what is subject of study in research proposal

Organizing Your Social Sciences Research Assignments

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

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

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

How to Approach Writing a Research Proposal

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

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

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

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

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

Common Mistakes to Avoid

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

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

Structure and Writing Style

Beginning the Proposal Process

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

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

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

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

Most proposals should include the following sections:

I.  Introduction

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

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

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

II.  Background and Significance

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

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

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

III.  Literature Review

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

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

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

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

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

IV.  Research Design and Methods

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

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

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

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

V.  Preliminary Suppositions and Implications

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

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

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

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

VI.  Conclusion

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

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

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

VII.  Citations

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

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

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

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

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

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

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

Table of Contents

How To Write a Research Proposal

Writing a Research proposal involves several steps to ensure a well-structured and comprehensive document. Here is an explanation of each step:

1. Title and Abstract

• Choose a concise and descriptive title that reflects the essence of your research.
• Write an abstract summarizing your research question, objectives, methodology, and expected outcomes. It should provide a brief overview of your proposal.

2. Introduction:

• Provide an introduction to your research topic, highlighting its significance and relevance.
• Clearly state the research problem or question you aim to address.
• Discuss the background and context of the study, including previous research in the field.

3. Research Objectives

• Outline the specific objectives or aims of your research. These objectives should be clear, achievable, and aligned with the research problem.

4. Literature Review:

• Conduct a comprehensive review of relevant literature and studies related to your research topic.
• Summarize key findings, identify gaps, and highlight how your research will contribute to the existing knowledge.

5. Methodology:

• Describe the research design and methodology you plan to employ to address your research objectives.
• Explain the data collection methods, instruments, and analysis techniques you will use.
• Justify why the chosen methods are appropriate and suitable for your research.

6. Timeline:

• Create a timeline or schedule that outlines the major milestones and activities of your research project.
• Break down the research process into smaller tasks and estimate the time required for each task.

7. Resources:

• Identify the resources needed for your research, such as access to specific databases, equipment, or funding.
• Explain how you will acquire or utilize these resources to carry out your research effectively.

8. Ethical Considerations:

• Discuss any ethical issues that may arise during your research and explain how you plan to address them.
• If your research involves human subjects, explain how you will ensure their informed consent and privacy.

9. Expected Outcomes and Significance:

• Clearly state the expected outcomes or results of your research.
• Highlight the potential impact and significance of your research in advancing knowledge or addressing practical issues.

10. References:

• Provide a list of all the references cited in your proposal, following a consistent citation style (e.g., APA, MLA).

11. Appendices:

• Include any additional supporting materials, such as survey questionnaires, interview guides, or data analysis plans.

Research Proposal Format

The format of a research proposal may vary depending on the specific requirements of the institution or funding agency. However, the following is a commonly used format for a research proposal:

1. Title Page:

• Include the title of your research proposal, your name, your affiliation or institution, and the date.

2. Abstract:

• Provide a brief summary of your research proposal, highlighting the research problem, objectives, methodology, and expected outcomes.

3. Introduction:

• Introduce the research topic and provide background information.
• State the research problem or question you aim to address.
• Explain the significance and relevance of the research.
• Review relevant literature and studies related to your research topic.
• Summarize key findings and identify gaps in the existing knowledge.
• Explain how your research will contribute to filling those gaps.

5. Research Objectives:

• Clearly state the specific objectives or aims of your research.
• Ensure that the objectives are clear, focused, and aligned with the research problem.

6. Methodology:

• Describe the research design and methodology you plan to use.
• Explain the data collection methods, instruments, and analysis techniques.
• Justify why the chosen methods are appropriate for your research.

7. Timeline:

8. Resources:

• Explain how you will acquire or utilize these resources effectively.

9. Ethical Considerations:

• If applicable, explain how you will ensure informed consent and protect the privacy of research participants.

10. Expected Outcomes and Significance:

11. References:

12. Appendices:

Research Proposal Template

Here’s a template for a research proposal:

1. Introduction:

2. Literature Review:

3. Research Objectives:

4. Methodology:

5. Timeline:

6. Resources:

7. Ethical Considerations:

8. Expected Outcomes and Significance:

9. References:

10. Appendices:

Research Proposal Sample

Title: The Impact of Online Education on Student Learning Outcomes: A Comparative Study

1. Introduction

Online education has gained significant prominence in recent years, especially due to the COVID-19 pandemic. This research proposal aims to investigate the impact of online education on student learning outcomes by comparing them with traditional face-to-face instruction. The study will explore various aspects of online education, such as instructional methods, student engagement, and academic performance, to provide insights into the effectiveness of online learning.

2. Objectives

The main objectives of this research are as follows:

• To compare student learning outcomes between online and traditional face-to-face education.
• To examine the factors influencing student engagement in online learning environments.
• To assess the effectiveness of different instructional methods employed in online education.
• To identify challenges and opportunities associated with online education and suggest recommendations for improvement.

3. Methodology

3.1 Study Design

This research will utilize a mixed-methods approach to gather both quantitative and qualitative data. The study will include the following components:

3.2 Participants

The research will involve undergraduate students from two universities, one offering online education and the other providing face-to-face instruction. A total of 500 students (250 from each university) will be selected randomly to participate in the study.

3.3 Data Collection

The research will employ the following data collection methods:

• Quantitative: Pre- and post-assessments will be conducted to measure students’ learning outcomes. Data on student demographics and academic performance will also be collected from university records.
• Qualitative: Focus group discussions and individual interviews will be conducted with students to gather their perceptions and experiences regarding online education.

3.4 Data Analysis

Quantitative data will be analyzed using statistical software, employing descriptive statistics, t-tests, and regression analysis. Qualitative data will be transcribed, coded, and analyzed thematically to identify recurring patterns and themes.

4. Ethical Considerations

The study will adhere to ethical guidelines, ensuring the privacy and confidentiality of participants. Informed consent will be obtained, and participants will have the right to withdraw from the study at any time.

5. Significance and Expected Outcomes

This research will contribute to the existing literature by providing empirical evidence on the impact of online education on student learning outcomes. The findings will help educational institutions and policymakers make informed decisions about incorporating online learning methods and improving the quality of online education. Moreover, the study will identify potential challenges and opportunities related to online education and offer recommendations for enhancing student engagement and overall learning outcomes.

6. Timeline

The proposed research will be conducted over a period of 12 months, including data collection, analysis, and report writing.

The estimated budget for this research includes expenses related to data collection, software licenses, participant compensation, and research assistance. A detailed budget breakdown will be provided in the final research plan.

8. Conclusion

This research proposal aims to investigate the impact of online education on student learning outcomes through a comparative study with traditional face-to-face instruction. By exploring various dimensions of online education, this research will provide valuable insights into the effectiveness and challenges associated with online learning. The findings will contribute to the ongoing discourse on educational practices and help shape future strategies for maximizing student learning outcomes in online education settings.

About the author

Muhammad Hassan

Researcher, Academic Writer, Web developer

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• Academic Skills
• Reading, writing and referencing
• Referencing and research

Research proposals

How to write an effective proposal.

What's it for?

A research proposal explains the nature and extent of your planned or future research. It is written for an academic reader e.g. for your supervisor or an academic with a similar disciplinary background. By thinking through your entire research project from beginning to end, it may also highlight core issues with the feasibility of the project.

W hat's in it ?

There are some disciplinary differences regarding exactly what is included in the proposal. For example, disciplines such as Psychology may include a prominent hypothesis statement, others in the Social Sciences including Education, may expect a set of research questions that the study will answer. However, all research proposals should cover the four basic elements below.

• The research topic addresses a significant problem and, therefore, advances the state of knowledge in that field.
• Identification of an appropriate methodology and underlying theory to address the problem, including data collection methods and equipment (if required).
• Details of how the collected data will be analysed in such a way that useful conclusions can be drawn.
• An organised plan for any proposed work, including a timeframe.

Possible macro-structures

The structure of your research proposal will vary depending on the requirements of your discipline. Nevertheless, certain structural elements will be expected by your reader and these may be presented in the following order. Check with the Research Coordinator in your area for specific requirements.

Identifies the title of the project, your full name, the institution, department, and supervisor details. The title should be brief and descriptive and may use a colon (:) to separate the topic from the focus (i.e. Stormwater Harvesting: Managing the hazards of surface water pollution by run-off ).

Lists the sections of the Research Proposal (headings and indented sub-headings) and corresponding page numbers.

Outlines the essence of the research project. It describes the purpose and motivation for the study, the problem, the data collection methodology and analysis, significant results and implications of the research.

Provides background information for the research (i.e. the problem being addressed) and is typically structured from general information to narrow or focused ideas with your research question/s or hypotheses at the narrow end.

The Introduction should be about 10% of your proposal.

Imagine you are writing for a general reader rather than an expert audience. The Introduction includes a brief review of relevant literature or knowledge in the field, so that you are able to present a gap in existing knowledge and, therefore, the significance and originality of your research.

Finally, articulate the scope of your research (or what you will not be doing) to limit your task. Your research question/s should encapsulate the primary question/s you aim to solve.

Synthesises the literature in your field. Some disciplines will expect to see this in the Introduction but others will want it placed in this ‘stand-alone’ section (especially in more Humanities-based fields). Again, it could be structured from broad to narrow, so literature on the more general aspects of your topic could come first, narrowing down to published work on your particular area of interest. You might end this section by including a short summary of the main themes you have identified from the literature.

Includes a description and rationale for the methods of data collection and analysis, and the materials you will use in your research. Use subheadings if possible ( i.e. Data Collection, Data Analysis, Ethical Considerations etc.) and write with a future aspect, ( i.e. The research will initially examine water treatment processes in... )

Details any results that you may already have resulting from previous Honours or Masters’ research work, or perhaps from a pilot study. It is important to relate these results to the critical framework of your intended new research project.

Lists the stages of the research project in timeline, spreadsheet or tabular format, and the deadlines for completion of these stages or tasks. You should include any anticipated challenges to completion.

Outlines the proposed chapters of the thesis and the content of each chapter in several lines or a paragraph, including a Table of Contents.

Relates the expected outcomes of your research to the aims expressed in the Introduction so that the need for the study and the contribution to knowledge is clear.

Provides all the resources cited in your resource proposal using a referencing format favoured by your faculty or discipline. Do not list resources that are not directly referred to in your Proposal.

Writing the Research Proposal

How much should i write.

A research proposal is usually quite a bit longer than other written academic genres. In the Humanities, it could be around 10,000 words or even longer (excluding the Reference List); whereas those from more Science-oriented disciplines may be shorter.

What should I begin with?

Similar to other academic genres, writing the research proposal is a process. If you are proposing a ‘recycled’ topic that builds on previous assignments already written on the same topic, you might spend some time re-reading these. However, if you are starting a ‘fresh’ project you might consider two key questions:

• What am I really interested in finding out about my research topic?
• How am I going to do this in practice? Brainstorm responses to these questions under a strict time limit – say 30 minutes.

Then leave this ‘free-writing’ for at least 24 hours before reviewing it for a possible more polished second draft.

How should I approach the literature?

Reviewing the academic literature on your topic is one of the most critical stages of your research proposal. This section goes beyond a simple summary of everything written on a subject. Instead, it is a critical synthesis of materials that illuminates selected academic literature on your topic. Your coverage of the literature should reflect the argument or perspective that you have set out in your research question/s.

Try the following techniques for dealing with the literature:

• Develop a theme or series of themes from your broad reading, referencing the work of relevant authors who support your position or who provide counter-arguments against your point/s.
• Limit excessive quoting. Too many direct quotations will dilute your authority over the topic.
• Avoid beginning paragraphs with “Jones argues …”; “Smith states …” This approach risks losing a sense of your writer’s authority to the work of others. Instead, provide an overview of the paragraph in a topic sentence written in your own writer’s voice.

Adapted from Rudestam and Newton (2015) as cited in Paltridge and Starfield (2020). Thesis and dissertation writing in a second language: A handbook for students and their advisers. Routledge.

Tips for writing

• Avoid language that is overly hesitant or tentative (i.e. ‘It seems that…’, ‘It is hoped that …’). Instead, use confident language when you feel able to (i.e. ‘It is clear that…’, ‘I assert that …’).
• Break up large blocks of text into smaller sections using sub-headings and bullet-points.
• Anticipate possible problems with, or limitations of, your research. Address these issues directly for your own benefit as well as to improve the entire proposal.
• Make your proposal is easy for readers to skim read. Never assume your readers will read your work in a ‘logical’ order. Use sub-headings and restate key ideas to guide the reader through your writing.
• Find copies of other Research Proposals in your field and study the way they:
• devise titles.
• structure their proposal.
• use discipline-specific language.
• Take a note of anything else you notice. You might ask your potential supervisor/s for models of previously submitted proposals or search for relevant examples online (look for examples from reputable .edu or .org. web addresses)

Remember, your research proposal should demonstrate:

• the feasibility and logical foundations of your project
• a well-focussed research question, set of research objectives, or hypothesis
• the width and depth of the academic literature on your topic
• understanding of current issues or debates on your topic
• justification of your project through the literature
• a match between the methodology and / or methods and your research question/s

Adapted from Cadman (2002) as cited in Paltridge, B. and Starfield, S. (2020). Thesis and dissertation writing in a second language: A handbook for students and their advisers. Routledge.

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How to Write a Research Proposal

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

What is a research proposal?

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

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

What should you include in the proposal?

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

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

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

2. Abstract

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

3. Research Context

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

4. Research Questions

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

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

5. Research Methods

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

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

6. Significance of Research

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

7. Bibliography

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

How long should the proposal be?

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

Can the School comment on my draft proposal?

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

Read a sample proposal from a successful application  

Learn more about Birmingham's doctoral research programmes in Law:

Birmingham Law School is home to a broad range of internationally excellent and world-leading legal academics, with a thriving postgraduate research community. The perfect place for your postgraduate study.

Law PhD / PhD by Distance Learning / MPhil / MJur

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

11.2 Steps in Developing a Research Proposal

Learning objectives.

• Identify the steps in developing a research proposal.
• Choose a topic and formulate a research question and working thesis.
• Develop a research proposal.

Writing a good research paper takes time, thought, and effort. Although this assignment is challenging, it is manageable. Focusing on one step at a time will help you develop a thoughtful, informative, well-supported research paper.

Your first step is to choose a topic and then to develop research questions, a working thesis, and a written research proposal. Set aside adequate time for this part of the process. Fully exploring ideas will help you build a solid foundation for your paper.

Choosing a Topic

When you choose a topic for a research paper, you are making a major commitment. Your choice will help determine whether you enjoy the lengthy process of research and writing—and whether your final paper fulfills the assignment requirements. If you choose your topic hastily, you may later find it difficult to work with your topic. By taking your time and choosing carefully, you can ensure that this assignment is not only challenging but also rewarding.

Writers understand the importance of choosing a topic that fulfills the assignment requirements and fits the assignment’s purpose and audience. (For more information about purpose and audience, see Chapter 6 “Writing Paragraphs: Separating Ideas and Shaping Content” .) Choosing a topic that interests you is also crucial. You instructor may provide a list of suggested topics or ask that you develop a topic on your own. In either case, try to identify topics that genuinely interest you.

After identifying potential topic ideas, you will need to evaluate your ideas and choose one topic to pursue. Will you be able to find enough information about the topic? Can you develop a paper about this topic that presents and supports your original ideas? Is the topic too broad or too narrow for the scope of the assignment? If so, can you modify it so it is more manageable? You will ask these questions during this preliminary phase of the research process.

Identifying Potential Topics

Sometimes, your instructor may provide a list of suggested topics. If so, you may benefit from identifying several possibilities before committing to one idea. It is important to know how to narrow down your ideas into a concise, manageable thesis. You may also use the list as a starting point to help you identify additional, related topics. Discussing your ideas with your instructor will help ensure that you choose a manageable topic that fits the requirements of the assignment.

In this chapter, you will follow a writer named Jorge, who is studying health care administration, as he prepares a research paper. You will also plan, research, and draft your own research paper.

Jorge was assigned to write a research paper on health and the media for an introductory course in health care. Although a general topic was selected for the students, Jorge had to decide which specific issues interested him. He brainstormed a list of possibilities.

If you are writing a research paper for a specialized course, look back through your notes and course activities. Identify reading assignments and class discussions that especially engaged you. Doing so can help you identify topics to pursue.

• Health Maintenance Organizations (HMOs) in the news
• Sexual education programs
• Hollywood and eating disorders
• Americans’ access to public health information
• Media portrayal of health care reform bill
• Depictions of drugs on television
• The effect of the Internet on mental health
• Popularized diets (such as low-carbohydrate diets)
• Fear of pandemics (bird flu, HINI, SARS)
• Electronic entertainment and obesity
• Advertisements for prescription drugs
• Public education and disease prevention

Set a timer for five minutes. Use brainstorming or idea mapping to create a list of topics you would be interested in researching for a paper about the influence of the Internet on social networking. Do you closely follow the media coverage of a particular website, such as Twitter? Would you like to learn more about a certain industry, such as online dating? Which social networking sites do you and your friends use? List as many ideas related to this topic as you can.

Narrowing Your Topic

Once you have a list of potential topics, you will need to choose one as the focus of your essay. You will also need to narrow your topic. Most writers find that the topics they listed during brainstorming or idea mapping are broad—too broad for the scope of the assignment. Working with an overly broad topic, such as sexual education programs or popularized diets, can be frustrating and overwhelming. Each topic has so many facets that it would be impossible to cover them all in a college research paper. However, more specific choices, such as the pros and cons of sexual education in kids’ television programs or the physical effects of the South Beach diet, are specific enough to write about without being too narrow to sustain an entire research paper.

A good research paper provides focused, in-depth information and analysis. If your topic is too broad, you will find it difficult to do more than skim the surface when you research it and write about it. Narrowing your focus is essential to making your topic manageable. To narrow your focus, explore your topic in writing, conduct preliminary research, and discuss both the topic and the research with others.

Exploring Your Topic in Writing

“How am I supposed to narrow my topic when I haven’t even begun researching yet?” In fact, you may already know more than you realize. Review your list and identify your top two or three topics. Set aside some time to explore each one through freewriting. (For more information about freewriting, see Chapter 8 “The Writing Process: How Do I Begin?” .) Simply taking the time to focus on your topic may yield fresh angles.

Jorge knew that he was especially interested in the topic of diet fads, but he also knew that it was much too broad for his assignment. He used freewriting to explore his thoughts so he could narrow his topic. Read Jorge’s ideas.

Conducting Preliminary Research

Another way writers may focus a topic is to conduct preliminary research . Like freewriting, exploratory reading can help you identify interesting angles. Surfing the web and browsing through newspaper and magazine articles are good ways to start. Find out what people are saying about your topic on blogs and online discussion groups. Discussing your topic with others can also inspire you. Talk about your ideas with your classmates, your friends, or your instructor.

Jorge’s freewriting exercise helped him realize that the assigned topic of health and the media intersected with a few of his interests—diet, nutrition, and obesity. Preliminary online research and discussions with his classmates strengthened his impression that many people are confused or misled by media coverage of these subjects.

Jorge decided to focus his paper on a topic that had garnered a great deal of media attention—low-carbohydrate diets. He wanted to find out whether low-carbohydrate diets were as effective as their proponents claimed.

Writing at Work

At work, you may need to research a topic quickly to find general information. This information can be useful in understanding trends in a given industry or generating competition. For example, a company may research a competitor’s prices and use the information when pricing their own product. You may find it useful to skim a variety of reliable sources and take notes on your findings.

The reliability of online sources varies greatly. In this exploratory phase of your research, you do not need to evaluate sources as closely as you will later. However, use common sense as you refine your paper topic. If you read a fascinating blog comment that gives you a new idea for your paper, be sure to check out other, more reliable sources as well to make sure the idea is worth pursuing.

Review the list of topics you created in Note 11.18 “Exercise 1” and identify two or three topics you would like to explore further. For each of these topics, spend five to ten minutes writing about the topic without stopping. Then review your writing to identify possible areas of focus.

Set aside time to conduct preliminary research about your potential topics. Then choose a topic to pursue for your research paper.

Collaboration

Please share your topic list with a classmate. Select one or two topics on his or her list that you would like to learn more about and return it to him or her. Discuss why you found the topics interesting, and learn which of your topics your classmate selected and why.

A Plan for Research

Your freewriting and preliminary research have helped you choose a focused, manageable topic for your research paper. To work with your topic successfully, you will need to determine what exactly you want to learn about it—and later, what you want to say about it. Before you begin conducting in-depth research, you will further define your focus by developing a research question , a working thesis, and a research proposal.

Formulating a Research Question

In forming a research question, you are setting a goal for your research. Your main research question should be substantial enough to form the guiding principle of your paper—but focused enough to guide your research. A strong research question requires you not only to find information but also to put together different pieces of information, interpret and analyze them, and figure out what you think. As you consider potential research questions, ask yourself whether they would be too hard or too easy to answer.

To determine your research question, review the freewriting you completed earlier. Skim through books, articles, and websites and list the questions you have. (You may wish to use the 5WH strategy to help you formulate questions. See Chapter 8 “The Writing Process: How Do I Begin?” for more information about 5WH questions.) Include simple, factual questions and more complex questions that would require analysis and interpretation. Determine your main question—the primary focus of your paper—and several subquestions that you will need to research to answer your main question.

Here are the research questions Jorge will use to focus his research. Notice that his main research question has no obvious, straightforward answer. Jorge will need to research his subquestions, which address narrower topics, to answer his main question.

Using the topic you selected in Note 11.24 “Exercise 2” , write your main research question and at least four to five subquestions. Check that your main research question is appropriately complex for your assignment.

Constructing a Working ThesIs

A working thesis concisely states a writer’s initial answer to the main research question. It does not merely state a fact or present a subjective opinion. Instead, it expresses a debatable idea or claim that you hope to prove through additional research. Your working thesis is called a working thesis for a reason—it is subject to change. As you learn more about your topic, you may change your thinking in light of your research findings. Let your working thesis serve as a guide to your research, but do not be afraid to modify it based on what you learn.

Jorge began his research with a strong point of view based on his preliminary writing and research. Read his working thesis statement, which presents the point he will argue. Notice how it states Jorge’s tentative answer to his research question.

One way to determine your working thesis is to consider how you would complete sentences such as I believe or My opinion is . However, keep in mind that academic writing generally does not use first-person pronouns. These statements are useful starting points, but formal research papers use an objective voice.

Write a working thesis statement that presents your preliminary answer to the research question you wrote in Note 11.27 “Exercise 3” . Check that your working thesis statement presents an idea or claim that could be supported or refuted by evidence from research.

Creating a Research Proposal

A research proposal is a brief document—no more than one typed page—that summarizes the preliminary work you have completed. Your purpose in writing it is to formalize your plan for research and present it to your instructor for feedback. In your research proposal, you will present your main research question, related subquestions, and working thesis. You will also briefly discuss the value of researching this topic and indicate how you plan to gather information.

When Jorge began drafting his research proposal, he realized that he had already created most of the pieces he needed. However, he knew he also had to explain how his research would be relevant to other future health care professionals. In addition, he wanted to form a general plan for doing the research and identifying potentially useful sources. Read Jorge’s research proposal.

Before you begin a new project at work, you may have to develop a project summary document that states the purpose of the project, explains why it would be a wise use of company resources, and briefly outlines the steps involved in completing the project. This type of document is similar to a research proposal. Both documents define and limit a project, explain its value, discuss how to proceed, and identify what resources you will use.

Writing Your Own Research Proposal

Now you may write your own research proposal, if you have not done so already. Follow the guidelines provided in this lesson.

Key Takeaways

• Developing a research proposal involves the following preliminary steps: identifying potential ideas, choosing ideas to explore further, choosing and narrowing a topic, formulating a research question, and developing a working thesis.
• A good topic for a research paper interests the writer and fulfills the requirements of the assignment.
• Defining and narrowing a topic helps writers conduct focused, in-depth research.
• Writers conduct preliminary research to identify possible topics and research questions and to develop a working thesis.
• A good research question interests readers, is neither too broad nor too narrow, and has no obvious answer.
• A good working thesis expresses a debatable idea or claim that can be supported with evidence from research.
• Writers create a research proposal to present their topic, main research question, subquestions, and working thesis to an instructor for approval or feedback.

Writing for Success Copyright © 2015 by University of Minnesota is licensed under a Creative Commons Attribution-NonCommercial-ShareAlike 4.0 International License , except where otherwise noted.

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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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How to write a Research Proposal: Components of a research proposal

Components of a research proposal.

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Research proposals differ in terms of their presentation depending on what each University department requires. In other words, there is no set template  for a research proposal. Please contact your lecturer regarding the format you are expected to use for your research proposal.Thus, the components of a research proposal include, but are not limited to those mentioned in this guide.

1. The title

Try to come up with a title that is unique and at the same time easy to remember. It should also make a lasting impression to the reader and make them want to come back and read your proposal.  The title must also capture the main concepts of the study . As the research process is lengthy, it is   important that you choose a topic that you are   so curious about  that you remain motivated for the duration of the research process.  Select a topic that you will be able to complete within the time frame that you have for your research. 

3. The background

The background to the topic of your intended research must be clear and precise. It must not only include an in-depth explanation of the key points of your subject but also all the developments in the field as well as their timelines . The researcher must also explain the compelling interest in the research issue as well as the personal interest (if any) in the topic. This section must also indicate the specific area within which the topic falls in your particular field of study or subject . Aslo, how will the proposed study contribute to a particular field? In other words, the impact and the significance in a subject area must be clearly outlined. The target audience must also be clearly described.

5. Objectives of the research

It is important that the objectives are in alignment with the research questions. The objectives must indicate what the aim of the research study is.  In fact, objectives give you a clear indication of the steps that you will take to achieve the aim of the research. The objectives must be specific, measurable, achievable, relevant and time-bound.

7. Literature review

Collect and present relevant literature on your topic of choice. It is important to include all the main authors or experts in a particular field.  Depending on your field of study or topic, ensure that you include recent literature as well as literature that presents counterarguments to the topic. The justification for the study needs to based on existing literature. Click here for more information on how to write a literature review.

8. Limitations and delimitations of the study

The researcher must indicate the limitations of the study which are what the researcher cannot do or factors that are beyond the researcher's control, as well as delimitations that the researcher chooses not to address for the purposes of the study. Delimitations are boundaries that the researcher has set for the study. The r easons  both for limitations and delimitations must be discussed in this section.

10. Work plan

Your schedule for the research must be stated clearly including the projected timelines for the various stages of your study.

11. Bibliography

All the sources that you have used for your proposal must be listed in alphabetical order using a referencing style that your lecturer has prescribed for your subject field.

Click here for more information on the various reference styles.

2. Introduction to the research

This section of the proposal must provide a broad overview of the topic. The jargon and key terms used in the particular topic must also be thoroughly explained in order to avoid confusion. The interest of the researcher in the particular topic must also be clearly outlined while at the same time mentioning, albeit briefly at this point, a critical review of the main literature that covers the topic.  The researcher must also provide the aim of the research by clearly and concisely stating the problem,  as well as the research questions to be dealt with.  This section must also indicate what the research study will not be covering .

4. The research questions

The research questions must state clearly what your proposed study is meant to address or answer. Ensure that you use simple language that is easy to understand, while being cognisant of the level of  your intended audience . 

6. Research methodology / research methods

This section outlines the approach which the researcher will follow in order to address the research problem and to answer all the research questions from the researcher. The research design must be clearly defined, e.g., is the research  Descriptive, Correlational, Causal-Comparative/Quasi-Experimental, Experimental, Diagnostic or Explanatory.

State clearly

• how the research will be conducted in terms of the theoretical resources that will be used
• the theoretical framework for conducting the research, which is the theoretical approach drawn from your literature review to support your research study
• proposed research method(s)
• a comparison of the advantages, limitations and suitability of the available approaches and methods for conducting your research
• participants, instruments, procedure, analysis, etc.

Research design

Selecting the approach to use

Research approach

Research design and methodology

Importance of research

Attributes of a good research scholar

Summary of different research methodologies

9. Significance of the research

The researcher must provide justification for the need to conduct the study. What is the gap that the study will fill, and what is its contribution to the  existing body of knowledge? The originality and importance of the research which will be  level appropriate, must be clearly described, for instance, the required level of originality for a fourth year research project is different to that of a doctoral candidate. 

The impact of the study for the subject field must be indicated. In other words, how will the research improve the field, who will it impact, how will it make changes in your industy or field etc.? Lastly, the proposed resaerch must be relatable , interesting and engaging .

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Writing a Research Proposal

Parts of a research proposal, prosana model, introduction, research question, methodology.

• Structure of a Research Proposal
• Common Proposal Writing Mistakes
• Proposal Writing Resources

A research proposal's purpose is to capture the evaluator's attention, demonstrate the study's potential benefits, and prove that it is a logical and consistent approach (Van Ekelenburg, 2010).  To ensure that your research proposal contains these elements, there are several aspects to include in your proposal (Al-Riyami, 2008):

• Objective(s)
• Variables (independent and dependent)
• Research Question and/or hypothesis

Details about what to include in each element are included in the boxes below.  Depending on the topic of your study, some parts may not apply to your proposal.  You can also watch the video below for a brief overview about writing a successful research proposal.

Van Ekelenburg (2010) uses the PROSANA Model to guide researchers in developing rationale and justification for their research projects.  It is an acronym that connects the problem, solution, and benefits of a particular research project.  It is an easy way to remember the critical parts of a research proposal and how they relate to one another.  It includes the following letters (Van Ekelenburg, 2010):

• Problem: Describing the main problem that the researcher is trying to solve.
• Root causes: Describing what is causing the problem.  Why is the topic an issue?
• fOcus: Narrowing down one of the underlying causes on which the researcher will focus for their research project.
• Solutions: Listing potential solutions or approaches to fix to the problem.  There could be more than one.
• Approach: Selecting the solution that the researcher will want to focus on.
• Novelty: Describing how the solution will address or solve the problem.
• Arguments: Explaining how the proposed solution will benefit the problem.

Research proposal titles should be concise and to the point, but informative.  The title of your proposal may be different from the title of your final research project, but that is completely normal!  Your findings may help you come up with a title that is more fitting for the final project.  Characteristics of good proposal titles are (Al-Riyami, 2008):

• Catchy: It catches the reader's attention by peaking their interest.
• Positive: It spins your project in a positive way towards the reader.
• Transparent: It identifies the independent and dependent variables.

It is also common for proposal titles to be very similar to your research question, hypothesis, or thesis statement (Locke et al., 2007).

An abstract is a brief summary (about 300 words) of the study you are proposing.  It includes the following elements (Al-Riyami, 2008):

• Your primary research question(s).
• Hypothesis or main argument.
• Method you will use to complete the study.  This may include the design, sample population, or measuring instruments that you plan to use.

Our guide on writing summaries may help you with this step.

• Writing a Summary by Luann Edwards Last Updated May 22, 2023 1119 views this year

The purpose of the introduction is to give readers background information about your topic.  it gives the readers a basic understanding of your topic so that they can further understand the significance of your proposal.  A good introduction will explain (Al-Riyami, 2008):

• How it relates to other research done on the topic
• Why your research is significant to the field
• The relevance of your study

Your research objectives are the desired outcomes that you will achieve from the research project.  Depending on your research design, these may be generic or very specific.  You may also have more than one objective (Al-Riyami, 2008).

• General objectives are what the research project will accomplish
• Specific objectives relate to the research questions that the researcher aims to answer through the study.

Be careful not to have too many objectives in your proposal, as having too many can make your project lose focus.  Plus, it may not be possible to achieve several objectives in one study.

This section describes the different types of variables that you plan to have in your study and how you will measure them.  According to Al-Riyami (2008), there are four types of research variables:

• Independent:  The person, object, or idea that is manipulated by the researcher.
• Dependent:  The person, object, or idea whose changes are dependent upon the independent variable.  Typically, it is the item that the researcher is measuring for the study.
• Confounding/Intervening:  Factors that may influence the effect of the independent variable on the dependent variable.  These include physical and mental barriers.  Not every study will have intervening variables, but they should be studied if applicable.
• Background:   Factors that are relevant to the study's data and how it can be generalized.  Examples include demographic information such as age, sex, and ethnicity.

Your research proposal should describe each of your variables and how they relate to one another.  Depending on your study, you may not have all four types of variables present.  However, there will always be an independent and dependent variable.

A research question is the main piece of your research project because it explains what your study will discover to the reader.  It is the question that fuels the study, so it is important for it to be precise and unique.  You do not want it to be too broad, and it should identify a relationship between two variables (an independent and a dependent) (Al-Riyami, 2008).  There are six types of research questions (Academic Writer, n.d.):

• Example: "Do people get nervous before speaking in front of an audience?"
• Example: "What are the study habits of college freshmen at Tiffin University?"
• Example: "What primary traits create a successful romantic relationship?"
• Example: "Is there a relationship between a child's performance in school and their parents' socioeconomic status?"
• Example: "Are high school seniors more motivated than high school freshmen?"
• Example: "Do news media outlets impact a person's political opinions?"

For more information on the different types of research questions, you can view the "Research Questions and Hypotheses" tutorial on Academic Writer, located below.  If you are unfamiliar with Academic Writer, we also have a tutorial on using the database located below.

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Academic Writer will continue to use the 6th edition guidelines until August 2020. A preview of the 7th edition is available in the footer of the resource's site. Previously known as APA Style Central.

• Academic Writer Tutorial by Pfeiffer Library Last Updated May 22, 2023 15600 views this year

If you know enough about your research topic that you believe a particular outcome may occur as a result of the study, you can include a hypothesis (thesis statement) in your proposal.  A hypothesis is a prediction that you believe will be the outcome of your study.  It explains what you think the relationship will be between the independent and dependent variable (Al-Riyami, 2008).  It is ok if the hypothesis in your proposal turns out to be incorrect, because it is only a prediction!  If you are writing a proposal in the humanities, you may be writing a thesis statement instead of a hypothesis.  A thesis presents the main argument of your research project and leads to corresponding evidence to support your argument.

Hypotheses vs. Theories

Hypotheses are different from theories in that theories represent general principles and sets of rules that explain different phenomena.  They typically represent large areas of study because they are applicable to anything in a particular field.  Hypotheses focus on specific areas within a field and are educated guesses, meaning that they have the potential to be proven wrong (Academic Writer, n.d.).  Because of this, hypotheses can also be formed from theories.

For more information on writing effective thesis statements, you can view our guide on writing thesis statements below.

• Writing Effective Thesis Statements by Luann Edwards Last Updated May 23, 2023 226 views this year

In a research proposal, you must thoroughly explain how you will conduct your study.  This includes things such as (Al-Riyami, 2008):

• Research design:  What research approach will your study take?  Will it be quantitative or qualitative?
• Research subjects/participants:  Who will be participating in your study?  Does your study require human participants?  How will you determine who to study?
• Sample size:  How many participants will your study require?  If you are not using human participants, how much of the sample will you be studying?
• Timeline:  A proposed list of the general tasks and events that you plan to complete the study.  This will include a time frame for each task/event and the order in which they will be completed.
• Interventions:  If you plan on using anything on human participants for the study, you must include information it here.  This is especially important if you plan on using any substances on human subjects.
• Ethical issues:  Are there any potential ethical issues surrounding this study?
• Potential limitations:  Are there any limitations that could skew the data and findings from your study?
• Appendixes:  If you need to present any consent forms, interview questions, surveys, questionnaires, or other items that will be used in your study, you should include samples of each item with an appendix to reference them.  If you are using a copyrighted document, you may need written permission from the original creator to use it in your study.  A copy of the written permission should be included in your proposal.
• Setting:  Where will you be conducting the study?
• Study instruments:  What measuring tools or computer software will you be using to collect data?  How will you collect the data?
• How you will analyze the data:  What strategies or tools will you use to analyze the data you collect?
• Quality control:  Will you have precautions in place to ensure that the study is conducted consistently and that outside factors will not skew the data?
• Budget:  What type of funding will you need for your study?  This will include the funds needed to afford measuring tools, software, etc.
• How you will share the study's findings:  What will you plan to do with the findings?
• Significance of the study: How will your study expand on existing knowledge of the subject area?

For more information on research methodologies, you can view our guide on research methods and methodologies below.

• Research Methodologies by Pfeiffer Library Last Updated Aug 2, 2022 15725 views this year
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How to write a research proposal?

Department of Anaesthesiology, Bangalore Medical College and Research Institute, Bengaluru, Karnataka, India

Devika Rani Duggappa

Writing the proposal of a research work in the present era is a challenging task due to the constantly evolving trends in the qualitative research design and the need to incorporate medical advances into the methodology. The proposal is a detailed plan or ‘blueprint’ for the intended study, and once it is completed, the research project should flow smoothly. Even today, many of the proposals at post-graduate evaluation committees and application proposals for funding are substandard. A search was conducted with keywords such as research proposal, writing proposal and qualitative using search engines, namely, PubMed and Google Scholar, and an attempt has been made to provide broad guidelines for writing a scientifically appropriate research proposal.

INTRODUCTION

A clean, well-thought-out proposal forms the backbone for the research itself and hence becomes the most important step in the process of conduct of research.[ 1 ] The objective of preparing a research proposal would be to obtain approvals from various committees including ethics committee [details under ‘Research methodology II’ section [ Table 1 ] in this issue of IJA) and to request for grants. However, there are very few universally accepted guidelines for preparation of a good quality research proposal. A search was performed with keywords such as research proposal, funding, qualitative and writing proposals using search engines, namely, PubMed, Google Scholar and Scopus.

Five ‘C’s while writing a literature review

BASIC REQUIREMENTS OF A RESEARCH PROPOSAL

A proposal needs to show how your work fits into what is already known about the topic and what new paradigm will it add to the literature, while specifying the question that the research will answer, establishing its significance, and the implications of the answer.[ 2 ] The proposal must be capable of convincing the evaluation committee about the credibility, achievability, practicality and reproducibility (repeatability) of the research design.[ 3 ] Four categories of audience with different expectations may be present in the evaluation committees, namely academic colleagues, policy-makers, practitioners and lay audiences who evaluate the research proposal. Tips for preparation of a good research proposal include; ‘be practical, be persuasive, make broader links, aim for crystal clarity and plan before you write’. A researcher must be balanced, with a realistic understanding of what can be achieved. Being persuasive implies that researcher must be able to convince other researchers, research funding agencies, educational institutions and supervisors that the research is worth getting approval. The aim of the researcher should be clearly stated in simple language that describes the research in a way that non-specialists can comprehend, without use of jargons. The proposal must not only demonstrate that it is based on an intelligent understanding of the existing literature but also show that the writer has thought about the time needed to conduct each stage of the research.[ 4 , 5 ]

CONTENTS OF A RESEARCH PROPOSAL

The contents or formats of a research proposal vary depending on the requirements of evaluation committee and are generally provided by the evaluation committee or the institution.

In general, a cover page should contain the (i) title of the proposal, (ii) name and affiliation of the researcher (principal investigator) and co-investigators, (iii) institutional affiliation (degree of the investigator and the name of institution where the study will be performed), details of contact such as phone numbers, E-mail id's and lines for signatures of investigators.

The main contents of the proposal may be presented under the following headings: (i) introduction, (ii) review of literature, (iii) aims and objectives, (iv) research design and methods, (v) ethical considerations, (vi) budget, (vii) appendices and (viii) citations.[ 4 ]

Introduction

It is also sometimes termed as ‘need for study’ or ‘abstract’. Introduction is an initial pitch of an idea; it sets the scene and puts the research in context.[ 6 ] The introduction should be designed to create interest in the reader about the topic and proposal. It should convey to the reader, what you want to do, what necessitates the study and your passion for the topic.[ 7 ] Some questions that can be used to assess the significance of the study are: (i) Who has an interest in the domain of inquiry? (ii) What do we already know about the topic? (iii) What has not been answered adequately in previous research and practice? (iv) How will this research add to knowledge, practice and policy in this area? Some of the evaluation committees, expect the last two questions, elaborated under a separate heading of ‘background and significance’.[ 8 ] Introduction should also contain the hypothesis behind the research design. If hypothesis cannot be constructed, the line of inquiry to be used in the research must be indicated.

Review of literature

It refers to all sources of scientific evidence pertaining to the topic in interest. In the present era of digitalisation and easy accessibility, there is an enormous amount of relevant data available, making it a challenge for the researcher to include all of it in his/her review.[ 9 ] It is crucial to structure this section intelligently so that the reader can grasp the argument related to your study in relation to that of other researchers, while still demonstrating to your readers that your work is original and innovative. It is preferable to summarise each article in a paragraph, highlighting the details pertinent to the topic of interest. The progression of review can move from the more general to the more focused studies, or a historical progression can be used to develop the story, without making it exhaustive.[ 1 ] Literature should include supporting data, disagreements and controversies. Five ‘C's may be kept in mind while writing a literature review[ 10 ] [ Table 1 ].

Aims and objectives

The research purpose (or goal or aim) gives a broad indication of what the researcher wishes to achieve in the research. The hypothesis to be tested can be the aim of the study. The objectives related to parameters or tools used to achieve the aim are generally categorised as primary and secondary objectives.

Research design and method

The objective here is to convince the reader that the overall research design and methods of analysis will correctly address the research problem and to impress upon the reader that the methodology/sources chosen are appropriate for the specific topic. It should be unmistakably tied to the specific aims of your study.

In this section, the methods and sources used to conduct the research must be discussed, including specific references to sites, databases, key texts or authors that will be indispensable to the project. There should be specific mention about the methodological approaches to be undertaken to gather information, about the techniques to be used to analyse it and about the tests of external validity to which researcher is committed.[ 10 , 11 ]

The components of this section include the following:[ 4 ]

Population and sample

Population refers to all the elements (individuals, objects or substances) that meet certain criteria for inclusion in a given universe,[ 12 ] and sample refers to subset of population which meets the inclusion criteria for enrolment into the study. The inclusion and exclusion criteria should be clearly defined. The details pertaining to sample size are discussed in the article “Sample size calculation: Basic priniciples” published in this issue of IJA.

Data collection

The researcher is expected to give a detailed account of the methodology adopted for collection of data, which include the time frame required for the research. The methodology should be tested for its validity and ensure that, in pursuit of achieving the results, the participant's life is not jeopardised. The author should anticipate and acknowledge any potential barrier and pitfall in carrying out the research design and explain plans to address them, thereby avoiding lacunae due to incomplete data collection. If the researcher is planning to acquire data through interviews or questionnaires, copy of the questions used for the same should be attached as an annexure with the proposal.

Rigor (soundness of the research)

This addresses the strength of the research with respect to its neutrality, consistency and applicability. Rigor must be reflected throughout the proposal.

It refers to the robustness of a research method against bias. The author should convey the measures taken to avoid bias, viz. blinding and randomisation, in an elaborate way, thus ensuring that the result obtained from the adopted method is purely as chance and not influenced by other confounding variables.

Consistency

Consistency considers whether the findings will be consistent if the inquiry was replicated with the same participants and in a similar context. This can be achieved by adopting standard and universally accepted methods and scales.

Applicability

Applicability refers to the degree to which the findings can be applied to different contexts and groups.[ 13 ]

Data analysis

This section deals with the reduction and reconstruction of data and its analysis including sample size calculation. The researcher is expected to explain the steps adopted for coding and sorting the data obtained. Various tests to be used to analyse the data for its robustness, significance should be clearly stated. Author should also mention the names of statistician and suitable software which will be used in due course of data analysis and their contribution to data analysis and sample calculation.[ 9 ]

Ethical considerations

Medical research introduces special moral and ethical problems that are not usually encountered by other researchers during data collection, and hence, the researcher should take special care in ensuring that ethical standards are met. Ethical considerations refer to the protection of the participants' rights (right to self-determination, right to privacy, right to autonomy and confidentiality, right to fair treatment and right to protection from discomfort and harm), obtaining informed consent and the institutional review process (ethical approval). The researcher needs to provide adequate information on each of these aspects.

Informed consent needs to be obtained from the participants (details discussed in further chapters), as well as the research site and the relevant authorities.

When the researcher prepares a research budget, he/she should predict and cost all aspects of the research and then add an additional allowance for unpredictable disasters, delays and rising costs. All items in the budget should be justified.

Appendices are documents that support the proposal and application. The appendices will be specific for each proposal but documents that are usually required include informed consent form, supporting documents, questionnaires, measurement tools and patient information of the study in layman's language.

As with any scholarly research paper, you must cite the sources you used in composing your proposal. Although the words ‘references and bibliography’ are different, they are used interchangeably. It refers to all references cited in the research proposal.

Successful, qualitative research proposals should communicate the researcher's knowledge of the field and method and convey the emergent nature of the qualitative design. The proposal should follow a discernible logic from the introduction to presentation of the appendices.

Financial support and sponsorship

Conflicts of interest.

There are no conflicts of interest.

Organizing Academic Research Papers: Writing a Research Proposal

• Purpose of Guide
• Design Flaws to Avoid
• Glossary of Research Terms
• Narrowing a Topic Idea
• Broadening a Topic Idea
• Extending the Timeliness of a Topic Idea
• Academic Writing Style
• Choosing a Title
• Making an Outline
• Paragraph Development
• Executive Summary
• Background Information
• The Research Problem/Question
• Theoretical Framework
• Citation Tracking
• Content Alert Services
• Evaluating Sources
• Primary Sources
• Secondary Sources
• Tertiary Sources
• What Is Scholarly vs. Popular?
• Qualitative Methods
• Quantitative Methods
• Using Non-Textual Elements
• Limitations of the Study
• Common Grammar Mistakes
• Avoiding Plagiarism
• Footnotes or Endnotes?
• Further Readings
• Annotated Bibliography
• Dealing with Nervousness
• Using Visual Aids
• Grading Someone Else's Paper
• How to Manage Group Projects
• Multiple Book Review Essay
• Reviewing Collected Essays
• About Informed Consent
• Writing Field Notes
• Writing a Policy Memo
• Writing a Research Proposal
• Acknowledgements

The goal of a research proposal is to present and justify a research idea you have and to present the practical ways in which you think this research should be conducted. The forms and procedures for such research are defined by the field of study, so guidelines for research proposals are generally more exacting and less formal than a project proposal. Research proposals contain extensive literature reviews and must provide persuasive evidence that there is a need for the research study being proposed. In addition to providing rationale for the proposed research, 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.

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.
• Help 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 familiar with scholarship related to your topic.
• Improve your general research and writing skills.
• Practice identifying what logical steps must be taken to accomplish one's research goals.
• 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 complete 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 results of the study and your analysis of those results. Finally, an effective proposal is judged on the quality of your writing. It is, therefore, 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 succient 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.

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 question; going off on unrelated tangents.
• Sloppy or imprecise writing. 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 traditional research paper, research proposals are generally organized the same way throughout the social sciences. Most proposals are between ten and fifteen 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, and why?
• 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 my topic?
• What exactly should I plan to do, and can I get it done in the time available?

In the end, your research proposal should document your knowledge of the topic and highlight 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 your doctoral dissertation. Even if this is just a course assignment, treat your introduction as the initial pitch of an idea. 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 sense your passion for the topic and be excited about its possible outcomes.

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, and why should someone reading the proposal care about the outcomes from the 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 flow of your proposal. This is where you explain the context of your project and outline 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 research problem; instead, you must choose what is relevant to help explain your goals for the study.

To that end, while there are no hard and fast rules, you should attempt to deal with 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.
• 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.
• 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 the analysis of your topic.
• Set the boundaries of your proposed research in order to provide a clear focus.
• Provide definitions of key concepts or terms, if necessary.

III.  Literature Review

Connected to the background and significance of your study is 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've used, and what is your understanding of their findings. Assess what you believe is still missing, and state how previous research has failed to examine the issue that your study addresses.

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 materials one at a time.

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

• Cite : 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, etc.] .
• Connect the literature to your own area of research and investigation: how does your own work draw upon, depart from, or synthesize 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 . As a consequence, the reader will never have a study outcome from which to evaluate whether your methodological choices were the correct ones. The objective here is to ensure that the reader is convinced that your overall research design and methods of analysis will correctly address the research problem. Your design and methods should be absolutely and 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. Be specific about the methodological approaches you plan to undertake to collect information, about the techniques you will use to analyze it, and about 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 or times].

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

• Specify the research operations you will undertake and the way you will interpret the results of these operations in relation to your 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 doing it.
• Keep in mind that a methodology is not just a list of research 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 perform does not demonstrate that they add up to the best feasible approach.
• Be sure to anticipate and acknowledge any potential barriers and pitfalls in carrying out your research design and explain how you plan to get around them.

V.  Preliminary Suppositions and Implications

Just because you don't have to actually conduct the study and analyze the results, it doesn't mean that you can skip talking about the 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 of your study will impact future scholarly research, theory, practice, forms of interventions, or policy. 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 the theoretical framework that frames 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 "real world"?
• 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?
• 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 will come about?

VI.  Conclusion

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

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

• Why the study was done,
• The specific purpose of the study and the research questions it attempted to answer,
• The research design and methods used,
• 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 composing your proposal. In a standard research proposal, this section can take two forms, so speak with your professor about which one is preferred.

• References -- lists only the literature that you actually used or cited in your proposal.
• Bibliography -- lists everything you used or cited in your proposal with additional citations of 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 make sure the project will complement and not duplicate the efforts of other researchers. Start a new page and use the heading "References" or "Bibliography" 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 [i.e., education=APA; history=Chicago, etc]. This section normally does not count towards the total length of your proposal.

Develop a Research Proposal: Writing the Proposal . Office of Library Information Services. Baltimore County Public Schools; 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; 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.

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What are the Sections of a Research Proposal?

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

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

What are the sections of a research proposal?

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

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

What is the purpose of each research proposal section?

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

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

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

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

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

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

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

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

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

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

Overall purpose.

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

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

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

Background Literature Review

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

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

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

Research Question or Hypothesis

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

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

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

Definition of Terms

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

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

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

Research Methodology

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

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

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

Problems and Limitations

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

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

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

Related Article:  How to present study limitations and alternatives

Required resources and budget.

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

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

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

Ethical Considerations

Purpose:  To state how participants will be advised of

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

be obtained.

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

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

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

Proposed timeline.

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

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

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

Purpose:  To provide detailed bibliographic and reference citations.

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

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

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

Purpose : To include any extra materials or information.

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

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

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

The Bottom Line

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

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

Preparing Your Research Proposal for Publication

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

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

Why the Pandemic Probably Started in a Lab, in 5 Key Points

By Alina Chan

Dr. Chan is a molecular biologist at the Broad Institute of M.I.T. and Harvard, and a co-author of “Viral: The Search for the Origin of Covid-19.”

This article has been updated to reflect news developments.

On Monday, Dr. Anthony Fauci returned to the halls of Congress and testified before the House subcommittee investigating the Covid-19 pandemic. He was questioned about several topics related to the government’s handling of Covid-19, including how the National Institute of Allergy and Infectious Diseases, which he directed until retiring in 2022, supported risky virus work at a Chinese institute whose research may have caused the pandemic.

For more than four years, reflexive partisan politics have derailed the search for the truth about a catastrophe that has touched us all. It has been estimated that at least 25 million people around the world have died because of Covid-19, with over a million of those deaths in the United States.

Although how the pandemic started has been hotly debated, a growing volume of evidence — gleaned from public records released under the Freedom of Information Act, digital sleuthing through online databases, scientific papers analyzing the virus and its spread, and leaks from within the U.S. government — suggests that the pandemic most likely occurred because a virus escaped from a research lab in Wuhan, China. If so, it would be the most costly accident in the history of science.

Here’s what we now know:

1 The SARS-like virus that caused the pandemic emerged in Wuhan, the city where the world’s foremost research lab for SARS-like viruses is located.

• At the Wuhan Institute of Virology, a team of scientists had been hunting for SARS-like viruses for over a decade, led by Shi Zhengli.
• Their research showed that the viruses most similar to SARS‑CoV‑2, the virus that caused the pandemic, circulate in bats that live r oughly 1,000 miles away from Wuhan. Scientists from Dr. Shi’s team traveled repeatedly to Yunnan province to collect these viruses and had expanded their search to Southeast Asia. Bats in other parts of China have not been found to carry viruses that are as closely related to SARS-CoV-2.

The closest known relatives to SARS-CoV-2 were found in southwestern China and in Laos.

Large cities

Mine in Yunnan province

Cave in Laos

South China Sea

The closest known relatives to SARS-CoV-2

were found in southwestern China and in Laos.

philippines

The closest known relatives to SARS-CoV-2 were found

in southwestern China and Laos.

Sources: Sarah Temmam et al., Nature; SimpleMaps

Note: Cities shown have a population of at least 200,000.

There are hundreds of large cities in China and Southeast Asia.

There are hundreds of large cities in China

and Southeast Asia.

The pandemic started roughly 1,000 miles away, in Wuhan, home to the world’s foremost SARS-like virus research lab.

The pandemic started roughly 1,000 miles away,

in Wuhan, home to the world’s foremost SARS-like virus research lab.

The pandemic started roughly 1,000 miles away, in Wuhan,

home to the world’s foremost SARS-like virus research lab.

• Even at hot spots where these viruses exist naturally near the cave bats of southwestern China and Southeast Asia, the scientists argued, as recently as 2019 , that bat coronavirus spillover into humans is rare .
• When the Covid-19 outbreak was detected, Dr. Shi initially wondered if the novel coronavirus had come from her laboratory , saying she had never expected such an outbreak to occur in Wuhan.
• The SARS‑CoV‑2 virus is exceptionally contagious and can jump from species to species like wildfire . Yet it left no known trace of infection at its source or anywhere along what would have been a thousand-mile journey before emerging in Wuhan.

2 The year before the outbreak, the Wuhan institute, working with U.S. partners, had proposed creating viruses with SARS‑CoV‑2’s defining feature.

• Dr. Shi’s group was fascinated by how coronaviruses jump from species to species. To find viruses, they took samples from bats and other animals , as well as from sick people living near animals carrying these viruses or associated with the wildlife trade. Much of this work was conducted in partnership with the EcoHealth Alliance, a U.S.-based scientific organization that, since 2002, has been awarded over $80 million in federal funding to research the risks of emerging infectious diseases.
• The laboratory pursued risky research that resulted in viruses becoming more infectious : Coronaviruses were grown from samples from infected animals and genetically reconstructed and recombined to create new viruses unknown in nature. These new viruses were passed through cells from bats, pigs, primates and humans and were used to infect civets and humanized mice (mice modified with human genes). In essence, this process forced these viruses to adapt to new host species, and the viruses with mutations that allowed them to thrive emerged as victors.
• By 2019, Dr. Shi’s group had published a database describing more than 22,000 collected wildlife samples. But external access was shut off in the fall of 2019, and the database was not shared with American collaborators even after the pandemic started , when such a rich virus collection would have been most useful in tracking the origin of SARS‑CoV‑2. It remains unclear whether the Wuhan institute possessed a precursor of the pandemic virus.
• In 2021, The Intercept published a leaked 2018 grant proposal for a research project named Defuse , which had been written as a collaboration between EcoHealth, the Wuhan institute and Ralph Baric at the University of North Carolina, who had been on the cutting edge of coronavirus research for years. The proposal described plans to create viruses strikingly similar to SARS‑CoV‑2.
• Coronaviruses bear their name because their surface is studded with protein spikes, like a spiky crown, which they use to enter animal cells. T he Defuse project proposed to search for and create SARS-like viruses carrying spikes with a unique feature: a furin cleavage site — the same feature that enhances SARS‑CoV‑2’s infectiousness in humans, making it capable of causing a pandemic. Defuse was never funded by the United States . However, in his testimony on Monday, Dr. Fauci explained that the Wuhan institute would not need to rely on U.S. funding to pursue research independently.

The Wuhan lab ran risky experiments to learn about how SARS-like viruses might infect humans.

1. Collect SARS-like viruses from bats and other wild animals, as well as from people exposed to them.

2. Identify high-risk viruses by screening for spike proteins that facilitate infection of human cells.

2. Identify high-risk viruses by screening for spike proteins that facilitate infection of

human cells.

In Defuse, the scientists proposed to add a furin cleavage site to the spike protein.

3. Create new coronaviruses by inserting spike proteins or other features that could make the viruses more infectious in humans.

4. Infect human cells, civets and humanized mice with the new coronaviruses, to determine how dangerous they might be.

• While it’s possible that the furin cleavage site could have evolved naturally (as seen in some distantly related coronaviruses), out of the hundreds of SARS-like viruses cataloged by scientists, SARS‑CoV‑2 is the only one known to possess a furin cleavage site in its spike. And the genetic data suggest that the virus had only recently gained the furin cleavage site before it started the pandemic.
• Ultimately, a never-before-seen SARS-like virus with a newly introduced furin cleavage site, matching the description in the Wuhan institute’s Defuse proposal, caused an outbreak in Wuhan less than two years after the proposal was drafted.
• When the Wuhan scientists published their seminal paper about Covid-19 as the pandemic roared to life in 2020, they did not mention the virus’s furin cleavage site — a feature they should have been on the lookout for, according to their own grant proposal, and a feature quickly recognized by other scientists.
• Worse still, as the pandemic raged, their American collaborators failed to publicly reveal the existence of the Defuse proposal. The president of EcoHealth, Peter Daszak, recently admitted to Congress that he doesn’t know about virus samples collected by the Wuhan institute after 2015 and never asked the lab’s scientists if they had started the work described in Defuse. In May, citing failures in EcoHealth’s monitoring of risky experiments conducted at the Wuhan lab, the Biden administration suspended all federal funding for the organization and Dr. Daszak, and initiated proceedings to bar them from receiving future grants. In his testimony on Monday, Dr. Fauci said that he supported the decision to suspend and bar EcoHealth.
• Separately, Dr. Baric described the competitive dynamic between his research group and the institute when he told Congress that the Wuhan scientists would probably not have shared their most interesting newly discovered viruses with him . Documents and email correspondence between the institute and Dr. Baric are still being withheld from the public while their release is fiercely contested in litigation.
• In the end, American partners very likely knew of only a fraction of the research done in Wuhan. According to U.S. intelligence sources, some of the institute’s virus research was classified or conducted with or on behalf of the Chinese military . In the congressional hearing on Monday, Dr. Fauci repeatedly acknowledged the lack of visibility into experiments conducted at the Wuhan institute, saying, “None of us can know everything that’s going on in China, or in Wuhan, or what have you. And that’s the reason why — I say today, and I’ve said at the T.I.,” referring to his transcribed interview with the subcommittee, “I keep an open mind as to what the origin is.”

3 The Wuhan lab pursued this type of work under low biosafety conditions that could not have contained an airborne virus as infectious as SARS‑CoV‑2.

• Labs working with live viruses generally operate at one of four biosafety levels (known in ascending order of stringency as BSL-1, 2, 3 and 4) that describe the work practices that are considered sufficiently safe depending on the characteristics of each pathogen. The Wuhan institute’s scientists worked with SARS-like viruses under inappropriately low biosafety conditions .

In the United States, virologists generally use stricter Biosafety Level 3 protocols when working with SARS-like viruses.

Biosafety cabinets prevent

viral particles from escaping.

Viral particles

Personal respirators provide

a second layer of defense against breathing in the virus.

DIRECT CONTACT

Gloves prevent skin contact.

Disposable wraparound

gowns cover much of the rest of the body.

Personal respirators provide a second layer of defense against breathing in the virus.

Disposable wraparound gowns

cover much of the rest of the body.

Note: ​​Biosafety levels are not internationally standardized, and some countries use more permissive protocols than others.

The Wuhan lab had been regularly working with SARS-like viruses under Biosafety Level 2 conditions, which could not prevent a highly infectious virus like SARS-CoV-2 from escaping.

Some work is done in the open air, and masks are not required.

Less protective equipment provides more opportunities

for contamination.

Some work is done in the open air,

and masks are not required.

Less protective equipment provides more opportunities for contamination.

• In one experiment, Dr. Shi’s group genetically engineered an unexpectedly deadly SARS-like virus (not closely related to SARS‑CoV‑2) that exhibited a 10,000-fold increase in the quantity of virus in the lungs and brains of humanized mice . Wuhan institute scientists handled these live viruses at low biosafet y levels , including BSL-2.
• Even the much more stringent containment at BSL-3 cannot fully prevent SARS‑CoV‑2 from escaping . Two years into the pandemic, the virus infected a scientist in a BSL-3 laboratory in Taiwan, which was, at the time, a zero-Covid country. The scientist had been vaccinated and was tested only after losing the sense of smell. By then, more than 100 close contacts had been exposed. Human error is a source of exposure even at the highest biosafety levels , and the risks are much greater for scientists working with infectious pathogens at low biosafety.
• An early draft of the Defuse proposal stated that the Wuhan lab would do their virus work at BSL-2 to make it “highly cost-effective.” Dr. Baric added a note to the draft highlighting the importance of using BSL-3 to contain SARS-like viruses that could infect human cells, writing that “U.S. researchers will likely freak out.” Years later, after SARS‑CoV‑2 had killed millions, Dr. Baric wrote to Dr. Daszak : “I have no doubt that they followed state determined rules and did the work under BSL-2. Yes China has the right to set their own policy. You believe this was appropriate containment if you want but don’t expect me to believe it. Moreover, don’t insult my intelligence by trying to feed me this load of BS.”
• SARS‑CoV‑2 is a stealthy virus that transmits effectively through the air, causes a range of symptoms similar to those of other common respiratory diseases and can be spread by infected people before symptoms even appear. If the virus had escaped from a BSL-2 laboratory in 2019, the leak most likely would have gone undetected until too late.
• One alarming detail — leaked to The Wall Street Journal and confirmed by current and former U.S. government officials — is that scientists on Dr. Shi’s team fell ill with Covid-like symptoms in the fall of 2019 . One of the scientists had been named in the Defuse proposal as the person in charge of virus discovery work. The scientists denied having been sick .

4 The hypothesis that Covid-19 came from an animal at the Huanan Seafood Market in Wuhan is not supported by strong evidence.

• In December 2019, Chinese investigators assumed the outbreak had started at a centrally located market frequented by thousands of visitors daily. This bias in their search for early cases meant that cases unlinked to or located far away from the market would very likely have been missed. To make things worse, the Chinese authorities blocked the reporting of early cases not linked to the market and, claiming biosafety precautions, ordered the destruction of patient samples on January 3, 2020, making it nearly impossible to see the complete picture of the earliest Covid-19 cases. Information about dozens of early cases from November and December 2019 remains inaccessible.
• A pair of papers published in Science in 2022 made the best case for SARS‑CoV‑2 having emerged naturally from human-animal contact at the Wuhan market by focusing on a map of the early cases and asserting that the virus had jumped from animals into humans twice at the market in 2019. More recently, the two papers have been countered by other virologists and scientists who convincingly demonstrate that the available market evidence does not distinguish between a human superspreader event and a natural spillover at the market.
• Furthermore, the existing genetic and early case data show that all known Covid-19 cases probably stem from a single introduction of SARS‑CoV‑2 into people, and the outbreak at the Wuhan market probably happened after the virus had already been circulating in humans.

An analysis of SARS-CoV-2’s evolutionary tree shows how the virus evolved as it started to spread through humans.

SARS-COV-2 Viruses closest

to bat coronaviruses

more mutations

Source: Lv et al., Virus Evolution (2024) , as reproduced by Jesse Bloom

The viruses that infected people linked to the market were most likely not the earliest form of the virus that started the pandemic.

• Not a single infected animal has ever been confirmed at the market or in its supply chain. Without good evidence that the pandemic started at the Huanan Seafood Market, the fact that the virus emerged in Wuhan points squarely at its unique SARS-like virus laboratory.

5 Key evidence that would be expected if the virus had emerged from the wildlife trade is still missing.

In previous outbreaks of coronaviruses, scientists were able to demonstrate natural origin by collecting multiple pieces of evidence linking infected humans to infected animals.

Infected animals

Earliest known

cases exposed to

live animals

Antibody evidence

of animals and

animal traders having

been infected

Ancestral variants

of the virus found in

Documented trade

of host animals

between the area

where bats carry

closely related viruses

and the outbreak site

Infected animals found

Earliest known cases exposed to live animals

Antibody evidence of animals and animal

traders having been infected

Ancestral variants of the virus found in animals

Documented trade of host animals

between the area where bats carry closely

related viruses and the outbreak site

For SARS-CoV-2, these same key pieces of evidence are still missing , more than four years after the virus emerged.

For SARS-CoV-2, these same key pieces of evidence are still missing ,

more than four years after the virus emerged.

• Despite the intense search trained on the animal trade and people linked to the market, investigators have not reported finding any animals infected with SARS‑CoV‑2 that had not been infected by humans. Yet, infected animal sources and other connective pieces of evidence were found for the earlier SARS and MERS outbreaks as quickly as within a few days, despite the less advanced viral forensic technologies of two decades ago.
• Even though Wuhan is the home base of virus hunters with world-leading expertise in tracking novel SARS-like viruses, investigators have either failed to collect or report key evidence that would be expected if Covid-19 emerged from the wildlife trade . For example, investigators have not determined that the earliest known cases had exposure to intermediate host animals before falling ill. No antibody evidence shows that animal traders in Wuhan are regularly exposed to SARS-like viruses, as would be expected in such situations.
• With today’s technology, scientists can detect how respiratory viruses — including SARS, MERS and the flu — circulate in animals while making repeated attempts to jump across species . Thankfully, these variants usually fail to transmit well after crossing over to a new species and tend to die off after a small number of infections. In contrast, virologists and other scientists agree that SARS‑CoV‑2 required little to no adaptation to spread rapidly in humans and other animals . The virus appears to have succeeded in causing a pandemic upon its only detected jump into humans.

The pandemic could have been caused by any of hundreds of virus species, at any of tens of thousands of wildlife markets, in any of thousands of cities, and in any year. But it was a SARS-like coronavirus with a unique furin cleavage site that emerged in Wuhan, less than two years after scientists, sometimes working under inadequate biosafety conditions, proposed collecting and creating viruses of that same design.

While several natural spillover scenarios remain plausible, and we still don’t know enough about the full extent of virus research conducted at the Wuhan institute by Dr. Shi’s team and other researchers, a laboratory accident is the most parsimonious explanation of how the pandemic began.

Given what we now know, investigators should follow their strongest leads and subpoena all exchanges between the Wuhan scientists and their international partners, including unpublished research proposals, manuscripts, data and commercial orders. In particular, exchanges from 2018 and 2019 — the critical two years before the emergence of Covid-19 — are very likely to be illuminating (and require no cooperation from the Chinese government to acquire), yet they remain beyond the public’s view more than four years after the pandemic began.

Whether the pandemic started on a lab bench or in a market stall, it is undeniable that U.S. federal funding helped to build an unprecedented collection of SARS-like viruses at the Wuhan institute, as well as contributing to research that enhanced them . Advocates and funders of the institute’s research, including Dr. Fauci, should cooperate with the investigation to help identify and close the loopholes that allowed such dangerous work to occur. The world must not continue to bear the intolerable risks of research with the potential to cause pandemics .

A successful investigation of the pandemic’s root cause would have the power to break a decades-long scientific impasse on pathogen research safety, determining how governments will spend billions of dollars to prevent future pandemics. A credible investigation would also deter future acts of negligence and deceit by demonstrating that it is indeed possible to be held accountable for causing a viral pandemic. Last but not least, people of all nations need to see their leaders — and especially, their scientists — heading the charge to find out what caused this world-shaking event. Restoring public trust in science and government leadership requires it.

A thorough investigation by the U.S. government could unearth more evidence while spurring whistleblowers to find their courage and seek their moment of opportunity. It would also show the world that U.S. leaders and scientists are not afraid of what the truth behind the pandemic may be.

More on how the pandemic may have started

Where Did the Coronavirus Come From? What We Already Know Is Troubling.

Even if the coronavirus did not emerge from a lab, the groundwork for a potential disaster had been laid for years, and learning its lessons is essential to preventing others.

By Zeynep Tufekci

Why Does Bad Science on Covid’s Origin Get Hyped?

If the raccoon dog was a smoking gun, it fired blanks.

By David Wallace-Wells

A Plea for Making Virus Research Safer

A way forward for lab safety.

By Jesse Bloom

The Times is committed to publishing a diversity of letters to the editor. We’d like to hear what you think about this or any of our articles. Here are some tips . And here’s our email: [email protected] .

Follow the New York Times Opinion section on Facebook , Instagram , TikTok , WhatsApp , X and Threads .

Alina Chan ( @ayjchan ) is a molecular biologist at the Broad Institute of M.I.T. and Harvard, and a co-author of “ Viral : The Search for the Origin of Covid-19.” She was a member of the Pathogens Project , which the Bulletin of the Atomic Scientists organized to generate new thinking on responsible, high-risk pathogen research.

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Panel rejects psychedelic drug MDMA as PTSD treatment in possible setback for advocates

by Associated Press

WASHINGTON (AP) — Federal health advisers voted Tuesday against a first-of-a-kind proposal to begin using the mind-altering drug MDMA as a treatment for PTSD, handing a potentially major setback to psychedelic advocates who hope to win a landmark federal approval and bring the banned drugs into the medical mainstream.

The panel of advisers to the Food and Drug Administration sided 10-1 against the overall benefits of MDMA when used to treat post-traumatic stress disorder. They cited flawed study data, questionable research conduct and significant drug risks, including the potential for heart problems, injury and abuse.

It seems like there are so many problems with the data — each one alone might be OK, but when you pile them on top of each other there’s just a lot of questions I would have about how effective the treatment is,” said Dr. Melissa Decker Barone, a psychologist with the Department of Veterans Affairs.

The FDA is not required to follow the group’s advice and is expected to make its final decision by August, but the negative opinion could strengthen FDA’s rationale for rejecting the treatment.

The vote followed hours of pointed questions and criticisms about the research submitted on MDMA — sometimes called ecstasy or molly. Panelists pointed to flawed studies that could have skewed the results, missing follow-up data on patient outcomes and a lack of diversity among participants. The vast majority of patients studied were white, with only five Black patients receiving MDMA, raising questions about the generalizability of the results.

The fact that this study has so many white participants is problematic because I don’t want something to roll out that only helps this one group,” said Elizabeth Joniak-Grant, the group’s patient representative.

The FDA advisers also drew attention to allegations of misconduct in the trials that have recently surfaced in news stories and a report by the nonprofit Institute for Clinical and Economic Review, which evaluates experimental drug treatments. The incidents include a 2018 report of apparent sexual misconduct by a therapist interacting with a patient.

Lykos Therapeutics, the company behind the study, said it previously reported the incident to the FDA and regulators in Canada, where the therapist is based. Lykos is essentially a corporate spinoff of the nation’s leading psychedelic advocacy group, the Multidisciplinary Association for Psychedelic Studies, or MAPS, which funded the studies. The group was founded in 1986 to promote the benefits of MDMA and other mind-altering substances.

MDMA is the first in a series of psychedelics — including LSD and psilocybin — that are expected to come before the FDA in the next few years. The panel’s negative ruling could further derail financial investments in the fledgling industry, which has mainly been funded by a small number of wealthy backers.

MDMA’s main effect is triggering feelings of intimacy, connection and euphoria. When used to enhance talk therapy, the drug appears to help patients process their trauma and let go of disturbing thoughts and memories.

But the panel struggled with the reliability of those results, given the difficulties of objectively testing psychedelic drugs.

Because MDMA causes intense, psychological experiences, almost all patients in two key studies of the drug were able to guess whether they had received the MDMA or a dummy pill. That’s the opposite of the approach generally required for high-quality drug research, in which bias is minimized by “blinding” patients and researchers to whether they received the drug under investigation.

“I’m not convinced at all that this drug is effective based on the data I saw,” said Dr. Rajesh Narendran, a University of Pittsburgh psychiatrist who chaired the panel.

Panelists also noted the difficulty of knowing how much of patients’ improvement came from MDMA versus simply undergoing the extensive therapy, which totaled more than 80 hours for many patients. Results were further marred by other complicating factors, including a large number of patients who had previously used MDMA or other psychedelics drugs recreationally.

Nearly three dozen public speakers also addressed the panel, including veterans who said they benefitted from MDMA therapy, medical professionals who advised against its use and journalists and independent researchers who reiterated the allegations of misconduct in the trials.

2024 Theses Doctoral

Statistically Efficient Methods for Computation-Aware Uncertainty Quantification and Rare-Event Optimization

He, Shengyi

The thesis covers two fundamental topics that are important across the disciplines of operations research, statistics and even more broadly, namely stochastic optimization and uncertainty quantification, with the common theme to address both statistical accuracy and computational constraints. Here, statistical accuracy encompasses the precision of estimated solutions in stochastic optimization, as well as the tightness or reliability of confidence intervals. Computational concerns arise from rare events or expensive models, necessitating efficient sampling methods or computation procedures. In the first half of this thesis, we study stochastic optimization that involves rare events, which arises in various contexts including risk-averse decision-making and training of machine learning models. Because of the presence of rare events, crude Monte Carlo methods can be prohibitively inefficient, as it takes a sample size reciprocal to the rare-event probability to obtain valid statistical information about the rare-event. To address this issue, we investigate the use of importance sampling (IS) to reduce the required sample size. IS is commonly used to handle rare events, and the idea is to sample from an alternative distribution that hits the rare event more frequently and adjusts the estimator with a likelihood ratio to retain unbiasedness. While IS has been long studied, most of its literature focuses on estimation problems and methodologies to obtain good IS in these contexts. Contrary to these studies, the first half of this thesis provides a systematic study on the efficient use of IS in stochastic optimization. In Chapter 2, we propose an adaptive procedure that converts an efficient IS for gradient estimation to an efficient IS procedure for stochastic optimization. Then, in Chapter 3, we provide an efficient IS for gradient estimation, which serves as the input for the procedure in Chapter 2. In the second half of this thesis, we study uncertainty quantification in the sense of constructing a confidence interval (CI) for target model quantities or prediction. We are interested in the setting of expensive black-box models, which means that we are confined to using a low number of model runs, and we also lack the ability to obtain auxiliary model information such as gradients. In this case, a classical method is batching, which divides data into a few batches and then constructs a CI based on the batched estimates. Another method is the recently proposed cheap bootstrap that is constructed on a few resamples in a similar manner as batching. These methods could save computation since they do not need an accurate variability estimator which requires sufficient model evaluations to obtain. Instead, they cancel out the variability when constructing pivotal statistics, and thus obtain asymptotically valid t-distribution-based CIs with only few batches or resamples. The second half of this thesis studies several theoretical aspects of these computation-aware CI construction methods. In Chapter 4, we study the statistical optimality on CI tightness among various computation-aware CIs. Then, in Chapter 5, we study the higher-order coverage errors of batching methods. Finally, Chapter 6 is a related investigation on the higher-order coverage and correction of distributionally robust optimization (DRO) as another CI construction tool, which assumes an amount of analytical information on the model but bears similarity to Chapter 5 in terms of analysis techniques.

• Operations research
• Stochastic processes--Mathematical models
• Mathematical optimization
• Bootstrap (Statistics)
• Sampling (Statistics)

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Straight Talk About Soy

The Takeaway: Soy is a unique food that is widely studied for its estrogenic and anti-estrogenic effects on the body. Studies may seem to present conflicting conclusions about soy, but this is largely due to the wide variation in how soy is studied. Results of recent population studies suggest that soy has either a beneficial or neutral effect on various health conditions. Soy is a nutrient-dense source of protein that can safely be consumed several times a week, and probably more often, and is likely to provide health benefits—especially when eaten as an alternative to red and processed meat.

Soy is exalted as a health food by some, with claims of taming hot flashes, warding off osteoporosis, and protecting against hormonal cancers like breast and prostate.

At the same time, soy is shunned by others for fear that it may cause breast cancer, thyroid problems, and dementia, though these claims have not been substantiated.

Whether published in a popular press article or a well-designed clinical study, some debate about soy remains. As a species within the legume family , nutrition scientists often label soy as a food with potential for significant health benefits. However, due to contrary research that suggests possible negative effects of soy in certain situations, there has been a hesitancy to wholeheartedly promote soy.

Part of the uncertainty is due to the intricacy of soy’s effects on the body. Soy is unique in that it contains a high concentration of isoflavones, a type of plant estrogen (phytoestrogen) that is similar in function to human estrogen but with much weaker effects. Soy isoflavones can bind to estrogen receptors in the body and cause either weak estrogenic or anti-estrogenic activity. The two major soy isoflavones are called genistein and daidzein. Soy isoflavones and soy protein appear to have different actions in the body based on the following factors:

• Type of study . Is it being examined in a study with animals or humans? Soy may be metabolized differently in animals, so the outcomes of animal studies may not be applicable to humans.
• Hormone levels . Because soy can have estrogenic properties, its effects can vary depending on the existing level of hormones in the body. Premenopausal women have much higher circulating levels of estradiol—the major form of estrogen in the human body—than postmenopausal women. In this context soy may act like an anti-estrogen, but among postmenopausal women soy may act more like an estrogen. Also, women with breast cancer are classified into hormone type—either hormone positive (ER+/PR+) or hormone negative (ER-/PR-) breast cancer—and these tumors respond differently to estrogens.
• Type of soy . What type of soy is being studied: Whole soy foods such as tofu and soybeans, processed versions like soy protein powders, or soy-based veggie burgers? Fermented or unfermented soy foods? If supplements are used, do they contain isoflavones or soy protein?

Thus, there are many factors that make it difficult to construct blanket statements about the health effects of soy. 

Aside from their isoflavone content, soy foods are rich in nutrients including B vitamins , fiber , potassium , magnesium , and high-quality protein . Unlike some plant proteins, soy protein is considered a complete protein, containing all nine essential amino acids that the body cannot make which must be obtained from the diet. Soy foods are also classified as fermented or unfermented (see table with examples, below). Fermented means that the soy food has been cultured with beneficial bacteria , yeast, or mold. Some believe that fermenting soy improves its digestibility and absorption in the body, as this process partially breaks down soy’s sugar and protein molecules.

Research on Soy and Disease

Learn more about the research on soy and specific diseases or other conditions:

Soy protein took center stage after research showed that it might lower levels of harmful cholesterol. A 1995 meta-analysis of 38 controlled clinical trials showed that eating approximately 50 grams of soy protein a day (no small amount as this translates to 1½ pounds of tofu or eight 8-ounce glasses of soy milk!) in place of animal protein reduced harmful LDL cholesterol by 12.9 percent. [1] Such reductions, if sustained over time, could mean a greater than 20% lower risk of heart attack, stroke, or other forms of cardiovascular disease. In response to this finding, in 1999 the Food and Drug Administration (FDA) allowed companies to claim that diets low in saturated fat and cholesterol that also contain soy “may reduce the risk of heart disease.” [2]

However, a number of studies since have tempered that finding. [3] According to a comprehensive update of soy research by the nutrition committee of the American Heart Association (AHA) published in 2000, eating 50 grams of soy per day lowered LDL by only about 3%. [3] In October 2017, after review of additional scientific studies since the health claim was authorized, the FDA proposed a rule to revoke the claim because numerous studies presented inconsistent findings on the relationship between soy protein and heart disease. [4] Some of these inconsistencies may have resulted because soy was compared with a variety of alternative foods.

Even though soy protein may have only a small direct effect on cholesterol, soy may still benefit the heart in other ways. An epidemiological study following three large cohorts of American men and women who did not have cardiovascular disease at the start of the study found that those who ate the highest amounts of tofu and isoflavones from soy foods, compared with those who ate the least, had an 18% and 13% lower risk, respectively, of developing heart disease. [5] The benefit of tofu was stronger in premenopausal women and postmenopausal women not using hormone therapy.

Soy foods are generally good for the heart and blood vessels because they provide polyunsaturated fat, fiber, vitamins, and minerals, and are low in saturated fat. Replacing red meat with plant proteins including soy foods, beans, and nuts was associated with a 14% lower risk of heart disease, as found in the Health Professionals Follow-up Study, a large long-term epidemiological study of more than 43,000 men. [6] Another large cohort of more than 500,000 Chinese adults with no previous cardiovascular disease found that those with the highest intakes of soy (4+ days a week) compared with those who never ate soy had a 25% lower risk of deaths from heart attack. [7]

Hormone replacement therapy has traditionally been used as an effective treatment for hot flashes and other unpleasant symptoms that accompany menopause, but its long-term use has raised concerns of an increased risk of some diseases including breast cancer and stroke. Soy has been a popular alternative treatment but not clearly supported by research; in theory the potential estrogenic effects of soy isoflavones could help to tame hot flashes by giving an estrogen-like boost during a time of dwindling estrogen levels.

In many Far East Asian countries where soy is eaten daily, women have lower rates of menopausal symptoms, although research is conflicting as to whether soy is a primary contributor. [8] Reports suggest that about 70–80% of U.S. women of menopausal and perimenopausal age experience hot flashes, in comparison with 10–20% of Far Eastern Asian women. [9] Further, the average blood concentration of the isoflavone genistein in Asian women who regularly consume soy is about 12 times higher than that of U.S. women. [9]

Yet several meta-analyses and carefully controlled clinical studies have not found strong evidence of a link. [10,11] An AHA review in 2006 concluded that it was unlikely that soy isoflavones exert enough estrogenic activity to have an important impact on hot flashes and other symptoms of menopause. [3] A JAMA review the same year found highly conflicting results with soy isoflavone extracts and stated that the overall evidence did not support its benefit in relieving hot flashes. [12]

In another review of 43 randomized controlled trials have examined the effects of phytoestrogens on hot flashes and night sweats in perimenopausal and postmenopausal women. Four trials found that extracts of 30 mg or greater of genistein consistently reduced the frequency of hot flashes. Other trials that used dietary soy or soy extracts suggested a reduced frequency and severity of hot flashes and night sweats when compared with placebo, but these trials were small with a possible strong placebo effect. [8] No adverse effects were noted from the soy treatments when followed for up to two years, but the authors did not feel overall there was strong and consistent evidence for a benefit of soy.

Another meta-analysis of 16 studies found that soy isoflavone supplements had a small and gradual effect in weakening menopausal hot flashes compared with estradiol (human estrogen). However, authors noted weaknesses in the analysis due to a small number of participants and high variability in study design. [9]

A more recent review of randomized trials found that some studies showed benefit of soy supplements on hot flashes; the therapeutic dosage ranged from 40-70 mg of isoflavones daily. [13] The authors also observed that the presence of equol (a protective substance made from the breakdown of isoflavones that only some women can produce) may be needed for isoflavones to effectively reduce hot flashes. Despite these results, the study authors did not offer a confident conclusion on the use of isoflavone supplements due to variations in study design and length; differences in the types and dosages of supplements; and the small sample sizes and high drop-out rates.

This area needs further research as questions remain about a possible benefit of soy. Results are conflicting, potentially due to variation in the types of soy preparations used, the quantities given, and for how long they are used.

Phytoestrogens don’t always mimic estrogen. In some tissues and in some people, they may block the action of estrogen. If soy’s estrogen-blocking action occurs in the breast, then eating soy could, in theory, reduce the risk of breast cancer because estrogen stimulates the growth and multiplication of breast and breast cancer cells. Studies so far have not provided a clear answer. Some have shown a benefit with soy consumption and breast cancer while others show no association. [14-17] It appears that the effects of soy may vary depending on menopausal status, the age at which soy is consumed, and type of breast cancer.

In animal and cell studies, high dosages of isoflavone or isolated soy protein extracts tend to stimulate breast cancer growth. [18,19] However, studies that observe people consuming soy foods over time show either a protective or neutral effect. Women from Asian countries appear to receive greater protective benefit from breast cancer with high soy intakes than American and European women, but this may simply be a difference in the amount of soy consumed. [20,21] Asian women may have higher levels of equol, a substance metabolized from the isoflavone daidzein by bacterial flora in the intestines. [22] Equol is believed to block potentially negative effects of human estrogen, but not all women possess the bacteria needed to create equol. [23] It is estimated that 30-50% of all humans are able to produce equol. [24] Eating soy foods starting at an early age (such as those found in many traditional Far East Asian diets) may be why women from some countries find greater benefit from soy foods than others. [19] However, the overall evidence on equol and cancer risk is unsettled. [25]

The Shanghai Women’s Health Study which followed 73,223 Chinese women for more than 7 years has been the largest and most detailed study of soy and breast cancer risk in a population with high soy consumption. [26] In this study, women who ate the most soy had a 59% lower risk of premenopausal breast cancer compared with those who ate the lowest amounts of soy. There was no association with postmenopausal breast cancer. Risk was 43% lower when soy was eaten during adolescence. Seven years later, the study authors published a follow-up analysis from the same cohort over 13 years to evaluate any association between soy foods and specific types of breast cancer defined by hormone receptors and by menopausal status (Estrogen [ER] +/-; Progesterone [PR] +/-). [27] Key highlights of the study:

• A 22% lower risk of breast cancer when comparing the highest to lowest intakes of soy during adulthood.
• A 28% lower risk of hormone positive (ER+, PR+) breast cancer in postmenopausal women.
• A 54% lower risk of hormone negative (ER-, PR-) breast cancer in premenopausal women.
• A 47% lower risk of premenopausal breast cancer when comparing high to low intakes of soy during adolescence and adulthood.

The Breast Cancer Family Registry was a prospective study following 6,235 women for 9 years diagnosed with breast cancer and living in the U.S. and Canada; intake of soy isoflavones was examined in relation to deaths from all causes. [28] Key highlights of the study:

• Women who ate the highest amounts of soy isoflavones had a 21% lower risk of death compared with women with the lowest intakes.
• Women who had ER-/PR- tumors and who were not receiving tamoxifen appeared to receive greatest benefit from the higher soy isoflavone intakes. However, isoflavone intake did not have a negative impact on women who were receiving tamoxifen or who had ER+/PR+ tumors.
• Of all ethnicities, Asian American women tended to have the highest isoflavone intakes at about 6 mg daily, but this amount was still much lower than women living in Asian countries who eat closer to 46 mg daily. The authors noted that American women appeared to benefit from eating smaller amounts of soy.

Another prospective study followed 1,954 American women who were breast cancer survivors for six years. [29] Key highlights of the study:

• Among postmenopausal women treated with tamoxifen, breast cancer recurrence was 60% lower when comparing the highest to the lowest daidzein (a specific type of soy isoflavone) No benefit was observed in women who had never used tamoxifen.
• Recurrence was lower with increasing isoflavone intake among women with tumors that were ER+/PR+ but not ER-/PR-.
• The most frequent sources of soy foods were not whole or minimally processed soy foods, but rather soy sauce, breakfast or diet drinks, tofu, diet bars, and soy protein isolate powder. The mean amount of isoflavones in the “high” category was about 19 mg daidzein and 27 mg genistein daily—a modest amount compared with Asian populations.
• The authors concluded that soy isoflavones eaten at levels comparable to those in Asian populations may reduce the risk of cancer recurrence in women receiving tamoxifen therapy and does not appear to interfere with tamoxifen efficacy. However, the findings need to be confirmed because they were mainly in subgroups and could be due to chance.

Prospective studies also find soy foods to be protective from breast cancer deaths:

• A cohort study of 1,460 Chinese women who were early-stage breast cancer survivors looked at dietary soy isoflavone intakes at baseline and after the breast cancer diagnosis, over a four-year period. [30] Higher soy intakes at baseline were associated with a 66% lower risk of deaths from any cause and a 64% lower risk of deaths from breast cancer. Higher soy intakes after diagnosis were associated with a 64% and 51% lower risk of deaths, from any cause and from breast cancer, respectively. The effects were greater in women who were premenopausal, had ER-/PR- tumors, and were taking tamoxifen.
• A meta-analysis of prospective cohort studies found a 12% reduction in breast cancer deaths with each 5 gram per day increase in soy protein intake. [31]

However, randomized controlled trials do not show an effect of soy foods on risk factors for breast cancer:

• A review of randomized controlled trials (RCTs) looked at isoflavone intakes ranging from 36-235 mg/day from food or supplements, taken from 1 month to 3 years, and breast cancer risk (as measured by breast density, changes in estrogen, and bloodwork) in healthy women. [32] The eighteen RCTs included both pre- and postmenopausal participants. No changes in breast cancer risk factors were found with isoflavone intakes. The authors noted limitations in their analysis in that there were wide variations in numbers of participants and the doses and duration of treatments, which made drawing firm conclusions difficult. Most importantly, these studies did not examine actual incidence of breast cancer.

The incidence of prostate cancer is highest in Western countries and lowest in Asian countries, where soy foods are a regular part of the daily diet. In addition, observational studies have found an increased risk of prostate cancer in Chinese and Japanese men who move to Western countries and adopt a Western diet, but not in those who continue eating a traditional diet. [33] Soy isoflavones, specifically genistein and daidzein, are incorporated in prostate tissue and may act as weak estrogens and inhibit the development of prostate cancer. [34]

In a meta-analysis of 30 case-control and cohort studies from the U.S., Europe, Japan, and China, intakes of total soy foods, genistein, daidzein, and unfermented soy foods were associated with a lower risk of prostate cancer. [34]

A review of eight randomized controlled trials examined the effects of soy in men with or at risk of developing prostate cancer. Two of these studies found that isoflavone supplements or dietary soy protein reduced the risk of prostate cancer in men at high risk of developing the disease. However, none of the studies found a significant effect on prostate specific antigen (PSA) levels, a protein produced by the prostate gland that is used to detect prostate cancer. There were no adverse effects reported with soy supplementation. The authors discussed limitations of the review including the small number of participants, the short duration of studies (less than one year), and variation in dosages and types of soy given. [33]

A small randomized controlled trial in 2021 examined if soy protein supplements could slow down or reverse rising PSA levels in men who had previously been diagnosed and treated for prostate cancer, but who had a recurrence (as evidenced by rising PSA levels). The study found that even though the soy protein supplements increased blood levels of genistein, there was no effect of the supplement versus placebo on PSA levels when given for 6-8 months. [35]

Fermented soy foods commonly eaten in East Asian diets, including natto, tempeh, soy paste, and soy sauce, contain isoflavones and also bacteria that might have benefits for neurological disorders including cognitive decline, Alzheimer’s disease (AD), and Parkinson’s disease (PD). Soy’s antioxidant and anti-inflammatory effects may reduce the oxidative stresses associated with AD and PD. [36] Animal studies have suggest that soy compounds can weaken the progression of AD and prevent nerve cell death. They also find that soy can reduce inflammation and excess free radical production in the brain. AD has been associated with decreased levels of beneficial anti-inflammatory bacteria while harboring increased levels of proinflammatory bacteria.  Fermented soy foods are produced with beneficial bacteria like Lactobacilli, Bifidobacteria, and Bacillus species that produce butyrate, a short-chain fatty acid that regulates immune function and is being investigated for its protective effects on the brain.

Long-term low levels of estrogen the occur in menopausal women can reduce the number of estrogen receptors in the brain that are necessary for specific cognitive functions like memory and learning. [37] The soy isoflavone, daidzein, has been hypothesized to reduce decline in cognitive function or disease processes related to cognition and behavior. Thus, the possibility has been raised that eating soy foods might help prevent age-related memory loss or decline in thinking skills. [38]

Studies in humans, however, are not conclusive on soy’s effects on the brain:

• Trials have yielded contradictory results, with some showing a benefit with soy isoflavone supplementation [39, 40] and others showing no benefit. [41-43] A review of 13 randomized controlled trials found that in about half of the studies, isoflavone supplementation had a beneficial effect on cognition in older men and women compared with controls, including improvements in attention, information-processing speed, and memory. However the results overall were mixed, with other studies not demonstrating a benefit. This may have been due to differing dosages given or the types of cognition tests used. [37]

One large study in men found a detrimental effect on cognitive function. In a prospective cohort study of more than 3,700 Japanese-American men living in Hawaii, those with the highest intakes of tofu (eaten almost daily) at midlife ages had greater cognitive impairment and brain atrophy in late life compared with men with the lowest tofu intakes (almost never eaten). [44] However, the actual number of men eating very high amounts of tofu was small, and past dietary information was collected by relying on the participants’ memory, some of whom may have already experienced cognitive decline. Because of this, the researchers stated that the findings were too preliminary to make recommendations. [45]

A meta-analysis of 18 randomized controlled trials found that although soy supplements raised thyroid stimulating hormone levels slightly, they did not have any effect on actual thyroid hormone production. [46] However, another study found that soy may interfere with thyroid hormone medication used to treat hypothyroidism. In one randomized double-blinded trial, 60 patients with a mild form of hypothyroidism (called subclinical hypothyroidism) were given low or high-dose phytoestrogen supplements (both also contained 30 grams of soy protein), the amount that might be obtained from a vegetarian diet. [47] Risk of developing clinical hypothyroidism was increased in the higher phytoestrogen group (no effect in the lower phytoestrogen group). The authors suggested that female vegetarian patients with subclinical hypothyroidism may need more careful monitoring of thyroid function. However, the authors also found a benefit on of reduced cardiovascular risk factors in the high phytoestrogen group, with a significant reduction in insulin resistance, inflammatory markers, and blood pressure. The effect of soy on thyroid function needs further examination.

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Last reviewed January 2022

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