934 Act included a provision about insider trading relating to short-swing profits.

[3] See  Securities and Exchange Commission, “Regulation Fair Disclosure and New Insider Trading Rules” (August 10, 2000), available at https://www.sec.gov/news/extra/seldsfct.htm .  

[4] See  Securities and Exchange Commission, “SEC Adopts Rule to Enhance and Standardize Climate-Related Disclosures for Investors” (March 6, 2024), available at https://www.sec.gov/news/press-release/2024-31 .

[5] See Securities and Exchange Commission, “SEC Adopts Rules on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure by Public Companies” (July 26, 2023), available at https://www.sec.gov/news/press-release/2023-139 .

[6] See Securities and Exchange Commission “SEC Adopts Rules to Enhance Investor Protections Relating to SPACs, Shell Companies, and Projections” (Jan. 24, 2024), available at https://www.sec.gov/news/press-release/2024-8 .

[7] See Securities and Exchange Commission, “SEC Adopts Pay Versus Performance Disclosure Rules” (Aug. 25, 2022), available at https://www.sec.gov/news/press-release/2022-149 .

[8] See 17 CFR § 240.13f-1 - Reporting by institutional investment managers of information with respect to accounts over which they exercise investment discretion, available at https://www.ecfr.gov/current/title-17/chapter-II/part-240/subpart-A/subject-group-ECFR7ce825ff9acf140/section-240.13f-1 .   

[9] See 17 CFR § 240.13d-1 - Filing of Schedules 13D and 13G, available at https://www.ecfr.gov/current/title-17/chapter-II/part-240/subpart-A/subject-group-ECFR7ce825ff9acf140/section-240.13d-1 .

[10] See  17 CFR § 240.17a-5 – Reports to be made by certain brokers and dealers, available at https://www.ecfr.gov/current/title-17/chapter-II/part-240/subpart-A/subject-group-ECFR9a3b1ee5e7a78f3/section-240.17a-5 .

[11] See Securities and Exchange Commission, “SEC Adopts Amendments to Rules Governing Beneficial Ownership Reporting” (Oct. 10, 2023), available at https://www.sec.gov/news/press-release/2023-219 .

[12] See Securities and Exchange Commission, “SEC Adopts Rule to Increase Transparency Into Short Selling and Amendment to CAT NMS Plan for Purposes of Short Sale Data Collection” (Oct. 13, 2023), available at https://www.sec.gov/news/press-release/2023-221 .

[13] See Securities and Exchange Commission, “SEC Adopts Rule to Increase Transparency in the Securities Lending Market” (Oct. 13, 2023), available at https://www.sec.gov/news/press-release/2023-220 .

[14] See Securities and Exchange Commission, “SEC Adopts Amendments to Enhance Disclosure of Order Execution Information” (March 6, 2024), available at https://www.sec.gov/news/press-release/2024-32 .

[15] See Securities and Exchange Commission, “SEC Proposes Rules to Amend Minimum Pricing Increments and Access Fee Caps and to Enhance the Transparency of Better Priced Orders” (Dec. 14, 2022), available at  https://www.sec.gov/news/press-release/2022-224 .

[16] See Merriam-Webster, “Round Lot,” which places the first known use of round lot circa 1902, available at  https://www.merriam-webster.com/dictionary/round%20lot . See also DeCoppet & Doremus, “Buying and Selling Odd-Lots” (1933), available at  https://www.bullmarketgifts.com/Buying-and-Selling-Odd-Lots-1933-p/od326.htm .  As the bookseller explains, “This booklet was published in 1933 by DeCoppet & Doremus, who were Odd-Lot Dealers on the New York Stock Exchange and member of the Exchange. At the time, shares on the NYSE were traded in multiples of 100, known as ‘Round-Lots.’”

[17] Round lots are quotes for 100 shares.

[18] See Securities Exchange Act Release No. 99487 (February 7, 2024), available at https://www.sec.gov/files/rules/sro/finra/2024/34-99487.pdf .

[19] See  Securities and Exchange Commission “Registered Fund Statistics,” available at https://www.sec.gov/files/im-registered-fund-statistics-20240418.pdf .