research report proposals

How To Write A Research Proposal

A Straightforward How-To Guide (With Examples)

By: Derek Jansen (MBA) | Reviewed By: Dr. Eunice Rautenbach | August 2019 (Updated April 2023)

Writing up a strong research proposal for a dissertation or thesis is much like a marriage proposal. It’s a task that calls on you to win somebody over and persuade them that what you’re planning is a great idea. An idea they’re happy to say ‘yes’ to. This means that your dissertation proposal needs to be   persuasive ,   attractive   and well-planned. In this post, I’ll show you how to write a winning dissertation proposal, from scratch.

Before you start:

– Understand exactly what a research proposal is – Ask yourself these 4 questions

The 5 essential ingredients:

• The title/topic
• The introduction chapter
• The scope/delimitations
• Preliminary literature review
• Design/ methodology
• Practical considerations and risks 

What Is A Research Proposal?

The research proposal is literally that: a written document that communicates what you propose to research, in a concise format. It’s where you put all that stuff that’s spinning around in your head down on to paper, in a logical, convincing fashion.

Convincing   is the keyword here, as your research proposal needs to convince the assessor that your research is   clearly articulated   (i.e., a clear research question) ,   worth doing   (i.e., is unique and valuable enough to justify the effort), and   doable   within the restrictions you’ll face (time limits, budget, skill limits, etc.). If your proposal does not address these three criteria, your research won’t be approved, no matter how “exciting” the research idea might be.

PS – if you’re completely new to proposal writing, we’ve got a detailed walkthrough video covering two successful research proposals here . 

How do I know I’m ready?

Before starting the writing process, you need to   ask yourself 4 important questions .  If you can’t answer them succinctly and confidently, you’re not ready – you need to go back and think more deeply about your dissertation topic .

You should be able to answer the following 4 questions before starting your dissertation or thesis research proposal:

• WHAT is my main research question? (the topic)
• WHO cares and why is this important? (the justification)
• WHAT data would I need to answer this question, and how will I analyse it? (the research design)
• HOW will I manage the completion of this research, within the given timelines? (project and risk management)

If you can’t answer these questions clearly and concisely,   you’re not yet ready   to write your research proposal – revisit our   post on choosing a topic .

If you can, that’s great – it’s time to start writing up your dissertation proposal. Next, I’ll discuss what needs to go into your research proposal, and how to structure it all into an intuitive, convincing document with a linear narrative.

The 5 Essential Ingredients

Research proposals can vary in style between institutions and disciplines, but here I’ll share with you a   handy 5-section structure   you can use. These 5 sections directly address the core questions we spoke about earlier, ensuring that you present a convincing proposal. If your institution already provides a proposal template, there will likely be substantial overlap with this, so you’ll still get value from reading on.

For each section discussed below, make sure you use headers and sub-headers (ideally, numbered headers) to help the reader navigate through your document, and to support them when they need to revisit a previous section. Don’t just present an endless wall of text, paragraph after paragraph after paragraph…

Top Tip:   Use MS Word Styles to format headings. This will allow you to be clear about whether a sub-heading is level 2, 3, or 4. Additionally, you can view your document in ‘outline view’ which will show you only your headings. This makes it much easier to check your structure, shift things around and make decisions about where a section needs to sit. You can also generate a 100% accurate table of contents using Word’s automatic functionality.

Ingredient #1 – Topic/Title Header

Your research proposal’s title should be your main research question in its simplest form, possibly with a sub-heading providing basic details on the specifics of the study. For example:

“Compliance with equality legislation in the charity sector: a study of the ‘reasonable adjustments’ made in three London care homes”

As you can see, this title provides a clear indication of what the research is about, in broad terms. It paints a high-level picture for the first-time reader, which gives them a taste of what to expect.   Always aim for a clear, concise title . Don’t feel the need to capture every detail of your research in your title – your proposal will fill in the gaps.

Need a helping hand?

Ingredient #2 – Introduction

In this section of your research proposal, you’ll expand on what you’ve communicated in the title, by providing a few paragraphs which offer more detail about your research topic. Importantly, the focus here is the   topic   – what will you research and why is that worth researching? This is not the place to discuss methodology, practicalities, etc. – you’ll do that later.

You should cover the following:

• An overview of the   broad area   you’ll be researching – introduce the reader to key concepts and language
• An explanation of the   specific (narrower) area   you’ll be focusing, and why you’ll be focusing there
• Your research   aims   and   objectives
• Your   research question (s) and sub-questions (if applicable)

Importantly, you should aim to use short sentences and plain language – don’t babble on with extensive jargon, acronyms and complex language. Assume that the reader is an intelligent layman – not a subject area specialist (even if they are). Remember that the   best writing is writing that can be easily understood   and digested. Keep it simple.

Note that some universities may want some extra bits and pieces in your introduction section. For example, personal development objectives, a structural outline, etc. Check your brief to see if there are any other details they expect in your proposal, and make sure you find a place for these.

Ingredient #3 – Scope

Next, you’ll need to specify what the scope of your research will be – this is also known as the delimitations . In other words, you need to make it clear what you will be covering and, more importantly, what you won’t be covering in your research. Simply put, this is about ring fencing your research topic so that you have a laser-sharp focus.

All too often, students feel the need to go broad and try to address as many issues as possible, in the interest of producing comprehensive research. Whilst this is admirable, it’s a mistake. By tightly refining your scope, you’ll enable yourself to   go deep   with your research, which is what you need to earn good marks. If your scope is too broad, you’re likely going to land up with superficial research (which won’t earn marks), so don’t be afraid to narrow things down.

Ingredient #4 – Literature Review

In this section of your research proposal, you need to provide a (relatively) brief discussion of the existing literature. Naturally, this will not be as comprehensive as the literature review in your actual dissertation, but it will lay the foundation for that. In fact, if you put in the effort at this stage, you’ll make your life a lot easier when it’s time to write your actual literature review chapter.

There are a few things you need to achieve in this section:

• Demonstrate that you’ve done your reading and are   familiar with the current state of the research   in your topic area.
• Show that   there’s a clear gap   for your specific research – i.e., show that your topic is sufficiently unique and will add value to the existing research.
• Show how the existing research has shaped your thinking regarding   research design . For example, you might use scales or questionnaires from previous studies.

When you write up your literature review, keep these three objectives front of mind, especially number two (revealing the gap in the literature), so that your literature review has a   clear purpose and direction . Everything you write should be contributing towards one (or more) of these objectives in some way. If it doesn’t, you need to ask yourself whether it’s truly needed.

Top Tip:  Don’t fall into the trap of just describing the main pieces of literature, for example, “A says this, B says that, C also says that…” and so on. Merely describing the literature provides no value. Instead, you need to   synthesise   it, and use it to address the three objectives above.

Ingredient #5 – Research Methodology

Now that you’ve clearly explained both your intended research topic (in the introduction) and the existing research it will draw on (in the literature review section), it’s time to get practical and explain exactly how you’ll be carrying out your own research. In other words, your research methodology.

In this section, you’ll need to   answer two critical questions :

• How   will you design your research? I.e., what research methodology will you adopt, what will your sample be, how will you collect data, etc.
• Why   have you chosen this design? I.e., why does this approach suit your specific research aims, objectives and questions?

In other words, this is not just about explaining WHAT you’ll be doing, it’s also about explaining WHY. In fact, the   justification is the most important part , because that justification is how you demonstrate a good understanding of research design (which is what assessors want to see).

Some essential design choices you need to cover in your research proposal include:

• Your intended research philosophy (e.g., positivism, interpretivism or pragmatism )
• What methodological approach you’ll be taking (e.g., qualitative , quantitative or mixed )
• The details of your sample (e.g., sample size, who they are, who they represent, etc.)
• What data you plan to collect (i.e. data about what, in what form?)
• How you plan to collect it (e.g., surveys , interviews , focus groups, etc.)
• How you plan to analyse it (e.g., regression analysis, thematic analysis , etc.)
• Ethical adherence (i.e., does this research satisfy all ethical requirements of your institution, or does it need further approval?)

This list is not exhaustive – these are just some core attributes of research design. Check with your institution what level of detail they expect. The “ research onion ” by Saunders et al (2009) provides a good summary of the various design choices you ultimately need to make – you can   read more about that here .

Don’t forget the practicalities…

In addition to the technical aspects, you will need to address the   practical   side of the project. In other words, you need to explain   what resources you’ll need   (e.g., time, money, access to equipment or software, etc.) and how you intend to secure these resources. You need to show that your project is feasible, so any “make or break” type resources need to already be secured. The success or failure of your project cannot depend on some resource which you’re not yet sure you have access to.

Another part of the practicalities discussion is   project and risk management . In other words, you need to show that you have a clear project plan to tackle your research with. Some key questions to address:

• What are the timelines for each phase of your project?
• Are the time allocations reasonable?
• What happens if something takes longer than anticipated (risk management)?
• What happens if you don’t get the response rate you expect?

A good way to demonstrate that you’ve thought this through is to include a Gantt chart and a risk register (in the appendix if word count is a problem). With these two tools, you can show that you’ve got a clear, feasible plan, and you’ve thought about and accounted for the potential risks.

Tip – Be honest about the potential difficulties – but show that you are anticipating solutions and workarounds. This is much more impressive to an assessor than an unrealistically optimistic proposal which does not anticipate any challenges whatsoever.

Final Touches: Read And Simplify

The final step is to edit and proofread your proposal – very carefully. It sounds obvious, but all too often poor editing and proofreading ruin a good proposal. Nothing is more off-putting for an assessor than a poorly edited, typo-strewn document. It sends the message that you either do not pay attention to detail, or just don’t care. Neither of these are good messages. Put the effort into editing and proofreading your proposal (or pay someone to do it for you) – it will pay dividends.

When you’re editing, watch out for ‘academese’. Many students can speak simply, passionately and clearly about their dissertation topic – but become incomprehensible the moment they turn the laptop on. You are not required to write in any kind of special, formal, complex language when you write academic work. Sure, there may be technical terms, jargon specific to your discipline, shorthand terms and so on. But, apart from those,   keep your written language very close to natural spoken language   – just as you would speak in the classroom. Imagine that you are explaining your project plans to your classmates or a family member. Remember, write for the intelligent layman, not the subject matter experts. Plain-language, concise writing is what wins hearts and minds – and marks!

Let’s Recap: Research Proposal 101

And there you have it – how to write your dissertation or thesis research proposal, from the title page to the final proof. Here’s a quick recap of the key takeaways:

• The purpose of the research proposal is to   convince   – therefore, you need to make a clear, concise argument of why your research is both worth doing and doable.
• Make sure you can ask the critical what, who, and how questions of your research   before   you put pen to paper.
• Title – provides the first taste of your research, in broad terms
• Introduction – explains what you’ll be researching in more detail
• Scope – explains the boundaries of your research
• Literature review – explains how your research fits into the existing research and why it’s unique and valuable
• Research methodology – explains and justifies how you will carry out your own research

Hopefully, this post has helped you better understand how to write up a winning research proposal. If you enjoyed it, be sure to check out the rest of the Grad Coach Blog . If your university doesn’t provide any template for your proposal, you might want to try out our free research proposal template .

Psst… there’s more!

This post is an extract from our bestselling short course, Research Proposal Bootcamp . If you want to work smart, you don't want to miss this .

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30 Comments

Thank you so much for the valuable insight that you have given, especially on the research proposal. That is what I have managed to cover. I still need to go back to the other parts as I got disturbed while still listening to Derek’s audio on you-tube. I am inspired. I will definitely continue with Grad-coach guidance on You-tube.

Thanks for the kind words :). All the best with your proposal.

First of all, thanks a lot for making such a wonderful presentation. The video was really useful and gave me a very clear insight of how a research proposal has to be written. I shall try implementing these ideas in my RP.

Once again, I thank you for this content.

I found reading your outline on writing research proposal very beneficial. I wish there was a way of submitting my draft proposal to you guys for critiquing before I submit to the institution.

Hi Bonginkosi

Thank you for the kind words. Yes, we do provide a review service. The best starting point is to have a chat with one of our coaches here: https://gradcoach.com/book/new/ .

Hello team GRADCOACH, may God bless you so much. I was totally green in research. Am so happy for your free superb tutorials and resources. Once again thank you so much Derek and his team.

You’re welcome, Erick. Good luck with your research proposal 🙂

thank you for the information. its precise and on point.

Really a remarkable piece of writing and great source of guidance for the researchers. GOD BLESS YOU for your guidance. Regards

Thanks so much for your guidance. It is easy and comprehensive the way you explain the steps for a winning research proposal.

Thank you guys so much for the rich post. I enjoyed and learn from every word in it. My problem now is how to get into your platform wherein I can always seek help on things related to my research work ? Secondly, I wish to find out if there is a way I can send my tentative proposal to you guys for examination before I take to my supervisor Once again thanks very much for the insights

Thanks for your kind words, Desire.

If you are based in a country where Grad Coach’s paid services are available, you can book a consultation by clicking the “Book” button in the top right.

Best of luck with your studies.

May God bless you team for the wonderful work you are doing,

If I have a topic, Can I submit it to you so that you can draft a proposal for me?? As I am expecting to go for masters degree in the near future.

Thanks for your comment. We definitely cannot draft a proposal for you, as that would constitute academic misconduct. The proposal needs to be your own work. We can coach you through the process, but it needs to be your own work and your own writing.

Best of luck with your research!

I found a lot of many essential concepts from your material. it is real a road map to write a research proposal. so thanks a lot. If there is any update material on your hand on MBA please forward to me.

GradCoach is a professional website that presents support and helps for MBA student like me through the useful online information on the page and with my 1-on-1 online coaching with the amazing and professional PhD Kerryen.

Thank you Kerryen so much for the support and help 🙂

I really recommend dealing with such a reliable services provider like Gradcoah and a coach like Kerryen.

Hi, Am happy for your service and effort to help students and researchers, Please, i have been given an assignment on research for strategic development, the task one is to formulate a research proposal to support the strategic development of a business area, my issue here is how to go about it, especially the topic or title and introduction. Please, i would like to know if you could help me and how much is the charge.

This content is practical, valuable, and just great!

Thank you very much!

Hi Derek, Thank you for the valuable presentation. It is very helpful especially for beginners like me. I am just starting my PhD.

This is quite instructive and research proposal made simple. Can I have a research proposal template?

Great! Thanks for rescuing me, because I had no former knowledge in this topic. But with this piece of information, I am now secured. Thank you once more.

I enjoyed listening to your video on how to write a proposal. I think I will be able to write a winning proposal with your advice. I wish you were to be my supervisor.

Dear Derek Jansen,

Thank you for your great content. I couldn’t learn these topics in MBA, but now I learned from GradCoach. Really appreciate your efforts….

From Afghanistan!

I have got very essential inputs for startup of my dissertation proposal. Well organized properly communicated with video presentation. Thank you for the presentation.

Wow, this is absolutely amazing guys. Thank you so much for the fruitful presentation, you’ve made my research much easier.

this helps me a lot. thank you all so much for impacting in us. may god richly bless you all

How I wish I’d learn about Grad Coach earlier. I’ve been stumbling around writing and rewriting! Now I have concise clear directions on how to put this thing together. Thank you!

Fantastic!! Thank You for this very concise yet comprehensive guidance.

Even if I am poor in English I would like to thank you very much.

Thank you very much, this is very insightful.

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Organizing Your Social Sciences Research Assignments

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

The goal of a research proposal is twofold: to present and justify the need to study a research problem and to present the practical ways in which the proposed study should be conducted. The design elements and procedures for conducting research are governed by standards of the predominant discipline in which the problem resides, therefore, the guidelines for research proposals are more exacting and less formal than a general project proposal. Research proposals contain extensive literature reviews. They must provide persuasive evidence that a need exists for the proposed study. In addition to providing a rationale, a proposal describes detailed methodology for conducting the research consistent with requirements of the professional or academic field and a statement on anticipated outcomes and benefits derived from the study's completion.

Krathwohl, David R. How to Prepare a Dissertation Proposal: Suggestions for Students in Education and the Social and Behavioral Sciences . Syracuse, NY: Syracuse University Press, 2005.

How to Approach Writing a Research Proposal

Your professor may assign the task of writing a research proposal for the following reasons:

• Develop your skills in thinking about and designing a comprehensive research study;
• Learn how to conduct a comprehensive review of the literature to determine that the research problem has not been adequately addressed or has been answered ineffectively and, in so doing, become better at locating pertinent scholarship related to your topic;
• Improve your general research and writing skills;
• Practice identifying the logical steps that must be taken to accomplish one's research goals;
• Critically review, examine, and consider the use of different methods for gathering and analyzing data related to the research problem; and,
• Nurture a sense of inquisitiveness within yourself and to help see yourself as an active participant in the process of conducting scholarly research.

A proposal should contain all the key elements involved in designing a completed research study, with sufficient information that allows readers to assess the validity and usefulness of your proposed study. The only elements missing from a research proposal are the findings of the study and your analysis of those findings. Finally, an effective proposal is judged on the quality of your writing and, therefore, it is important that your proposal is coherent, clear, and compelling.

Regardless of the research problem you are investigating and the methodology you choose, all research proposals must address the following questions:

• What do you plan to accomplish? Be clear and succinct in defining the research problem and what it is you are proposing to investigate.
• Why do you want to do the research? In addition to detailing your research design, you also must conduct a thorough review of the literature and provide convincing evidence that it is a topic worthy of in-depth study. A successful research proposal must answer the "So What?" question.
• How are you going to conduct the research? Be sure that what you propose is doable. If you're having difficulty formulating a research problem to propose investigating, go here for strategies in developing a problem to study.

Common Mistakes to Avoid

• Failure to be concise . A research proposal must be focused and not be "all over the map" or diverge into unrelated tangents without a clear sense of purpose.
• Failure to cite landmark works in your literature review . Proposals should be grounded in foundational research that lays a foundation for understanding the development and scope of the the topic and its relevance.
• Failure to delimit the contextual scope of your research [e.g., time, place, people, etc.]. As with any research paper, your proposed study must inform the reader how and in what ways the study will frame the problem.
• Failure to develop a coherent and persuasive argument for the proposed research . This is critical. In many workplace settings, the research proposal is a formal document intended to argue for why a study should be funded.
• Sloppy or imprecise writing, or poor grammar . Although a research proposal does not represent a completed research study, there is still an expectation that it is well-written and follows the style and rules of good academic writing.
• Too much detail on minor issues, but not enough detail on major issues . Your proposal should focus on only a few key research questions in order to support the argument that the research needs to be conducted. Minor issues, even if valid, can be mentioned but they should not dominate the overall narrative.

Procter, Margaret. The Academic Proposal.  The Lab Report. University College Writing Centre. University of Toronto; Sanford, Keith. Information for Students: Writing a Research Proposal. Baylor University; Wong, Paul T. P. How to Write a Research Proposal. International Network on Personal Meaning. Trinity Western University; Writing Academic Proposals: Conferences, Articles, and Books. The Writing Lab and The OWL. Purdue University; Writing a Research Proposal. University Library. University of Illinois at Urbana-Champaign.

Structure and Writing Style

Beginning the Proposal Process

As with writing most college-level academic papers, research proposals are generally organized the same way throughout most social science disciplines. The text of proposals generally vary in length between ten and thirty-five pages, followed by the list of references. However, before you begin, read the assignment carefully and, if anything seems unclear, ask your professor whether there are any specific requirements for organizing and writing the proposal.

A good place to begin is to ask yourself a series of questions:

• What do I want to study?
• Why is the topic important?
• How is it significant within the subject areas covered in my class?
• What problems will it help solve?
• How does it build upon [and hopefully go beyond] research already conducted on the topic?
• What exactly should I plan to do, and can I get it done in the time available?

In general, a compelling research proposal should document your knowledge of the topic and demonstrate your enthusiasm for conducting the study. Approach it with the intention of leaving your readers feeling like, "Wow, that's an exciting idea and I can’t wait to see how it turns out!"

Most proposals should include the following sections:

I.  Introduction

In the real world of higher education, a research proposal is most often written by scholars seeking grant funding for a research project or it's the first step in getting approval to write a doctoral dissertation. Even if this is just a course assignment, treat your introduction as the initial pitch of an idea based on a thorough examination of the significance of a research problem. After reading the introduction, your readers should not only have an understanding of what you want to do, but they should also be able to gain a sense of your passion for the topic and to be excited about the study's possible outcomes. Note that most proposals do not include an abstract [summary] before the introduction.

Think about your introduction as a narrative written in two to four paragraphs that succinctly answers the following four questions :

• What is the central research problem?
• What is the topic of study related to that research problem?
• What methods should be used to analyze the research problem?
• Answer the "So What?" question by explaining why this is important research, what is its significance, and why should someone reading the proposal care about the outcomes of the proposed study?

II.  Background and Significance

This is where you explain the scope and context of your proposal and describe in detail why it's important. It can be melded into your introduction or you can create a separate section to help with the organization and narrative flow of your proposal. Approach writing this section with the thought that you can’t assume your readers will know as much about the research problem as you do. Note that this section is not an essay going over everything you have learned about the topic; instead, you must choose what is most relevant in explaining the aims of your research.

To that end, while there are no prescribed rules for establishing the significance of your proposed study, you should attempt to address some or all of the following:

• State the research problem and give a more detailed explanation about the purpose of the study than what you stated in the introduction. This is particularly important if the problem is complex or multifaceted .
• Present the rationale of your proposed study and clearly indicate why it is worth doing; be sure to answer the "So What? question [i.e., why should anyone care?].
• Describe the major issues or problems examined by your research. This can be in the form of questions to be addressed. Be sure to note how your proposed study builds on previous assumptions about the research problem.
• Explain the methods you plan to use for conducting your research. Clearly identify the key sources you intend to use and explain how they will contribute to your analysis of the topic.
• Describe the boundaries of your proposed research in order to provide a clear focus. Where appropriate, state not only what you plan to study, but what aspects of the research problem will be excluded from the study.
• If necessary, provide definitions of key concepts, theories, or terms.

III.  Literature Review

Connected to the background and significance of your study is a section of your proposal devoted to a more deliberate review and synthesis of prior studies related to the research problem under investigation . The purpose here is to place your project within the larger whole of what is currently being explored, while at the same time, demonstrating to your readers that your work is original and innovative. Think about what questions other researchers have asked, what methodological approaches they have used, and what is your understanding of their findings and, when stated, their recommendations. Also pay attention to any suggestions for further research.

Since a literature review is information dense, it is crucial that this section is intelligently structured to enable a reader to grasp the key arguments underpinning your proposed study in relation to the arguments put forth by other researchers. A good strategy is to break the literature into "conceptual categories" [themes] rather than systematically or chronologically describing groups of materials one at a time. Note that conceptual categories generally reveal themselves after you have read most of the pertinent literature on your topic so adding new categories is an on-going process of discovery as you review more studies. How do you know you've covered the key conceptual categories underlying the research literature? Generally, you can have confidence that all of the significant conceptual categories have been identified if you start to see repetition in the conclusions or recommendations that are being made.

NOTE: Do not shy away from challenging the conclusions made in prior research as a basis for supporting the need for your proposal. Assess what you believe is missing and state how previous research has failed to adequately examine the issue that your study addresses. Highlighting the problematic conclusions strengthens your proposal. For more information on writing literature reviews, GO HERE .

To help frame your proposal's review of prior research, consider the "five C’s" of writing a literature review:

• Cite , so as to keep the primary focus on the literature pertinent to your research problem.
• Compare the various arguments, theories, methodologies, and findings expressed in the literature: what do the authors agree on? Who applies similar approaches to analyzing the research problem?
• Contrast the various arguments, themes, methodologies, approaches, and controversies expressed in the literature: describe what are the major areas of disagreement, controversy, or debate among scholars?
• Critique the literature: Which arguments are more persuasive, and why? Which approaches, findings, and methodologies seem most reliable, valid, or appropriate, and why? Pay attention to the verbs you use to describe what an author says/does [e.g., asserts, demonstrates, argues, etc.].
• Connect the literature to your own area of research and investigation: how does your own work draw upon, depart from, synthesize, or add a new perspective to what has been said in the literature?

IV.  Research Design and Methods

This section must be well-written and logically organized because you are not actually doing the research, yet, your reader must have confidence that you have a plan worth pursuing . The reader will never have a study outcome from which to evaluate whether your methodological choices were the correct ones. Thus, the objective here is to convince the reader that your overall research design and proposed methods of analysis will correctly address the problem and that the methods will provide the means to effectively interpret the potential results. Your design and methods should be unmistakably tied to the specific aims of your study.

Describe the overall research design by building upon and drawing examples from your review of the literature. Consider not only methods that other researchers have used, but methods of data gathering that have not been used but perhaps could be. Be specific about the methodological approaches you plan to undertake to obtain information, the techniques you would use to analyze the data, and the tests of external validity to which you commit yourself [i.e., the trustworthiness by which you can generalize from your study to other people, places, events, and/or periods of time].

When describing the methods you will use, be sure to cover the following:

• Specify the research process you will undertake and the way you will interpret the results obtained in relation to the research problem. Don't just describe what you intend to achieve from applying the methods you choose, but state how you will spend your time while applying these methods [e.g., coding text from interviews to find statements about the need to change school curriculum; running a regression to determine if there is a relationship between campaign advertising on social media sites and election outcomes in Europe ].
• Keep in mind that the methodology is not just a list of tasks; it is a deliberate argument as to why techniques for gathering information add up to the best way to investigate the research problem. This is an important point because the mere listing of tasks to be performed does not demonstrate that, collectively, they effectively address the research problem. Be sure you clearly explain this.
• Anticipate and acknowledge any potential barriers and pitfalls in carrying out your research design and explain how you plan to address them. No method applied to research in the social and behavioral sciences is perfect, so you need to describe where you believe challenges may exist in obtaining data or accessing information. It's always better to acknowledge this than to have it brought up by your professor!

V.  Preliminary Suppositions and Implications

Just because you don't have to actually conduct the study and analyze the results, doesn't mean you can skip talking about the analytical process and potential implications . The purpose of this section is to argue how and in what ways you believe your research will refine, revise, or extend existing knowledge in the subject area under investigation. Depending on the aims and objectives of your study, describe how the anticipated results will impact future scholarly research, theory, practice, forms of interventions, or policy making. Note that such discussions may have either substantive [a potential new policy], theoretical [a potential new understanding], or methodological [a potential new way of analyzing] significance.   When thinking about the potential implications of your study, ask the following questions:

• What might the results mean in regards to challenging the theoretical framework and underlying assumptions that support the study?
• What suggestions for subsequent research could arise from the potential outcomes of the study?
• What will the results mean to practitioners in the natural settings of their workplace, organization, or community?
• Will the results influence programs, methods, and/or forms of intervention?
• How might the results contribute to the solution of social, economic, or other types of problems?
• Will the results influence policy decisions?
• In what way do individuals or groups benefit should your study be pursued?
• What will be improved or changed as a result of the proposed research?
• How will the results of the study be implemented and what innovations or transformative insights could emerge from the process of implementation?

NOTE:   This section should not delve into idle speculation, opinion, or be formulated on the basis of unclear evidence . The purpose is to reflect upon gaps or understudied areas of the current literature and describe how your proposed research contributes to a new understanding of the research problem should the study be implemented as designed.

ANOTHER NOTE : This section is also where you describe any potential limitations to your proposed study. While it is impossible to highlight all potential limitations because the study has yet to be conducted, you still must tell the reader where and in what form impediments may arise and how you plan to address them.

VI.  Conclusion

The conclusion reiterates the importance or significance of your proposal and provides a brief summary of the entire study . This section should be only one or two paragraphs long, emphasizing why the research problem is worth investigating, why your research study is unique, and how it should advance existing knowledge.

Someone reading this section should come away with an understanding of:

• Why the study should be done;
• The specific purpose of the study and the research questions it attempts to answer;
• The decision for why the research design and methods used where chosen over other options;
• The potential implications emerging from your proposed study of the research problem; and
• A sense of how your study fits within the broader scholarship about the research problem.

VII.  Citations

As with any scholarly research paper, you must cite the sources you used . In a standard research proposal, this section can take two forms, so consult with your professor about which one is preferred.

• References -- a list of only the sources you actually used in creating your proposal.
• Bibliography -- a list of everything you used in creating your proposal, along with additional citations to any key sources relevant to understanding the research problem.

In either case, this section should testify to the fact that you did enough preparatory work to ensure the project will complement and not just duplicate the efforts of other researchers. It demonstrates to the reader that you have a thorough understanding of prior research on the topic.

Most proposal formats have you start a new page and use the heading "References" or "Bibliography" centered at the top of the page. Cited works should always use a standard format that follows the writing style advised by the discipline of your course [e.g., education=APA; history=Chicago] or that is preferred by your professor. This section normally does not count towards the total page length of your research proposal.

Develop a Research Proposal: Writing the Proposal. Office of Library Information Services. Baltimore County Public Schools; Heath, M. Teresa Pereira and Caroline Tynan. “Crafting a Research Proposal.” The Marketing Review 10 (Summer 2010): 147-168; Jones, Mark. “Writing a Research Proposal.” In MasterClass in Geography Education: Transforming Teaching and Learning . Graham Butt, editor. (New York: Bloomsbury Academic, 2015), pp. 113-127; Juni, Muhamad Hanafiah. “Writing a Research Proposal.” International Journal of Public Health and Clinical Sciences 1 (September/October 2014): 229-240; Krathwohl, David R. How to Prepare a Dissertation Proposal: Suggestions for Students in Education and the Social and Behavioral Sciences . Syracuse, NY: Syracuse University Press, 2005; Procter, Margaret. The Academic Proposal. The Lab Report. University College Writing Centre. University of Toronto; Punch, Keith and Wayne McGowan. "Developing and Writing a Research Proposal." In From Postgraduate to Social Scientist: A Guide to Key Skills . Nigel Gilbert, ed. (Thousand Oaks, CA: Sage, 2006), 59-81; Wong, Paul T. P. How to Write a Research Proposal. International Network on Personal Meaning. Trinity Western University; Writing Academic Proposals: Conferences , Articles, and Books. The Writing Lab and The OWL. Purdue University; Writing a Research Proposal. University Library. University of Illinois at Urbana-Champaign.

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How to write a research proposal

What is a research proposal?

What is the purpose of a research proposal , how long should a research proposal be, what should be included in a research proposal, 1. the title page, 2. introduction, 3. literature review, 4. research design, 5. implications, 6. reference list, frequently asked questions about writing a research proposal, related articles.

If you’re in higher education, the term “research proposal” is something you’re likely to be familiar with. But what is it, exactly? You’ll normally come across the need to prepare a research proposal when you’re looking to secure Ph.D. funding.

When you’re trying to find someone to fund your Ph.D. research, a research proposal is essentially your “pitch.”

A research proposal is a concise and coherent summary of your proposed research.

You’ll need to set out the issues that are central to the topic area and how you intend to address them with your research. To do this, you’ll need to give the following:

• an outline of the general area of study within which your research falls
• an overview of how much is currently known about the topic
• a literature review that covers the recent scholarly debate or conversation around the topic

➡️  What is a literature review? Learn more in our guide.

Essentially, you are trying to persuade your institution that you and your project are worth investing their time and money into.

It is the opportunity for you to demonstrate that you have the aptitude for this level of research by showing that you can articulate complex ideas:

It also helps you to find the right supervisor to oversee your research. When you’re writing your research proposal, you should always have this in the back of your mind.

This is the document that potential supervisors will use in determining the legitimacy of your research and, consequently, whether they will invest in you or not. It is therefore incredibly important that you spend some time on getting it right.

Tip: While there may not always be length requirements for research proposals, you should strive to cover everything you need to in a concise way.

If your research proposal is for a bachelor’s or master’s degree, it may only be a few pages long. For a Ph.D., a proposal could be a pretty long document that spans a few dozen pages.

➡️ Research proposals are similar to grant proposals. Learn how to write a grant proposal in our guide.

When you’re writing your proposal, keep in mind its purpose and why you’re writing it. It, therefore, needs to clearly explain the relevance of your research and its context with other discussions on the topic. You need to then explain what approach you will take and why it is feasible.

Generally, your structure should look something like this:

• Introduction
• Literature Review
• Research Design
• Implications

If you follow this structure, you’ll have a comprehensive and coherent proposal that looks and feels professional, without missing out on anything important. We’ll take a deep dive into each of these areas one by one next.

The title page might vary slightly per your area of study but, as a general point, your title page should contain the following:

• The proposed title of your project
• Your supervisor’s name
• The name of your institution and your particular department

Tip: Keep in mind any departmental or institutional guidelines for a research proposal title page. Also, your supervisor may ask for specific details to be added to the page.

The introduction is crucial   to your research proposal as it is your first opportunity to hook the reader in. A good introduction section will introduce your project and its relevance to the field of study.

You’ll want to use this space to demonstrate that you have carefully thought about how to present your project as interesting, original, and important research. A good place to start is by introducing the context of your research problem.

Think about answering these questions:

• What is it you want to research and why?
• How does this research relate to the respective field?
• How much is already known about this area?
• Who might find this research interesting?
• What are the key questions you aim to answer with your research?
• What will the findings of this project add to the topic area?

Your introduction aims to set yourself off on a great footing and illustrate to the reader that you are an expert in your field and that your project has a solid foundation in existing knowledge and theory.

The literature review section answers the question who else is talking about your proposed research topic.

You want to demonstrate that your research will contribute to conversations around the topic and that it will sit happily amongst experts in the field.

➡️ Read more about how to write a literature review .

There are lots of ways you can find relevant information for your literature review, including:

• Research relevant academic sources such as books and journals to find similar conversations around the topic.
• Read through abstracts and bibliographies of your academic sources to look for relevance and further additional resources without delving too deep into articles that are possibly not relevant to you.
• Watch out for heavily-cited works . This should help you to identify authoritative work that you need to read and document.
• Look for any research gaps , trends and patterns, common themes, debates, and contradictions.
• Consider any seminal studies on the topic area as it is likely anticipated that you will address these in your research proposal.

This is where you get down to the real meat of your research proposal. It should be a discussion about the overall approach you plan on taking, and the practical steps you’ll follow in answering the research questions you’ve posed.

So what should you discuss here? Some of the key things you will need to discuss at this point are:

• What form will your research take? Is it qualitative/quantitative/mixed? Will your research be primary or secondary?
• What sources will you use? Who or what will you be studying as part of your research.
• Document your research method. How are you practically going to carry out your research? What tools will you need? What procedures will you use?
• Any practicality issues you foresee. Do you think there will be any obstacles to your anticipated timescale? What resources will you require in carrying out your research?

Your research design should also discuss the potential implications of your research. For example, are you looking to confirm an existing theory or develop a new one?

If you intend to create a basis for further research, you should describe this here.

It is important to explain fully what you want the outcome of your research to look like and what you want to achieve by it. This will help those reading your research proposal to decide if it’s something the field  needs  and  wants,  and ultimately whether they will support you with it.

When you reach the end of your research proposal, you’ll have to compile a list of references for everything you’ve cited above. Ideally, you should keep track of everything from the beginning. Otherwise, this could be a mammoth and pretty laborious task to do.

Consider using a reference manager like Paperpile to format and organize your citations. Paperpile allows you to organize and save your citations for later use and cite them in thousands of citation styles directly in Google Docs, Microsoft Word, or LaTeX.

Your project may also require you to have a timeline, depending on the budget you are requesting. If you need one, you should include it here and explain both the timeline and the budget you need, documenting what should be done at each stage of the research and how much of the budget this will use.

This is the final step, but not one to be missed. You should make sure that you edit and proofread your document so that you can be sure there are no mistakes.

A good idea is to have another person proofread the document for you so that you get a fresh pair of eyes on it. You can even have a professional proofreader do this for you.

This is an important document and you don’t want spelling or grammatical mistakes to get in the way of you and your reader.

➡️ Working on a research proposal for a thesis? Take a look at our guide on how to come up with a topic for your thesis .

A research proposal is a concise and coherent summary of your proposed research. Generally, your research proposal will have a title page, introduction, literature review section, a section about research design and explaining the implications of your research, and a reference list.

A good research proposal is concise and coherent. It has a clear purpose, clearly explains the relevance of your research and its context with other discussions on the topic. A good research proposal explains what approach you will take and why it is feasible.

You need a research proposal to persuade your institution that you and your project are worth investing their time and money into. It is your opportunity to demonstrate your aptitude for this level or research by showing that you can articulate complex ideas clearly, concisely, and critically.

A research proposal is essentially your "pitch" when you're trying to find someone to fund your PhD. It is a clear and concise summary of your proposed research. It gives an outline of the general area of study within which your research falls, it elaborates how much is currently known about the topic, and it highlights any recent debate or conversation around the topic by other academics.

The general answer is: as long as it needs to be to cover everything. The length of your research proposal depends on the requirements from the institution that you are applying to. Make sure to carefully read all the instructions given, and if this specific information is not provided, you can always ask.

Research Proposal: A step-by-step guide with template

Making sure your proposal is perfect will drastically improve your chances of landing a successful research position. Follow these steps.

There’s no doubt you have the most cutting-edge research idea to date, backed up by a solid methodology and a credible explanation proving its relevance! There are thousands of research ideas that could change the world with many new ideologies.

The truth is, none of this would matter without support. It can be daunting, challenging, and uncertain to secure funding for a research project. Even more so when it isn’t well-thought-out, outlined, and includes every detail.

An effective solution for presenting your project, or requesting funding, is to provide a research proposal to potential investors or financiers on your behalf.

It’s crucial to understand that making sure your proposal is perfect will drastically improve your chances of landing a successful research position. Your research proposal could result in the failure to study the research problem entirely if it is inadequately constructed or incomplete.

It is for this reason that we have created an excellent guide that covers everything you need to know about writing a research proposal, and includes helpful tips for presenting your proposal professionally and improving its likelihood of acceptance!

What Is a Research Proposal?

Generally, a research proposal is a well-crafted, formal document that provides a thorough explanation of what you plan to investigate. This includes a rationale for why it is worth investigating, as well as a method for investigating it.

Research proposal writing in the contemporary academic environment is a challenging undertaking given the constant shift in research methodology and a commitment to incorporating scientific breakthroughs.

An outline of the plan or roadmap for the study is the proposal, and once the proposal is complete, everything should be smooth sailing. It is still common for post-graduate evaluation panels and funding applications to submit substandard proposals.

By its very nature, the research proposal serves as a tool for convincing the supervisor, committee, or university that the proposed research fits within the scope of the program and is feasible when considering the time and resources available.

A research proposal should convince the person who is going to sanction your research, or put another way, you need to persuade them that your research idea is the best.

Obviously, if it does not convince them that it is reasonable and adequate, you will need to revise and submit it again. As a result, you will lose significant time, causing your research to be delayed or cut short, which is not good.

A good research proposal should have the following structure

A dissertation or thesis research proposal may take on a variety of forms depending on the university, but  most generally a research proposal will include the following elements:

• Titles or title pages that give a description of the research
• Detailed explanation of the proposed research and its background
• Outline of the research project
• An overview of key research studies in the field
• Description the proposed research design (approach)

So, if you include all these elements, you will have a general outline. Let’s take a closer look at how to write them and what to include in each element so that the research proposal is as robust as the idea itself.

A step-by-step guide to writing a research proposal

#1 introduction.

Researchers who wish to obtain grant funding for a project often write a proposal when seeking funding for a research-based postgraduate degree program, or in order to obtain approval for completing a thesis or PhD. Even though this is only a brief introduction, we should be considering it the beginning of an insightful discussion about the significance of a topic that deserves attention.

Your readers should understand what you are trying to accomplish after they read your introduction. Additionally, they should be able to perceive your zeal for the subject matter and a genuine interest in the possible outcome of the research.

As your introduction, consider answering these questions in three to four paragraphs:

• In what way does the study address its primary issue?
• Does that subject matter fall under the domain of that field of study?
• In order to investigate that problem, what method should be used?
• What is the importance of this study?
• How does it impact academia and society overall?
• What are the potential implications of the proposed research for someone reviewing the proposal?

It is not necessary to include an abstract or summary for the introduction to most academic departments and funding sources. Nevertheless, you should confirm your institution’s requirements.

#2 Background and importance

An explanation of the rationale for a research proposal and its significance is provided in this section. It is preferable to separate this part from the introduction so that the narrative flows seamlessly.

This section should be approached by presuming readers are time-pressed but want a general overview of the whole study and the research question.

Please keep in mind that this isn’t an exhaustive essay that contains every detail of your proposed research, rather a concise document that will spark interest in your proposal.

While you should try to take into account the following factors when framing the significance of your proposed study, there are no rigid rules.

• Provide a detailed explanation of the purpose and problem of the study. Multidimensional or interdisciplinary research problems often require this.
• Outline the purpose of your proposed research and describe the advantages of carrying out the study.
• Outline the major issues or problems to be discussed. These might come in the form of questions or comments.
• Be sure to highlight how your research contributes to existing theories that relate to the problem of the study.
• Describe how your study will be conducted, including the source of data and the method of analysis.
• To provide a sense of direction for your study, define the scope of your proposal.
• Defining key concepts or terms, if necessary, is recommended.

The steps to a perfect research proposal all get more specific as we move forward to enhance the concept of the research. In this case, it will become important to make sure that your supervisor or your funder has a clear understanding of every aspect of your research study.

#3 Reviewing prior literature and studies

The aim of this paragraph is to establish the context and significance of your study, including a review of the current literature pertinent to it.

This part aims to properly situate your proposed study within the bigger scheme of things of what is being investigated, while, at the same time, showing the innovation and originality of your proposed work.

When writing a literature review, it is imperative that your format is effective because it often contains extensive information that allows you to demonstrate your main research claims compared to other scholars.

Separating the literature according to major categories or conceptual frameworks is an excellent way to do this. This is a more effective method than listing each study one by one in chronological order.

In order to arrange the review of existing relevant studies in an efficient manner, a literature review is often written using the following five criteria:

• Be sure to cite your previous studies to ensure the focus remains on the research question. For more information, please refer to our guide on how to write a research paper .
• Study the literature’s methods, results, hypotheses, and conclusions. Recognize the authors’ differing perspectives.
• Compare and contrast the various themes, arguments, methodologies, and perspectives discussed in the literature. Explain the most prominent points of disagreement.
• Evaluate the literature. Identify persuasive arguments offered by scholars. Choose the most reliable, valid, and suitable methodologies.
• Consider how the literature relates to your area of research and your topic. Examine whether your proposal for investigation reflects existing literature, deviates from existing literature, synthesizes or adds to it in some way.

#4 Research questions and objectives

The next step is to develop your research objectives once you have determined your research focus.

When your readers read your proposal, what do you want them to learn? Try to write your objectives in one sentence, if you can. Put time and thought into framing them properly.

By setting an objective for your research, you’ll stay on track and avoid getting sidetracked.

Any study proposal should address the following questions irrespective of the topic or problem:

• What are you hoping to accomplish from the study? When describing the study topic and your research question, be concise and to the point.
• What is the purpose of the research? A compelling argument must also be offered to support your choice of topic.
• What research methods will you use? It is essential to outline a clear, logical strategy for completing your study and make sure that it is doable.

Some authors include this section in the introduction, where it is generally placed at the end of the section.

#5 Research Design and Methods

It is important to write this part correctly and organize logically even though you are not starting the research yet.  This must leave readers with a sense of assurance that the topic is worthwhile.

To achieve this, you must convince your reader that your research design and procedures will adequately address the study’s problems. Additionally, it seeks to ensure that the employed methods are capable of interpreting the likely study results efficiently.

You should design your research in a way that is directly related to your objectives.

Exemplifying your study design using examples from your literature review, you are setting up your study design effectively. You should follow other researchers’ good practices.

Pay attention to the methods you will use to collect data, the analyses you will perform, as well as your methods of measuring the validity of your results.

If you describe the methods you will use, make sure you include the following points:

• Develop a plan for conducting your research, as well as how you intend to interpret the findings based on the study’s objectives.
• When describing your objectives with the selected techniques, it is important to also elaborate on your plans.
• This section does not only present a list of events. Once you have chosen the strategy, make sure to explain why it is a good way to analyse your study question. Provide clear explanations.
• Last but not least, plan ahead to overcome any challenges you might encounter during the implementation of your research design.

In the event that you closely follow the best practices outlined in relevant studies as well as justify your selection, you will be prepared to address any questions or concerns you may encounter.

We have an amazing article that will give you everything you need to know about research design .

#6 Knowledge Contribution and Relevance

In this section, you describe your theory about how your study will contribute to, expand, or alter knowledge about the topic of your study.

You should discuss the implications of your research on future studies, applications, concepts, decisions, and procedures. It is common to address the study findings from a conceptual, analytical, or scientific perspective.

If you are framing your proposal of research, these guide questions may help you:

• How could the results be interpreted in the context of contesting the premises of the study?
• Could the expected study results lead to proposals for further research?
• Is your proposed research going to benefit people in any way?
• Is the outcome going to affect individuals in their work setting?
• In what ways will the suggested study impact or enhance the quality of life?
• Are the study’s results going to have an impact on intervention forms, techniques, or policies?
• What potential commercial, societal, or other benefits could be derived from the outcomes?
• Policy decisions will be influenced by the outcomes?
• Upon implementation, could they bring about new insights or breakthroughs?

Throughout this section, you will identify unsolved questions or research gaps in the existing literature. If the study is conducted as proposed, it is important to indicate how the research will be instrumental in understanding the nature of the research problem.

#7 Adherence to the Ethical Principles

In terms of scientific writing style, no particular style is generally acknowledged as more or less effective. The purpose is simply to provide relevant content that is formatted in a standardized way to enhance communication.

There are a variety of publication styles among different scholarly disciplines. It is therefore essential to follow the protocol according to the institution or organization that you are targeting.

All scholarly research and writing is, however, guided by codes of ethical conduct. The purpose of ethical guidelines, if they are followed, is to accomplish three things:

1) Preserve intellectual property right;

2) Ensure the rights and welfare of research participants;

3) Maintain the accuracy of scientific knowledge.

Scholars and writers who follow these ideals adhere to long-standing standards within their professional groups.

An additional ethical principle of the APA stresses the importance of maintaining scientific validity. An observation is at the heart of the standard scientific method, and it is verifiable and repeatable by others.

It is expected that scholars will not falsify or fabricate data in research writing. Researchers must also refrain from altering their studies’ outcomes to support a particular theory or to exclude inconclusive data from their report in an effort to create a convincing one.

#8 The budget

The need for detailed budgetary planning is not required by all universities when studying historical material or academic literature, though some do require it. In the case of a research grant application, you will likely have to include a comprehensive budget that breaks down the costs of each major component.

Ensure that the funding program or organization will cover the required costs, and include only the necessary items. For each of the items, you should include the following.

• To complete the study in its entirety, how much money would you require?
• Discuss the rationale for such a budget item for the purpose of completing research.
• The source of the amount – describe how it was determined.

When doing a study, you cannot buy ingredients the way you normally would. With so many items not having a price tag, how can you make a budget? Take the following into consideration:

• Does your project require access to any software programs or solutions? Do you need to install or train a technology tool?
• How much time will you be spending on your research study? Are you required to take time off from work to do your research?
• Are you going to need to travel to certain locations to meet with respondents or to collect data? At what cost?
• Will you be seeking research assistants for the study you propose? In what capacity and for what compensation? What other aspects are you planning to outsource?

It is possible to calculate a budget while also being able to estimate how much more money you will need in the event of an emergency.

#9 Timeline

A realistic and concise research schedule is also important to keep in mind. You should be able to finish your plan of study within the allotted time period, such as your degree program or the academic calendar.

You should include a timeline that includes a series of objectives you must complete to meet all the requirements for your scholarly research. The process starts with preliminary research and ends with final editing. A completion date for every step is required.

In addition, one should state the development that has been made. It is also recommended to include other relevant research events, for instance paper or poster presentations . In addition, a researcher must update the timeline regularly, as necessary, since this is not a static document.

#10 A Concluding Statement

Presenting a few of the anticipated results of your research proposal is an effective way to conclude your proposal.

The final stage of the process requires you to reveal the conclusion and rationale you anticipate reaching. Considering the research you have done so far, your reader knows that these are anticipated results, which are likely to evolve once the whole study is completed.

In any case, you must let the supervisors or sponsors know what implications may be drawn. It will be easier for them to assess the reliability and relevance of your research.

It will also demonstrate your meticulousness since you will have anticipated and taken into consideration the potential consequences of your research.

The Appendix section is required by some funding sources and academic institutions. This is extra information that is not in the main argument of the proposal, but appears to enhance the points made.

For example, data in the form of tables, consent forms, clinical/research guidelines, and procedures for data collection may be included in this document.

Research Proposal Template

Now that you know all about each element that composes an ideal research proposal, here is an extra help: a ready to use research proposal example. Just hit the button below, make a copy of the document and start working!

Avoid these common mistakes

In an era when rejection rates for prestigious journals can reach as high as 90 percent, you must avoid the following common mistakes when submitting a proposal:

• Proposals that are too long. Stay to the point when you write research proposals. Make your document concise and specific. Be sure not to diverge into off-topic discussions.
• Taking up too much research time. Many students struggle to delineate the context of their studies, regardless of the topic, time, or location. In order to explain the methodology of the study clearly to the reader, the proposal must clearly state what the study will focus on.
• Leaving out significant works from a literature review. Though everything in the proposal should be kept at a minimum, key research studies must need to be included. To understand the scope and growth of the issue, proposals should be based on significant studies.
• Major topics are too rarely discussed, and too much attention is paid to minor details. To persuasively argue for a study, a proposal should focus on just a few key research questions. Minor details should be noted, but should not overshadow the thesis.
• The proposal does not have a compelling and well-supported argument. To prove that a study should be approved or funded, the research proposal must outline its purpose.
• A typographical error, bad grammar or sloppy writing style. Even though a research proposal outlines a part of a larger project, it must conform to academic writing standards and guidelines.

A final note

We have come to the end of our research proposal guide. We really hope that you have found all the information you need. Wishing you success with the research study.

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

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

Written by: Danesh Ramuthi Nov 29, 2023

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

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

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

What to include in a research proposal?

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

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

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

How to format a research proposal?

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

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

How to write a research proposal in 11 steps?

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

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

Step 1: title and abstract.

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

Step 2: Introduction

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

Step 3: Research objectives

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

Step 4: Literature review

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

Step 5: Methodology

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

Step 6: Timeline

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

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

Step 7: Resources

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

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

Step 8: Ethical considerations

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

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

Step 9: Expected outcomes and significance

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

Step 10: References

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

Step 11: Appendices

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

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

Research proposal FAQs

1. how long should a research proposal be.

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

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

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

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

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

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

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

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

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17 Research Proposal Examples

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

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

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

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

Watch my Guide: How to Write a Research Proposal

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

Research Proposal Sample Structure

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

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

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

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

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

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

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

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

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

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

Research Proposal Examples

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

1. Education Studies Research Proposals

See some real sample pieces:

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

Consider this hypothetical education research proposal:

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

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

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

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

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

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

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

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

2. Psychology Research Proposals

See some real examples:

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

Consider this hypothetical psychology research proposal:

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

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

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

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

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

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

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

3. Sociology Research Proposals

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

Consider this hypothetical sociology research proposal:

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

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

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

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

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

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

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

4. Nursing Research Proposals

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

Consider this hypothetical nursing research proposal:

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

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

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

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

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

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

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

5. Social Work Research Proposals

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

Consider this hypothetical social work research proposal:

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

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

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

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

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

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

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

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

Research Proposal Template

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

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

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

Chris Drew (PhD)

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

• Chris Drew (PhD) https://helpfulprofessor.com/author/chris-drew-phd/ 15 Self-Actualization Examples (Maslow's Hierarchy)
• Chris Drew (PhD) https://helpfulprofessor.com/author/chris-drew-phd/ Forest Schools Philosophy & Curriculum, Explained!
• Chris Drew (PhD) https://helpfulprofessor.com/author/chris-drew-phd/ Montessori's 4 Planes of Development, Explained!
• Chris Drew (PhD) https://helpfulprofessor.com/author/chris-drew-phd/ Montessori vs Reggio Emilia vs Steiner-Waldorf vs Froebel

8 thoughts on “17 Research Proposal Examples”

Very excellent research proposals

very helpful

Very helpful

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

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

very good research proposal

Thank you so much sir! ❤️

Very helpful 👌

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8 Research Proposal Examples & Template to Use

Written by: Raja Mandal

So you have a groundbreaking research idea you've spent months or even years developing, and now you're ready to take the next step.

How do you get funding for your research, and how should you approach potential funders? The answer is to create a convincing research proposal.

Unfortunately, most research proposals often get rejected. According to the European Research Council, the success rate for repeat proposal applications was only 14.8% in 2023 .

Pitching a novel research concept isn’t enough. To increase your chances of securing funding, your research proposal must check the right boxes in terms of clarity, feasibility, aesthetic appeal and other factors.

If you’re looking for inspiration to create a persuasive and feasible proposal, you’re in the right place. In this article, we have compiled a list of research proposal examples to help you create yours.

These examples will help you understand how to organize your proposal, what information to include and how to present it in a way that encourages others to support your project.

Let's dive in!

Table of Contents

What is a research proposal, what to include in a research proposal, 8 research proposal examples & templates, research proposal faqs.

• A research proposal is a document that outlines your proposed research project, explaining what you plan to study, why it's important and how you will conduct your research.
• A well-structured research proposal includes a title page, abstract and table of contents, introduction, literature review, research design and methodology, contribution to knowledge, research schedule, timeline and budget.
• Visme's research proposal examples and templates offer a great starting point for creating engaging and well-structured proposals.
• Choose a template from Visme's research proposal examples and customize it to fit your needs.
• With Visme’s proposal maker , you can create a research proposal that stands out. Access a drag-and-drop editor and advanced features like AI tools , collaboration features, brand wizard and more.

A research proposal is a structured document that outlines the core idea of your research, the methods you intend to use, the required resources and the expected results.

Think of it as a sales pitch for your research. It answers some big questions: What are you planning to explore? Why is it important to conduct the research? What are your research objectives and the methods you’ll use to achieve them? What are the potential outcomes or contributions of this research to the field?

A research proposal serves two primary purposes. First, it convinces funding bodies or academic committees to support your research project expected to bring new ideas and insights. Second, it provides a roadmap for your research journey, helping you stay focused, organized and on track.

Now, we'll discuss what to include in a research proposal. You'll learn about the important parts of a research proposal template and how they help present your research idea clearly.

Here’s an infographic that you can use to understand the elements of a research proposal quickly.

1. Title Page

Start your research proposal with a title page that clearly states your research. The title page is like a book cover, giving the first impression of your project. Therefore, you must ensure the design is engaging enough to attract your audience at first glance.

Include the following details on your title page:

• Title of your research
• Contact Details
• Name of the department or organization
• Date of submission

2. Abstract and Table of Contents

After the title page comes the abstract and the table of contents.

The abstract is a concise summary of your project that briefly outlines your research question, the reasons behind the study and the methods you intend to use. It is a quick way for readers to understand your proposal without reading the entire document.

The table of contents is a detailed list of the sections and subsections in your proposal, with page numbers. It helps readers navigate through your document and quickly locate different parts they're interested in.

3. Introduction

The introduction of your research proposal sets the tone for the rest of the document. It should grab the reader's attention and make them want to learn more. It's your chance to make a strong case for why your research is worth investigating and how it can fill a gap in current knowledge or solve a specific problem.

Make sure that your introduction covers the following:

• Background Information: Set the stage with a brief snapshot of existing research and why your topic is relevant.
• Research Problem: Identify the specific problem or knowledge gap that your study will address.
• Research Questions or Hypotheses: Present the central question or hypothesis that guides your research focus.
• Aims and Objectives: Outline your research's main goal and the steps you'll take to achieve it.
• Significance and Contribution: Explain how your research will add value to the field and what impact it could have.

4. Literature Review

A literature review is a list of the scholarly works you used to conduct your research. It helps you demonstrate your current knowledge about the topic.

Here's how this part works:

• Summary of Sources: Talk about the main ideas or findings from your research materials and explain how they connect to your research questions.
• Finding Gaps: Show where the current research falls short or doesn't give the full picture—this is where your research comes in!
• Key Theories: Tell the readers about any theories or ways of thinking that help shape your research.
• Learning from Methods: Discuss what previous researchers worked on and how their methods might guide your research.
• Recognizing Authors and Studies: Honor the pioneers whose work has had a major influence on your topic.

5. Research Design and Methodology

This section outlines your plan for answering your research question. It explains how you intend to gather and analyze information, providing a clear roadmap of the investigation process.

Here are the key components:

Population and Sample

Describe the entire group you're interested in (the population). This could be all teachers in a specific state or all social media platform users. After that, you will need to explain how you will choose a smaller group, known as a sample, to study directly. This sample should be selected to accurately represent the larger population you are interested in studying.

To choose the right sampling method, you need to assess your population properly. For instance, to obtain general insights, you can use random sampling to select individuals without bias. If the population consists of different categories, such as professionals and students, you can use stratified sampling to ensure that each category is represented in the sample.

Other popular sampling methods include systematic, convenience, purposive, cluster, and probability sampling techniques.

Research Approach

There are three main approaches for the research: qualitative (focusing on experiences and themes), quantitative (using numbers and statistics), or mixed methods (combining both). Your choice will depend on your research question and the kind of data you need.

Data Collection

This section details the specific methods you'll use to gather information. Will you distribute surveys online or in person? Conduct interviews? Perhaps you'll use existing data sets. Here, you'll also explain how you'll ensure the data collection process is reliable and ethical.

Data Analysis

Once you have collected your data, the next step is to analyze it to obtain meaningful insights. The method you choose depends on the available data type.

If you have quantitative data, you can employ statistical tests to analyze it. And if you're dealing with qualitative data, coding techniques can help you spot patterns and themes in your collected data.

6. Contribution to Knowledge

In this section, you need to explain how your research will contribute to the existing knowledge in your field. You should describe whether your study will fill a knowledge gap, challenge conventional ideas or beliefs or offer a fresh perspective on a topic.

Clearly outline how your work will advance your field of study and why this new knowledge is essential.

7. Research Schedule and Timeline

Create a timeline with important milestones, such as finishing your literature review, completing data collection and finalizing your analysis.

This shows that you've carefully considered the scope of your project and can manage your time effectively. Furthermore, account for possible delays and be prepared to adapt your schedule accordingly.

To create this timeline, consider using a visual tool like a Gantt chart or a simple spreadsheet. These tools will help you organize individual tasks, assign deadlines, and visualize the project's overall progress.

Choose a Gantt chart template from Visme's library and customize it to create your timeline quickly. Here's an example template:

The budget section is your opportunity to show them that you've carefully considered all necessary expenses and that your funding request is justified.

Here's how you can approach this part:

• Understand the Rules: Before making calculations, thoroughly review the funding agency's guidelines. Pay attention to what types of expenses are allowed or excluded and whether there are any budget caps.
• Personnel: Salaries and benefits for yourself, research assistants, or collaborators.
• Equipment: Specialized tools, software, or lab supplies.
• Travel: Transportation, lodging and meals if data collection requires travel.
• Dissemination: Costs for publishing results or presenting at conferences.
• Provide Justifications: Don't just list a cost. Briefly explain why each expense is crucial for completing your research.
• Be Thorough and Realistic: Research prices for specific items using quotes or online comparisons. Don't underestimate expenses, as this can raise troubles about the project's feasibility.
• Don't Forget Contingencies: Include a small buffer (around 5% of your total budget) for unexpected costs that might arise.

Using these research proposal examples and templates, you can create a winning proposal in no time. You will find templates for various topics and customize every aspect of them to make them your own.

Visme’s drag-and-drop editor, advanced features and a vast library of templates help organizations and individuals worldwide create engaging documents.

Here’s what a research student who uses Visme to create award-winning presentations has to say about the tool:

Chantelle Clarke

Research Student

Now, let’s dive into the research proposal examples.

1. Research Proposal Presentation Template

This research proposal presentation template is a powerful tool for presenting your research plan to stakeholders. The slides include specific sections to help you outline your research, including the research background, questions, objectives, methodology and expected results.

The slides create a coherent narrative, highlighting the importance and significance of your research. Overall, the template has a calming and professional blue color scheme with text that enables your audience to grasp the key points.

If you need help creating your presentation slides in a fraction of the time, check out Visme's AI presentation maker . Enter your requirements using text prompts, and the AI tool will generate a complete presentation with engaging visuals, text and clear structure. You can further customize the template completely to your needs.

2. Sales Research Proposal Template

Sales research gives you a deeper understanding of their target audience. It also helps you identify gaps in the market and develop effective sales strategies that drive revenue growth. With this research proposal template, you can secure funding for your next research project.

It features a sleek and professional grayscale color palette with a classic and modern vibe. The high-quality images in the template are strategically placed to reinforce the message without overwhelming the reader. Furthermore, the template includes a vertical bar graph that effectively represents budget allocations, enabling the reader to quickly grasp the information.

Use Visme's interactive elements and animations to add a dynamic layer to your research proposals. You can animate any object and add pop-ups or link pages for a more immersive experience. Use these functionalities to highlight key findings, demonstrate trends or guide readers through your proposal, making the content engaging and interactive.

3. General Funding Research Proposal Template

This proposal template is a great tool for securing funding for any type of research project. It begins with a captivating title page that grabs attention. The beautiful design elements and vector icons enhance the aesthetic and aid visual communication.

This template revolves around how a specific user group adopts cryptocurrencies like Bitcoin and Ethereum. The goal is to assess awareness, gauge interest and understand key factors affecting cryptocurrency adoption.

The project methodology includes survey design, data collection, and market research. The expected impact is to enhance customer engagement and position the company as a customer-centric brand.

Do you need additional help crafting the perfect text for your proposal? Visme's AI writer can quickly generate content outlines, summaries and even entire sections. Just explain your requirements to the tool using a text prompt, and the tool will generate it for you.

4. Product Research Proposal Template

Creating a product that delights users begins with detailed product research. With this modern proposal template, you can secure buy-in and funding for your next research.

It starts with a background that explains why the research is important. Next, it highlights what the research is set to achieve, how the research will be conducted, how much it will cost, the timeline and the expected outcomes. With a striking color scheme combining black, yellow, and gray, the template grabs attention and maintains it until the last page.

What we love about this template is the smart use of visuals. You'll find a flowchart explaining the methodology, a bar graph for the budget, and a timeline for the project. But that’s just the tip of the iceberg regarding the visual elements you’ll find in Visme.

Visme offers data visualization tools with 30+ data widgets, such as radial gauges, population arrays, progress bars and more. These tools can help you turn complex data into engaging visuals for your research proposal or any other document.

For larger data sets, you can choose from 20+ types of charts and graphs , including bar graphs , bubble charts , Venn diagrams and more.

5. Tech Research Proposal Template

If you’re a tech researcher, we’ve got the perfect template for you. This research proposal example is about predictive analytics in e-commerce. However, you can customize it for any other type of research proposal.

It highlights the project's objectives, including the effectiveness of predictive analysis, the impact of product recommendations and supply chain optimization. The methods proposed for achieving these objectives involve A/B testing and data analysis, a comprehensive budget and a 12-month timeline for clear project planning.

The title page has a unique triptych-style layout that immediately catches the reader's attention. It has plenty of white space that enhances readability, allowing your audience to focus on the critical points.

Submitting to different funding agencies? You don’t have to manually make changes to your document. Visme's dynamic fields can help save time and eliminate repetitive data entry.

Create custom fields like project names, addresses, contact information and more. Any changes made to these fields will automatically populate throughout the document.

6. Marketing Research Proposal Template

Artificial intelligence (AI) is taking the world by storm and the marketing niche isn’t left out. With this eye-catching template, you can attract attention to your proposed marketing research project for an AI-driven platform.

The main goal of the research is to evaluate the platform's feasibility and marketing potential. To achieve this goal, the scope of work includes a comprehensive analysis of the market and competitors and pilot testing. The proposal also contains a budget overview that clearly outlines the allocation of funds, ensuring a well-planned and transparent approach.

Using Visme's Brand Design Tool , you can easily customize this template to suit your branding with just one click. Simply enter your URL into the brand wizard, and the tool will automatically extract your company logo, brand colors, and brand fonts . Once saved, you or your team members can apply the branding elements to any document. It's that simple!

7. Environmental Research Proposal Template

The environmental research proposal example focuses on carbon emissions, identifies their contributing factors, and suggests sustainable practices to address them. It uses an appropriate sample size and data collection techniques to gather and evaluate data and provide sustainable recommendations to reduce industrial carbon footprints and waste.

From a design standpoint, the green and white color combination matches the theme of nature and environmental friendliness. In addition to its aesthetic appeal, the proposal includes relevant images that support ecological advocacy, making it informative and visually aligned with its purpose.

A key feature of this template is its detailed breakdown of the project's timeline. It uses a Gantt chart to clearly present stages, milestones and deadlines.

Collaborate with your team members to customize these research proposal templates using Visme’s collaborative design features . These features allow you to leave feedback, draw annotations and even make live edits. Invite your teammates via email or a shareable link and allow them to work together on projects.

8. General Approval Research Proposal Template

This research proposal template is a total game-changer - you can use it for any research proposal and customize it however you want. It features a modern and refreshing color scheme that immediately makes it stand out, providing a contemporary look that can adapt to any project's needs.

The template's layout is thoughtfully designed with primary fields that users can easily personalize by changing text, adjusting colors, or swapping images. No matter the research topic, you can tailor the template to fit your specific needs.

Once you're done customizing your research proposal template on Visme, you can download, share and publish it in different ways. For offline usage, you may download the proposal in PDF, PNG, or JPG format. To share it online, you can use a private or public link or generate a code snippet that you can embed anywhere on the web.

Want to create other types of proposals? Here are 29 proposal templates that you can easily customize in Visme.

Q. What Are the Five Steps of Writing a Research Proposal?

Follow these steps to write a solid research proposal:

• Choose a topic within your field of study that can be explored and investigated.
• Research existing literature and studies to build a foundational understanding and prepare your research question.
• Outline your research proposal: introduction, literature review, proposed methodology, budget and timeline.
• Conduct more detailed studies to strengthen your proposition, refine your research question and justify your methodology.
• Follow your outline to write a clear and organized proposal, then review and edit for accuracy before submitting.

If you want to learn more about creating an expert research proposal , we highly recommend checking out our in-depth guide.

Q. How Long Is a Research Proposal?

Research proposals can range from 1,000 to 5,000 words. For smaller projects or when specific requirements aren't provided, aim for a concise and informative proposal that effectively outlines your research plan.

However, the ideal length depends on these factors:

• Projects with complex methodologies or multiple phases may require longer proposals to explain the scope and procedures in detail.
• Universities, academic institutions and funding agencies often have guidelines of a specific length. Always check their requirements beforehand.
• When writing a proposal, adjust the level of study based on the audience. Academic proposals may require comprehensive explanations, while business or non-profit proposals require a more streamlined approach.

Q. How Long Does It Take to Write a Research Proposal?

The time it takes to write a research proposal depends on a few factors:

• Complex research with extensive data collection or analysis will naturally take longer to plan and write about.
• If you're new to writing research proposals, expect to spend more time learning the format and best practices.
• If you've already conducted some research or a thorough literature review, the writing process might go faster.
• Funding applications often have strict deadlines that will dictate your timeline.

Set aside several weeks to a couple of months for researching, writing, and revising your proposal. Start early to avoid stress and produce your best work.

Q. What Not to Do for a Research Proposal?

There are several factors that can make a research proposal weak. Here are some of the most common errors that you should avoid while preparing your research proposal:

• Don’t choose a topic that’s too broad. Focus on a specific area you can thoroughly explore within your proposal’s limits.
• Don’t ignore the rules for formatting and submitting your proposal. Always adhere to the requirements set by your institution or funding body.
• Don’t forget to conduct a thorough literature review. It's crucial to show your grasp of existing research related to your topic.
• Don't be vague about your methods. Ensure they're clearly defined and suitable for answering your research question.
• Don't overlook errors in grammar, typos or structure. A well-proofread proposal reflects professionalism, so review it carefully before submitting it.

Craft Professional & Engaging Proposals with Visme

Writing a compelling research proposal takes effort, but with the right tools, the process becomes a breeze. Use the research proposal examples and templates in this article as a launching point to write your own proposal.

The best part? Visme provides easy-to-use tools with a vast collection of customizable templates, design elements and powerful features.

Whether you're a seasoned researcher or a student, Visme has the resources to help you create visually appealing and well-structured research proposals. In addition to research proposals, Visme helps you create many other document types, such as presentations , infographics , reports and more.

Ready to create your own research proposal? Check out Visme's proposal maker and start crafting professional and engaging proposals in minutes!

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Research Paper Guide

Writing Research Proposal

Last updated on: Nov 20, 2023

Writing a Research Proposal - Outline, Format, and Examples

By: Nathan D.

13 min read

Reviewed By: Rylee W.

Published on: Mar 24, 2023

Ready to take on the world of research, but feeling a bit intimidated by the proposal-writing process? You're not alone! Writing a research proposal can seem like a daunting task, especially if you're new to the game. 

But don't worry – we're here to help make the process as easy and exciting as possible!

Think of your research proposal as a sales pitch for your ideas. It's your chance to convince others that your project is worth their time and investment. And just like with any great sales pitch, the key is to show passion and enthusiasm for your work.

In this guide, we'll demystify the proposal-writing process. We'll cover everything from defining your research question to outlining your methodology to presenting your budget. 

So get ready to rock this proposal writing journey!

On this Page

What is a Research Proposal?

As per the research proposal definition, it is a concise summary of your research paper. It introduces the general idea of your research by highlighting the questions and issues you are going to address in your paper.

For writing a good and ‘acceptance worthy’ proposal, demonstrating the uniqueness and worthiness of your research paper is important.

Below is a detailed definition that will help you understand it better.

‘A research proposal is a document that is written to present and justify your interest and need for researching a particular topic.’

Similarly, a good proposal must highlight the benefits and o utcomes of the proposed study, supported by persuasive evidence.

Purpose of Research Proposal 

Knowing what the goal of writing a research proposal is can make the process easier and help you get your project approved by faculty. 

Let’s break down what makes up a good research proposal. 

Filling Gaps in Existing Knowledge 

Crafting a research proposal is an opportunity to explore the depths of your topic and uncover unturned stones. 

By identifying areas previously unexamined, you can open up new perspectives which could provide substantial value to your project. This demonstrates your contribution to knowledge. 

With such insights in hand, faculty will quickly recognize that there's something special about this study – setting it apart from others on the same subject!

Underscoring Existing Knowledge 

A research proposal is a chance for you to show how good you are at analyzing things and understanding past studies. 

With evidence-based data, you can demonstrate how these studies relate to each other - which agrees or disagrees with current theories about the topic. 

Whether it's presenting meaningful insights or uncovering new ones, this exercise will challenge your ability to think critically!

Adding New Original Knowledge 

To create a compelling research proposal, you must demonstrate your understanding of the existing body of knowledge on your topic. 

You should also bring something new to the table. You can explore primary sources like interviews or surveys with experts or members involved in this study. 

Showcase how this proposed project adds value and moves conversations forward; make sure that it is relevant to today's context!

In conclusion, the purpose of a research proposal is to identify gaps in existing knowledge and provide new, original perspectives on the topic. By doing this, you'll be able to craft an impactful study that faculty will find hard to ignore! 

How to Create a Research Proposal Outline?

Sometimes students don’t realize how important a research paper proposal is and end up putting all the information together without following the basic outline or thinking this through.

Before starting with the outline, you need to understand the basic components. A clear outline is important when it comes to presenting the literature review and writing the entire paper.

Here is a basic format you can follow while writing your proposal.

• Introduction
• Literature Review
• Research Methodology

It might seem like a dreadful task and especially for the students who are new to this. It requires good writing as well as research skills.

Here is a sample template to further explain the outline.

Research Proposal Template

RESEARCH PROPOSAL TEMPLATE

Need help with creating an outline for your research paper? Check out this in-depth read on how to create an effective research paper outline !

How to Start a Research Proposal?

Many students think that starting a research proposal is the same as creating an outline. No, it is not, and knowing how to start with your research proposal on the right track is like getting done with half of it.

Below are the important steps to start a research proposal.

• Begin working on it as soon as possible.
• Conduct thorough and in-depth research.
• Instead of forming the title first, find the main theme or problem that you would like to discuss in your research.
• Collect and save the research information with proper and complete citation and reference information.
• Divide the collected details into the sections of the proposal and stick to them.

Writing a research proposal is tricky, but when you start it beforehand then you will have enough time to understand your main topic’s different aspects.

Procrastinating and leaving it for the last few days before submission will only land you in trouble.

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How to Write a Research Proposal

Now you have the basic outline you can follow. Let’s discuss how to write it by following the format mentioned above.

1. Choose the Title Carefully

Your proposal title should be concise and clear to indicate your research question. Your readers should know what to expect in the paper after reading the title. Avoid writing titles in a general perspective or phrases like “An investigation of …” or “A review of …” etc. Make it concise and well-defined.

2. Add a Concise Abstract

‘How to write an abstract for a research proposal?’

The abstract is a short summary that is around 100-250 words. The abstract should include the research question, the hypothesis of your research (if there is any), the research methodology, and the findings.

If the proposal is detailed, it will require a section of the contents after the abstract. It, knowing how to write an abstract  will be helpful and can save you from making any blunders.

3. Add a Strong Introduction

You need to start with a strong introduction. The introduction is written to provide a background or context related to your research problem. It is important to frame the research question while writing the proposal.

Start the introduction with a general statement related to the problem area you are focusing on and justify your study.

The introduction usually covers the following elements.

• What is the purpose of your research or study?
• Mention the background information and significance before you introduce your research question.
• Introduce your research question in a way that its significance is highlighted by setting the stage for it.
• Briefly mention the issues that you are going to discuss and highlight in your study.
• Make sure that you identify the independent and dependent variables in the title of your study.
• If there is a hypothesis or a theory related to your research, state it in the introduction.

Have a very clear and concise idea about your research, and make sure that you do not deviate from the main research question. A clear idea will help you craft a perfect thesis. Here is how you can create a crisp and interesting  thesis introduction  along with a basic guideline.

4. Clarify the Research Objectives

Your research objectives will explain what the writer is trying to achieve. Moreover, these aims and objectives must be achievable. It means that it must be framed according to the:

• Available time
• Infrastructure
• Other important resources.

However, it is beneficial to read all the developments in the field and find research gaps before deciding your objective. It will help you come up with suitable aims for your projects.

5. Add Relevant Literature Review

A separate section dedicated to the literature review will allow you to conduct extensive background research and support your research question with credible sources and research.

The following are the basic purposes of the literature review.

• To give reference to the researchers whose study has been a part of your research.
• To help you construct a precise and clear research question.
• To critically evaluate previous literature information related to your research.
• To understand research issues relevant to the topic of your research.
• To convince the reader that your research is an important contribution to the relevant niche.

A literature review is an important component. Learning  how to write a literature review  will help you compose an engaging and impressive literature review easily.

Keep your literature review organized by adding a subheading to maintain a smooth flow in the content. Try not to bore your readers and your instructor or the committee. Write it in an engaging manner.

6. Mention the Significance of the Research

The significance of your research will identify the importance of your work. It should be mainly stated in the introductory paragraph.

You must highlight how your research is beneficial for the respective field of study. Similarly, you can also state its contribution to the field in both the broader and narrow sense.

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7. Explain the Research Methodology

‘How to write a methods section of a research proposal?’

This section explains how you are going to conduct your research. Explain why the specific method is suitable for your research and how it will help you attain your research goals. Your research methodology will give you an organized plan for the research.

Mention sufficient information regarding your research methodology for readers to understand how you are conducting your research. It must contain enough information regarding the study for another researcher to implement it.

i.) Types of Research Methodology

Choose the type of research methodology that is suitable for your research.

a.) Qualitative type is used in a theoretical type of research like that in literature.

Some research involves both; if your research topic also involves analyzing both the statistical data and theory, then make sure that you use them appropriately.   For a qualitative approach, the method section of your proposal needs to be more detailed and elaborate compared to the one in the quantitative approach. How you will collect your data and analyze it according to the qualitative approach should be described with great care.

b.) Quantitative research is suitable for projects involving collecting and analyzing statistical data like that in social sciences, medicine, and psychology.    When you choose a quantitative approach for your research, the method section should contain answers to the following elements.

• Design – Is it a laboratory experiment or a survey?
• What are the sample size and the subject of your study?
• What is the procedure of your study, and how will you carry out the activities involved in it?
• Describe your questionnaire or the instruments you will be using in the experiment.

Have detailed knowledge of all the research methodologies to justify your approach toward the research problem.

8. Present the Hypothesis or the Expected Research Results

In the research proposal, this section will contain the results of the research, but since this is a research proposal, you do not have the results yet. This is why you will add the expected research results here. These results are those that you aim to obtain from the research.

Sometimes the researcher gets the same kind of results, but sometimes, the results could differ from the expected ones.

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9. Mention the Ethical Considerations

It is an essential part of your outline. Researchers need to consider ethical values while conducting research work. Furthermore, you also have to be very careful in the data collection process and need to respect the rights of the participants.

They should not harm them in any way, and full consent should be obtained from them prior to the study.

Lastly, the writer’s moral duty is to promise complete confidentiality to feel comfortable while sharing information.

10. Discuss the Research Limitations

The research limitations indicate the flaws and shortcomings of your research. These may include:

• Unavailability of resources
• Small sample size
• Wrong methodology

Listing the limitations shows your honesty and complete understanding of the topic.

11. Add Proper References and Citation

Don’t forget the references section. You don’t want to get blamed for plagiarism. Always give references to the authors and the literature you have studied for your research.

There are two ways to cite your sources.

• Reference –  List the literature that you have used in your proposal.
• Bibliography –  List everything that you have studied, cited, or not while doing your study or while writing.

Follow a specific format for the citation section as instructed by your supervisor. It can be written in APA, MLA, Chicago, or Harvard style. Both references and a bibliography are included in it.

12. Edit and Proofread

Many students prefer not to proofread the proposal after completion, which is a grave mistake. If you proofread the paper on your own, you may fail to identify the mistakes. Use online tools or have a helping hand from your friend to give it a good read.

In the end, edit the document as per the needs.

Why Do Research Proposals Get Rejected?

An analysis of 500 rejected proposals allowed us to identify the common blunders made in them. These blunders caused the rejection of otherwise promising research. Therefore, to maximize the chances of acceptance, you must avoid these mistakes.

Here are some of those mistakes.

• The proposal stated a flawed hypothesis.
• The professor doubts the research will not bring new or useful results.
• The plan mentioned in the proposal lacks details and is unrealistic.
• It lacks coherence.
• The results obtained, or the hypothesis from the chosen method will be inaccurate.
• The review of the literature is not done correctly.
• Sufficient time was not devoted to writing the proposal.
• The proposal is copied or has been used by many other students in the past.

These are the common mistakes that result in rejection.

If you desire to make it shine, stick to your instructor’s guidelines and stay away from committing these mistakes. 

Research Proposal Examples

Looking for some helpful and detailed research proposal examples to get you started? Examples are great for a quick understanding of how something works or is written, in our case.

Here are some complete research paper proposal samples to help you write your own.

RESEARCH PROPOSAL SAMPLE

RESEARCH PROPOSAL EXAMPLE - APA

HOW TO WRITE A RESEARCH GRANT PROPOSAL

NSF RESEARCH PROPOSAL SAMPLE

MARKET RESEARCH PROPOSAL SAMPLE

PH.D. RESEARCH PROPOSAL SAMPLE

Research Proposal Topics

You can take ideas for your topic from books, journals, previously done research, and dissertations.

Here are a few topics you can choose from.

• How has technology evolved the English language over the last ten years?
• What are the effects of individualism on British literature?
• How has Feminism helped women get their rights over the last decade?
• What caused the fall of the Roman empire, and what are its effects?
• What factors caused World War II?
• What are the effects of World War II on diplomacy?
• Can cultural differences affect social interactions?
• How have violent video games affected brain development among children?
• How does alcohol affect aggression among a few people?
• How effective is the death penalty?

If you want to know more about finding a topic for your research paper and research paper topic examples, here is a list of interesting  research paper topics .

Research proposals can be critical because they require great attention. If you are inexperienced, you are likely to suffer. In a worst-case scenario, your proposal may get rejected.

Your dedicated professional and experienced essay writer at  5StarEssays.com is always here to help you. Being a professional essay writing service , we know how to craft a compelling research proposal and help you get it accepted.

Or, try using our AI powered paper writer to get quick writing help and sample citations. 

Frequently Asked Questions

What makes a strong research proposal.

Your proposal must explain why your research is important in addition to explaining the methods that you will use. You should also position yourself within your field of study and give an overview of why this specific topic could be significant.

How many pages a research proposal should be?

Research proposals typically range between three and five pages in length. Research proposal formats vary across disciplines.

You should follow the format that is standard within your field, with special attention to what your faculty mentor prefers.

What tense should a research proposal be written in?

In a research proposal, use future tense for actions to be undertaken in the study. For example: A survey method will be employed , and a close-ended questionnaire will be used .

How long is a research proposal?

When writing a research proposal, it is best, to begin with, what you want to know more about. There is no set length for these proposals so they can be anywhere from 2,500 words up or down depending on the topic and scope of your study.

Does a research proposal have chapters?

Like a research paper, the introduction and conclusion of your proposal should be brief. In every chapter you include in your proposal, begin with an informative intro paragraph that captures what will follow in each section.

Similarly, for chapters near their end, conclusions summarize points discussed throughout the sections but also highlight what is most important about them overall.

What are the 7 parts of the research proposal?

The 7 parts of a research proposal include 

• Problem statement
• Literature review 
• Methodology

Each of these sections is key in order to craft an effective research proposal that will be approved by faculty members! 

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Home » Research Proposal – Types, Template and Example

Research Proposal – Types, Template and Example

Table of Contents

Research Proposal

Research proposal is a document that outlines a proposed research project . It is typically written by researchers, scholars, or students who intend to conduct research to address a specific research question or problem.

Types of Research Proposal

Research proposals can vary depending on the nature of the research project and the specific requirements of the funding agency, academic institution, or research program. Here are some common types of research proposals:

Academic Research Proposal

This is the most common type of research proposal, which is prepared by students, scholars, or researchers to seek approval and funding for an academic research project. It includes all the essential components mentioned earlier, such as the introduction, literature review , methodology , and expected outcomes.

Grant Proposal

A grant proposal is specifically designed to secure funding from external sources, such as government agencies, foundations, or private organizations. It typically includes additional sections, such as a detailed budget, project timeline, evaluation plan, and a description of the project’s alignment with the funding agency’s priorities and objectives.

Dissertation or Thesis Proposal

Students pursuing a master’s or doctoral degree often need to submit a proposal outlining their intended research for their dissertation or thesis. These proposals are usually more extensive and comprehensive, including an in-depth literature review, theoretical framework, research questions or hypotheses, and a detailed methodology.

Research Project Proposal

This type of proposal is often prepared by researchers or research teams within an organization or institution. It outlines a specific research project that aims to address a particular problem, explore a specific area of interest, or provide insights for decision-making. Research project proposals may include sections on project management, collaboration, and dissemination of results.

Research Fellowship Proposal

Researchers or scholars applying for research fellowships may be required to submit a proposal outlining their proposed research project. These proposals often emphasize the novelty and significance of the research and its alignment with the goals and objectives of the fellowship program.

Collaborative Research Proposal

In cases where researchers from multiple institutions or disciplines collaborate on a research project, a collaborative research proposal is prepared. This proposal highlights the objectives, responsibilities, and contributions of each collaborator, as well as the overall research plan and coordination mechanisms.

Research Proposal Outline

A research proposal typically follows a standard outline that helps structure the document and ensure all essential components are included. While the specific headings and subheadings may vary slightly depending on the requirements of your institution or funding agency, the following outline provides a general structure for a research proposal:

• Title of the research proposal
• Name of the researcher(s) or principal investigator(s)
• Affiliation or institution
• Date of submission
• A concise summary of the research proposal, typically limited to 200-300 words.
• Briefly introduce the research problem or question, state the objectives, summarize the methodology, and highlight the expected outcomes or significance of the research.
• Provide an overview of the subject area and the specific research problem or question.
• Present relevant background information, theories, or concepts to establish the need for the research.
• Clearly state the research objectives or research questions that the study aims to address.
• Indicate the significance or potential contributions of the research.
• Summarize and analyze relevant studies, theories, or scholarly works.
• Identify research gaps or unresolved issues that your study intends to address.
• Highlight the novelty or uniqueness of your research.
• Describe the overall approach or research design that will be used (e.g., experimental, qualitative, quantitative).
• Justify the chosen approach based on the research objectives and question.
• Explain how data will be collected (e.g., surveys, interviews, experiments).
• Describe the sampling strategy and sample size, if applicable.
• Address any ethical considerations related to data collection.
• Outline the data analysis techniques or statistical methods that will be applied.
• Explain how the data will be interpreted and analyzed to answer the research question(s).
• Provide a detailed schedule or timeline that outlines the various stages of the research project.
• Specify the estimated duration for each stage, including data collection, analysis, and report writing.
• State the potential outcomes or results of the research.
• Discuss the potential significance or contributions of the study to the field.
• Address any potential limitations or challenges that may be encountered.
• Identify the resources required to conduct the research, such as funding, equipment, or access to data.
• Specify any collaborations or partnerships necessary for the successful completion of the study.
• Include a list of cited references in the appropriate citation style (e.g., APA, MLA).

———————————————————————————————–

Research Proposal Example Template

Here’s an example of a research proposal to give you an idea of how it can be structured:

Title: The Impact of Social Media on Adolescent Well-being: A Mixed-Methods Study

This research proposal aims to investigate the impact of social media on the well-being of adolescents. The study will employ a mixed-methods approach, combining quantitative surveys and qualitative interviews to gather comprehensive data. The research objectives include examining the relationship between social media use and mental health, exploring the role of peer influence in shaping online behaviors, and identifying strategies for promoting healthy social media use among adolescents. The findings of this study will contribute to the understanding of the effects of social media on adolescent well-being and inform the development of targeted interventions.

1. Introduction

1.1 Background and Context:

Adolescents today are immersed in social media platforms, which have become integral to their daily lives. However, concerns have been raised about the potential negative impact of social media on their well-being, including increased rates of depression, anxiety, and body dissatisfaction. It is crucial to investigate this phenomenon further and understand the underlying mechanisms to develop effective strategies for promoting healthy social media use among adolescents.

1.2 Research Objectives:

The main objectives of this study are:

• To examine the association between social media use and mental health outcomes among adolescents.
• To explore the influence of peer relationships and social comparison on online behaviors.
• To identify strategies and interventions to foster positive social media use and enhance adolescent well-being.

2. Literature Review

Extensive research has been conducted on the impact of social media on adolescents. Existing literature suggests that excessive social media use can contribute to negative outcomes, such as low self-esteem, cyberbullying, and addictive behaviors. However, some studies have also highlighted the positive aspects of social media, such as providing opportunities for self-expression and social support. This study will build upon this literature by incorporating both quantitative and qualitative approaches to gain a more nuanced understanding of the relationship between social media and adolescent well-being.

3. Methodology

3.1 Research Design:

This study will adopt a mixed-methods approach, combining quantitative surveys and qualitative interviews. The quantitative phase will involve administering standardized questionnaires to a representative sample of adolescents to assess their social media use, mental health indicators, and perceived social support. The qualitative phase will include in-depth interviews with a subset of participants to explore their experiences, motivations, and perceptions related to social media use.

3.2 Data Collection Methods:

Quantitative data will be collected through an online survey distributed to schools in the target region. The survey will include validated scales to measure social media use, mental health outcomes, and perceived social support. Qualitative data will be collected through semi-structured interviews with a purposive sample of participants. The interviews will be audio-recorded and transcribed for thematic analysis.

3.3 Data Analysis:

Quantitative data will be analyzed using descriptive statistics and regression analysis to examine the relationships between variables. Qualitative data will be analyzed thematically to identify common themes and patterns within participants’ narratives. Integration of quantitative and qualitative findings will provide a comprehensive understanding of the research questions.

4. Timeline

The research project will be conducted over a period of 12 months, divided into specific phases, including literature review, study design, data collection, analysis, and report writing. A detailed timeline outlining the key milestones and activities is provided in Appendix A.

5. Expected Outcomes and Significance

This study aims to contribute to the existing literature on the impact of social media on adolescent well-being by employing a mixed-methods approach. The findings will inform the development of evidence-based interventions and guidelines to promote healthy social media use among adolescents. This research has the potential to benefit adolescents, parents, educators, and policymakers by providing insights into the complex relationship between social media and well-being and offering strategies for fostering positive online experiences.

6. Resources

The resources required for this research include access to a representative sample of adolescents, research assistants for data collection, statistical software for data analysis, and funding to cover survey administration and participant incentives. Ethical considerations will be taken into account, ensuring participant confidentiality and obtaining informed consent.

7. References

Research Proposal Writing Guide

Writing a research proposal can be a complex task, but with proper guidance and organization, you can create a compelling and well-structured proposal. Here’s a step-by-step guide to help you through the process:

• Understand the requirements: Familiarize yourself with the guidelines and requirements provided by your institution, funding agency, or program. Pay attention to formatting, page limits, specific sections or headings, and any other instructions.
• Identify your research topic: Choose a research topic that aligns with your interests, expertise, and the goals of your program or funding opportunity. Ensure that your topic is specific, focused, and relevant to the field of study.
• Conduct a literature review : Review existing literature and research relevant to your topic. Identify key theories, concepts, methodologies, and findings related to your research question. This will help you establish the context, identify research gaps, and demonstrate the significance of your proposed study.
• Define your research objectives and research question(s): Clearly state the objectives you aim to achieve with your research. Formulate research questions that address the gaps identified in the literature review. Your research objectives and questions should be specific, measurable, achievable, relevant, and time-bound (SMART).
• Develop a research methodology: Determine the most appropriate research design and methodology for your study. Consider whether quantitative, qualitative, or mixed-methods approaches will best address your research question(s). Describe the data collection methods, sampling strategy, data analysis techniques, and any ethical considerations associated with your research.
• Create a research plan and timeline: Outline the various stages of your research project, including tasks, milestones, and deadlines. Develop a realistic timeline that considers factors such as data collection, analysis, and report writing. This plan will help you stay organized and manage your time effectively throughout the research process.
• A. Introduction: Provide background information on the research problem, highlight its significance, and introduce your research objectives and questions.
• B. Literature review: Summarize relevant literature, identify gaps, and justify the need for your proposed research.
• C . Methodology: Describe your research design, data collection methods, sampling strategy, data analysis techniques, and any ethical considerations.
• D . Expected outcomes and significance: Explain the potential outcomes, contributions, and implications of your research.
• E. Resources: Identify the resources required to conduct your research, such as funding, equipment, or access to data.
• F . References: Include a list of cited references in the appropriate citation style.
• Revise and proofread: Review your proposal for clarity, coherence, and logical flow. Check for grammar and spelling errors. Seek feedback from mentors, colleagues, or advisors to refine and improve your proposal.
• Finalize and submit: Make any necessary revisions based on feedback and finalize your research proposal. Ensure that you have met all the requirements and formatting guidelines. Submit your proposal within the specified deadline.

Research Proposal Length

The length of a research proposal can vary depending on the specific guidelines provided by your institution or funding agency. However, research proposals typically range from 1,500 to 3,000 words, excluding references and any additional supporting documents.

Purpose of Research Proposal

The purpose of a research proposal is to outline and communicate your research project to others, such as academic institutions, funding agencies, or potential collaborators. It serves several important purposes:

• Demonstrate the significance of the research: A research proposal explains the importance and relevance of your research project. It outlines the research problem or question, highlights the gaps in existing knowledge, and explains how your study will contribute to the field. By clearly articulating the significance of your research, you can convince others of its value and potential impact.
• Provide a clear research plan: A research proposal outlines the methodology, design, and approach you will use to conduct your study. It describes the research objectives, data collection methods, data analysis techniques, and potential outcomes. By presenting a clear research plan, you demonstrate that your study is well-thought-out, feasible, and likely to produce meaningful results.
• Secure funding or support: For researchers seeking funding or support for their projects, a research proposal is essential. It allows you to make a persuasive case for why your research is deserving of financial resources or institutional backing. The proposal explains the budgetary requirements, resources needed, and potential benefits of the research, helping you secure the necessary funding or support.
• Seek feedback and guidance: Presenting a research proposal provides an opportunity to receive feedback and guidance from experts in your field. It allows you to engage in discussions and receive suggestions for refining your research plan, improving the methodology, or addressing any potential limitations. This feedback can enhance the quality of your study and increase its chances of success.
• Establish ethical considerations: A research proposal also addresses ethical considerations associated with your study. It outlines how you will ensure participant confidentiality, obtain informed consent, and adhere to ethical guidelines and regulations. By demonstrating your awareness and commitment to ethical research practices, you build trust and credibility in your proposed study.

Importance of Research Proposal

The research proposal holds significant importance in the research process. Here are some key reasons why research proposals are important:

• Planning and organization: A research proposal requires careful planning and organization of your research project. It forces you to think through the research objectives, research questions, methodology, and potential outcomes before embarking on the actual study. This planning phase helps you establish a clear direction and framework for your research, ensuring that your efforts are focused and purposeful.
• Demonstrating the significance of the research: A research proposal allows you to articulate the significance and relevance of your study. By providing a thorough literature review and clearly defining the research problem or question, you can showcase the gaps in existing knowledge that your research aims to address. This demonstrates to others, such as funding agencies or academic institutions, why your research is important and deserving of support.
• Obtaining funding and resources: Research proposals are often required to secure funding for your research project. Funding agencies and organizations need to evaluate the feasibility and potential impact of the proposed research before allocating resources. A well-crafted research proposal helps convince funders of the value of your research and increases the likelihood of securing financial support, grants, or scholarships.
• Receiving feedback and guidance: Presenting a research proposal provides an opportunity to seek feedback and guidance from experts in your field. By sharing your research plan and objectives with others, you can benefit from their insights and suggestions. This feedback can help refine your research design, strengthen your methodology, and ensure that your study is rigorous and well-informed.
• Ethical considerations: A research proposal addresses ethical considerations associated with your study. It outlines how you will protect the rights and welfare of participants, maintain confidentiality, obtain informed consent, and adhere to ethical guidelines and regulations. This emphasis on ethical practices ensures that your research is conducted responsibly and with integrity.
• Enhancing collaboration and partnerships: A research proposal can facilitate collaborations and partnerships with other researchers, institutions, or organizations. When presenting your research plan, you may attract the interest of potential collaborators who share similar research interests or possess complementary expertise. Collaborative partnerships can enrich your study, expand your resources, and foster knowledge exchange.
• Establishing a research trajectory: A research proposal serves as a foundation for your research project. Once approved, it becomes a roadmap that guides your study’s implementation, data collection, analysis, and reporting. It helps maintain focus and ensures that your research stays on track and aligned with the initial objectives.

When to Write Research Proposal

The timing of when to write a research proposal can vary depending on the specific requirements and circumstances. However, here are a few common situations when it is appropriate to write a research proposal:

• Academic research: If you are a student pursuing a research degree, such as a Ph.D. or Master’s by research, you will typically be required to write a research proposal as part of the application process. This is usually done before starting the research program to outline your proposed study and seek approval from the academic institution.
• Funding applications: When applying for research grants, scholarships, or funding from organizations or institutions, you will often need to submit a research proposal. Funding agencies require a detailed description of your research project, including its objectives, methodology, and expected outcomes. Writing a research proposal in this context is necessary to secure financial support for your study.
• Research collaborations: When collaborating with other researchers, institutions, or organizations on a research project, it is common to prepare a research proposal. This helps outline the research objectives, roles and responsibilities, and expected contributions from each party. Writing a research proposal in this case allows all collaborators to align their efforts and ensure a shared understanding of the project.
• Research project within an organization: If you are conducting research within an organization, such as a company or government agency, you may be required to write a research proposal to gain approval and support for your study. This proposal outlines the research objectives, methodology, resources needed, and expected outcomes, ensuring that the project aligns with the organization’s goals and objectives.
• Independent research projects: Even if you are not required to write a research proposal, it can still be beneficial to develop one for your independent research projects. Writing a research proposal helps you plan and structure your study, clarify your research objectives, and anticipate potential challenges or limitations. It also allows you to communicate your research plans effectively to supervisors, mentors, or collaborators.

About the author

Muhammad Hassan

Researcher, Academic Writer, Web developer

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Writing Studio

Scientific research reports and proposals: what goes where, part 1: research reports.

In an effort to make our handouts more accessible, we have begun converting our PDF handouts to web pages. Download this page as a PDF: Scientific Research Reports and Proposals Return to Writing Studio Handouts

This is a one-paragraph version of your paper, which includes:

• one to two sentences of background information
• your question or hypothesis
• three to six sentences of methods and results
• your conclusion (and optionally, implications)

Introduction

• Describe how the work relates to a clinical problem or basic issue of broad interest.
• Include only the background necessary to explain this relationship.
• At the end, state the question addressed by your report.
• Explain how you did the study.
• Did you follow other researchers’ methods exactly? Give the reference only.
• Did you modify other researchers’ methods? Give the reference and note the changes.
• If you are doing one big experiment, include an experimental design section at the beginning of the methods section.

The results section reports what you observed.

• If you did one big experiment, describe the observations in order of importance.
• If you did many experiments, you may include a reference to the method for each (no more detail than necessary to understand result).
• Explain the background at the beginning (if necessary) and conclusion of each experiment to provide rationale for the next experiment.

The discussion section explains what your results mean for the field.

• Start with the major conclusion(s); this should clearly correspond to the research question addressed in your introduction.
• defense of the conclusions
• explanation of unexpected results
• importance and novelty of the results
• implications for future research or disease therapy
• speculation (what the results may mean about the thing studied)

Part 2: Proposals

This is a one-paragraph version of your proposal, which includes

• one to two sentences of background
• your hypothesis
• your specific aims and corresponding experiments

Specific Aims (approximately one page)

State the purpose of the proposed research by describing

• a problem or unknown
• a hypothesis (and optional brief rationale)
• a broad description of your approach
• two to four independent goals/questions (one sentence each)

Background and Significance (approximately two pages)

This section should

• explain how the proposed research will address an important problem
• convince committee members or reviewers that you understand the field and that the proposed research is innovative
• provide rationale for your hypotheses (you might also explain or defend your choice of experimental approach)

Preliminary Data

Preliminary data provides experimental support for your hypotheses and proposed methods.

For each experiment, explain:

• why and how it was performed
• what was observed
• what the results mean

Research Design and Methods

Describe how the project will be carried out.

• For each aim, describe the set of experiments (and their controls) that you will use to test the corresponding hypothesis.
• For each experiment, identify outcomes that would confirm the hypothesis and potential problems and how they will be addressed.

Last revised: 07/2010 | Adapted for web delivery: 02/2021

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How to Write a Research Proposal | Examples & Templates

Published on 30 October 2022 by Shona McCombes and Tegan George. Revised on 13 June 2023.

A research proposal describes what you will investigate, why it’s important, and how you will conduct your research.

The format of a research proposal varies between fields, but most proposals will contain at least these elements:

Introduction

Literature review.

• Research design

Reference list

While the sections may vary, the overall objective is always the same. A research proposal serves as a blueprint and guide for your research plan, helping you get organised and feel confident in the path forward you choose to take.

Table of contents

Research proposal purpose, research proposal examples, research design and methods, contribution to knowledge, research schedule, frequently asked questions.

Academics often have to write research proposals to get funding for their projects. As a student, you might have to write a research proposal as part of a grad school application , or prior to starting your thesis or dissertation .

In addition to helping you figure out what your research can look like, a proposal can also serve to demonstrate why your project is worth pursuing to a funder, educational institution, or supervisor.

Research proposal length

The length of a research proposal can vary quite a bit. A bachelor’s or master’s thesis proposal can be just a few pages, while proposals for PhD dissertations or research funding are usually much longer and more detailed. Your supervisor can help you determine the best length for your work.

One trick to get started is to think of your proposal’s structure as a shorter version of your thesis or dissertation , only without the results , conclusion and discussion sections.

Download our research proposal template

Prevent plagiarism, run a free check.

Writing a research proposal can be quite challenging, but a good starting point could be to look at some examples. We’ve included a few for you below.

• Example research proposal #1: ‘A Conceptual Framework for Scheduling Constraint Management’
• Example research proposal #2: ‘ Medical Students as Mediators of Change in Tobacco Use’

Like your dissertation or thesis, the proposal will usually have a title page that includes:

• The proposed title of your project
• Your supervisor’s name
• Your institution and department

The first part of your proposal is the initial pitch for your project. Make sure it succinctly explains what you want to do and why.

Your introduction should:

• Introduce your topic
• Give necessary background and context
• Outline your  problem statement  and research questions

To guide your introduction , include information about:

• Who could have an interest in the topic (e.g., scientists, policymakers)
• How much is already known about the topic
• What is missing from this current knowledge
• What new insights your research will contribute
• Why you believe this research is worth doing

As you get started, it’s important to demonstrate that you’re familiar with the most important research on your topic. A strong literature review  shows your reader that your project has a solid foundation in existing knowledge or theory. It also shows that you’re not simply repeating what other people have already done or said, but rather using existing research as a jumping-off point for your own.

In this section, share exactly how your project will contribute to ongoing conversations in the field by:

• Comparing and contrasting the main theories, methods, and debates
• Examining the strengths and weaknesses of different approaches
• Explaining how will you build on, challenge, or synthesise prior scholarship

Following the literature review, restate your main  objectives . This brings the focus back to your own project. Next, your research design or methodology section will describe your overall approach, and the practical steps you will take to answer your research questions.

To finish your proposal on a strong note, explore the potential implications of your research for your field. Emphasise again what you aim to contribute and why it matters.

For example, your results might have implications for:

• Improving best practices
• Informing policymaking decisions
• Strengthening a theory or model
• Challenging popular or scientific beliefs
• Creating a basis for future research

Last but not least, your research proposal must include correct citations for every source you have used, compiled in a reference list . To create citations quickly and easily, you can use our free APA citation generator .

Some institutions or funders require a detailed timeline of the project, asking you to forecast what you will do at each stage and how long it may take. While not always required, be sure to check the requirements of your project.

Here’s an example schedule to help you get started. You can also download a template at the button below.

Download our research schedule template

If you are applying for research funding, chances are you will have to include a detailed budget. This shows your estimates of how much each part of your project will cost.

Make sure to check what type of costs the funding body will agree to cover. For each item, include:

• Cost : exactly how much money do you need?
• Justification : why is this cost necessary to complete the research?
• Source : how did you calculate the amount?

To determine your budget, think about:

• Travel costs : do you need to go somewhere to collect your data? How will you get there, and how much time will you need? What will you do there (e.g., interviews, archival research)?
• Materials : do you need access to any tools or technologies?
• Help : do you need to hire any research assistants for the project? What will they do, and how much will you pay them?

Once you’ve decided on your research objectives , you need to explain them in your paper, at the end of your problem statement.

Keep your research objectives clear and concise, and use appropriate verbs to accurately convey the work that you will carry out for each one.

I will compare …

A research aim is a broad statement indicating the general purpose of your research project. It should appear in your introduction at the end of your problem statement , before your research objectives.

Research objectives are more specific than your research aim. They indicate the specific ways you’ll address the overarching aim.

A PhD, which is short for philosophiae doctor (doctor of philosophy in Latin), is the highest university degree that can be obtained. In a PhD, students spend 3–5 years writing a dissertation , which aims to make a significant, original contribution to current knowledge.

A PhD is intended to prepare students for a career as a researcher, whether that be in academia, the public sector, or the private sector.

A master’s is a 1- or 2-year graduate degree that can prepare you for a variety of careers.

All master’s involve graduate-level coursework. Some are research-intensive and intend to prepare students for further study in a PhD; these usually require their students to write a master’s thesis . Others focus on professional training for a specific career.

Critical thinking refers to the ability to evaluate information and to be aware of biases or assumptions, including your own.

Like information literacy , it involves evaluating arguments, identifying and solving problems in an objective and systematic way, and clearly communicating your ideas.

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Organizing Your Social Sciences Research Paper: Writing a Research Proposal

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

The goal of a research proposal is to present and justify the need to study a research problem and to present the practical ways in which the proposed study should be conducted. The design elements and procedures for conducting the research are governed by standards within the predominant discipline in which the problem resides, so guidelines for research proposals are more exacting and less formal than a general project proposal. Research proposals contain extensive literature reviews. They must provide persuasive evidence that a need exists for the proposed study. In addition to providing a rationale, a proposal describes detailed methodology for conducting the research consistent with requirements of the professional or academic field and a statement on anticipated outcomes and/or benefits derived from the study's completion.

Krathwohl, David R. How to Prepare a Dissertation Proposal: Suggestions for Students in Education and the Social and Behavioral Sciences . Syracuse, NY: Syracuse University Press, 2005.

How to Approach Writing a Research Proposal

Your professor may assign the task of writing a research proposal for the following reasons:

• Develop your skills in thinking about and designing a comprehensive research study;
• Learn how to conduct a comprehensive review of the literature to ensure a research problem has not already been answered [or you may determine the problem has been answered ineffectively] and, in so doing, become better at locating scholarship related to your topic;
• Improve your general research and writing skills;
• Practice identifying the logical steps that must be taken to accomplish one's research goals;
• Critically review, examine, and consider the use of different methods for gathering and analyzing data related to the research problem; and,
• Nurture a sense of inquisitiveness within yourself and to help see yourself as an active participant in the process of doing scholarly research.

A proposal should contain all the key elements involved in designing a completed research study, with sufficient information that allows readers to assess the validity and usefulness of your proposed study. The only elements missing from a research proposal are the findings of the study and your analysis of those results. Finally, an effective proposal is judged on the quality of your writing and, therefore, it is important that your writing is coherent, clear, and compelling.

Regardless of the research problem you are investigating and the methodology you choose, all research proposals must address the following questions:

• What do you plan to accomplish? Be clear and succinct in defining the research problem and what it is you are proposing to research.
• Why do you want to do it? In addition to detailing your research design, you also must conduct a thorough review of the literature and provide convincing evidence that it is a topic worthy of study. Be sure to answer the "So What?" question.
• How are you going to do it? Be sure that what you propose is doable. If you're having trouble formulating a research problem to propose investigating, go here .

Common Mistakes to Avoid

• Failure to be concise; being "all over the map" without a clear sense of purpose.
• Failure to cite landmark works in your literature review.
• Failure to delimit the contextual boundaries of your research [e.g., time, place, people, etc.].
• Failure to develop a coherent and persuasive argument for the proposed research.
• Failure to stay focused on the research problem; going off on unrelated tangents.
• Sloppy or imprecise writing, or poor grammar.
• Too much detail on minor issues, but not enough detail on major issues.

Procter, Margaret. The Academic Proposal .  The Lab Report. University College Writing Centre. University of Toronto; Sanford, Keith. Information for Students: Writing a Research Proposal . Baylor University; Wong, Paul T. P. How to Write a Research Proposal . International Network on Personal Meaning. Trinity Western University; Writing Academic Proposals: Conferences, Articles, and Books . The Writing Lab and The OWL. Purdue University; Writing a Research Proposal . University Library. University of Illinois at Urbana-Champaign.

Structure and Writing Style

Beginning the Proposal Process

As with writing a regular academic paper, research proposals are generally organized the same way throughout most social science disciplines. Proposals vary between ten and twenty-five pages in length. However, before you begin, read the assignment carefully and, if anything seems unclear, ask your professor whether there are any specific requirements for organizing and writing the proposal.

A good place to begin is to ask yourself a series of questions:

• What do I want to study?
• Why is the topic important?
• How is it significant within the subject areas covered in my class?
• What problems will it help solve?
• How does it build upon [and hopefully go beyond] research already conducted on the topic?
• What exactly should I plan to do, and can I get it done in the time available?

In general, a compelling research proposal should document your knowledge of the topic and demonstrate your enthusiasm for conducting the study. Approach it with the intention of leaving your readers feeling like--"Wow, that's an exciting idea and I can’t wait to see how it turns out!"

In general your proposal should include the following sections:

I.  Introduction

In the real world of higher education, a research proposal is most often written by scholars seeking grant funding for a research project or it's the first step in getting approval to write a doctoral dissertation. Even if this is just a course assignment, treat your introduction as the initial pitch of an idea or a thorough examination of the significance of a research problem. After reading the introduction, your readers should not only have an understanding of what you want to do, but they should also be able to gain a sense of your passion for the topic and be excited about the study's possible outcomes. Note that most proposals do not include an abstract [summary] before the introduction.

Think about your introduction as a narrative written in one to three paragraphs that succinctly answers the following four questions :

• What is the central research problem?
• What is the topic of study related to that problem?
• What methods should be used to analyze the research problem?
• Why is this important research, what is its significance, and why should someone reading the proposal care about the outcomes of the proposed study?

II.  Background and Significance

This section can be melded into your introduction or you can create a separate section to help with the organization and narrative flow of your proposal. This is where you explain the context of your proposal and describe in detail why it's important. Approach writing this section with the thought that you can’t assume your readers will know as much about the research problem as you do. Note that this section is not an essay going over everything you have learned about the topic; instead, you must choose what is relevant to help explain the goals for your study.

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

• State the research problem and give a more detailed explanation about the purpose of the study than what you stated in the introduction. This is particularly important if the problem is complex or multifaceted .
• Present the rationale of your proposed study and clearly indicate why it is worth doing. Answer the "So What? question [i.e., why should anyone care].
• Describe the major issues or problems to be addressed by your research. Be sure to note how your proposed study builds on previous assumptions about the research problem.
• Explain how you plan to go about conducting your research. Clearly identify the key sources you intend to use and explain how they will contribute to your analysis of the topic.
• Set the boundaries of your proposed research in order to provide a clear focus. Where appropriate, state not only what you will study, but what is excluded from the study.
• If necessary, provide definitions of key concepts or terms.

III.  Literature Review

Connected to the background and significance of your study is a section of your proposal devoted to a more deliberate review and synthesis of prior studies related to the research problem under investigation . The purpose here is to place your project within the larger whole of what is currently being explored, while demonstrating to your readers that your work is original and innovative. Think about what questions other researchers have asked, what methods they have used, and what is your understanding of their findings and, where stated, their recommendations. Do not be afraid to challenge the conclusions of prior research. Assess what you believe is missing and state how previous research has failed to adequately examine the issue that your study addresses. For more information on writing literature reviews, GO HERE .

Since a literature review is information dense, it is crucial that this section is intelligently structured to enable a reader to grasp the key arguments underpinning your study in relation to that of other researchers. A good strategy is to break the literature into "conceptual categories" [themes] rather than systematically describing groups of materials one at a time. Note that conceptual categories generally reveal themselves after you have read most of the pertinent literature on your topic so adding new categories is an on-going process of discovery as you read more studies. How do you know you've covered the key conceptual categories underlying the research literature? Generally, you can have confidence that all of the significant conceptual categories have been identified if you start to see repetition in the conclusions or recommendations that are being made.

To help frame your proposal's literature review, here are the "five C’s" of writing a literature review:

• Cite , so as to keep the primary focus on the literature pertinent to your research problem.
• Compare the various arguments, theories, methodologies, and findings expressed in the literature: what do the authors agree on? Who applies similar approaches to analyzing the research problem?
• Contrast the various arguments, themes, methodologies, approaches, and controversies expressed in the literature: what are the major areas of disagreement, controversy, or debate?
• Critique the literature: Which arguments are more persuasive, and why? Which approaches, findings, methodologies seem most reliable, valid, or appropriate, and why? Pay attention to the verbs you use to describe what an author says/does [e.g., asserts, demonstrates, argues, etc.] .
• Connect the literature to your own area of research and investigation: how does your own work draw upon, depart from, synthesize, or add a new perspective to what has been said in the literature?

IV.  Research Design and Methods

This section must be well-written and logically organized because you are not actually doing the research, yet, your reader must have confidence that it is worth pursuing . The reader will never have a study outcome from which to evaluate whether your methodological choices were the correct ones. Thus, the objective here is to convince the reader that your overall research design and methods of analysis will correctly address the problem and that the methods will provide the means to effectively interpret the potential results. Your design and methods should be unmistakably tied to the specific aims of your study.

Describe the overall research design by building upon and drawing examples from your review of the literature. Consider not only methods that other researchers have used but methods of data gathering that have not been used but perhaps could be. Be specific about the methodological approaches you plan to undertake to obtain information, the techniques you would use to analyze the data, and the tests of external validity to which you commit yourself [i.e., the trustworthiness by which you can generalize from your study to other people, places, events, and/or periods of time].

When describing the methods you will use, be sure to cover the following:

• Specify the research operations you will undertake and the way you will interpret the results of these operations in relation to the research problem. Don't just describe what you intend to achieve from applying the methods you choose, but state how you will spend your time while applying these methods [e.g., coding text from interviews to find statements about the need to change school curriculum; running a regression to determine if there is a relationship between campaign advertising on social media sites and election outcomes in Europe ].
• Keep in mind that a methodology is not just a list of tasks; it is an argument as to why these tasks add up to the best way to investigate the research problem. This is an important point because the mere listing of tasks to be performed does not demonstrate that, collectively, they effectively address the research problem. Be sure you explain this.
• Anticipate and acknowledge any potential barriers and pitfalls in carrying out your research design and explain how you plan to address them. No method is perfect so you need to describe where you believe challenges may exist in obtaining data or accessing information. It's always better to acknowledge this than to have it brought up by your reader.

Develop a Research Proposal: Writing the Proposal . Office of Library Information Services. Baltimore County Public Schools; Heath, M. Teresa Pereira and Caroline Tynan. “Crafting a Research Proposal.” The Marketing Review 10 (Summer 2010): 147-168; Jones, Mark. “Writing a Research Proposal.” In MasterClass in Geography Education: Transforming Teaching and Learning . Graham Butt, editor. (New York: Bloomsbury Academic, 2015), pp. 113-127; Juni, Muhamad Hanafiah. “Writing a Research Proposal.” International Journal of Public Health and Clinical Sciences 1 (September/October 2014): 229-240; Krathwohl, David R. How to Prepare a Dissertation Proposal: Suggestions for Students in Education and the Social and Behavioral Sciences . Syracuse, NY: Syracuse University Press, 2005; Procter, Margaret. The Academic Proposal . The Lab Report. University College Writing Centre. University of Toronto; Punch, Keith and Wayne McGowan. "Developing and Writing a Research Proposal." In From Postgraduate to Social Scientist: A Guide to Key Skills . Nigel Gilbert, ed. (Thousand Oaks, CA: Sage, 2006), 59-81; Wong, Paul T. P. How to Write a Research Proposal . International Network on Personal Meaning. Trinity Western University; Writing Academic Proposals: Conferences, Articles, and Books . The Writing Lab and The OWL. Purdue University; Writing a Research Proposal . University Library. University of Illinois at Urbana-Champaign.

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Proposal Essay Examples: Convincing Ideas for Your Research Paper or Essay

Struggling to craft a captivating and well-built proposal essay? Many students find it challenging to compose a proposal-based essay and struggle to generate convincing ideas. If this sounds familiar, read on. In this comprehensive guide, we streamline the process of brainstorming and composing work, offering resources like suggestions on how to write a proposal essay, suggested steps when writing, useful examples, and efficient essay-crafting tips.

Developed through several years of expertise in scholarly writing, our article is meticulously tailored to help you excel in your academic assignments. Join us as we explore crafting an exceptional proposal paper. With the right tools and assistance, you'll move from ambiguity to self-assurance, ready to write an impressive work. Let's master the art of creating an attention-grabbing essay.

What is a Proposal Essay?

A proposal essay succinctly outlines the key content and aim of your intended study, summarizing its primary points and overall intent. Unlike a thesis, which presents the main idea of your academic study, a proposal-focused assignment acts as a detailed plan addressing a specific problem. As a proposal writer, you identify an issue, suggest a possible solution, and then provide persuasive evidence for the audience to have them support your viewpoint. Your goal is to convince them that this view is exceptional and deserves implementation. When writing such an essay, consider it as a chance to immerse in practical issues and showcase analytical and creative thinking skills. These papers serve as strategic tools, allowing an author to present their ideas or beliefs compellingly. Beyond business or economics, they encourage solution-seeking and reasoning skills across a variety of disciplines.

In a nutshell, a proposal-driven assignment allows you to demonstrate your ability to think innovatively and critically, addressing real-life issues with practical solutions. Now that you understand what is a proposal essay, join us in exploring its specifics and revealing your writer’s potential.

How to Write a Proposal Essay

Creating a successful proposal-related paper necessitates thorough preparation and an understanding of your audience's needs. To write such an essay, observe these stages:

• Extensively investigate your assignment’s topic to identify a chosen problem.
• Develop a compelling thesis statement summarizing your suggested solution.
• Make a solid proposal essay outline to logically organize all your ideas and ensure unity and cohesion.
• Present solid proof to support your viewpoints and anticipate any objections.
• Refine your writing carefully to enhance content clarity and logic.

When you are occupied with thoughts on how to write a paper proposal, handy tools like the AI essay generator Aithor have become indispensable helpers. Aithor, our intuitive assistant, empowers writers by utilizing advanced technology to generate ideas, check accuracy, and offer alternative words, improving the piece of writing. Explore the innovative capabilities of our AI tool by visiting https://aithor.com/ai-essay-generator and let it assist you with your assignment.

Check out some additional tips to enhance your overall essay quality:

• Get to know your audience and tailor your planned proposal to its interests.
• Use convincing language to involve your audience to advocate for your notion.
• Incorporate relevant data, instances, and statistics to reinforce your position.
• Address possible counterarguments to demonstrate thorough consideration.
• Use a powerful summary to conclude and inspire to act, urging support for your concepts.

To wrap up, writing a decent proposal-based essay requires in-depth investigation, persuasive argumentation, and attention to detail. By following the mentioned guidelines and additional tips, you can smoothly write a solid solution-focused writing that inspires action.

Prewriting Stage

Setting for a journey of composing a proposal-related assignment can be overwhelming. How to start a proposal essay? To ease this process, academic writers advocate for a systematic approach to craft a captivating piece of writing.

Here's a full guide to guarantee your assignment paper stands out. Know Your Reader

Being sympathetic to your prospective listeners is paramount when writing a persuasive paper. Who will you write for? Identify their key roles, preferences, and concerns to efficiently customize your message. This ensures mutual resonance in your views and addresses their specific needs and expectations.

Research Academic investigation forms the foundation of a robust convincing paper. Even with a prior understanding of the material, delving deeper yields new insights and perspectives. Revising scholarly literature enhances arguments, lending authority and credibility to your message.

Set an Issue

State the topic and challenges precisely and clearly. Use evidence to accentuate its significance and establish your grasp of the matter. That step is pivotal in gaining the audience's sympathy and support.

Define a Solution

Offer a straightforward and practical way out to the identified problem. Ensure its clarity and usefulness, aligning with indicated requirements. Frame your resolution in terms of objectives, delineating primary goals and additional benefits your project will provide.

Write an Essay Proposal Outline

Crafting an outline for your persuasive paper is essential. This helps put your ideas in order and create a logical flow. When structuring your paper, begin with a catchy introduction that describes the problem. Outline your suggested resolution with strong evidence, facts, and illustrations. Finally, summarize the noteworthy aspects and emphasize the relevance of your proposal. This structured approach enhances coherence and persuasiveness.

Ø  For executive proposals, add organizational data and budget analysis, maintaining clear and direct language, devoid of unnecessary jargon.

Structure of a Proposal Essay

Generating a credible proposal-focused essay involves several main components, each serving a definite purpose to efficiently convey your key idea. Here's a full breakdown of how to write an essay proposal:

Introduction

• Captivating Intro

Capture the readers' attention with an eye-catching hook. Precisely state your essay’s thesis statement, conveying your message succinctly and convincingly.

•   Context and Background

Provide a solid background for your proposed idea, thus setting a stage for the topic matter and its validity.

• Research Relevance

State why your investigation is essential, drawing upon the background info provided.

• Problem Statement

Dive deeper into the presented issue, delineating its relevance and impact to deliver a captivating context for your written work.

• Proposal Statement

State your projected way out to the mentioned challenges. Emphasize its paybacks and mention potential shortcomings to showcase its viability.

•   Implementation Plan

Clarify in detail how you wish to put your words into effect, addressing practical considerations and potential obstacles.

• Expected Outcome

Talk about the positive effects that you expect from executing your solution proposal, conveying distinctly its probable impact.

• Evaluation of Feasibility

Consider the proposal’s practicability considering the essential resources and would-be objections.

• Resource Management and Timeline

Indicate the demanded resources and generate a timeline for implementation if applicable.

• Research Queries and Objectives

List the goals of your inquiry and say how will addressing the challenges impact your audience. Utilize credible sources and data to reinforce your arguments.

•   Study Design and Methodology

Explain your methodology for addressing the challenge, illustrating the rationale behind your selected approach, and predicting the anticipated outcomes.

• Key Points Summary 

Recap the main points from the intro, background, and topic relevance, along with the hypotheses/research questions sections.

• Importance and Potential Impact

Accentuate how your investigation can hypothetically contribute to addressing the mentioned issue and consider potential consequences if the proposal is not implemented.

• Call to Action and Close

Restate the proposal’s relevance, leaving the audience with a convincing call to action. Express gratitude for the committee's consideration and leave readers with a sense of anticipation for the proposed research.

•   Bibliography (Optional)

Include a literature list that references the materials used and displays the work’s contents to demonstrate the depth of the investigation. It is usually placed at the end of the whole text as a separate section.

Remember to refine your final draft for clarity and conciseness, testing if the paper proposal format is well-constructed. Consider seeking some feedback from others to enhance the presentation and proposal actuality. Additionally, ensure each paragraph flows smoothly and plausibly and supports your general argument. This ensures content clarity and cohesion throughout your text.

Academic Research Study Proposal Sample 2024

Here is a sample idea for an interesting proposal paper:

• The proposed research study will investigate the risks of sending messages while driving and explore measures to mitigate this hazardous behavior.
•  Texting when driving continues to be a widespread issue despite various awareness campaigns and legal restrictions.
• The study will focus on examining the mental and physical distractions caused by this activity. Also, the proposal will delve into the increased likelihood of mishaps and fatalities associated with such behavior.
• Utilizing a mixed-methods approach, the investigation will gather data through surveys, interviews, and driving simulations from a diverse sample of drivers across different age groups and regions.
•  Data analysis will include statistical analysis of accident rates, qualitative coding of interview responses, and thematic analysis of driving simulation outcomes.
•  The essay's findings aim to raise awareness among policymakers, law enforcement agencies, and the public about the grave dangers of texting when driving.
• Additionally, the investigation will propose recommendations for interventions such as stricter enforcement of existing regulations, educational programs targeting drivers of all ages, and the creation of technological solutions to prevent distraction-related cases.
• Ultimately, this study seeks to add to the lessening of crashes and fatalities caused by texting in a car and encourage safer driving habits in society.

Final Remarks

In composing a robust proposal essay, the journey from beginning to culmination is marked by strategic planning and scrupulous work. If you embrace a methodical approach, a captivating paper will emerge. Such vital details as understanding the audience, conducting in-depth research, describing the challenges, proposing possible way-outs, and structuring your arguments are vital elements of a successfully written work. Each phase of this process contributes to the clarity and persuasiveness of the text, ensuring resonance with readers. Using illustrative examples adds depth and relatability to the proposal.

Ultimately, the proposal paper showcases not only analytical prowess and solution-seeking acumen but also adept communication of intricate concepts. With unwavering dedication and meticulous focus on details, the proposal essay becomes a testament to effective persuasion and insightful discourse.

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• How to Write a Literature Review | Guide, Examples, & Templates

How to Write a Literature Review | Guide, Examples, & Templates

Published on January 2, 2023 by Shona McCombes . Revised on September 11, 2023.

What is a literature review? A literature review is a survey of scholarly sources on a specific topic. It provides an overview of current knowledge, allowing you to identify relevant theories, methods, and gaps in the existing research that you can later apply to your paper, thesis, or dissertation topic .

There are five key steps to writing a literature review:

• Search for relevant literature
• Evaluate sources
• Identify themes, debates, and gaps
• Outline the structure
• Write your literature review

A good literature review doesn’t just summarize sources—it analyzes, synthesizes , and critically evaluates to give a clear picture of the state of knowledge on the subject.

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Table of contents

What is the purpose of a literature review, examples of literature reviews, step 1 – search for relevant literature, step 2 – evaluate and select sources, step 3 – identify themes, debates, and gaps, step 4 – outline your literature review’s structure, step 5 – write your literature review, free lecture slides, other interesting articles, frequently asked questions, introduction.

• Quick Run-through
• Step 1 & 2

When you write a thesis , dissertation , or research paper , you will likely have to conduct a literature review to situate your research within existing knowledge. The literature review gives you a chance to:

• Demonstrate your familiarity with the topic and its scholarly context
• Develop a theoretical framework and methodology for your research
• Position your work in relation to other researchers and theorists
• Show how your research addresses a gap or contributes to a debate
• Evaluate the current state of research and demonstrate your knowledge of the scholarly debates around your topic.

Writing literature reviews is a particularly important skill if you want to apply for graduate school or pursue a career in research. We’ve written a step-by-step guide that you can follow below.

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Writing literature reviews can be quite challenging! A good starting point could be to look at some examples, depending on what kind of literature review you’d like to write.

• Example literature review #1: “Why Do People Migrate? A Review of the Theoretical Literature” ( Theoretical literature review about the development of economic migration theory from the 1950s to today.)
• Example literature review #2: “Literature review as a research methodology: An overview and guidelines” ( Methodological literature review about interdisciplinary knowledge acquisition and production.)
• Example literature review #3: “The Use of Technology in English Language Learning: A Literature Review” ( Thematic literature review about the effects of technology on language acquisition.)
• Example literature review #4: “Learners’ Listening Comprehension Difficulties in English Language Learning: A Literature Review” ( Chronological literature review about how the concept of listening skills has changed over time.)

You can also check out our templates with literature review examples and sample outlines at the links below.

Download Word doc Download Google doc

Before you begin searching for literature, you need a clearly defined topic .

If you are writing the literature review section of a dissertation or research paper, you will search for literature related to your research problem and questions .

Make a list of keywords

Start by creating a list of keywords related to your research question. Include each of the key concepts or variables you’re interested in, and list any synonyms and related terms. You can add to this list as you discover new keywords in the process of your literature search.

• Social media, Facebook, Instagram, Twitter, Snapchat, TikTok
• Body image, self-perception, self-esteem, mental health
• Generation Z, teenagers, adolescents, youth

Search for relevant sources

Use your keywords to begin searching for sources. Some useful databases to search for journals and articles include:

• Your university’s library catalogue
• Google Scholar
• Project Muse (humanities and social sciences)
• Medline (life sciences and biomedicine)
• EconLit (economics)
• Inspec (physics, engineering and computer science)

You can also use boolean operators to help narrow down your search.

Make sure to read the abstract to find out whether an article is relevant to your question. When you find a useful book or article, you can check the bibliography to find other relevant sources.

You likely won’t be able to read absolutely everything that has been written on your topic, so it will be necessary to evaluate which sources are most relevant to your research question.

For each publication, ask yourself:

• What question or problem is the author addressing?
• What are the key concepts and how are they defined?
• What are the key theories, models, and methods?
• Does the research use established frameworks or take an innovative approach?
• What are the results and conclusions of the study?
• How does the publication relate to other literature in the field? Does it confirm, add to, or challenge established knowledge?
• What are the strengths and weaknesses of the research?

Make sure the sources you use are credible , and make sure you read any landmark studies and major theories in your field of research.

You can use our template to summarize and evaluate sources you’re thinking about using. Click on either button below to download.

Take notes and cite your sources

As you read, you should also begin the writing process. Take notes that you can later incorporate into the text of your literature review.

It is important to keep track of your sources with citations to avoid plagiarism . It can be helpful to make an annotated bibliography , where you compile full citation information and write a paragraph of summary and analysis for each source. This helps you remember what you read and saves time later in the process.

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To begin organizing your literature review’s argument and structure, be sure you understand the connections and relationships between the sources you’ve read. Based on your reading and notes, you can look for:

• Trends and patterns (in theory, method or results): do certain approaches become more or less popular over time?
• Themes: what questions or concepts recur across the literature?
• Debates, conflicts and contradictions: where do sources disagree?
• Pivotal publications: are there any influential theories or studies that changed the direction of the field?
• Gaps: what is missing from the literature? Are there weaknesses that need to be addressed?

This step will help you work out the structure of your literature review and (if applicable) show how your own research will contribute to existing knowledge.

• Most research has focused on young women.
• There is an increasing interest in the visual aspects of social media.
• But there is still a lack of robust research on highly visual platforms like Instagram and Snapchat—this is a gap that you could address in your own research.

There are various approaches to organizing the body of a literature review. Depending on the length of your literature review, you can combine several of these strategies (for example, your overall structure might be thematic, but each theme is discussed chronologically).

Chronological

The simplest approach is to trace the development of the topic over time. However, if you choose this strategy, be careful to avoid simply listing and summarizing sources in order.

Try to analyze patterns, turning points and key debates that have shaped the direction of the field. Give your interpretation of how and why certain developments occurred.

If you have found some recurring central themes, you can organize your literature review into subsections that address different aspects of the topic.

For example, if you are reviewing literature about inequalities in migrant health outcomes, key themes might include healthcare policy, language barriers, cultural attitudes, legal status, and economic access.

Methodological

If you draw your sources from different disciplines or fields that use a variety of research methods , you might want to compare the results and conclusions that emerge from different approaches. For example:

• Look at what results have emerged in qualitative versus quantitative research
• Discuss how the topic has been approached by empirical versus theoretical scholarship
• Divide the literature into sociological, historical, and cultural sources

Theoretical

A literature review is often the foundation for a theoretical framework . You can use it to discuss various theories, models, and definitions of key concepts.

You might argue for the relevance of a specific theoretical approach, or combine various theoretical concepts to create a framework for your research.

Like any other academic text , your literature review should have an introduction , a main body, and a conclusion . What you include in each depends on the objective of your literature review.

The introduction should clearly establish the focus and purpose of the literature review.

Depending on the length of your literature review, you might want to divide the body into subsections. You can use a subheading for each theme, time period, or methodological approach.

As you write, you can follow these tips:

• Summarize and synthesize: give an overview of the main points of each source and combine them into a coherent whole
• Analyze and interpret: don’t just paraphrase other researchers — add your own interpretations where possible, discussing the significance of findings in relation to the literature as a whole
• Critically evaluate: mention the strengths and weaknesses of your sources
• Write in well-structured paragraphs: use transition words and topic sentences to draw connections, comparisons and contrasts

In the conclusion, you should summarize the key findings you have taken from the literature and emphasize their significance.

When you’ve finished writing and revising your literature review, don’t forget to proofread thoroughly before submitting. Not a language expert? Check out Scribbr’s professional proofreading services !

This article has been adapted into lecture slides that you can use to teach your students about writing a literature review.

Scribbr slides are free to use, customize, and distribute for educational purposes.

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

• Sampling methods
• Simple random sampling
• Stratified sampling
• Cluster sampling
• Likert scales
• Reproducibility

 Statistics

• Null hypothesis
• Statistical power
• Probability distribution
• Effect size
• Poisson distribution

Research bias

• Optimism bias
• Cognitive bias
• Implicit bias
• Hawthorne effect
• Anchoring bias
• Explicit bias

A literature review is a survey of scholarly sources (such as books, journal articles, and theses) related to a specific topic or research question .

It is often written as part of a thesis, dissertation , or research paper , in order to situate your work in relation to existing knowledge.

There are several reasons to conduct a literature review at the beginning of a research project:

• To familiarize yourself with the current state of knowledge on your topic
• To ensure that you’re not just repeating what others have already done
• To identify gaps in knowledge and unresolved problems that your research can address
• To develop your theoretical framework and methodology
• To provide an overview of the key findings and debates on the topic

Writing the literature review shows your reader how your work relates to existing research and what new insights it will contribute.

The literature review usually comes near the beginning of your thesis or dissertation . After the introduction , it grounds your research in a scholarly field and leads directly to your theoretical framework or methodology .

A literature review is a survey of credible sources on a topic, often used in dissertations , theses, and research papers . Literature reviews give an overview of knowledge on a subject, helping you identify relevant theories and methods, as well as gaps in existing research. Literature reviews are set up similarly to other  academic texts , with an introduction , a main body, and a conclusion .

An  annotated bibliography is a list of  source references that has a short description (called an annotation ) for each of the sources. It is often assigned as part of the research process for a  paper .  

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McCombes, S. (2023, September 11). How to Write a Literature Review | Guide, Examples, & Templates. Scribbr. Retrieved June 7, 2024, from https://www.scribbr.com/dissertation/literature-review/

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What the data says about gun deaths in the U.S.

More Americans died of gun-related injuries in 2021 than in any other year on record, according to the latest available statistics from the Centers for Disease Control and Prevention (CDC). That included record numbers of both gun murders and gun suicides. Despite the increase in such fatalities, the rate of gun deaths – a statistic that accounts for the nation’s growing population – remained below the levels of earlier decades.

Here’s a closer look at gun deaths in the United States, based on a Pew Research Center analysis of data from the CDC, the FBI and other sources. You can also read key public opinion findings about U.S. gun violence and gun policy .

This Pew Research Center analysis examines the changing number and rate of gun deaths in the United States. It is based primarily on data from the Centers for Disease Control and Prevention (CDC) and the Federal Bureau of Investigation (FBI). The CDC’s statistics are based on information contained in official death certificates, while the FBI’s figures are based on information voluntarily submitted by thousands of police departments around the country.

For the number and rate of gun deaths over time, we relied on mortality statistics in the CDC’s WONDER database covering four distinct time periods:  1968 to 1978 ,  1979 to 1998 ,  1999 to 2020 , and 2021 . While these statistics are mostly comparable for the full 1968-2021 period, gun murders and suicides between 1968 and 1978 are classified by the CDC as involving firearms  and  explosives; those between 1979 and 2021 are classified as involving firearms only. Similarly, gun deaths involving law enforcement between 1968 and 1978 exclude those caused by “operations of war”; those between 1979 and 2021 include that category, which refers to gun deaths among military personnel or civilians  due to war or civil insurrection in the U.S . All CDC gun death estimates in this analysis are adjusted to account for age differences over time and across states.

The FBI’s statistics about the types of firearms used in gun murders in 2020 come from the bureau’s  Crime Data Explorer website . Specifically, they are drawn from the expanded homicide tables of the agency’s  2020 Crime in the United States report . The FBI’s statistics include murders and non-negligent manslaughters involving firearms.

How many people die from gun-related injuries in the U.S. each year?

In 2021, the most recent year for which complete data is available, 48,830 people died from gun-related injuries in the U.S., according to the CDC. That figure includes gun murders and gun suicides, along with three less common types of gun-related deaths tracked by the CDC: those that were accidental, those that involved law enforcement and those whose circumstances could not be determined. The total excludes deaths in which gunshot injuries played a contributing, but not principal, role. (CDC fatality statistics are based on information contained in official death certificates, which identify a single cause of death.)

What share of U.S. gun deaths are murders and what share are suicides?

Though they tend to get less public attention than gun-related murders, suicides have long accounted for the majority of U.S. gun deaths . In 2021, 54% of all gun-related deaths in the U.S. were suicides (26,328), while 43% were murders (20,958), according to the CDC. The remaining gun deaths that year were accidental (549), involved law enforcement (537) or had undetermined circumstances (458).

What share of all murders and suicides in the U.S. involve a gun?

About eight-in-ten U.S. murders in 2021 – 20,958 out of 26,031, or 81% – involved a firearm. That marked the highest percentage since at least 1968, the earliest year for which the CDC has online records. More than half of all suicides in 2021 – 26,328 out of 48,183, or 55% – also involved a gun, the highest percentage since 2001.

How has the number of U.S. gun deaths changed over time?

The record 48,830 total gun deaths in 2021 reflect a 23% increase since 2019, before the onset of the coronavirus pandemic .

Gun murders, in particular, have climbed sharply during the pandemic, increasing 45% between 2019 and 2021, while the number of gun suicides rose 10% during that span.

The overall increase in U.S. gun deaths since the beginning of the pandemic includes an especially stark rise in such fatalities among children and teens under the age of 18. Gun deaths among children and teens rose 50% in just two years , from 1,732 in 2019 to 2,590 in 2021.

How has the rate of U.S. gun deaths changed over time?

While 2021 saw the highest total number of gun deaths in the U.S., this statistic does not take into account the nation’s growing population. On a per capita basis, there were 14.6 gun deaths per 100,000 people in 2021 – the highest rate since the early 1990s, but still well below the peak of 16.3 gun deaths per 100,000 people in 1974.

The gun murder rate in the U.S. remains below its peak level despite rising sharply during the pandemic. There were 6.7 gun murders per 100,000 people in 2021, below the 7.2 recorded in 1974.

The gun suicide rate, on the other hand, is now on par with its historical peak. There were 7.5 gun suicides per 100,000 people in 2021, statistically similar to the 7.7 measured in 1977. (One caveat when considering the 1970s figures: In the CDC’s database, gun murders and gun suicides between 1968 and 1978 are classified as those caused by firearms and explosives. In subsequent years, they are classified as deaths involving firearms only.)

Which states have the highest and lowest gun death rates in the U.S.?

The rate of gun fatalities varies widely from state to state. In 2021, the states with the highest total rates of gun-related deaths – counting murders, suicides and all other categories tracked by the CDC – included Mississippi (33.9 per 100,000 people), Louisiana (29.1), New Mexico (27.8), Alabama (26.4) and Wyoming (26.1). The states with the lowest total rates included Massachusetts (3.4), Hawaii (4.8), New Jersey (5.2), New York (5.4) and Rhode Island (5.6).

The results are somewhat different when looking at gun murder and gun suicide rates separately. The places with the highest gun murder rates in 2021 included the District of Columbia (22.3 per 100,000 people), Mississippi (21.2), Louisiana (18.4), Alabama (13.9) and New Mexico (11.7). Those with the lowest gun murder rates included Massachusetts (1.5), Idaho (1.5), Hawaii (1.6), Utah (2.1) and Iowa (2.2). Rate estimates are not available for Maine, New Hampshire, Vermont or Wyoming.

The states with the highest gun suicide rates in 2021 included Wyoming (22.8 per 100,000 people), Montana (21.1), Alaska (19.9), New Mexico (13.9) and Oklahoma (13.7). The states with the lowest gun suicide rates were Massachusetts (1.7), New Jersey (1.9), New York (2.0), Hawaii (2.8) and Connecticut (2.9). Rate estimates are not available for the District of Columbia.

How does the gun death rate in the U.S. compare with other countries?

The gun death rate in the U.S. is much higher than in most other nations, particularly developed nations. But it is still far below the rates in several Latin American countries, according to a 2018 study of 195 countries and territories by researchers at the Institute for Health Metrics and Evaluation at the University of Washington.

The U.S. gun death rate was 10.6 per 100,000 people in 2016, the most recent year in the study, which used a somewhat different methodology from the CDC. That was far higher than in countries such as Canada (2.1 per 100,000) and Australia (1.0), as well as European nations such as France (2.7), Germany (0.9) and Spain (0.6). But the rate in the U.S. was much lower than in El Salvador (39.2 per 100,000 people), Venezuela (38.7), Guatemala (32.3), Colombia (25.9) and Honduras (22.5), the study found. Overall, the U.S. ranked 20th in its gun fatality rate that year .

How many people are killed in mass shootings in the U.S. every year?

This is a difficult question to answer because there is no single, agreed-upon definition of the term “mass shooting.” Definitions can vary depending on factors including the number of victims and the circumstances of the shooting.

The FBI collects data on “active shooter incidents,” which it defines as “one or more individuals actively engaged in killing or attempting to kill people in a populated area.” Using the FBI’s definition, 103 people – excluding the shooters – died in such incidents in 2021 .

The Gun Violence Archive, an online database of gun violence incidents in the U.S., defines mass shootings as incidents in which four or more people are shot, even if no one was killed (again excluding the shooters). Using this definition, 706 people died in these incidents in 2021 .

Regardless of the definition being used, fatalities in mass shooting incidents in the U.S. account for a small fraction of all gun murders that occur nationwide each year.

How has the number of mass shootings in the U.S. changed over time?

The same definitional issue that makes it challenging to calculate mass shooting fatalities comes into play when trying to determine the frequency of U.S. mass shootings over time. The unpredictability of these incidents also complicates matters: As Rand Corp. noted in a research brief , “Chance variability in the annual number of mass shooting incidents makes it challenging to discern a clear trend, and trend estimates will be sensitive to outliers and to the time frame chosen for analysis.”

The FBI found an increase in active shooter incidents between 2000 and 2021. There were three such incidents in 2000. By 2021, that figure had increased to 61.

Which types of firearms are most commonly used in gun murders in the U.S.?

In 2020, the most recent year for which the FBI has published data, handguns were involved in 59% of the 13,620 U.S. gun murders and non-negligent manslaughters for which data is available. Rifles – the category that includes guns sometimes referred to as “assault weapons” – were involved in 3% of firearm murders. Shotguns were involved in 1%. The remainder of gun homicides and non-negligent manslaughters (36%) involved other kinds of firearms or those classified as “type not stated.”

It’s important to note that the FBI’s statistics do not capture the details on all gun murders in the U.S. each year. The FBI’s data is based on information voluntarily submitted by police departments around the country, and not all agencies participate or provide complete information each year.

Note: This is an update of a post originally published on Aug. 16, 2019.

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HHS FY 2025 Budget in Brief

Topics on this page: HHS Budget in Brief | Budget Justifications | Office of the Secretary Staff Divisions | Operating Division Requests | GAO-IG Act | Offices to Contact | Previous Budgets FY 2024 – FY2020

The President’s Fiscal Year (FY) 2025 Budget supports the Department of Health and Human Services’ (HHS) mission to promote the health and well-being of all Americans. HHS proposes $130.7 billion in discretionary and $1.7 trillion in mandatory proposed budget authority for FY 2025.

This budget illustrates HHS’s commitment to support American families, improve behavioral health, and ensure the nation’s readiness for the next public health crisis. The budget works to ensure all Americans have access to affordable healthcare; improve maternal and reproductive health outcomes; strengthen early care and education; address the needs of Indian Country; and advance scientific innovation.

This budget supports HHS’s mission by investing in critical program operations and infrastructure. Serving the American people is fundamental to meeting HHS’s mission, and in FY 2025, HHS will also support multiple customer experience efforts to improve HHS's service delivery.

At the time of final preparation of the budget, Congress has not yet set final discretionary funding levels for FY 2024. As a result, the budget shows discretionary funding comparisons to FY 2023, and mandatory funding comparisons to FY 2024 current law levels.

Read the full FY 2025 Budget in Brief *

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HHS certifies that the HHS Chief Information Officer (CIO) has reviewed and had input in approving information technology (IT) Investments included in the below budget request documents. Furthermore, both the HHS Chief Financial Officer (CFO) and HHS CIO have had a role in reviewing planned IT support for major programs and significant increases and decreases in IT resources as reflected in this budget. Additionally, with respect to Federal Information Technology Acquisition Reform Act (FITARA) implementation, the Agency has developed and implemented its plan to ensure that all common baseline FITARA responsibilities are in place. Finally, HHS confirms that all HHS components are utilizing incremental development practices as appropriate across their IT investment portfolio.

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IWMI Strategy 2024-2030: research and innovation for water security

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IWMI Strategy 2024–2030: Research and Innovation for Water Security

IWMI’s Strategy 2024–2030 sets an ambitious agenda for research and innovation on water security. Under the motto “Driving Action. Propelling Change,” it applies agile, interdisciplinary and systems-oriented research for development to address complex water problems.

As IWMI marks its 40th anniversary in 2024, this strategy sets course for the next stage in our organizational journey.

The strategy also emphasizes the power of collective action, which IWMI will harness to ensure that adaptive, robust solutions have lasting impacts. IWMI will continue to align with others to transform water security and create the integrated solutions for food security, nature and climate change needed on the pathway to a just and sustainable future.

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February 16, 2023

The 2023-24 Budget

The california department of corrections and rehabilitation, trends in the state prison and parole populations, prison capacity reduction proposals, audio‑video surveillance systems, free voice calls for people in prison, migration of business information system to updated software platform, the joint commission accreditation, integrated substance use disorder treatment program, comprehensive employee health program, resources to implement recently enacted legislation related to parole and prison health care, division of juvenile justice closure.

In this brief, we provide an overview of the total amount of funding in the Governor’s proposed 2023‑24 budget for the California Department of Corrections and Rehabilitation (CDCR), as well as assess and make recommendations on several specific budget proposals.

Prison Capacity Reduction Proposals. The Governor proposes reductions to CDCR’s baseline funding to reflect plans to deactivate two full prisons and six yards at various prisons. Based on our review, it is not clear how CDCR weighted the various factors in selecting prisons for deactivation—making it difficult for the Legislature to determine if it agrees with the department’s selections. In addition, the department has not fully justified the 15,000 empty prison beds that it proposes to continue operating in 2023‑24 and has no plan to make further capacity reductions despite the number of empty beds being projected to reach nearly 20,000 by 2027. Without a capacity reduction plan, the state is at risk of incurring significant unnecessary costs. We recommend the Legislature take steps to gather key information from the administration to develop capacity reduction targets to inform current and future budget decisions, such as deactivating additional prisons.

Audio‑Video Surveillance Systems (AVSS). The Governor proposes $87.7 million General Fund (decreasing to $14.7 million annually beginning in 2026‑27) to (1) install and operate AVSS at ten prisons and (2) ongoing equipment replacement costs for all proposed and previously authorized AVSS and body‑worn camera systems beginning in 2026‑27. While AVSS can have benefits, the proposal has a significant budget‑year cost and would drive ongoing General Fund costs. Given that the state could be in a position to deactivate around five more prisons by 2027, there is a risk that any of the ten prisons proposed for AVSS installation would be deactivated shortly after the installation. Accordingly, we recommend that the Legislature reject the $87.7 million proposed in 2023‑24 to install and maintain AVSS at ten prisons.

Integrated Substance Use Disorder Treatment Program (ISUDTP). The Governor proposes a net decrease of $28.6 million in 2022‑23 and $51 million in 2023‑24 for ISUDTP. These changes are the net effect of (1) various population‑driven adjustments based on existing methodologies and (2) a proposed increase in funding for toxicology testing based on a newly proposed methodology. We have several concerns with the budgeting methodologies for specific ISUDTP‑related resources. Given that the department indicates it will update the proposed funding for ISUDTP at the May Revision, we recommend that the Legislature withhold action and direct the department to make specific changes to the budgeting methodologies in order to better tie the level of resources requested to the department’s actual workload.

Division of Juvenile Justice (DJJ) Closure. To reflect the realignment of DJJ youth to counties and the closure of the division in 2023‑24, the Governor proposes to reduce DJJ’s budget to about $3 million, as well as increase CDCR’s non‑DJJ budget by $22.8 million annually. These funds would support ongoing workload related to the closure and allow the Pine Grove Youth Conservation Camp to contract to accept youth from the counties. We find that portions of the requested resources are likely unnecessary and recommend reducing them. In addition, the proposed Pine Grove contracts are inconsistent with realignment because the state would be responsible for at least 93 percent of the cost of the camp, resulting in the state effectively double paying counties that choose to send realigned youth to it. Accordingly, we recommend charging a fee that minimizes the state cost for Pine Grove.

Roles and Responsibilities. CDCR is responsible for the incarceration of certain adults convicted of felonies, including the provision of rehabilitation programs, vocational training, education, and health care services. As of January 18, 2023, CDCR was responsible for incarcerating about 95,600 people. Most of these people are housed in the state’s 32 prisons and 34 conservation camps. The department also supervises and treats about 38,600 adults on parole and is responsible for the apprehension of those who commit parole violations. In addition, about 390 youths are housed in facilities that are currently operated by CDCR’s Division of Juvenile Justice, which includes three facilities and one conservation camp.

Governor’s Proposed Budget. The Governor’s January budget proposes a total of about $14.5 billion to operate CDCR in 2023‑24, mostly from the General Fund. This amount reflects a decrease of $454 million (about 3 percent) from the revised 2022‑23 level. (These amounts do not reflect anticipated increases in employee compensation costs in 2023‑24 because they are accounted for elsewhere in the budget.) The proposed budget would provide CDCR with a total of about 62,400 positions in 2023‑24, a decrease of about 2,400 (4 percent) from the revised 2022‑23 level. This brief provides our analysis of several of the Governor’s major proposals related to CDCR.

As shown in Figure 1 , the average daily prison population is projected to be 93,400 in 2023‑24, a decrease of about 2,800 people (3 percent) from the estimated current‑year level. The average daily parole population is projected to be 41,300 in 2023‑24, a decrease of 2,300 people (5 percent) from the estimated current‑year level. The projected decrease in the prison population is primarily due to the estimated impact of various sentencing changes enacted in recent years. The projected decrease in the parole population is primarily due to recent policy changes that have reduced the length of time people spend on parole by allowing them to be discharged earlier than otherwise.

Governor’s Proposal

Net Reductions in Current‑ and Budget‑Year Population Funding. The Governor’s budget for 2023‑24 proposes, largely from the General Fund, a net decrease of $112 million in the current year and a net decrease of $259 million in the budget year related to projected changes in the overall prison and parole populations and various subpopulations (such as those housed in reentry facilities and people on parole who have convictions for sex offenses). The current‑year net decrease in costs is primarily due to both a lower total prison population and a lower portion of that population receiving treatment through ISUDTP relative to what was assumed in the 2022‑23 Budget Act . (For more on ISUDTP, please see the “Integrated Substance Use Disorder Treatment Program” section of this brief.) This decrease in costs is partially offset by a projected increase in pharmaceutical costs.

The budget‑year net decrease in expenditures is primarily due to a (1) reduction in custody staffing resulting from the planned deactivation of portions of six prisons, (2) lower total prison population, and (3) lower portion of that population receiving treatment through ISUDTP. This decrease in costs is partially offset by projected increases in pharmaceutical costs and reimbursements to local governments for costs they incurred in connection with state prisons, such as by providing coroner services.

Budget Adjustments Will Be Updated in May. As a part of the May Revision, the administration will update these budget requests based on updated population projections.

Recommendation

Withhold Recommendation Until May Revision.  We withhold recommendation on the administration’s adult population funding request until the May Revision. We will continue to monitor CDCR’s populations and make recommendations based on the administration’s revised population projections and budget adjustments included in the May Revision.

State Currently Operating 32 State‑Owned Prisons and 1 Leased Prison. As of January 18, 2023, CDCR was responsible for incarcerating a total of about 95,600  people—91 ,300 men, 3,900 women, and 400 nonbinary people. Most of these people—about 91, 000—are housed in 1 of 32 prisons owned and operated by the state. This includes 29 men’s prisons; 2 women’s prisons; and 1 prison that houses both men and women in separate facilities, which is Folsom State Prison (FOL) in Represa. (People who are transgender, nonbinary, or intersex are generally required to be housed in a men’s or women’s facility based on their preference.)

The state also typically houses up to about 2,400 men in a prison—the California City Correctional Facility (CAC)—leased from a private company, but operated by the state. The remaining people are housed in various specialized facilities outside of prisons, such as conservation camps and community reentry facilities.

Prisons Differ in Their Ability to Accommodate Needs of Incarcerated Population. Prisons are typically composed of multiple facilities (often referred to as “yards”) where people live in housing units, recreate, and access certain services (such as dental care). CDCR typically clusters people with similar needs (such the amount of security they require) in the same yard. Accordingly, prisons differ in their ability to meet specific needs based on the types of yards they are composed of. Some of the key needs that CDCR staff consider in matching each person with a specific prison and yard include:

• Security. CDCR categorizes most of its men’s yards into a range of security levels. (Women’s yards are not classified into different security levels as they generally have similar levels of security.) People housed in higher‑security yards live in cells, while people housed in lower‑security yards generally live in open dormitories.
• Health Care Treatment. Health care needs can affect which prisons people are housed in. For example, people with higher medical needs are typically placed at prisons designated as Intermediate Health Care institutions. This generally means that they are closer to community hospitals to facilitate access to specialty care. In addition, people receiving mental health care services are not housed at certain prisons located in desert regions of the state as they are more likely to be taking heat‑sensitive medications. Health care needs can also affect the specific yard within a prison that people are assigned to. For example, people receiving the highest level of outpatient mental health care—referred to as the Enhanced Outpatient Program—are generally housed together in dedicated yards. These yards generally include housing units with medication distribution rooms that allow nurses to prepare and distribute medications inside the housing unit to improve medication compliance. In contrast, other people are typically expected to go to a centralized medication dispensary to receive their medications.
• Other Needs. Various other factors can affect where people are housed. For example, nine prisons have restrictions to mitigate the impact of Valley Fever—an infection caused by a fungus in the soil that enters people’s lungs when inhaled. Accordingly, people who have certain medical conditions that put them at higher risk of getting very sick or dying from Valley Fever are not housed at these prisons. In addition, certain prisons do not have the necessary physical features to accommodate people in wheelchairs.

Some Prisons Fill Relatively Unique Roles. Some prisons fill relatively unique roles, which can go beyond meeting the needs of the incarcerated population. For example, Sierra Conservation Center in Jamestown serves as the primary hub for providing training and placing people in California’s conservation camps. (Conservation camps are facilities typically located off prison grounds that house eligible people who contribute to state wildfire mitigation while serving their prison term.) In addition, since 1947, all license plates issued by California have been produced by people housed at FOL.

Many State‑Owned Prisons Have Significant Infrastructure Needs. As of January 2023, CDCR identified 43 deferred maintenance or capital outlay projects across 23 prisons at an estimated total cost of $1.7 billion that are expected to be needed over the next ten years. The majority of these projects are focused on issues related to safety (such as replacement of fire suppression systems) and critical infrastructure (such as kitchen renovations). None of the projects are intended to add capacity. The estimate does not include (1) projects expected to cost less than $5 million and (2) a comprehensive assessment of prison infrastructure needs related to health care or rehabilitation. As such, it is likely that the total cost of infrastructure projects that will be needed at prisons over the next ten years could exceed $1.7 billion. (For more information on prison infrastructure, please see our February 2020 report The 2020‑21 Budget: Effectively Managing State Prison Infrastructure.)

State‑Owned Prisons Subject to Court‑Ordered Population Limit. State‑owned and operated prisons are subject to a federal court order related to prison overcrowding that limits the total number of people they can house to 137.5 percent of their collective design capacity. Design capacity generally refers to the number of beds CDCR would operate if it housed only one person per cell and did not use bunk beds in dormitories. Currently, this means that the state is prohibited from housing more than a total of 112,697 people in state‑owned prisons. It also means that when prisons or yards are deactivated, this population limit is reduced by 137.5 percent of the design capacity of the prison or yard that was deactivated.

Prison Population Decline Allowing for Capacity Reductions. As shown in Figure 2 , the prison population has declined significantly in recent years and is expected to remain low through June 2027. In 2021, CDCR completed a multiyear drawdown of people housed in contractor‑operated prisons made possible by the declining prison population. In addition, the administration deactivated the Deuel Vocational Institution (DVI) in Tracy, as well as low‑security yards at the California Correctional Institution in Tehachapi and Correctional Training Facility in Soledad in September 2021. CDCR estimates that these deactivations resulted in ongoing General Fund savings totaling about $190 million. Deactivation also allowed the state to avoid funding infrastructure repairs that would otherwise have been needed to continue operating these facilities. For example, with the deactivation of DVI, the state was able to avoid a water‑treatment project—projected in 2018 to cost $32  million—that would have been necessary to comply with drinking water standards. Current law requires the California Correctional Center (CCC) in Susanville to be deactivated by June 30, 2023. As of January 2023, all the people who were housed at CCC have already been relocated to other prisons.

Deactivate Two Full Prisons and Six Yards at Various Prisons. On December 6, 2022, CDCR announced plans to deactivate CAC by March 2024 and Chuckawalla Valley State Prison (CVSP) in Blythe by March 2025. CDCR indicates that it selected CAC and CVSP for deactivation based on Penal Code Section (PC) 2067, which requires the department to accommodate projected population declines by reducing capacity in a manner that maximizes long‑term savings, leverages long‑term investments, and maintains sufficient flexibility to comply with the federal court order related to prison overcrowding. In determining how to reduce capacity, PC 2067 requires CDCR to consider certain factors, including operational cost, workforce impacts, and subpopulation and gender‑specific housing needs. In addition, the administration indicates it is proposing to deactivate CAC given that the term of the lease for the facility is nearing its end and the capacity provided by the facility is no longer needed to comply with the federal court order related to prison overcrowding.

CDCR also announced plans to deactivate six individual yards at various prisons in 2023. Figure 3 lists the specific yards that would be closed. The department indicates that it chose to deactivate yards at six different prisons—rather than one whole prison—because doing so (1) provides the department with long‑term operational flexibility to meet the changing needs of the incarcerated population, (2) likely results in less disruption to staff and incarcerated people, and (3) helps address staffing shortages.

Adjust CDCR Funding to Account for Planned Deactivations. To reflect the planned deactivations, the Governor’s budget reflects a reduction in 2023‑24 of about $280 million (largely from the General Fund) and 1,602 positions (increasing to $420 million and 2,301 positions annually beginning in 2024‑25). The ongoing reductions consist of:

• $132 million and 777 positions associated with the deactivation of CCC.
• $33 million and 166 positions (increasing to $136 million and 647 positions by 2024‑25) associated with the deactivation of CAC.
• $114 million and 659 positions (increasing to $150 million and 877 positions by 2024‑25) from the six yard deactivations.

We note that the budget maintains about $50 million and 250 positions in base funding for various purposes, such as to support staff associated with conservation camps and a limited staff at CCC to provide minimal maintenance and security services at the prison—a practice referred to as “warm shutdown.” The administration plans to submit revised savings estimates for CCC, CAC, and the six yard deactivations by the May Revision.

Continue Operating Nearly 15,000 Empty Beds. The department indicates that, while it intends to continue monitoring the issue, it is not planning further capacity reductions at this time because (1) there is a need to maintain flexibility within the system, such as having adequate quarantine space to continue managing COVID‑19 within prisons, and (2) population projections are fairly uncertain in out‑years. Accordingly, the department plans to continue to operate nearly 15,000 empty beds in 2023‑24.

Unclear How CDCR Weighted Factors in Selecting Prisons for Deactivation

While CDCR indicates that it used the factors outlined in PC 2067 to inform its selection of prisons for deactivation, it is not clear how the department weighted these different factors. Consideration of the same factors weighted in different ways could result in different prisons being selected for deactivation. For example, if the state prioritizes operational flexibility for CDCR, CVSP could be a strong candidate for deactivation because it (1) does not provide a significant source of celled housing, (2) does not appear to fill any unique systemwide roles, (3) is not designated as an Intermediate Health Care institution, and (4) is one of the desert institutions that does not house people receiving mental health services due to the interaction with heat sensitive medications. On the other hand, if the state prioritizes operational cost savings, it might select a different prison. For example, despite housing a fairly similar population, the per capita operational expenditures of the California Rehabilitation Center in Norco were $68,250 in 2019‑20 compared to $58,101 at CVSP. Not knowing how CDCR weighted the different factors that went into its decision makes it difficult for the Legislature to evaluate whether it agrees with the department’s selections.

Number of Empty Prison Beds in Operation Projected to Grow to Nearly 20,000 by 2027

As discussed above, the Governor’s proposals would leave about 15,000 empty beds in the near term. As shown in Figure 4 , the projected long‑term decline in the prison population suggests that, after the proposed deactivations are completed, the state could have nearly 20,000 empty prison beds—comprising about 20 percent of the state’s total prison capacity. This means that the state could be in a position to deactivate around five additional prisons by 2027, while still remaining roughly 2,500 people below the federal court‑ordered population limit.

Operation of Empty Beds Has Not Been Fully Justified

As discussed above, the state prisons are expected to have about 15,000 empty beds in the near term, growing to 20,000 by 2027. However, CDCR indicates that it is not planning further capacity reductions at this time because (1) there is a need to maintain flexibility within the system (such as having adequate quarantine space to continue managing COVID‑19 within prisons) and (2) population projections are fairly uncertain in out‑years. However, CDCR has not provided any data or analysis showing what number of beds is necessary for quarantine space. In addition, while there is always some uncertainty in population projections, the magnitude of empty beds projected is so large that it seems reasonable to assume that actual population trends will allow for some amount of capacity reduction.

State Lacks Prison Capacity Reduction Plan

Absent data and analysis demonstrating a compelling need to permanently maintain roughly 15,000 empty beds in the near term and 20,000 by 2027, the state will continue to have a substantial amount of excess capacity. Accordingly, it is reasonable for the state to start planning to reduce this excess capacity. While CDCR indicates that it will continue monitoring population trends and capacity needs, it does not have a prison capacity reduction plan. Specifically, the department has not identified the amount of empty beds it requires or how it would reduce beds in excess of this amount. As we discuss below, without a capacity reduction plan, the state is at risk of incurring unnecessary prison operational and infrastructure costs.

Unnecessary Prison Operational Costs. As the prison population declines, the state is able to spend less in certain types of costs—such as food and clothing—that are directly tied to the number of people that need to be housed in state prisons. Specifically, the state saves about $15,000 per year each time one fewer person needs to be housed in a prison. These savings accrue as the population declines—regardless of whether prison capacity is reduced. However, there are many other types of costs—such as most staffing costs—that are only saved when capacity is reduced. Specifically, when a whole prison is deactivated, the state can save several tens of thousands of dollars per capita annually in addition to the population‑driven savings. Per capita savings associated with yard deactivations are generally somewhat less. This is because, while individual yard deactivations do allow staffing levels to be reduced, prisons have many centralized staffing costs—such as for administration and perimeter security—that must be maintained regardless of the number of yards in operation. As discussed above, after the planned deactivations, the state is projected to have enough excess capacity to allow for the deactivation of around five additional prisons. Deactivation of five prisons could generate around $1 billion in annual ongoing operational cost savings. We note, however, that deactivating five prisons—or an equivalent amount of capacity reduction through a combination of prison and yard deactivations—could take a significant amount of advanced planning. For example, before the state can deactivate a facility, it might need to relocate a certain key function to another prison or make plans to mitigate the loss of that function. Without a capacity reduction plan, the state risks delaying deactivations—and the resulting operational savings—or spending hundreds of millions of dollars annually to indefinitely operate empty beds that have not been fully justified.

Unnecessary Prison Infrastructure Costs. As discussed above, state prisons have significant infrastructure repair needs—many of which must be addressed for health and safety reasons. Without a capacity reduction plan, it is difficult for the state to avoid funding projects at facilities that may be deactivated shortly thereafter. For example, as discussed in the “Audio‑Video Surveillance Systems” section of this brief, CDCR had purchased equipment for and was close to beginning installation of an audio‑video surveillance system at CVSP when the prison was announced for deactivation. In addition, CDCR completed construction of a new $31 million health care facility at CCC in July 2021—about a year and a half before all incarcerated people were relocated to other prisons. Funding infrastructure projects at prisons that are deactivated shortly thereafter is not cost‑effective. Moreover, it can mean that health and safety issues—at other prisons that the state does ultimately continue to operate—are addressed later than otherwise. Advanced planning is particularly critical given that infrastructure projects are costly and can take several years to complete.

Unnecessary Staff Training Costs . CDCR’s staffing needs are affected by various factors, including the number of facilities being operated. Correctional officer staffing needs are particularly important to plan for, given that before these staff can be assigned to a prison they must first complete a 13‑week correctional officer training academy that is paid for by the state. The Governor’s 2023‑24 budget maintains $140 million General Fund for CDCR to continue operating the academy and delivering other training to peace officers. Without a capacity reduction plan, the state risks producing more correctional officers than needed from a workload standpoint. This would not be a cost‑effective use of training resources.

Recommendations

Withhold Action on Budget Adjustments Associated With Deactivations. Given that CDCR intends to submit revised budget adjustments associated with CCC, CAC, and the six yard deactivations by the May Revision, we recommend the Legislature withhold action on these proposals. We will provide recommendations on the revised proposals when they are available.

Direct CDCR to Report on How Criteria for Deactivation Decisions Were Prioritized. We recommend that the Legislature direct CDCR to report in spring budget hearings on how it weighted the criteria that it used to identify CAC, CVSP, and the six yards for deactivation. To the extent the Legislature disagrees with how the department weighted factors, it could direct CDCR to deactivate different prisons and/or yards. Depending on the prisons or yards the Legislature ultimately decides to close, it may need to make corresponding budget adjustments relative to the Governor’s proposal.

Develop Near‑Term Capacity Reduction Target to Guide 2023‑24 Budget Decisions and Additional Deactivations . Given the risks associated with the state’s current lack of a capacity reduction plan, we recommend that the Legislature develop a near‑term capacity reduction target for the amount of capacity to be reduced in 2023‑24 through additional yard deactivations. In order to help guide the development of this target, we recommend that the Legislature take the following steps:

• Direct CDCR to Report Data and Analysis Showing Number of Empty Beds Needed in 2023‑24. As discussed above, the state prison system currently has and is projected to continue to have a significant number of empty beds. We recommend that the Legislature direct CDCR to report in spring budget hearings any available data and analysis justifying the number of empty beds that are needed in the budget year. To the extent that complete data or analysis will not be available in time to inform spring budget hearings, the administration should report on the steps and time line necessary to complete it.
• Determine Near‑Term Capacity Reduction Target. Based on the data and analysis reported by the department, we recommend that the Legislature determine a near‑term capacity reduction target. To the extent that there is significant uncertainty or gaps in the data or analysis provided by the department, this could remain a relatively conservative target.
• Direct CDCR to Deactivate Additional Yards in 2023‑24 to Meet Near‑Term Capacity Reduction Target. Because full prison deactivations can require significant advanced planning, we recommend that the Legislature direct CDCR to deactivate additional yards in the budget year in order to meet the near‑term capacity reduction target. By deactivating yards, the state will be able to begin achieving near‑term operational savings while it finishes developing a long‑term plan—discussed below—to deactivate full prisons. Deactivating these yards does not preclude the state from reactivating them in the future as necessary. We note that the Legislature would need to make corresponding budget adjustments relative to the Governor’s proposal to reflect these additional yard deactivations and achieve General Fund savings.

Direct CDCR to Provide Information to Guide Future Budget Decisions . To guide future budget decisions and help the state avoid ongoing unnecessary spending, it is important to identify an appropriate long‑term capacity reduction target, specific prisons to be deactivated, and any planning activities—such as relocating key infrastructure—that must occur before deactivation can occur. To guide this process, we recommend that the Legislature:

• Direct CDCR to Report on Long‑Term Empty Bed Need. We recommend that the Legislature direct CDCR to submit a report by January 10, 2024 that identifies long‑term empty bed needs and provides key information needed to plan for future prison deactivations. Specifically, the report should include thorough data and analysis supporting an estimate of the number of empty beds that the state will need to maintain in the long term. In conducting this analysis, the department should consider options—aside from maintaining empty beds—for how to manage unexpected increases in the population. The options considered should include, but not be limited to, establishing agreements with sheriffs to delay transfers from jail to prison, reducing prison terms through credits under the department’s existing authority, and the possibility of quickly reactivating yards or prisons as necessary.
• Determine Long‑Term Capacity Reduction Target. With the report described above, the Legislature will be in a better position to determine an appropriate number of empty beds to operate in the long term. Based on this, we recommend that the Legislature determine a long‑term capacity reduction target.
• Direct CDCR to Report on Major Implications of Deactivating Each Prison and Costs to Address Them. We recommend that the Legislature direct CDCR to submit a report by January 10, 2024 that provides—for each prison or for a subset of prisons identified by the Legislature—an inventory of any major implications of deactivation and a description of the options for and cost to mitigate those implications. For example, a major implication of deactivating FOL would be that the state would have to find an alternative means of producing license plates. Accordingly, the report should briefly describe this implication, and discuss options and costs of mitigating it, such as operating the factory with civil service staff or relocating it to another prison. With this information, the Legislature would be able to weigh the costs and benefits of selecting a particular prison for deactivation. In addition, once it selects a prison for deactivation, the Legislature would be able to plan for any necessary actions to mitigate negative implications of its deactivation—such as relocating a key function.
• Achieve Long‑Term Capacity Reduction Target Through Prison Deactivation. After establishing a long‑term capacity reduction target, the Legislature would be able to estimate the number of prisons that can be deactivated over the next several years. Using information reported by CDCR on the implications of deactivating each prison, the Legislature could make decisions about which implications it is comfortable accepting and/or paying to mitigate. Moreover, given that some mitigation strategies (such as relocating critical infrastructure) could take time, having this information will allow the state to begin planning for future prison deactivations. In determining how many and which prisons to close, we recommend that the Legislature consider reactivating yards as necessary to maximize the total number of whole prison deactivations achieved. This is because, as discussed above, deactivation of whole prisons is generally more cost‑effective than similarly sized capacity reductions achieved through yard deactivations.

AVSS Recently Installed at Various Prisons to Address Misconduct. Over the past several years, federal courts and the Office of the Inspector General, which provides external oversight of CDCR, have raised concerns about officer misconduct toward people in prison. For example, in fall 2016, a court monitoring team documented numerous allegations of officer misconduct, including physical abuse, denial of food, verbal abuse, tampering with mail and property, inappropriate response to suicide attempts or ideation, and retaliation for reporting misconduct. CDCR has taken various actions in response to these concerns, including installing fixed camera AVSS and body‑worn cameras on officers at various prisons. According to the department, these cameras are also used to deter and aid in investigations of other incidents, such as assaults, riots, and contraband trafficking involving people in prison. In total, the state has provided funding to CDCR for the installation of AVSS at 22 prisons and body‑worn cameras at 10 prisons. As of November 2022, AVSS has been installed at nine prisons and body‑worn cameras have been deployed at nine prisons. Currently, there are 11 state‑owned prisons that have not been funded to receive AVSS. We note that one of these prisons, CCC, is planned to be deactivated by June 30, 2023.

Install AVSS at Ten Prisons and Establish Ongoing Replacement Budget. The Governor’s budget proposes $87.7 million General Fund (decreasing to $7.5 million in 2024‑25 and 2025‑26 and increasing to $14.7 million annually beginning in 2026‑27) and 19 positions to (1) install and operate AVSS at the ten remaining prisons not currently planned for deactivation where AVSS has not been authorized and (2) fund ongoing licensing, software, and equipment replacement costs for all proposed and previously authorized AVSS and body‑worn camera systems beginning in 2026‑27.

Proposal to Be Revised to Reflect Recently Announced Deactivations. As discussed earlier in this brief, CDCR recently announced plans to deactivate CVSP, CAC, and yards at six state‑owned prisons. At the time this announcement was made, CDCR had already purchased—but not yet installed—AVSS equipment for CVSP. CDCR indicates that it will be able to install this equipment at other prisons. Accordingly, the department plans to submit a revised proposal by the May Revision reflecting this and any other changes specifically resulting from the planned facility deactivations.

AVSS Can Have Benefits, but Results in Additional General Fund Cost Pressures. Given that AVSS appears to be a useful investigation tool, we find that it is reasonable to install AVSS at prisons that the state intends to operate in the long term. However, the proposal has a significant budget‑year cost and would drive General Fund costs on an ongoing basis. This is notable, given the budget problem facing the state. Specifically, the Governor’s budget proposes various budget solutions to address the estimated budget problem for 2023‑24. However, our estimates suggest the budget problem is likely to be larger in May. Moreover, even under Governor’s budget assumptions, the proposed solutions also are insufficient to keep the state budget balanced in future years, with projected out‑year deficits in the $4 billion to $9 billion range.

Not Cost‑Effective to Implement AVSS at Prisons That Could Be Deactivated. As we discussed earlier in this brief, the state is expected to have significant excess prison capacity. Specifically, we estimate that the state could be in a position to deactivate around five additional prisons by 2027. However, the administration has not identified specific prisons for future deactivation. As such, under the Governor’s proposal, there is a risk that any of the ten prisons proposed for AVSS installation would be deactivated shortly after the installation—thereby the benefits of AVSS at these prisons could barely be realized.

Reject Portion of Funding Tied to Expansion of AVSS at Ten Prisons. Given the budget problem facing the state and the risk of installing AVSS at prisons that are deactivated shortly thereafter, we find that it is not prudent to expand AVSS to new prisons at this time. Accordingly, we recommend that the Legislature reject the portion of the proposal—$87.7 million and 19 positions in 2023‑ 24—to install and maintain AVSS at ten prisons. When there is greater clarity as to which additional prisons will be deactivated, the administration could submit a request for resources to install AVSS at additional prisons. We note that our earlier recommendation in this brief to gather key information from the administration related to prison capacity reduction would help guide the identification and prioritization of which specific prisons to deactivate.

Various Ways for People in Prison to Communicate With Friends and Family. In addition to in‑person visiting and writing letters, there are various ways that people in prison can maintain contact with friends and family through electronic communication. These include voice calls, video calls, and electronic messages. Voice calls can be made from standard, hardwired telephones located at all prisons and portable tablet devices that are currently being distributed to people in prison. According to CDCR, everyone in prison will receive a tablet by June 2023. The department regulates the use of telephones and tablets among the prison population, such as the times of day when calls can be made.

Communications Contract Provides 15 Minutes of Voice Calling at No Charge. CDCR contracts with a company to provide communications services to the prison population. As a part of this contract, the company operates the telephones and tablets, which include certain security features, such as enabling correctional staff to monitor calls and restrict certain phone numbers from being called. When the contract was first initiated, the state did not pay the company as the company receives payments from users of the communications services. The current six‑year contract, which began in 2021, provides each person in prison with 15 minutes of voice calling every two weeks before any charges are levied. Under the contract, charges are levied for all electronic messages.

Charges for Time Beyond 15 Minutes Previously Paid by Friends and Family. Any time above 15 minutes is charged at a rate of 2.5 cents per minute for domestic calls and 7 cents per minute for international calls, plus applicable surcharges and taxes. Historically, these charges were paid by those receiving the calls from people in prison, such as their friends and family. However, as discussed below, the state has recently begun paying these charges.

Between July 2021 and December 2022, State Paid for Additional 60 Minutes. The 2021‑22 Budget Act provided $12 million General Fund to pay for an additional 60 minutes of voice calling every two weeks, as well as 60 free electronic messages per month, for each person in prison. This allowed each person to use a total of 75 minutes of voice calling every two weeks before their friends or family incurred any charges. Ultimately, about $2.2 million of the funding was spent in 2021‑22, with the remaining $9.8 million reappropriated in the 2022‑23 Budget Act for the same purposes. CDCR estimates that for the first part of 2022—specifically between July 2022 and December 2022—state costs for voice calling and electronic messages totaled about $1.5 million. Accordingly, the department estimates that about $8.3 million (of the $12 million originally appropriated in 2021‑22) remained available as of January 1, 2023.

Beginning January 2023, State Paying for All Additional Minutes. Chapter 827 of 2022 (S B 1008 , Becker) specifies that CDCR shall provide accessible, functional voice calls free of charge. On January 1, 2023, CDCR began implementing this requirement by paying all charges accrued for voice calls. Though CDCR does not directly limit the number of minutes people can use, it does continue to restrict when calls can be made for operational reasons. CDCR intends to continue providing 60 free electronic messages per month through June 2023.

$5.6   Million General Fund to Pay Charges From January 2023 Through June 2023. CDCR estimates that charges for voice calling and the 60 electronic messages from January 2023 through June 2023, will total $13.9 million. The Governor requests $5.6 million General Fund—on top of the $8.3 million identified above—to pay for these charges over the six‑month period. The department indicates that it might adjust the amount it is requesting at the May Revision based on actual minute usage data.

$30.7   Million General Fund to Pay Charges and Provide Information Technology (IT) Support Annually. The Governor proposes $30.7 million ongoing General Fund and two positions to support voice calling. Of this amount, $30.4 million is expected to pay for voice calling charges. The department indicates that it might adjust this amount at the May Revision based on actual minute usage data. The remaining funding would be used to support two new IT positions to address growing workload driven primarily by the introduction of tablets and increased demand for communication services generated by Chapter 827. Beginning in July 2023, the department would no longer pay for 60 electronic messages per month. As a result, users would pay charges for these messages at the contract rate of five cents per message.

Provisional Language to Allow the Department of Finance (DOF) to Adjust 2023‑24 Funding Amount. The Governor proposes provisional language that would allow DOF to augment or reduce the 2023‑24 appropriation based on actual or estimated expenditure data. The department indicates that it believes this authority is needed given the uncertainty about how many calling minutes will be used.

Annual Budgeted Amount Modified Through a Technical Adjustment. The Governor intends to adjust annual baseline funding for calling charges as needed through a technical adjustment. Accordingly, these adjustments would not be presented to the Legislature through budget change proposals.

Proposed Funding Appears Reasonable, but Is Based on Limited Data Currently Available. Based on calling usage data through September 2022 and analysis provided by CDCR, the funding amounts proposed to pay for calling charges in 2022‑23 and 2023‑24 appear reasonable. We also think that the proposed two IT positions appear reasonable, given the growing communications‑related workload. However, by the May Revision, the department will have additional months of calling usage data. Most notably, it will have calling usage data from after January 1, 2023 when Chapter 827 went into effect. Accordingly, it is possible that the estimated funding levels could change by the May Revision.

Provisional Language Is Unnecessary and Limits Oversight. We agree that the annual funding amount needed for calling charges is subject to uncertainty, particularly in the near term given that Chapter 827 only recently went into effect and tablets are still being distributed. However, the annual budget act already includes the ability to augment funding for departments for unexpected costs. Specifically, Item 9840‑001‑0001 includes $40 million to augment departments’ General Fund budgets upon approval of the Director of DOF no sooner than 30 days after notification to the Joint Legislative Budget Committee (JLBC). This budget item is maintained in the Governor’s proposed budget for 2023‑24. In the event that this $40 million is used for other contingencies and is unavailable to support higher than anticipated calling charges, we note that Item 9840‑001‑0001 outlines a process through which the administration can request a supplemental appropriation. Accordingly, we find that the proposed provisional language is unnecessary.

We also note that the proposed provisional language would severely limit legislative oversight, as it does not require legislative notification or approval. In contrast, augmentations through Item 9840‑001‑0001 require notification to JLBC and supplemental appropriations require approval by the Legislature.

Annual Technical Adjustment Process Lacks Transparency. We agree that the level of funding budgeted for calling charges may warrant adjustment from year to year to reflect more current usage estimates. However, we find that the proposed technical adjustment process lacks transparency. This is because, under the typical technical adjustment process, the administration does not submit documentation supporting the proposed budget adjustment. Accordingly, it would be difficult—without seeking additional information from the department—for the Legislature to identify what discretionary decisions were made, whether the funding adjustment is justified, and to conduct oversight of prison voice communications more broadly.

Going forward, it would be important for the Legislature to ensure that the level of funding provided annually is aligned to actual costs, which could be impacted by various factors, including changes in (1) the size of the prison population, (2) CDCR policies concerning when calls can be made, and (3) per‑minute costs as well as taxes and surcharges. Moreover, these factors could be affected by discretionary decisions made by the department, such as a decision to renegotiate the communications services contract. As such, the Legislature will want to ensure it has the opportunity to review the above changes and decisions.

Population Budget Adjustments Provide an Alternative Approach. In contrast to the technical adjustment process, CDCR currently uses a population budget adjustment process to propose annual adjustments to various aspects of CDCR’s budget that are tied to the size of the prison population or its subpopulations. Through this process, the administration submits documentation showing the methodology and data sources used to support the proposed adjustments, which creates transparency on the proposed adjustments.

Withhold Action on Proposed Funding and Require Updated Data. While the proposed funding levels appear reasonable given currently available data, the department indicates it might adjust the proposed funding levels at the May Revision based on updated data. Accordingly, we recommend the Legislature withhold action on the proposal until that time. In addition, to ensure that the Legislature is well‑positioned to base its decision on recent data that was gathered after Chapter 827 went into effect, we also recommend directing the department to submit updated calling usage data at the May Revision.

Reject Proposed Provisional Language. Given that the proposed provisional language is unnecessary and limits legislative oversight, we recommend that the Legislature reject it. As noted above, the budget already includes Item 9840‑001‑0001 to account for unanticipated funding needs.

Direct CDCR to Annually Adjust Funding Level Through Population Budget Adjustment Process. We recommend that the Legislature direct the department to adjust the level of funding for calling charges through the department’s annual population budget adjustment process. Through this process, the department would submit to the Legislature its proposed budget adjustment along with the methodology used to calculate it. For example, the department could develop a methodology that uses actual calling data from the prior year, the current per‑minute costs as well as taxes and surcharges, and projections of the size of the prison population for the coming year to estimate the amount of funding needed for the budget year. This transparency would enable the Legislature to better assess if the proposed adjustments are warranted and to provide ongoing oversight of prison voice communication more broadly.

CDCR Business Information System (BIS) Supported by SAP Software Platform. CDCR uses a system of interconnected IT applications—called BIS—to track and report data on various aspects of its operations. The type of software platform that the department uses to support BIS is enterprise resource planning (ERP) software and is made by the company SAP. (ERP is an industry term for software that integrates processes to help a business better manage its activities. For instance, in the case of a financial system, an ERP will enable the process of approving a purchase order to also create an accounting transaction that encumbers the funds in one step.) When CDCR began using SAP’s ERP software in 2011, BIS primarily included financial applications, which provided functions like accounting, budgeting, and procurement. Over time, CDCR has added nonfinancial applications to BIS that provide various other functions, such as those related to employee health and safety, armory tracking, and allegations of staff misconduct. CDCR currently maintains BIS with annual funding of $24 million General Fund and 61 positions.

SAP Ending Mainstream Support for Current ERP Software Beginning in 2027. In 2027, SAP is scheduled to stop providing mainstream support for the version of its ERP currently used by CDCR, which is called ERP Central Component (ECC) 6.0. This is because the company is offering a new ERP software called S/4HANA. The loss of support services could cause security vulnerabilities or loss of functionality in BIS. To prevent this from happening, the department could migrate BIS to S/4HANA by 2027. Alternatively, it is possible that third‑party vendors could provide adequate temporary support for the system. In addition, we note that information published by SAP suggests that CDCR may be able to contract with SAP to provide temporary extended maintenance past 2027.

State Centralizing Financial IT Systems Within Financial Information System for California (FI$Cal). Since 2005, the state has been in the process of replacing its aging and decentralized financial IT systems with one new system—FI $Cal, which integrates state government processes for accounting, budgeting, cash management, and procurement. In addition to eliminating the need for over 2,500 department‑specific applications, FI$Cal is intended to automate manual processes, improve tracking of statewide expenditures, provide greater transparency into the state’s financial data and management, and standardize state financial practices. FI$Cal is managed by the Department of FI$Cal.

CDCR Required to Transition to FI$Cal by 2032. Currently, all but 20 state entities have transitioned to FI$Cal. Ten of these entities, such as the University of California, have received statutory authority to use systems other than FI$Cal for their financial management on an ongoing basis. The other ten state entities, including CDCR, are currently considered deferred from FI$Cal. This means that they are currently allowed to continue using financial IT systems other than FI$Cal but are statutorily required to transition to FI$Cal to the extent possible by July 1, 2032.

Analysis to Inform CDCR Transition Expected to Be Completed by End of 2023. As a part of the planning process for transitioning a department to FI$Cal, the Department of FI$Cal works with the transitioning department to conduct a “fit‑gap” analysis. The purpose of a fit‑gap analysis is to identify the transitioning department’s existing business functions, processes, and data systems used for financial management; any gaps in the ability of FI$Cal to meet those needs; and potential options for addressing such gaps. The Department of FI$Cal indicates that it engaged with CDCR to conduct a fit‑gap analysis in 2020‑21 but the analysis was only partially completed by CDCR. FI$Cal currently expects the analysis to be completed by the end of 2023 and indicates that the specific time line to transition CDCR to FI$Cal can be evaluated at that time.

$8.1   Million in 2023‑24 to Begin Migrating BIS to S/4HANA. The Governor proposes limited‑term General Fund support of $8.1 million in 2023‑24, $9.3 million in 2024‑25, and $7.8 million in 2025‑26 based on CDCR’s intention to migrate BIS from ECC 6.0 to S/4HANA over three years. Specifically, the department intends to initiate migration in 2023‑24 in order to complete it before 2027 when mainstream SAP support for ECC 6.0 is scheduled to end. CDCR indicates that, pending the results of the fit‑gap analysis, it would subsequently transition the financial applications to FI$Cal.

Initiating Migration to S/4HANA in 2023‑24 Appears Premature. Under the Governor’s proposal, the financial applications within BIS would be migrated to S/4HANA and—pending the results of the fit‑gap analysis—subsequently transitioned to FI$Cal at some point before 2032. In other words, the state would eventually be paying for both the migration to S/4HANA and the transition to FI$Cal, which does not seem cost‑effective. However, as discussed above, the state may be able to contract with SAP or a third‑party vendor to provide extended maintenance for the ECC 6.0 software supporting BIS. This would allow CDCR to delay migration to S/4HANA. Accordingly, it appears premature to begin migration at this time.

Key Information Needed to Determine Costs of Delaying Migration. In order to determine whether it is cost‑effective to delay the migration to S/4HANA, the Legislature would need to know the cost and potential trade‑offs of contracting with SAP or a third‑party vendor to temporarily provide extended maintenance for the ECC 6.0 software currently supporting BIS. However, it is unclear to what extent CDCR evaluated such options given that it did not provide information on the costs and potential trade‑offs associated with them. Without this key information, it is difficult for the Legislature to determine whether to approve the department’s proposal or delay the transition to S/4HANA. Moreover, we note that if the administration has not made efforts to assess options to delay migration to S/4HANA, it raises concerns that the administration is not putting the necessary effort into moving CDCR onto FI$Cal.

Withhold Action and Direct CDCR to Report Key Information. We recommend that the Legislature direct CDCR to report in spring budget hearings on (1) the annual costs to contract with SAP to continue providing maintenance, (2) the estimated annual costs to provide maintenance through a third‑party vendor, and (3) any potential challenges associated with these options and strategies to mitigate them. This information would allow the Legislature to evaluate whether the benefits of delaying migration are worth the costs. Until it receives this information, we recommend the Legislature withhold action on the Governor’s proposal. We will review information provided by the department and make recommendations to the Legislature after the information is available.

CDCR’s Provision of Mental Health Care Under Federal Court Oversight. In 1995, a federal court ruled in the case now referred to as Coleman v. Newsom that CDCR was not providing constitutionally adequate mental health care to the prison population. As a result, the court appointed a Special Master to monitor and report on CDCR’s progress towards providing an adequate level of mental health care. The Special Master continues to monitor and issue recommendations to CDCR for the care delivered to the prison population participating in an in‑prison mental health program, which is about one‑third of the total population. The Special Master also appoints experts to review mental health delivery processes and compliance with court‑ordered recommendations, such as experts who regularly perform in‑person audits of CDCR’s suicide prevention practices. The federal court in the case will decide when care has improved to the point where oversight through the Special Master can end. However, the court has not provided the state with specific benchmarks that must be met for court oversight to end.

CDCR’s Provision of Medical Care Under Federal Court Management. In 2006, after finding the state failed to provide a constitutional level of medical care to people in prison , a federal court in the case now referred to as  Plata v. Newsom  appointed a Receiver to take control over the direct management and operation of the state’s prison medical care delivery system from CDCR. The Receiver’s mandate is to bring the department’s medical care program into compliance with federal constitutional standards. Unlike a Special Master, a Receiver has executive authority in hiring and firing medical staff, entering contracts with community providers, and acquiring and disposing of property.

In order for the state to regain control of the delivery of prison medical care, the state must demonstrate that it can provide a sustainable constitutional level of care at every prison. The federal court has outlined a specific process for delegating care at each prison back to the state. Specifically, each prison must first be inspected by the Office of the Inspector General (OIG) to determine whether the institution is delivering an adequate level of care. The Receiver then uses the results of the OIG inspection—regardless of whether the OIG declared the prison’s provision of care adequate or inadequate—along with other health care indicators to determine whether the level of care is sufficient to be delegated back to CDCR. To date, 20 out of the 33 state‑owned and operated prisons have been delegated back to the state. However, the Plata v. Newsom court and the OIG continue to monitor and audit the delegated institutions.

Health Care Accreditations Can Provide External Oversight . Health care accreditations can provide insight into whether an organization providing care is achieving a minimum standard of care. The accreditation process uses an external, independent body that applies standardized criteria to ensure that organizations provide care consistent with the criteria. This is typically done by preparing an organization for the review process and then performing an unannounced audit of the organization’s procedures based on standardized criteria. Once accredited, an organization must continue to meet the quality standards every audit cycle to maintain its accreditation. Various agencies provide different types of accreditations designed for the specific health care service being delivered, such as medical and mental health accreditations. The Joint Commission (TJC) is one agency that accredits about 80 percent of U.S. hospitals for various types of health care services. For example, TJC issues accreditations in Behavioral Health and Human Services (covering mental health care), Ambulatory Health Care (focusing on emergency medical care), and Nursing Care Center. CDCR indicates that four prisons obtained at least one TJC accreditation and two prisons are preparing for Behavioral Health and Human Services TJC accreditation in 2023‑24 using existing resources.

Resources for Accreditations . The Governor’s budget proposes $3.2 million General Fund and 15 positions in 2023‑24 (increasing annually to $6.1 million and 38 positions in 2027‑28 and ongoing) to obtain and maintain TJC accreditations in Behavioral Health and Human Services, Ambulatory Health Care, and Nursing Care Center for all state‑owned and operated prisons over a five‑year period. The resources would support accreditation fees, training of staff, and ongoing positions dedicated to preparing prisons for the accreditation audits.

Accreditations Not Required to End Court Oversight. Neither the Coleman v. Newsom or Plata v. Newsom   courts have ordered the state to obtain accreditations as a way to demonstrate care has improved to a desired level or as a condition of exiting court oversight. Nor have the courts selected a specific accreditation as the most appropriate for the delivery of care in prisons. Instead, each court establishes its own requirements to determine whether care has improved to the point where court oversight is no longer necessary. As such, it is unclear whether achieving accreditations will address specific recommendations or remedial plans ordered by the courts.

Proposed Accreditation Could Unnecessarily Duplicate Oversight of Health Care. We also find that the Governor’s proposal to dedicate resources to obtain TJC accreditations at each prison could unnecessarily duplicate oversight already provided by the courts, court‑appointed experts, and OIG in the Plata v Newsom and Coleman v. Newsom cases. The state, through the OIG and state payments to court appointed experts, already dedicates resources for oversight of prison health care. It is likely that TJC would find the same deficiencies already captured by existing oversight entities, thereby not providing much additional value regarding the delivery of health care in California’s prisons.

Accreditations Are a Laudable Goal, but Exiting Court Oversight Should Be Prioritized. Attaining accreditations for CDCR’s prison health care system could have merit in the future, but achieving compliance with current court standards in order to exit court oversight should be a higher priority. This is because the state has not yet been able to fully demonstrate to the courts that adequate care is being provided at all prisons. We acknowledge accreditations could indirectly help in achieving court standards, such as if achieving accreditations requires improvements that the courts have ordered. However, the state is already aware that it needs to make these improvements. Moreover, to the extent that achieving the accreditations requires improvements that are not ordered by the courts, it would demand resources and effort that should instead be prioritized for court compliance. Dedicating resources and staff effort to address specific court orders or concerns should remain the priority until court compliance is achieved. We note that accreditation would be of greater value when the state has control over medical care as a way to help ensure the state maintains adequate care after federal court oversight ends.

Reject Proposal. In view of the above, we recommend the Legislature reject the Governor’s proposal to provide CDCR resources to obtain and maintain TJC accreditations at all state‑owned and operated prisons. We find that it is more appropriate for the state to prioritize its resources and efforts for ending court oversight rather than pursuing these accreditations. We note this proposal could be considered in the future if achieving these accreditations is ordered by the courts or to ensure the quality of care is maintained once the state exits court oversight. The General Fund resources that are “freed up” under our recommendation would be available for other legislative priorities.

ISUDTP Treats Substance Use Disorder (SUD) as a Medical Need . ISUDTP, initiated as part of the 2019‑20 budget, provides a continuum of care to people in prison to address their SUD and other rehabilitative needs. Prior to ISUDTP, CDCR generally assigned people to SUD treatment based on whether they had a “criminogenic” need for the program—meaning the person’s SUD could increase their likelihood of recidivating (committing a future crime) if unaddressed through rehabilitation programs. In contrast, ISUDTP is designed to transform SUD treatment from being structured as a rehabilitation program intended to reduce recidivism into a medical program intended to reduce SUD‑related deaths, emergencies, and hospitalizations. For example, as part of ISUDTP, each person leaving prison receives two doses of naloxone, a medication that can help reverse the effects of an opioid overdose. In addition, people who are part of ISUDTP are assigned to SUD treatment based on whether they are assessed to have a medical need for such treatment. For example, when people are admitted to prison, Licensed Clinical Social Workers (LCSWs) determine the appropriate level of care for those identified as having a potential SUD with the National Institute on Drug Abuse Quick Screen. Similarly, for those within six months of release from prison, LCSWs administer an SUD assessment that identifies other needs necessary to facilitate transition into the community.

ISUDTP Expanded Availability of Medication Assisted Treatment (MAT). People who are addicted to certain substances (such as opioids or alcohol) can develop a chemical dependency. This can result in strong physical cravings, withdrawal that interferes with treatment, and/or medical complications. MAT is intended to combine SUD treatment services (such as cognitive behavioral therapy, a type of therapy which helps change negative patterns of behavior) with medications designed to reduce the likelihood of people relapsing while undergoing SUD treatment. Prior to 2019‑20, CDCR had operated MAT pilot programs at three prisons. Under ISUDTP, MAT was made available at all prisons to targeted groups starting in 2019‑20.

Toxicology Testing Used When Receiving MAT. Toxicology testing is the process of collecting samples from a person to test for the presence of toxins, poisons, or substances, including illegal substances. Regular testing is important for those receiving MAT. Toxicology results can be used for various purposes, such as to determine a baseline level of toxins in the body before people receive MAT, monitor their adherence to treatment, adjust the dosage level of medications, and determine whether people are continuing to use substances.

ISUDTP Expanded in 2022‑23. ISUDTP was expanded through the 2022‑23 budget, which brought total current funding for the program to $291.4 million General Fund and 740.6 positions, increasing to $327.9 million in 2023‑24. As part of the ISUDTP expansion, the department indicated that it would annually propose both current‑ and budget‑year population‑driven adjustments to the program’s resources. This means the level of funding would be adjusted based on changes in the population affecting ISUDTP workload, such as changes in the MAT patient population. Population‑adjusted resources include those for medications used for MAT and toxicology tests. They also include adjustments to staffing levels for various classifications, such as LCSWs as well as Licenses Vocational Nurses (LVNs), Pharmacists, and Pharmacy Technicians involved in dispensing MAT medications. Accordingly, the $291.4 million in the 2022‑23 budget and the planned $327.9 million for 2023‑24 would be adjusted to account for population changes.

The Governor proposes a net decrease of $28.6 million in 2022‑23 and $51 million in the 2023‑24 for ISUDTP relative to the planned amount when the 2022‑23 budget was adopted. This would bring total funding for ISUDTP to $262.8 million in 2022‑23 and $276.8 million in 2023‑24. These changes are the net effect of (1) various population‑driven adjustments based on existing methodologies and (2) a proposed increase in funding for toxicology testing based on a newly proposed methodology. As a part of the May Revision, the department will update these budget requests based on updated spring 2023 population projections.

Population‑Driven Adjustments Based on Existing Methodologies. The Governor proposes various population‑driven adjustments to ISUDTP based on existing methodologies that result in a decrease in funding of $41.6 million General Fund and 51.6 positions in 2022‑23 and $65 million General Fund and 105.4 positions in 2023‑24. These changes consist of:

• Adjustments Based on MAT Patient Population . Most of the adjustments are due to the MAT patient population being projected to be about 15,500 in the current year and about 16,600 in the budget year rather than 25,500, as was previously projected for both years. For example, the department proposes reducing funding for MAT medications by $16.6 million in current year and $23.1 million in the budget year.
• Adjustment to LVNs Based Partially on MAT Patient Population . The LVN positions are only partially adjusted based on the MAT patient population. Specifically, the department receives 1.77 LVNs per 225 MAT patients unless this adjustment would result in the department receiving less than 139.8 LVN positions, in which case the number of LVNs remains at 139. 8—equivalent to the number of LVNs required to distribute MAT medications to 17,717 patients. The department indicates that it must retain these 139.8 positions even if the MAT patient population is below 17,717 in order to effectively distribute both MAT medications for ISUDTP and other medications not part of ISUDTP. Given that the MAT patient population is projected to be below 17,717 in both the current and budget year, the department proposes to retain 139.8 LVN positions in both years. This reflects a reduction in both the current and budget years of 62 LVN positions. We note that the department indicated that it might revise this budgeting methodology in the spring.
• Adjustments Based on MAT Patient Population and Other Factors . Some of the ISUDTP adjustments are based both on the number of MAT patients and other factors. For example, the number of Pharmacists and Pharmacy Technicians is adjusted based on calculations incorporating the MAT patient population and other factors, such as the MAT inventory (referred to as Omnicell Count). Based on changes in these factors, the department is requesting an increase of 2.3 additional Pharmacists in the current year and 1.9 Pharmacists in the budget year. In addition, the department is requesting to reduce the number of Pharmacy Technicians by 6.5 in the current year and 10.2 in the budget year.
• Adjustments Based on Factors Other Than the MAT Patient Population. Several adjustments are based on factors other than the MAT patient population. For example, the level of funding for naloxone and the number of LCSWs is based on the historical number of admissions to and releases from prison each month. Specifically, based on an assumption that there will be an average of 3,000 monthly prison admissions and releases, the department is proposing an increase of 13.5 LCSWs in the current year and a reduction of 0.5 LCSWs in the budget year. However, the department is not proposing a change in funding for naloxone in either year as its existing funding for the medication is sufficient, despite changes in prison admissions and releases.

Resources for Toxicology Testing Based on New Methodology . The 2022‑23 budget provided sufficient resources to conduct ten toxicology tests per MAT patient per year. However, the administration is proposing to change the methodology to increase the number of toxicology tests per MAT patient to 14 per year going forward to reflect actual testing data. Accordingly, the budget proposes an increase of $13 million General Fund in 2022‑23 and $13.9 million General Fund in 2023‑24 to provide ISUDTP with sufficient resources to conduct 14 toxicology tests per MAT patient annually on a permanent basis. According to the department, the permanent 14 toxicology tests rate per MAT patient is necessary given that the MAT program has been ramping up significantly, which has resulted in a corresponding increase in toxicology testing being observed. Moreover, CDCR indicates that a higher number of toxicology tests per MAT patient have been used because more testing is necessary in the initial stages of treatment.

LVNs Requested Not Solely Based on ISUDTP Workload. Under the department’s current methodology for budgeting LVNs, LVNs positions are not reduced despite the MAT patient population being less than 17,717. According to the department, this is because LVNs have to distribute both MAT‑related medications for ISUDTP and other medications not part of ISUDTP. This suggests that LVN positions budgeted through ISUDTP have workload outside of ISUDTP. This is problematic because LVN workload outside of ISUDTP is already funded elsewhere in the health care budget—resulting in the department receiving more funds than necessary to complete the workload.

Unclear Justification for Adjustment Proposed for Pharmacy Positions. The Governor proposes to adjust the number of Pharmacists and Pharmacy Technicians based on calculations incorporating the MAT patient population and various other factors, such as the Omnicell Count. However, the department has not provided sufficient information on how these factors are used to calculate the number of positions needed. For example, it is unclear why, despite a decrease in the number of MAT patients and MAT medications, there would be an increase in the need for Pharmacists. Accordingly, it is unclear whether the number of Pharmacists and Pharmacy Technicians proposed is justified.

Request for LCSWs and Naloxone Inconsistent With Recent Data on Admissions and Releases. As discussed above, the need for LCSWs and naloxone is based on a projection that there will be 3,000 monthly admissions and releases in both the current and budget year. This is roughly consistent with the number of admissions and releases that have occurred historically. However, this assumption is inconsistent with more recent data. For example, data from the department indicates that in 2022, an average of 2,400 people were admitted and 2,700 people were released from prison each month. This is 600 fewer admissions (or 20 percent) and 300 fewer releases (or 10 percent) than assumed in the Governor’s proposal. This suggests that the department is requesting more resources than it needs in the current and budget year for LCSWs and naloxone.

Budgeting Toxicology Testing Based on Current Frequency Could Be Flawed in the Future. Given that data on the number of toxicology tests used per MAT patient suggests the department needs to be budgeted for 14 rather than 10 tests annually, we do not have concerns with increasing funding for such tests in the current and budget year. However, we find that it could be problematic in the future. Although the current rate of toxicology testing for those on MAT is higher than anticipated, it is possible that, as patients spend more time in the MAT program, the need for toxicology testing could decrease as the department indicates patients in the initial stages of treatment need more testing. Accordingly, the assumption that the average MAT patient needs 14 toxicology tests annually could be flawed in future years.

Withhold Action . Given that the department indicates it will update the proposed funding for ISUDTP at the May Revision, we recommend that the Legislature withhold action until that time. We will advise the Legislature on the revised proposal when it is available.

Direct Department to Make Specific Changes to Methodology Used for Revised and Future Proposals. Based on our analysis, we recommend that the Legislature direct the department to make specific changes to the budgeting methodology for LCSWs, naloxone, and LVNs both for the revised spring proposal and future proposals. Specifically, we recommend the department (1) base requests for LCSWs and naloxone on either updated projections of or recent data on the number of admissions and releases each year rather than a historical rate and (2) develop a methodology—that does not include other workload that is not ISUDTP related—to base the number of LVNs requested for ISUDTP. To the extent the recommended changes result in insufficient LVNs for other workload, the department could present a separate proposal justifying the need for such LVNs. These changes would better tie the level of resources requested to the department’s actual workload.

Direct the Department to Provide Sufficient Justification for Pharmacy‑Related Positions. We recommend that the Legislature direct the department to provide sufficient information explaining and justifying its budgeting methodology for Pharmacists, and Pharmacy Technicians at budget hearings. This information would help the Legislature to review the revised spring proposal when it becomes available and to determine whether the budgeting methodology for these positions needs to be revised.

Annually Adjust Resources for Toxicology Testing Based on Actual Usage and MAT Projections. We recommend that the Legislature direct the department to adjust the level of funding to administer toxicology tests in future years based on the projected MAT patient population and the average testing rate in the most recently completed prior year. For example, for the 2024‑25 fiscal year, this means basing funding for toxicology testing on the 2024‑25 projected MAT population and the average number of tests per MAT patient administered in 2022‑23.

Federal Law Lays Out Workplace Standards for Safety and Health . The federal Occupational Safety and Health Act of 1970 provides that employers—including state departments—have a general duty to provide their employees with a place of employment that is free from recognized hazards that are likely to cause death or serious harm. Under the act, the federal Occupational Safety and Health Administration is responsible for setting specific standards related to workplace safety and health and has authority to inspect workplaces and enforce these standards. Federal law provides that states may, with federal approval and oversight, optionally assume responsibility for enforcement of federal occupational safety and health standards. In California, the Division of Occupational Safety and Health (Cal/OSHA) within the Department of Industrial Relations administers the state’s responsibilities for occupational safety and health. Under state law, the Occupational Safety and Health Standards Board is authorized to develop additional occupational safety and health standards for California employers that may clarify or exceed federal standards. Cal/OSHA’s role includes enforcing both federal and state occupational safety and health standards, which it does by inspecting workplaces and issuing fines when violations are found. For example, CDCR indicates that in the past five years it has accumulated about $1 million in workplace violations and citations from Cal/OSHA, with most fines related to the prevention of aerosol transmitted diseases (diseases transmitted through the air).

Employee Health Program (EHP) Established to Mitigate COVID‑19 Transmission. In October 2022, CDCR started EHP to mitigate COVID‑19 transmission among CDCR staff by providing education, conducting contact tracing, administering vaccines, and reporting positive tests to staff. The federal Receiver—appointed by the Plata v. Newsom court to take control over the direct management and operation of the state’s medical care—oversees EHP, which is primarily operated by medical staff. The 2022‑23 Budget Act provided $22.8 million from the California Emergency Relief Fund and 157 positions on a one‑time basis for the program to operate at each prison. This funding was provided as part of a larger $240.1 million one‑time CDCR proposal for COVID‑19 direct response costs approved by the Legislature.

Provide Ongoing Funding for EHP and Expand Focus to Other Diseases. The Governor’s budget proposes $22.7 million General Fund and 148 positions in 2023‑24 (decreasing to $22.3 million annually in 2024‑25) to maintain EHP at every prison on an ongoing basis. Under the proposal, EHP would begin to focus on mitigating diseases in addition to COVID‑19, such as tuberculosis, Hepatitis B, and influenza. The administration proposes redirecting to EHP $2.8 million in existing General Fund support that CDCR currently uses for contracts to provide tuberculosis testing as well as Hepatitis B and influenza vaccinations. The redirected funds would continue to be used for the same purpose, but would now be funded through EHP—and overseen by medical staff—instead of CDCR’s operations budget. According to CDCR, expanding the focus of EHP to include other diseases would help the department reduce the spread of these disease to staff, as well as workplace citations and fines associated with noncompliance with workplace safety regulations.

Given the Governor’s proposal to expand the focus of EHP, the proposed resources are not included in the department’s request for $141.8 million one‑time General Fund for COVID‑19 direct response in 2023‑24.

Requested Resources Appear Reasonable While COVID‑19 Remains a Concern. Minimizing the transmission of COVID‑19 is particularly important in prisons because it can spread easily between people held in prison and staff. While the department has not provided specific data on how effective EHP has been in minimizing the spread of the virus among staff, it is reasonable to think that the program can help achieve this goal through contact tracing, tracking employee vaccination requirements, and supporting testing efforts. EHP would not only help protect staff and people held in prison, the program could also generate other benefits for the state. For example, EHP could reduce medical costs, the overtime costs associated with other employees filling in for sick employees, and lockdowns due to COVID‑19 in prisons.

Unclear Whether Additional Resources for Other Diseases Needed . While it could make sense for the department to dedicate resources to minimize the transmission of diseases other than COVID‑19 among prison staff, the appropriateness of the level of proposed resources and the benefits to be achieved are unclear. For example, the department has not provided information on how prevalent these other diseases are within state prison staff, as well as what needs are not being met with the existing $2.8 million for tuberculosis testing and Hepatitis B and influenza vaccinations. In addition, under the Governor’s proposal, it is unclear how much of the proposed $22.7 million in the budget year would be dedicated to diseases other than COVID‑19.

Unclear Whether Proposed Level of Resources Needed in the Future. It is also unclear whether the ongoing level of resources proposed is justified. This is because it is unclear how much COVID‑19‑related workload will persist beyond the budget year and how much workload related to diseases other than COVID‑19 exists. Moreover, as noted above, the department has not been able to provide information on the actual benefits of the program for the Legislature to determine what level of resources should be provided (if any) in the future.

Approve Additional Resources on a One‑Time Basis. Given the ongoing presence of COVID‑19 in the state’s prisons, we find it is reasonable to maintain EHP during the budget year. However, because data is not available on how effective this program is and it is unclear whether these resources are needed in the future, we recommend the Legislature approve the $22.7 million proposal on a one‑time basis (rather than on an ongoing basis as proposed by the Governor). We note that approving these resources on a one‑time basis appears to be sufficient for the department to continue its COVID‑19 mitigation efforts and start its efforts of mitigating the transmission of other diseases among CDCR employees.

Direct CDCR to Report on the Program. In order to assess the ongoing need for the program, we recommend that the Legislature direct CDCR to report by January 10, 2023 on (1) the amount of EHP workload associated with COVID‑19; (2) the amount of EHP workload associated with diseases other than COVID‑19; and (3) estimates of the benefits generated by EHP, such as avoided infections, overtime reductions, citation reductions, and any other outcomes that capture the benefits of the program. This information would allow the Legislature to be better positioned to weigh the merits and cost‑effectiveness of EHP when considering whether to approve ongoing resources—as well as the level of resources to provide—for the program as part of its deliberations on the 2024‑25 budget when funding would expire for EHP under our recommendation.

S B   990 Expands Ability of People on Parole to Travel and Transfer to Different Counties. Under existing law, people exiting prison are generally released into the county of their last legal residence. However, they can request CDCR to transfer their release to a different county. Once on parole, they are not allowed to travel outside of the county they are placed in without obtaining special permission from the department. Similarly, people on parole wanting to transfer their residency to a different county must receive prior approval from CDCR. For both travel and transfer requests, the department must complete an investigation to ensure the requests meet specific criteria, such as being in the interest of the requestor (like when the requestor has an educational or employment opportunity) and not representing a threat to public safety. However, the department has discretion on approving or denying the request and is not required to provide a written response on the results of the final decision. CDCR indicates that it completes these investigations about 5,000 times a year, which is equal to about 11 percent of the total parole population.

Chapter 826 of 2022 (S B 990 , Hueso) will change the above processes. Specifically, starting January 1, 2024, CDCR will be required to approve all the requests of people on parole to travel outside their counties of residence to locations where they have education, employment, or treatment opportunities if the travel does not represent a threat to public safety. Under the legislation, the department must also approve all requests to transfer residency to other counties in cases where requestors have (1) postsecondary educational, vocational training, housing, treatment, or employment opportunities or (2) their families located in the other counties, unless the transfers would represent a threat to public safety. The department is also required to provide a written response to transfer and travel requests within 14 calendar days.

S B   1139 Expands Notifications When Prison Hospitalizations Occur. Under current CDCR practice, when a person in prison is hospitalized, the department limits the number of people who are informed. Specifically, the department only notifies the single person listed on the patient’s next of kin form. The person can receive additional information (such as the current condition of the patient) only if the patient has (1) listed the person on a release of medical information form or (2) granted the person medical power of attorney (meaning the person is responsible for making medical decisions in the event the patient is unable to do so) through a medical power of attorney form. The department is not required to notify other people who might be listed on the release of medical information or medical power of attorney forms of the hospitalization. Under current practice, the forms for next of kin, medical release of information, and medical power of attorney are updated only in certain cases, such as when a patient requests an update or receives healthcare services.

Chapter 837 of 2022 (S B 1139 , Kamlager) removes the limit on the number of people that can be notified when a patient is hospitalized. Specifically, the legislation requires the department, after the patient is hospitalized, to notify all people listed on the patient’s release of medical information form in addition to the person listed on the next of kin form. The legislation also directs CDCR to offer every person in prison an opportunity to update their next of kin, release of medical information, and medical power of attorney forms at least once a year. Senate Bill 1139 specifies that the above changes only take effect when funds are appropriated to support their implementation.

Governor’s Proposals

Additional Resources for S B   990 Workload. The Governor’s budget for 2023‑24 proposes $2.3 million ongoing General Fund and 10.4 positions for CDCR to process the anticipated workload increase associated with S B 990 . Specifically, CDCR anticipates that the number of people submitting transfer and travel requests will increase from about 11 percent of the total parole population to 25 percent of the total parole population annually when the legislation becomes operational. Although the provisions of S B 990 are not operative until January 1, 2024, CDCR is requesting resources for the full budget year (rather than for only the first six months—from January 1, 2024 through June 30, 2024) to train new staff, develop and implement policies and procedures, and prepare for the increased workload starting in 2024.

Additional Resources for S B   1139 Workload. The Governor’s budget for 2023‑24 proposes $1.1 million ongoing General Fund and 11.5 positions for CDCR to process the anticipated workload increase associated with S B 1139 . The level of resources requested is based on (1) an assumption that the number of people that the department will be required to notify per person hospitalized will increase from one to an average of four people, (2) the total number of hospitalizations that happened at each prison between October 2021 and September 2022, and (3) the number of requests a staff member can currently process a month. The requested funding would be directed on an ongoing basis to the 12 institutions projected to have highest increases in workload. CDCR expects that the number of people needing to be notified each year will remain constant in the future.

Updated Population Projections Could Identify Different Resources Need. We find the department’s assumption that S B 990 will increase travel and transfer requests from about 11 percent to 25 percent of the total parole population to be reasonable. However, the proposed level of resources for 2023‑24 is based on projections of the size of the parole population completed in fall 2022. These projections, along with all of the department’s population projections, will be updated this spring. Accordingly, the proposed level of resources to implement S B 990 in the budget year might need to be updated at that time based on the spring projections.

Similarly, we find it reasonable to assume that S B 1139 will cause the number of notifications per hospitalization to increase from one to four in the budget year. However, unlike S B 990 , the methodology used by the department to estimate the number of total hospitalizations—and thus the level of resources needed—is not based on projections of the number of hospitalizations that will occur in the budget year. Rather, the department assumes that the same number of hospitalizations that occurred between September 2021 to October 2022 will occur from July 1, 2023 to June 30, 2024. As noted above, the department is expected to provide updated population projections this spring, including for the medical patient population (people in prison who are at risk of requiring medical attention). The resources provided to the department for S B 1139 should be calculated based on these projections and the most recent hospitalization rate of medical patients.

Proposed Resources in Out ‑Years Not Tied to Changes in Population. The department’s workload for both S B 990 and S B 1139 after the budget year will depend on annual changes to the size of correctional populations they impact. Specifically, the workload for S B 990 will vary with changes in the size of the parole population, while the workload for S B 1139 will vary with changes in the size of the medical patient population. However, under the Governor’s proposal, the level of requested funding for S B 990 and S B 1139 workload would not change in the out‑years based on changes in these populations. Instead, funding for this workload would remain the same on an ongoing basis. This means that even if both the parole and medical patient population were to decrease in the future—as currently projected—and in turn reduce the workload for S B 990 and S B 1139 , the funding for the workload would remain at the base level proposed by the Governor—leaving the department with excess resources. Alternatively, an increase in the parole and medical patient populations at some point in the future would leave the department with insufficient resources to meet the increased workload for S B 990 and S B 1139 .

Tie Budget‑Year Funding for S B   990 and S B   1139 to Updated Population Projections. In view of the above, we recommend that the Legislature adjust the budget‑year funding for S B 990 to be consistent with the projections of the parole population updated in the spring. Specifically, we recommend that the Legislature provide a level of resources sufficient for the department to process travel and transfer requests for 25 percent of the parole population.

Similarly, we recommend that the Legislature adjust the budget‑year funding for S B 1139 to be consistent with the projections of the medical patient population updated in the spring. Specifically, we recommend that the Legislature provide a level of resources sufficient for the department to notify four people for each hospitalization projected to occur in the budget year, with the number of hospitalizations calculated based on the projections of the medical patient population.

Annually Adjust Resources for S B   990 and S B   1139 in Out‑Years. We recommend that the Legislature direct the department to adjust the level of funding to support the workload associated with the implementation of S B 990 and S B 1139 annually based on the changes in the correctional populations they impact. Specifically, we recommend the Legislature direct CDCR to annually base future funding requests for:

• S B 990 workload on (1) the parole population projections and (2) the percent of the parole population making transfer and travel requests in the prior year.
• S B 1139 workload on (1) the projections of the population of medical patients and (2) the number of notifications per patient required in the prior year.

These adjustments can be incorporated into the department’s annual population budget adjustment process.

Juvenile Courts Decide Where to Place Youths. Youths accused of a crime that occurred before they turn 18 years of age start in juvenile courts. If the court determines the youth committed the crime, it then determines where to place the youth based on statute, input from the defense, county probation, and prosecutors, as well as factors such as the youth’s offense and criminal history. Depending on the circumstances of the case, the juvenile court currently can take several possible actions including placing the youth under county supervision or in DJJ. In 2022, a total of 2,706 youths were either held in a DJJ or county facility, which is about 5,600 fewer youths than the 8,320 youths held in 2012. In addition, the court may choose to transfer certain youth cases to adult court if a transfer request is filed with the court by a prosecutor in cases where youths have committed very serious crimes.

Responsibility and Funding for Certain Youth Has Shifted From the State to Counties. Various pieces of legislation have significantly reduced the number of youths eligible for placement in DJJ. In particular, two keys pieces of legislation shifted, or “realigned,” responsibilities for certain youth from the state to the counties by limiting which youths could be sent to DJJ. Specifically:

• Chapter 175 of 2007 (S B 81 , Committee on Budget and Fiscal Review) restricted the type of youths that juvenile courts could place in DJJ to only those who committed certain significant crimes listed in statute. The state currently provides over $200 million annually to counties for costs associated with supervising youths that might otherwise have been placed in DJJ.
• Chapter 337 of 2020 (S B 823 , Committee on Budget and Fiscal Review) realigned responsibility for most remaining youths from the state to the counties. Since July 1, 2021, youths can only be placed in DJJ if they (1) committed certain significant crimes listed in statute (such as murder, robbery, and certain sex offenses) and (2) had a transfer request to adult court filed in their cases by a prosecutor. (As we discuss below, DJJ is scheduled to close at the end of the current fiscal year.) To assist counties with their increased responsibility, the state provides funding to counties—in addition to the funding provided from S B 81 —which is estimated to be $122 million in 2022‑23 and reaching over $200 million annually by 2024‑25.

Most Youths Placed With Counties. Youths placed under county supervision are typically allowed to remain with their families with some level of supervision from county probation officers. However, some youths—typically those who have committed more serious crimes—are housed in county juvenile facilities, such as juvenile halls or camps. In 2022, there were roughly 2,146 youths housed in county juvenile facilities. While counties have typically served a greater portion of youths than the state, realignment resulted in a further increase in the county share of responsibility.

Small Number of Youths Placed in DJJ Until June 30, 2023. Consistent with the realignment discussed above, existing state law specifies that DJJ shall close on June 30, 2023 and that no placements to DJJ may occur after that date. As of January 2023, there were about 390 youths housed in DJJ’s four facilities, which include N.A. Chaderjian Youth Correctional Facility, O.H. Close Youth Correctional Facility, Ventura Youth Correctional Facility, and Pine Grove Youth Conservation Camp. Counties are currently responsible for paying the state an annual rate $125,000 or about $340 per day for the time the youths are housed in a DJJ facility.

DJJ Facilities to Close by July 2023. DJJ’s facilities will close by July 1, 2023. However, as we discuss below, Pine Grove Youth Conservation Camp will become a camp operated by CDCR to train justice‑involved youth in wildland firefighting skills. Youths still housed in DJJ at that time—including those housed at Pine Grove—will be transferred to county jurisdiction. As part of the process of transitioning youths to county responsibility, CDCR staff are currently completing individualized transition plans for each youth that notifies the county of the youth’s needs, participation in programs, and security concerns.

Following the closure of DJJ, CDCR (rather than DJJ) will operate Pine Grove to train justice‑involved youth in wildland firefighting skills through a state‑local partnership. Specifically, CDCR is authorized to enter into contracts with counties to accept into Pine Grove youths who are under the jurisdiction of the juvenile court for a serious crime and are at least 18 years old, as well as other eligibility criteria established by the department. Similar to other placements, juvenile courts, with input from defense as well as county probation and prosecutors will be responsible for deciding whether to place youths that meet the eligibility criteria at Pine Grove.

The Governor’s budget for 2023‑24 proposes various adjustments related to the closure of DJJ. In total, the Governor’s proposal reduces DJJ’s budget from $258 million (largely from the General Fund) in 2022‑23 to about $3 million in 2023‑24. The Governor’s budget also proposes a net increase of $22.8 million annually to CDCR (outside of DJJ’s budget) for ongoing workload related to the closure and the continued operation of Pine Grove. Below, we provide more detail on these proposals.

Eliminates Most Resources From DJJ’s Budget. Although DJJ will be closed to youth in 2023‑24, the Governor’s proposal would not completely eliminate DJJ’s budget. As discussed below, the administration is proposing to maintain some DJJ staff in 2023‑24 for temporary workload associated with DJJ closure and transitioning youth. According to the administration, it might need to make further technical adjustments to eliminate additional funding from the DJJ budget as part of the May Revision.

Maintains Limited‑Term DJJ Resources for Temporary Workload Associated With Closure and Transitioning Youth. The Governor proposes to maintain about 124 positions for temporary workload associated with closure activities and activities to transition youth to the counties. At the time of this analysis, we were still waiting for information from the department on the costs of these positions. These include:

• Staff to Complete Closure. The Governor’s proposal includes funding to keep 111 positions between one and six months to complete the DJJ closure. These positions consist of various staff to document inventory, deactivate facilities, and move equipment and records out of DJJ facilities, as well as supervisors for this temporary staff.
• Staff to Help Transition Youth to Counties. The Governor’s proposal also includes funding to keep 13 positions between 6 and 12 months to help transition youth. The positions consist of two Parole Agents that would provide counties with subject matter expertise on gangs, one Teacher and Superintendent to provide counties with support related to DJJ education, and eight Psychologists and one Chief Psychologist to create a mental health transition team that will support counties.

Eliminates Some Related Funding From CDCR’s Non‑DJJ Budget. The Governor’s budget also eliminates $3.9 million and 24 positions from CDCR that are not part of DJJ’s budget, but currently support DJJ workload. For example, the proposal would eliminate accounting positions from CDCR’s Fiscal Services unit that are dedicated to DJJ workload.

Augments CDCR’s Non‑DJJ Budget for Ongoing Workload Associated With Closure. The Governor proposes to augment CDCR’s budget outside of DJJ on an ongoing basis with $19.8 million and 27 positions for workload associated with DJJ’s closure. This includes staff and resources for:

• Workers’ Compensation Claims ($15.3   Million). The workers’ compensation system provides benefits to employees for work‑related injuries or illnesses. These benefits may include medical treatment, payments for lost wages, and payments that compensate the injured employee for having a permanent impairment or limitation. The obligation to pay these costs for former DJJ employees will remain after the closure. Accordingly, the Governor’s proposal includes two permanent positions for processing such claims and $15 million to pay for the claims.
• Warm Shutdown of Facilities ($3.4   Million). When CDCR facilities are deactivated, their basic infrastructure is often maintained to ensure it does not deteriorate while the facility is unused—a practice referred to as warm shutdown. The Governor’s proposal provides 15 positions for CDCR to place all DJJ facilities—with the exception of Pine Grove—on warm shutdown. These positions will be funded on an ongoing basis to conduct pest control, safety maintenance, and other preventive care.
• Administrative Workload ($900,000). The Governor’s proposal provides six positions for administrative workload, such as ongoing recordkeeping and maintenance of transcripts as well as processing of transcript requests. CDCR expects that this workload will continue permanently.
• Automotive Maintenance for California Health Care Facility ($200,000). Because the California Health Care Facility (CHCF) does not have an in‑house automotive repair shop, the adult prison staff must take the CHCF vehicle fleet off‑site for repair. The Governor’s proposal requests resources to use the existing DJJ automotive facilities, which are located in close proximity to CHCF, to service the CHCF vehicle fleet. Included in the request are two automotive mechanic positions that would service the CHCF fleet.

Provides CDCR Resources for Operation of Pine Grove. The Governor proposes $6.9 million and 27.6 positions ongoing for CDCR to maintain operations of Pine Grove. The administration has indicated that CDCR entered into contracts with five counties that would send youth to Pine Grove, and expects to add 19 additional counties. Under the proposed contracts, the state would pay most of the costs associated with Pine Grove operations. However, counties would be responsible for paying a rate of $81 per day that a youth is in training and $10 per day otherwise—or a maximum of about $4,600 per year. This means counties would cover—at most—around $460,000 of the costs of the camp (or about 7 percent), given it can hold a maximum of 100 youth. As discussed above, youths must meet certain criteria set in statute and established by CDCR to be eligible for placement. These include that youth must be under the jurisdiction of a juvenile court, at least 18 years of age, have a high school diploma or equivalent, and must not have a sex or arson offense.

Some Temporary Staff to Complete Closure Could Be Unnecessary. As previously mentioned, the Governor’s budget proposal includes funding to keep 111 positions on a temporary basis in the budget year to complete the DJJ closure. We note, however, that it is possible that the workload associated with some of these positions could be completed in the current year ahead of the closure. Some of the requested 111 temporary positions and associated workload that could be completed prior to closure includes: two Chaplain positions for one month to archive records and inventory property, two Pharmacists and two Pharmacy Technicians for one month to inventory medications, two Lieutenants for two months to process contraband and take inventory of various correctional officer equipment, and ten Case Records Technicians for at least two months to help transition DJJ files to the counties. Given that the administration’s request is based on estimates for the amount of temporary workload to remain post‑closure as of last fall, revised estimates this spring on the amount of workload remaining could show that some or all of the above positions are not necessary on a workload basis.

Temporary Staff to Help Transition Youth Unnecessary. Given that each youth transitioning to county jurisdictions from DJJ will have an individualized transition plan that notifies the county of the youth’s needs, participation in programs, and security concerns, we find the 13 temporary staff to help transition youth post‑closure seem unnecessary. Although DJJ staff indicate that these positions could help address concerns from counties, they also indicated that counties have not requested this specific support.

Proposed CDCR Resources for Workload Associated With Closure Appear Justified for 2023‑24, but Some Positions Likely Unnecessary on Ongoing Basis. We find that the permanent positions and associated funding proposed for CDCR for workload associated with the closure appear needed in the budget year. However, some of the proposed resources are likely to be unnecessary in the future as some of the workload will decline. For example, as DJJ workers’ compensation claims close in the future and no new workers’ compensation claims are filed because of the closure, the workload necessary to process the remaining open claims will decline. Similarly, the administrative workload related to maintaining and processing DJJ files will likely decline over the years. For example, as former DJJ youth age, there are likely to be a declining number of transcript requests. Accordingly, the resources could be unnecessary in the future.

Funding for Automotive Maintenance for Nearby CHCF Not Justified. As previously mentioned, the administration indicates that it will be more efficient for CHCF to service its vehicle fleet by using the existing DJJ positions and automotive facilities rather than taking the fleet to be serviced off‑site as is currently done. However, while the Governor’s budget proposes $200,000 to support the DJJ automotive facilities, the budget does not eliminate the funding that is currently being used to pay the costs of taking the fleet to be serviced off‑ site—resulting in an increase in total costs rather than savings. As a result, we find the funding requested for the two positions unnecessary, as it appears that CDCR could redirect the existing resources it is using to service the CHCF fleet off‑site to support the cost of servicing it at the DJJ automotive facilities.

Permanent CDCR Staff for Pine Grove Operations Appears Reasonable. The requested resources to staff Pine Grove appear justified since the proposed staffing package is similar to the existing staffing package used by DJJ. For example, in recent years Pine Grove’s existing annual budget was between $6 million and $7 million. While it is unclear how many counties will send youths and how many youths will be at the camp, the number of youths in the camp will not significantly impact the resources needed to operate Pine Grove. This is because most of the expenses of the staff and other overhead will occur regardless of how many youths are in the camp at any given time.

Proposed Pine Grove Contracts Inconsistent With Realignment. As previously mentioned, under the current contracts and the Governor’s proposal, the state would be responsible for at least 93 percent of the cost of the camp, with counties paying fees supporting only 7 percent of the costs. We find that this is inconsistent with underlying goal of realignment to make juvenile justice solely a county responsibility. Moreover, the contracts would result in the state effectively double paying counties that choose to send realigned youth to Pine Grove. This is because the state already provides funding to counties for these youth through the grant programs created by S B 81  and S B 823 .

Approve Reductions Associated With Closure . We have no concerns with the proposed reductions to the DJJ budget. Accordingly, we recommend the Legislature approve the reductions. If the administration proposes further reductions in the spring—as it has indicated could be necessary—we will advise the Legislature on such proposals at that time.

Withhold Action and Direct Department to Report on Need for Temporary Staff to Complete Closure. As discussed above, it is possible that some of the workload for the temporary staff requested for the closure will be completed before 2023‑24. The department will have better information in the spring as to the amount of workload remaining and the corresponding number of temporary staff it will need. Accordingly, we recommend the Legislature withhold action on this part of the proposal and direct CDCR to provide in spring budget hearings updated estimates of the workload remaining to complete the closure.

Reject Temporary Positions to Help Transition Youth. We recommend the Legislature reject the proposed temporary positions to help counties transition youth. We find these staff to be unnecessary because each youth will have a county transition plan to inform counties of their specific needs. Moreover, the department indicates that counties have not directly requested this type of support.

Modify Resources for Ongoing Workload Associated With Closure. We recommend the Legislature modify the proposed ongoing resources for CDCR associated with closure of DJJ. Specifically, we recommend:

• Approving the $15.3 million and two positions to process workers’ compensation claims and $900,000 and six positions for administrative workload on a two‑year, limited‑term basis as the need for these resources is likely to decline in the future. We note the department can request to retain these resources in the future if the need for them persists.
• Approving the two automotive maintenance positions to provide repair and maintenance services to the CHCF vehicle fleet, but rejecting the requested $200,000 as CHCF should have sufficient resources for these positions within its existing budget from the funding freed up from servicing the CHCF fleet at DJJ facilities.
• Approving the proposed $3.4 million and 15 positions requested for warm shutdown.

Require Department to Charge Counties a Fee That Minimizes State Costs for Pine Grove. We recommend the Legislature require CDCR to charge counties a fee that covers a larger share of the costs of operating Pine Grove. For example, an annual fee of about $70,000, or about $192 per day, would roughly cover all of the costs of Pine Grove assuming the camp operates at full capacity. This would ensure counties remain fiscally responsible for most of the costs of youth in the juvenile justice system, as well as minimize the extent to which the state would effectively be paying counties twice for realigned youth.

Monitor Continued Need for Pine Grove . We recommend the Legislature monitor the continued need for operating Pine Grove. For example, if it becomes unviable to operate Pine Grove because few counties place youths in the camp, then the Legislature could reconsider the cost‑effectiveness of maintaining Pine Grove. However, to the extent it remains a legislative priority, the Legislature could consider taking steps to encourage counties to place youth there, such as reducing the county share of costs in the future if cost is the primary factor preventing counties from placing youths in the camp.