what is the research proposal

What (Exactly) Is A Research Proposal?

A simple explainer with examples + free template.

By: Derek Jansen (MBA) | Reviewed By: Dr Eunice Rautenbach | June 2020 (Updated April 2023)

Whether you’re nearing the end of your degree and your dissertation is on the horizon, or you’re planning to apply for a PhD program, chances are you’ll need to craft a convincing research proposal . If you’re on this page, you’re probably unsure exactly what the research proposal is all about. Well, you’ve come to the right place.

Overview: Research Proposal Basics

• What a research proposal is
• What a research proposal needs to cover
• How to structure your research proposal
• Example /sample proposals
• Proposal writing FAQs
• Key takeaways & additional resources

What is a research proposal?

Simply put, a research proposal is a structured, formal document that explains what you plan to research (your research topic), why it’s worth researching (your justification), and how  you plan to investigate it (your methodology). 

The purpose of the research proposal (its job, so to speak) is to convince  your research supervisor, committee or university that your research is  suitable  (for the requirements of the degree program) and  manageable  (given the time and resource constraints you will face). 

The most important word here is “ convince ” – in other words, your research proposal needs to  sell  your research idea (to whoever is going to approve it). If it doesn’t convince them (of its suitability and manageability), you’ll need to revise and resubmit . This will cost you valuable time, which will either delay the start of your research or eat into its time allowance (which is bad news). 

What goes into a research proposal?

A good dissertation or thesis proposal needs to cover the “ what “, “ why ” and” how ” of the proposed study. Let’s look at each of these attributes in a little more detail:

Your proposal needs to clearly articulate your research topic . This needs to be specific and unambiguous . Your research topic should make it clear exactly what you plan to research and in what context. Here’s an example of a well-articulated research topic:

An investigation into the factors which impact female Generation Y consumer’s likelihood to promote a specific makeup brand to their peers: a British context

As you can see, this topic is extremely clear. From this one line we can see exactly:

• What’s being investigated – factors that make people promote or advocate for a brand of a specific makeup brand
• Who it involves – female Gen-Y consumers
• In what context – the United Kingdom

So, make sure that your research proposal provides a detailed explanation of your research topic . If possible, also briefly outline your research aims and objectives , and perhaps even your research questions (although in some cases you’ll only develop these at a later stage). Needless to say, don’t start writing your proposal until you have a clear topic in mind , or you’ll end up waffling and your research proposal will suffer as a result of this.

Need a helping hand?

As we touched on earlier, it’s not good enough to simply propose a research topic – you need to justify why your topic is original . In other words, what makes it  unique ? What gap in the current literature does it fill? If it’s simply a rehash of the existing research, it’s probably not going to get approval – it needs to be fresh.

But,  originality  alone is not enough. Once you’ve ticked that box, you also need to justify why your proposed topic is  important . In other words, what value will it add to the world if you achieve your research aims?

As an example, let’s look at the sample research topic we mentioned earlier (factors impacting brand advocacy). In this case, if the research could uncover relevant factors, these findings would be very useful to marketers in the cosmetics industry, and would, therefore, have commercial value . That is a clear justification for the research.

So, when you’re crafting your research proposal, remember that it’s not enough for a topic to simply be unique. It needs to be useful and value-creating – and you need to convey that value in your proposal. If you’re struggling to find a research topic that makes the cut, watch  our video covering how to find a research topic .

It’s all good and well to have a great topic that’s original and valuable, but you’re not going to convince anyone to approve it without discussing the practicalities – in other words:

• How will you actually undertake your research (i.e., your methodology)?
• Is your research methodology appropriate given your research aims?
• Is your approach manageable given your constraints (time, money, etc.)?

While it’s generally not expected that you’ll have a fully fleshed-out methodology at the proposal stage, you’ll likely still need to provide a high-level overview of your research methodology . Here are some important questions you’ll need to address in your research proposal:

• Will you take a qualitative , quantitative or mixed -method approach?
• What sampling strategy will you adopt?
• How will you collect your data (e.g., interviews, surveys, etc)?
• How will you analyse your data (e.g., descriptive and inferential statistics , content analysis, discourse analysis, etc, .)?
• What potential limitations will your methodology carry?

So, be sure to give some thought to the practicalities of your research and have at least a basic methodological plan before you start writing up your proposal. If this all sounds rather intimidating, the video below provides a good introduction to research methodology and the key choices you’ll need to make.

How To Structure A Research Proposal

Now that we’ve covered the key points that need to be addressed in a proposal, you may be wondering, “ But how is a research proposal structured? “.

While the exact structure and format required for a research proposal differs from university to university, there are four “essential ingredients” that commonly make up the structure of a research proposal:

• A rich introduction and background to the proposed research
• An initial literature review covering the existing research
• An overview of the proposed research methodology
• A discussion regarding the practicalities (project plans, timelines, etc.)

In the video below, we unpack each of these four sections, step by step.

Research Proposal Examples/Samples

In the video below, we provide a detailed walkthrough of two successful research proposals (Master’s and PhD-level), as well as our popular free proposal template.

Proposal Writing FAQs

How long should a research proposal be.

This varies tremendously, depending on the university, the field of study (e.g., social sciences vs natural sciences), and the level of the degree (e.g. undergraduate, Masters or PhD) – so it’s always best to check with your university what their specific requirements are before you start planning your proposal.

As a rough guide, a formal research proposal at Masters-level often ranges between 2000-3000 words, while a PhD-level proposal can be far more detailed, ranging from 5000-8000 words. In some cases, a rough outline of the topic is all that’s needed, while in other cases, universities expect a very detailed proposal that essentially forms the first three chapters of the dissertation or thesis.

The takeaway – be sure to check with your institution before you start writing.

How do I choose a topic for my research proposal?

Finding a good research topic is a process that involves multiple steps. We cover the topic ideation process in this video post.

How do I write a literature review for my proposal?

While you typically won’t need a comprehensive literature review at the proposal stage, you still need to demonstrate that you’re familiar with the key literature and are able to synthesise it. We explain the literature review process here.

How do I create a timeline and budget for my proposal?

We explain how to craft a project plan/timeline and budget in Research Proposal Bootcamp .

Which referencing format should I use in my research proposal?

The expectations and requirements regarding formatting and referencing vary from institution to institution. Therefore, you’ll need to check this information with your university.

What common proposal writing mistakes do I need to look out for?

We’ve create a video post about some of the most common mistakes students make when writing a proposal – you can access that here . If you’re short on time, here’s a quick summary:

• The research topic is too broad (or just poorly articulated).
• The research aims, objectives and questions don’t align.
• The research topic is not well justified.
• The study has a weak theoretical foundation.
• The research design is not well articulated well enough.
• Poor writing and sloppy presentation.
• Poor project planning and risk management.
• Not following the university’s specific criteria.

Key Takeaways & Additional Resources

As you write up your research proposal, remember the all-important core purpose:  to convince . Your research proposal needs to sell your study in terms of suitability and viability. So, focus on crafting a convincing narrative to ensure a strong proposal.

At the same time, pay close attention to your university’s requirements. While we’ve covered the essentials here, every institution has its own set of expectations and it’s essential that you follow these to maximise your chances of approval.

By the way, we’ve got plenty more resources to help you fast-track your research proposal. Here are some of our most popular resources to get you started:

• Proposal Writing 101 : A Introductory Webinar
• Research Proposal Bootcamp : The Ultimate Online Course
• Template : A basic template to help you craft your proposal

If you’re looking for 1-on-1 support with your research proposal, be sure to check out our private coaching service , where we hold your hand through the proposal development process (and the entire research journey), step by step.

Psst… there’s more!

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

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51 Comments

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You’re most welcome. We don’t have any research proposals that we can share (the students own the intellectual property), but you might find our research proposal template useful: https://gradcoach.com/research-proposal-template/

Cheruiyot Moses Kipyegon

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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 | Examples & Templates

How to Write a Research Proposal | Examples & Templates

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

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

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

Introduction

Literature review.

• Research design

Reference list

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

Table of contents

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

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

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

Research proposal length

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

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

Download our research proposal template

Prevent plagiarism, run a free check.

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

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

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

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

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

Your introduction should:

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

To guide your introduction , include information about:

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

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

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

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

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

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

For example, your results might have implications for:

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

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

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

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

Download our research schedule template

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

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

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

To determine your budget, think about:

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

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

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

I will compare …

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

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

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

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

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

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

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

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

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How to write a research proposal

What is a research proposal?

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Generally, your structure should look something like this:

• Introduction
• Literature Review
• Research Design
• Implications

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

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

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

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

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

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

Think about answering these questions:

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

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

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

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

➡️ Read more about how to write a literature review .

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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11.2 Steps in Developing a Research Proposal

Learning objectives.

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

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

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

Choosing a Topic

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

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

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

Identifying Potential Topics

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

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

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

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

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

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

Narrowing Your Topic

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

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

Exploring Your Topic in Writing

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

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

Conducting Preliminary Research

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

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

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

Writing at Work

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

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

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

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

Collaboration

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

A Plan for Research

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

Formulating a Research Question

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

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

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

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

Constructing a Working ThesIs

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

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

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

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

Creating a Research Proposal

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

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

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

Writing Your Own Research Proposal

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

Key Takeaways

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

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

• 301 Academic Skills Centre
• Study skills online

How to write a research proposal

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

Purpose of a Research Proposal

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

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

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

Your research proposal aims should be centred on: 

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

301 Recommends:

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

Proposal format

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

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

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

Introduction

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

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

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

Literature Review 

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

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

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

Research design and methods

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

You should definitely include:

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

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

Implications and Contributions to Knowledge

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

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

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

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

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

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

Reference List or Bibliography

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

Common mistakes to avoid 

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

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

Links and Resources

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

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

Related information

Dissertation planning

Writing a literature review

Research methods

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How to prepare a Research Proposal

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

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

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

The elements of a research proposal are highlighted below:

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

This section should include:

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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Components of a research proposal.

In general, the proposal components include:

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

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

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

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

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

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

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Writing Research Proposals

The research proposal is your opportunity to show that you—and only you!—are the perfect person to take on your specific project. After reading your research proposal, readers should be confident that…

• You have thoughtfully crafted and designed this project;
• You have the necessary background to complete this project;
• You have the proper support system in place;
• You know exactly what you need to complete this project and how to do so; and
• With this funding in hand, you can be on your way to a meaningful research experience and a significant contribution to your field.

Research proposals typically include the following components:

• Why is your project important? How does it contribute to the field or to society? What do you hope to prove?
• This section includes the project design, specific methodology, your specific role and responsibilities, steps you will take to execute the project, etc. Here you will show the committee the way that you think by explaining both how you have conceived the project and how you intend to carry it out.
• Please be specific in the project dates/how much time you need to carry out the proposed project. The scope of the project should clearly match the timeframe in which you propose to complete it!
• Funding agencies like to know how their funding will be used. Including this information will demonstrate that you have thoughtfully designed the project and know of all of the anticipated expenses required to see it through to completion.
• It is important that you have a support system on hand when conducting research, especially as an undergraduate. There are often surprises and challenges when working on a long-term research project and the selection committee wants to be sure that you have the support system you need to both be successful in your project and also have a meaningful research experience. 
• Some questions to consider are: How often do you intend to meet with your advisor(s)? (This may vary from project to project based on the needs of the student and the nature of the research.) What will your mode of communication be? Will you be attending (or even presenting at) lab meetings? 

Don’t be afraid to also include relevant information about your background and advocate for yourself! Do you have skills developed in a different research experience (or leadership position, job, coursework, etc.) that you could apply to the project in question? Have you already learned about and experimented with a specific method of analysis in class and are now ready to apply it to a different situation? If you already have experience with this professor/lab, please be sure to include those details in your proposal! That will show the selection committee that you are ready to hit the ground running!

Lastly, be sure to know who your readers are so that you can tailor the field-specific language of your proposal accordingly. If the selection committee are specialists in your field, you can feel free to use the jargon of that field; but if your proposal will be evaluated by an interdisciplinary committee (this is common), you might take a bit longer explaining the state of the field, specific concepts, and certainly spelling out any acronyms.

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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
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• Executive Summary
• Background Information
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• Evaluating Sources
• Primary Sources
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• Tertiary Sources
• What Is Scholarly vs. Popular?
• Qualitative Methods
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• Limitations of the Study
• Common Grammar Mistakes
• Avoiding Plagiarism
• Footnotes or Endnotes?
• Further Readings
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• How to Manage Group Projects
• Multiple Book Review Essay
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• 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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Home » Proposal – Types, Examples, and Writing Guide

Proposal – Types, Examples, and Writing Guide

Table of Contents

Definition:

Proposal is a formal document or presentation that outlines a plan, idea, or project and seeks to persuade others to support or adopt it. Proposals are commonly used in business, academia, and various other fields to propose new initiatives, solutions to problems, research studies, or business ventures.

Proposal Layout

While the specific layout of a proposal may vary depending on the requirements or guidelines provided by the recipient, there are some common sections that are typically included in a standard proposal. Here’s a typical layout for a proposal:

• The title of the proposal.
• Your name or the name of your organization.
• Date of submission.
• A list of sections or headings with corresponding page numbers for easy navigation.
• An overview of the proposal, highlighting its key points and benefits.
• Summarize the problem or opportunity.
• Outline the proposed solution or project.
• Mention the expected outcomes or deliverables.
• Keep it concise and compelling.
• Provide background information about the issue or context.
• Explain the purpose and objectives of the proposal.
• Clarify the problem statement or opportunity that the proposal aims to address.
• Describe in detail the methodology , approach , or plan to achieve the objectives.
• Outline the steps or tasks involved in implementing the proposal.
• Explain how the proposed solution or project will be executed.
• Include a timeline or schedule to demonstrate the project’s timeline.
• Define the specific activities, tasks, or services to be provided.
• Clarify the deliverables and expected outcomes.
• Mention any limitations or exclusions, if applicable.
• Provide a detailed breakdown of the costs associated with the proposal.
• Include itemized expenses such as personnel, materials, equipment, and any other relevant costs.
• If applicable, include a justification for each cost.
• Introduce the individuals or team members involved in the proposal.
• Highlight their qualifications, expertise, and experience relevant to the project.
• Include their roles and responsibilities.
• Specify how the success of the proposal will be measured.
• Define evaluation criteria and metrics to assess the outcomes.
• Explain how progress will be tracked and reported.
• Recap the main points of the proposal.
• Reiterate the benefits and advantages of the proposed solution.
• Emphasize the value and importance of supporting or adopting the proposal.
• Include any additional documents, references, charts, graphs, or data that support your proposal.
• These can include resumes, letters of support, financial projections, or relevant research materials.

Types of Types of Proposals

When it comes to proposals, there are various types depending on the context and purpose. Here are some common types of proposals:

Business Proposal

This type of proposal is used in the business world to present a plan, idea, or project to potential clients, investors, or partners. It typically includes an executive summary, problem statement, proposed solution, timeline, budget, and anticipated outcomes.

Project Proposal

A project proposal is a detailed document that outlines the objectives, scope, methodology, deliverables, and budget of a specific project. It is used to seek approval and funding from stakeholders or clients.

Research Proposal

Research proposals are commonly used in academic or scientific settings. They outline the research objectives, methodology, timeline, expected outcomes, and potential significance of a research study. These proposals are submitted to funding agencies, universities, or research institutions.

Grant Proposal

Non-profit organizations, researchers, or individuals seeking funding for a project or program often write grant proposals. These proposals provide a detailed plan of the project, including goals, methods, budget, and expected outcomes, to convince grant-making bodies to provide financial support.

Sales Proposal

Sales proposals are used by businesses to pitch their products or services to potential customers. They typically include information about the product/service, pricing, features, benefits, and a persuasive argument to encourage the recipient to make a purchase.

Sponsorship Proposal

When seeking sponsorship for an event, sports team, or individual, a sponsorship proposal is created. It outlines the benefits for the sponsor, the exposure they will receive, and the financial or in-kind support required.

Marketing Proposal

A marketing proposal is developed by marketing agencies or professionals to present their strategies and tactics to potential clients. It includes an analysis of the target market, proposed marketing activities, budget, and expected results.

Policy Proposal

In the realm of government or public policy, individuals or organizations may create policy proposals to suggest new laws, regulations, or changes to existing policies. These proposals typically provide an overview of the issue, the proposed solution, supporting evidence, and potential impacts.

Training Proposal

Organizations often create training proposals to propose a training program for their employees. These proposals outline the training objectives, topics to be covered, training methods, resources required, and anticipated outcomes.

Partnership Proposal

When two or more organizations or individuals wish to collaborate or form a partnership, a partnership proposal is used to present the benefits, shared goals, responsibilities, and terms of the proposed partnership.

Event Proposal

Event planners or individuals organizing an event, such as a conference, concert, or wedding, may create an event proposal. It includes details about the event concept, venue, logistics, budget, marketing plan, and anticipated attendee experience.

Technology Proposal

Technology proposals are used to present new technological solutions, system upgrades, or IT projects to stakeholders or decision-makers. These proposals outline the technology requirements, implementation plan, costs, and anticipated benefits.

Construction Proposal

Contractors or construction companies create construction proposals to bid on construction projects. These proposals include project specifications, cost estimates, timelines, materials, and construction methodologies.

Book Proposal

Authors or aspiring authors create book proposals to pitch their book ideas to literary agents or publishers. These proposals include a synopsis of the book, target audience, marketing plan, author’s credentials, and sample chapters.

Social Media Proposal

Social media professionals or agencies create social media proposals to present their strategies for managing social media accounts, creating content, and growing online presence. These proposals include an analysis of the current social media presence, proposed tactics, metrics for success, and pricing.

Training and Development Proposal

Similar to training proposals, these proposals focus on the overall development and growth of employees within an organization. They may include plans for leadership development, skill enhancement, or professional certification programs.

Consulting Proposal

Consultants create consulting proposals to present their services and expertise to potential clients. These proposals outline the problem statement, proposed approach, scope of work, timeline, deliverables, and fees.

Policy Advocacy Proposal

Organizations or individuals seeking to influence public policy or advocate for a particular cause create policy advocacy proposals. These proposals present research, evidence, and arguments to support a specific policy change or reform.

Website Design Proposal

Web designers or agencies create website design proposals to pitch their services to clients. These proposals outline the project scope, design concepts, development process, timeline, and pricing.

Environmental Proposal

Environmental proposals are created to address environmental issues or propose conservation initiatives. These proposals may include strategies for renewable energy, waste management, biodiversity preservation, or sustainable practices.

Health and Wellness Proposal

Proposals related to health and wellness can cover a range of topics, such as wellness programs, community health initiatives, healthcare system improvements, or health education campaigns.

Human Resources (HR) Proposal

HR professionals may create HR proposals to introduce new policies, employee benefits programs, performance evaluation systems, or employee training initiatives within an organization.

Nonprofit Program Proposal

Nonprofit organizations seeking funding or support for a specific program or project create nonprofit program proposals. These proposals outline the program’s objectives, activities, target beneficiaries, budget, and expected outcomes.

Government Contract Proposal

When bidding for government contracts, businesses or contractors create government contract proposals. These proposals include details about the project, compliance with regulations, cost estimates, and qualifications.

Product Development Proposal

Businesses or individuals seeking to develop and launch a new product present product development proposals. These proposals outline the product concept, market analysis, development process, production costs, and marketing strategies.

Feasibility Study Proposal

Feasibility study proposals are used to assess the viability and potential success of a project or business idea. These proposals include market research, financial analysis, risk assessment, and recommendations for implementation.

Educational Program Proposal

Educational institutions or organizations create educational program proposals to introduce new courses, curricula, or educational initiatives. These proposals outline the program objectives, learning outcomes, curriculum design, and resource requirements.

Social Service Proposal

Organizations involved in social services, such as healthcare, community development, or social welfare, create social service proposals to seek funding, support, or partnerships. These proposals outline the social issue, proposed interventions, anticipated impacts, and sustainability plans.

Proposal Writing Guide

Here’s a step-by-step guide to help you with proposal writing:

• Understand the Requirements: Before you begin writing your proposal, carefully review any guidelines, instructions, or requirements provided by the recipient or organization. This will ensure that you meet their expectations and include all necessary information.
• Research and Gather Information: Conduct thorough research on the topic or project you are proposing. Collect relevant data, statistics, case studies, and any supporting evidence that strengthens your proposal. This will demonstrate your knowledge and credibility.
• Define the Problem or Opportunity: Clearly identify and articulate the problem or opportunity that your proposal aims to address. Provide a concise and compelling explanation of why it is important and relevant.
• State Your Objectives: Outline the specific objectives or goals of your proposal. What do you hope to achieve? Make sure your objectives are clear, measurable, and aligned with the needs of the recipient.
• Present Your Solution: Propose your solution or approach to the problem. Describe how your solution is unique, innovative, and effective. Provide a step-by-step plan or methodology, highlighting key activities, deliverables, and timelines.
• Demonstrate Benefits and Impact: Clearly outline the benefits and impact of your proposal. Explain how it will add value, solve the problem, or create positive change. Use evidence and examples to support your claims.
• Develop a Budget: If applicable, include a detailed budget that outlines the costs associated with implementing your proposal. Be transparent and realistic about expenses, and clearly explain how the funding will be allocated.
• Address Potential Risks and Mitigation Strategies: Identify any potential risks, challenges, or obstacles that may arise during the implementation of your proposal. Offer strategies or contingency plans to mitigate these risks and ensure the success of your project.
• Provide Supporting Documentation: Include any supporting documents that add credibility to your proposal. This may include resumes or bios of key team members, letters of support or partnership, relevant certifications, or past success stories.
• Write Clearly and Concisely: Use clear and concise language to communicate your ideas effectively. Avoid jargon or technical terms that may confuse or alienate the reader. Structure your proposal with headings, subheadings, and bullet points to enhance readability.
• Proofread and Edit: Carefully review your proposal for grammar, spelling, and formatting errors. Ensure that it is well-organized, coherent, and flows logically. Consider asking someone else to review it for feedback and suggestions.
• Include a Professional Cover Letter: If appropriate, attach a cover letter introducing your proposal. This letter should summarize the key points, express your enthusiasm, and provide contact information for further discussion.
• Follow Submission Instructions: Follow the specific instructions for submitting your proposal. This may include submitting it electronically, mailing it, or delivering it in person. Pay attention to submission deadlines and any additional requirements.
• Follow Up: After submitting your proposal, consider following up with the recipient to ensure they received it and address any questions or concerns they may have. This shows your commitment and professionalism.

Purpose of Proposal

The purpose of a proposal is to present a plan, idea, project, or solution to a specific audience in a persuasive and compelling manner. Proposals are typically written documents that aim to:

• Convince and Persuade: The primary purpose of a proposal is to convince the recipient or decision-makers to accept and support the proposed plan or idea. It is important to present a strong case, providing evidence, logical reasoning, and clear benefits to demonstrate why the proposal should be approved.
• Seek Approval or Funding: Proposals often seek approval or funding for a project, program, research study, business venture, or initiative. The purpose is to secure the necessary resources, whether financial, human, or technical, to implement the proposed endeavor.
• Solve Problems or Address Opportunities: Proposals are often developed in response to a problem, challenge, or opportunity. The purpose is to provide a well-thought-out solution or approach that effectively addresses the issue or leverages the opportunity for positive outcomes.
• Present a Comprehensive Plan : Proposals outline a comprehensive plan, including objectives, strategies, methodologies, timelines, budgets, and anticipated outcomes. The purpose is to demonstrate the feasibility, practicality, and potential success of the proposed plan.
• Inform and Educate: Proposals provide detailed information and analysis to educate the audience about the subject matter. They offer a thorough understanding of the problem or opportunity, the proposed solution, and the potential impact.
• Establish Credibility: Proposals aim to establish the credibility and expertise of the individual or organization presenting the proposal. They demonstrate the knowledge, experience, qualifications, and track record that make the proposer capable of successfully executing the proposed plan.
• I nitiate Collaboration or Partnerships: Proposals may serve as a means to initiate collaboration, partnerships, or contractual agreements. They present an opportunity for individuals, organizations, or entities to work together towards a common goal or project.
• Provide a Basis for Decision-Making: Proposals offer the information and analysis necessary for decision-makers to evaluate the merits and feasibility of the proposed plan. They provide a framework for informed decision-making, allowing stakeholders to assess the risks, benefits, and potential outcomes.

When to write a Proposal

Proposals are typically written in various situations when you need to present a plan, idea, or project to a specific audience. Here are some common scenarios when you may need to write a proposal:

• Business Opportunities: When you identify a business opportunity, such as a potential client or partnership, you may write a proposal to pitch your products, services, or collaboration ideas.
• Funding or Grants: If you require financial support for a project, research study, non-profit program, or any initiative, you may need to write a proposal to seek funding from government agencies, foundations, or philanthropic organizations.
• Project Planning: When you plan to undertake a project, whether it’s a construction project, software development, event organization, or any other endeavor, writing a project proposal helps outline the objectives, deliverables, timelines, and resource requirements.
• Research Studies: In academic or scientific settings, researchers write research proposals to present their study objectives, research questions, methodology, anticipated outcomes, and potential significance to funding bodies, universities, or research institutions.
• Business Development: If you’re expanding your business, launching a new product or service, or entering a new market, writing a business proposal helps outline your plans, strategies, market analysis, and financial projections to potential investors or partners.
• Partnerships and Collaborations: When seeking partnerships, collaborations, or joint ventures with other organizations or individuals, writing a partnership proposal helps communicate the benefits, shared goals, responsibilities, and terms of the proposed partnership.
• Policy or Advocacy Initiatives: When advocating for a particular cause, addressing public policy issues, or proposing policy changes, writing a policy proposal helps outline the problem, proposed solutions, supporting evidence, and potential impacts.
• Contract Bidding: If you’re bidding for contracts, whether in government or private sectors, writing a proposal is necessary to present your capabilities, expertise, resources, and pricing to potential clients or procurement departments.
• Consulting or Service Contracts: If you offer consulting services, professional expertise, or specialized services, writing a proposal helps outline your approach, deliverables, fees, and timeline to potential clients.

Importance of Proposal

Proposals play a significant role in numerous areas and have several important benefits. Here are some key reasons why proposals are important:

• Communication and Clarity: Proposals serve as a formal means of communication, allowing you to clearly articulate your plan, idea, or project to others. By presenting your proposal in a structured format, you ensure that your message is conveyed effectively, minimizing misunderstandings and confusion.
• Decision-Making Tool: Proposals provide decision-makers with the necessary information and analysis to make informed choices. They offer a comprehensive overview of the proposal, including objectives, strategies, timelines, budgets, and anticipated outcomes. This enables stakeholders to evaluate the proposal’s feasibility, alignment with goals, and potential return on investment.
• Accountability and Documentation: Proposals serve as a written record of commitments, responsibilities, and expectations. Once a proposal is approved, it becomes a reference point for all parties involved, ensuring that everyone is on the same page and accountable for their roles and obligations.
• Planning and Organization: Writing a proposal requires thorough planning and organization. It compels you to define objectives, outline strategies, consider potential risks, and create a timeline. This process helps you think critically about the proposal, identifying strengths, weaknesses, and areas that require further refinement.
• Persuasion and Influence: Proposals are persuasive documents that aim to convince others to support or approve your plan. By presenting a well-constructed proposal, supported by evidence, logical reasoning, and benefits, you enhance your ability to influence decision-makers and stakeholders.
• Resource Allocation and Funding: Many proposals are written to secure resources, whether financial, human, or technical. A compelling proposal can increase the likelihood of obtaining funding, grants, or other resources needed to execute a project or initiative successfully.
• Partnership and Collaboration Opportunities: Proposals enable you to seek partnerships, collaborations, or joint ventures with other organizations or individuals. By presenting a clear proposal that outlines the benefits, shared goals, responsibilities, and terms, you increase the likelihood of forming mutually beneficial relationships.
• Professionalism and Credibility: A well-written proposal demonstrates professionalism, expertise, and credibility. It showcases your ability to analyze complex issues, develop effective strategies, and present ideas in a concise and persuasive manner. This can enhance your reputation and increase trust among stakeholders.
• Continual Improvement: The process of writing proposals encourages you to refine your ideas, explore alternatives, and seek feedback. It provides an opportunity for reflection and refinement, ultimately leading to continuous improvement in your plans and approaches.

About the author

Muhammad Hassan

Researcher, Academic Writer, Web developer

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California Air Resources Board

Carb fiscal year 2024-2025 research project solicitation.

Research Division Email [email protected] Phone (916) 445-0753

Introduction

This website contains all of the information needed by stakeholders interested in CARB’s Fiscal Year 2024-2025 Research Project Solicitation. This includes information on:

• Background information on the selection process for identifying the projects CARB intends to fund in fiscal year 2024-2025 and the process leading to the pre-proposal solicitation.
• Solicitation details, including relevant dates and details on individual projects.
• Registration link for the public meeting on the solicitation.  A recording of the meeting will be posted on this website after the meeting.
• Additional resources for prospective applicants, including a frequently asked questions document.

How can you get in contact with us if you have further questions?

• To receive an email notification on solicitation updates and all other research planning activities, sign up for the Research Activities listserv here:  https://public.govdelivery.com/accounts/CARB/subscriber/new .
• You may also email us directly at  [email protected] .

The California Air Resources Board (CARB or Board) has identified its fiscal year 2024-2025 priority research projects. The proposed projects support CARB’s regulatory priorities related to health, environmental justice, economics, air pollution, and climate change.

The selection of these projects was guided by the research initiatives outlined in the  Triennial Strategic Research Plan for Fiscal Years 2021-2024  (Plan), along with extensive coordination with other agencies, research institutions, partners, and experts in these fields of research. The selection of these projects was also informed by the project concept and comment survey deployed in the Spring of 2023. A public meeting was held to support this effort and extensive input was collected to inform this and future year research priorities. For more information on the comment and concept collection effort, please visit the  research comment portal .

Solicitation Details

Who can apply.

In order to be eligible to apply for this solicitation, the principal investigator must be associated with the University of California or California State University (UC/CSU). UC/CSU researchers can partner with members of other public and private institutions, such as other universities, non-profit organizations, community-based organizations or private research institutes to submit a multidisciplinary pre-proposal. There are limitations to funding amounts for partners. In addition, members of CARB advisory groups may not be signatories to the contract, be listed as completing tasks in the scope of work or communicate with CARB regarding CARB’s decision on the proposed contracts. If an active CARB advisory group member makes a prohibited appearance or communication subject to Government Code section 87104 as described above, the application will not be eligible for an award. More information is available in the Frequently Asked Questions document available below.

Relevant Dates and Process Description

Proposed project concepts were presented at a public meeting on November 15, 2023 and then approved by the CARB Executive Office in January of 2024. A pre-proposal solicitation is released once these concepts are developed into full proposals. Additional projects may be released for solicitation later in the fiscal year and any active solicitations are posted on this page. In addition, some projects are put out for a Request for Proposal (RFP) and posted on the California E-Procure site (use department 3900 to find CARB RFPs). Once pre-proposals are identified to move forward for each project, staff will work with the research team to develop the research project into a complete proposal. These proposals will then be reviewed by the  Research Screening Committee  (RSC). The proposal will be submitted for contract preparation and execution considering recommendations from the RSC. Projects kick-off after contract execution. Results are anticipated in two to three years after the kickoff.

Resources available for prospective applicants

This page contains a pre-proposal template and a frequently asked questions document on CARB’s solicitation and contracting processes. Please see the documents linked at the bottom of this page.

Each year, CARB hosts the solicitation on the  Empower Innovation  website to foster the development of partnerships between university researchers and new research partners. Prospective researchers are encouraged to create a profile on Empower Innovation to find partners.

Virtual Public Meetings on CARB’s Research Pre-Proposal Solicitation

The California Air Resources Board (CARB) staff typically holds virtual public meetings to help interested parties learn more about the solicitation for research pre-proposals for each funding year. At solicitation meetings, CARB staff provide details on all projects included in the solicitation and the expectations for submitted pre-proposals. Slides for recent public meetings are available below. Please see the documents linked at the bottom of this page. A link to the recording of the recent public meeting presentation is available below.

Solicitation Meeting Details

Date: Thursday May 8, 4:30-6:00pm

Virtual meeting (Zoom):  Zoom Registration

The slides presented at the meeting will be available at the bottom of this page.

Current Solicitation Details

Relevant dates.

• Letters of interest are requested and can be submitted by email to  [email protected]  before 5pm on Wednesday May 15.
• Pre-proposals must be submitted by email to  [email protected]  before 5pm, June 7, 2024
• All pre-proposal submitters will be notified of the status of their submission on July 1, 2024
• For selected pre-proposals only, full proposals and detailed budgets will be due on July 15, 2024

Additional pre-proposal solicitations for funding year 2024-2025 will be announced at a later date.

Application Process

If your research team is interested in conducting projects currently in active solicitation, please submit a letter of interest to  [email protected]  by Wednesday May 15. The letter of interest can consist of a brief email including the contact information of the prospective principal investigator (name, email, UC/CSU affiliation) and the title of the project you intend to apply for. No further details are required.

Full pre-proposals must be submitted to  [email protected]  by 5 p.m. on June 7, 2024.

Responses to this solicitation should follow the pre-proposal template attached to this page. The main elements of the pre-proposal shall include the following:

• A pre-proposal that does not exceed five-pages and discusses your proposed approach for conducting the research project.
• A curriculum vitae or statement of qualifications for all major scientists, community members and/or non-academic researchers who would be involved in the study (does not count toward 5-page limit of pre-proposal).
• A brief description of research that has been conducted or is currently underway by the applicant in areas related to this topic (it is preferable that this include funding source and amount of research funds; does not count toward 5-page limit of pre-proposal).
• For projects that include an equity component and/or community engagement, it is required that research teams provide a cultural competency/humility statement not to exceed two pages in length (does not count toward 5-page limit of pre-proposal).
• A preliminary budget using the Budget Form found in the template (does not count toward 5-page limit of pre-proposal).

Please reference the Scope of Work and Scoring Criteria information provided below for each project to get the full details on all pre-proposal requirements and project deliverables.

  List of Projects with Pre-Proposal Solicitation

Below is a list of the individual projects in active solicitation with a link to the paragraph description on the Empower Innovation site (provided soon) and a link to the individual project page where prospective researchers can find a detailed description of the project, or Scope of Work, and the Scoring Criteria, which is the basis upon which CARB staff will rank pre-proposals.

Currently Active

Pre-Proposals due June 7, 2024

Estimating the community level health benefits from air pollution control programs

• Current regional-level health impact assessments of PM2.5 fails to account for the differential impacts experienced by overburdened communities. The objective of this study is to improve CARB’s health analysis method to better account for impacts in overburdened communities through the utilization of high spatial resolution exposure assessment methods and health estimates. Previous and ongoing work has suggested the feasibility of providing baseline disease rates at a finer spatial resolution, as well as need for high-resolution data to more accurately assess health impacts. The research leverages existing methodologies and potential improvements by integrating high spatial resolution exposure assessment, finer-resolution health information, and community factors to provide an improved estimate of the health impacts faced by overburdened communities. The results of this study will enable CARB to conduct quantitative analysis of health impacts of criteria pollutant control scenarios at a more granular spatial resolution than current regional assessments.
• Scope of Work and Scoring Criteria

Collaborating with Communities to Find Ways to Cope with Heat and Reduce Health Impacts

• ​​​​​​​Extreme heat is one of the significant impacts resulting from climate change and heat effects vary widely across California regions and communities. Several state agencies and programs provide funding to support heat adaptation strategies to reduce heat effects and support more resilient communities. The California Climate Investments (CCI) have funded and implemented heat adaptation-related projects through the Urban Greening Program and the Urban and Community Forestry Program, the Climate Ready Program, the Climate Change Research Program, and the Equitable Building Decarbonization Program. Other state programs also have heat-adaptation projects as listed on CoolCalifornia.org. Given the serious health impacts of heat and the many programs to reduce exposure to extreme heat and build resilience in California’s communities, a study to examine the health benefits of heat adaptation programs would help the state better understand the full impacts. This project will provide case studies in communities to assess the health benefits of heat adaptation strategies and incorporate community information into the evaluation process through ground-truthing efforts. CARB expects this project to provide metrics for comparing heat adaptation strategies incorporating both a health and community perspective to evaluate which strategies are most helpful in improving climate resilience in vulnerable and priority communities. This project will better assist the state in prioritizing local heat adaptation strategies that maximize health benefits and address the community’s needs.

Impacts of toxic air contaminants from residential appliances

• ​​​​​​​​​​​​​​Residential space and water heating and cooking appliances that combust fossil fuels release toxic air contaminants (TACs), either through fuel leakage or as combustion byproducts. Limited data are available to quantify the impacts of these toxic emissions on air quality and health. This project will characterize TACs emitted by residential appliances in California, determine their emission rates and concentrations, assess the impacts on indoor and outdoor air quality, and quantify the associated health impacts. Testing will include a representative sample of home appliances used in different types of housing in California, such as single-family homes, multi-family homes, and manufactured homes. In order to examine disparities, more importance should be given to testing appliances typically used in disadvantaged communities, as designated by CalEPA in SB 535. Chemical compositions and concentrations of TACs in fuel leakage and combustion exhaust will be analyzed to quantify TAC emission rates. Contributions of these appliances to indoor and outdoor TAC levels will be estimated separately for indoor and outdoor. Combined exposures to these levels will then be translated into impacts on public health. The results will support the assessment of air quality and health benefits of CARB’s building decarbonization efforts, e.g., zero-emission space and water heater standards to be developed.
• ​​​​​​​$900,000
• Scope of Work and Scoring Criteria  

Determining energy use patterns and battery charging infrastructure for zero-emission heavy-duty vehicles and off-road equipment

• ​​​​​​​The objective of this research project is to characterize Zero-Emission Vehicles (ZEVs) real-world activity, energy consumption, charging needs and patterns, air quality co-benefits, and pollution burden equity due to lower greenhouse gas and air pollution emission with ZEV adoption. The research will use data loggers and onboard sensors to collect and monitor relevant parameters. This research will analyze the real-world speed and mileage accrual of ZEVs, energy consumption including motive, regenerative, and auxiliary components, as well as tailpipe emissions such as nitrogen oxides (NOx), particulate matter (PM), ammonia (NH3), and carbon dioxide (CO2) specifically for plug-in hybrid electric vehicles. Moreover, the study will characterize charging patterns, including charging time, location, accessibility, duration, charger specifications, and charging energy. The study will also investigate equity considerations in ZEV adoption and the subsequent reduction of emissions, utilizing location data to quantify the proportion of time spent operating in disadvantaged communities (DACs). The data collected as part of this project will contribute to the development of a numerical energy simulation model for ZEVs. The creation of this model will provide the agency with the ability to simulate energy and charging requirements for ZEVs as more advanced and energy-efficient technologies emerge in the market, filling outstanding data gaps for ZEV energy use. With upcoming regulations mandating the sale and purchase of heavy-duty ZEVs, it is critical to understand the activity and energy needs of heavy-duty on-road and off-road vehicles. The results of this study are anticipated to inform several on-road and off-road ZE programs and emission inventories, establishing a baseline for the performance of heavy-duty ZEVs compared to their conventional technology counterparts during in-use operations.
• ​​​​​​​$750,000

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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John Gramlich is an associate director at Pew Research Center

About 1 in 4 U.S. teachers say their school went into a gun-related lockdown in the last school year

Striking findings from 2023, key facts about americans and guns, for most u.s. gun owners, protection is the main reason they own a gun, gun violence widely viewed as a major – and growing – national problem, most popular.

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Why new proposals to restrict geoengineering are misguided

We need more research, including outdoor experiments, to make better-informed decisions about such climate interventions.

• Daniele Visioni archive page

The public debate over whether we should consider intentionally altering the climate system is heating up, as the dangers of climate instability rise and more groups look to study technologies that could cool the planet.

Such interventions, commonly known as solar geoengineering, may include releasing sulfur dioxide in the stratosphere to cast away more sunlight, or spraying salt particles along coastlines to create denser, more reflective marine clouds.  

Heat Exchange

MIT Technology Review’s guest opinion series, offering expert commentary on legal, political and regulatory issues related to climate change and clean energy. You can read the rest of the pieces here .

The growing interest in studying the potential of these tools, particularly through small-scale outdoor experiments, has triggered corresponding calls to shut down the research field, or at least to restrict it more tightly. But such rules would halt or hinder scientific exploration of technologies that could save lives and ease suffering as global warming accelerates—and they might also be far harder to define and implement than their proponents appreciate.

Earlier this month, Tennessee’s governor signed into law a bill banning the “intentional injection, release, or dispersion” of chemicals into the atmosphere for the “express purpose of affecting temperature, weather, or the intensity of the sunlight.” The legislation seems to have been primarily motivated by debunked conspiracy theories about chemtrails. 

Meanwhile, at the March meeting of the United Nations Environmental Agency, a bloc of African nations called for a resolution that would establish a moratorium, if not a ban, on all geoengineering activities, including outdoor tests. Mexican officials have also proposed restrictions on experiments within their boundaries.

To be clear, I’m not a disinterested observer but a climate researcher focused on solar geoengineering and coordinating international modeling studies on the issue. As I stated in a letter I coauthored last year, I believe that it’s important to conduct more research on these technologies because it might significantly reduce certain climatic risks. 

This doesn’t mean I support unilateral efforts today, or forging ahead in this space without broader societal engagement and consent. But some of these proposed restrictions on solar geoengineering leave vague what would constitute an acceptable, “small” test as opposed to an unacceptable “intervention.” Such vagueness is problematic, and its potential consequences would have far more reach than the well-intentioned proponents of regulation might wish for.

Consider the “intentional” standard of the Tennessee bill. While it is true that the intentionality of any such effort matters, defining it is tough. If knowing that an activity will affect the atmosphere is enough for it to be considered geoengineering, even driving a car—since you know its emissions warm up the climate—could fall under the banner. Or, to pick an example operating on a much larger scale, a utility might run afoul of the bill, since operating a power plant produces both carbon dioxide that warms up the planet and sulfur dioxide pollution that can exert a cooling effect.

Indeed, a single coal-fired plant can pump out more than 40,000 tons of the latter gas a year, dwarfing the few kilograms proposed for some stratospheric experiments. That includes the Harvard project recently scrapped in light of concerns from environmental and Indigenous groups. 

Of course, one might say that in all those other cases, the climate-altering impact of emissions is only a side effect of another activity (going somewhere, producing energy, having fun). But then, outdoor tests of solar geoengineering can be framed as efforts to gain further knowledge for societal or scientific benefit. More stringent regulations suggest that, of all intentional activities, it is those focused on knowledge-seeking that need to be subjected to the highest scrutiny—while joyrides, international flights, or bitcoin mining are all fine.

There could be similar challenges even with more modest proposals to require greater transparency around geoengineering research. In a submission to federal officials in March, a group of scholars suggested, among other sensible updates, that any group proposing to conduct outdoor research on weather modification anywhere in the world should have to notify the National Oceanic and Atmospheric Administration in advance.

But creating a standard that would require notifications from anyone, anywhere who “foreseeably or intentionally seeks to cause effects within the United States” could be taken to mean that nations can’t modify any kind of emissions (or convert forests to farmland ) before consulting with other countries. For instance, in 2020, the International Maritime Organization introduced rules that cut sulfate emissions from the shipping sector by more than 80%, all at once. The benefits for air quality and human health are pretty clear , but research also suggested that the change would unmask additional global warming, because such pollution can reflect away sunlight either directly or by producing clouds. Would this qualify?

It is worth noting that both those clamoring for more regulations and those bristling to just go out and “do something” claim to have, as their guiding principle, a genuine concern for the climate and human welfare. But again, this does not necessarily justify a “Ban first—ask questions later” approach,  just as it doesn’t justify “Do something first—ask permission later.” 

Those demanding bans are right in saying that there are risks in geoengineering. Those include potential side effects in certain parts of the world—possibilities that need to be better studied —as well as vexing questions about how the technology could be fairly and responsibly governed in a fractured world that’s full of competing interests. The more recent entrance of venture-backed companies into the field, selling dubious cooling credits or playing up their “ proprietary particles ,” certainly isn’t helping its reputation with a public that’s rightly wary of how profit motives could influence the use of technologies with the power to alter the entire planet’s climate. Nor is the risk that rogue actors will take it upon themselves to carry out these sorts of interventions. 

But burdensome regulation isn’t guaranteed to deter bad actors. If anything, they’ll just go work in the shadows. It is, however, a surefire way to discourage responsible researchers from engaging in the field. 

All those concerned about “meddling with the climate” should be in favor of open, public, science-informed strategies to talk more, not less, about geoengineering, and to foster transparent research across disciplines. And yes, this will include not just “harmless” modeling studies but also outdoor tests to understand the feasibility of such approaches and narrow down uncertainties. There’s really no way around that. 

In environmental sciences, tests involving dispersing substances are already performed for many other reasons , as long as they’re deemed safe by some reasonable standard. Similar experiments aimed at better understanding solar geoengineering should not be treated differently just because some people (but certainly not all of them ) object on moral or environmental grounds. In fact, we should forcefully defend such experiments both because freedom of research is a worthy principle and because more information leads to better decision-making.

At the same time, scientists can’t ignore all the concerns and fears of the general public . We need to build more trust around solar geoengineering research and confidence in researchers. And we must encourage people to consider the issue from multiple perspectives and in relation to the rising risks of climate change. This can be done, in part, through thoughtful scientific oversight efforts that aim to steer research toward beneficial outcomes by fostering transparency, international collaborations, and public engagement without imposing excessive burdens and blanket prohibitions.

Yes, this issue is complicated. Solar geoengineering may present risks and unknowns, and it raises profound, sometimes uncomfortable questions about humanity’s role in nature. 

But we also know for sure that we are the cause of climate change—and that it is exacerbating the dangers of heat waves, wildfires, flooding, famines, and storms that will inflict human suffering on staggering scales. If there are possible interventions that could limit that death and destruction, we have an obligation to evaluate them carefully, and to weigh any trade-offs with open and informed minds. 

Climate change and energy

The problem with plug-in hybrids their drivers..

Plug-in hybrids are often sold as a transition to EVs, but new data from Europe shows we’re still underestimating the emissions they produce.

• Casey Crownhart archive page

Harvard has halted its long-planned atmospheric geoengineering experiment

The decision follows years of controversy and the departure of one of the program’s key researchers.

• James Temple archive page

Why hydrogen is losing the race to power cleaner cars

Batteries are dominating zero-emissions vehicles, and the fuel has better uses elsewhere.

Decarbonizing production of energy is a quick win 

Clean technologies, including carbon management platforms, enable the global energy industry to play a crucial role in the transition to net zero.

• ADNOC archive page

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Dear Colleague Letter: IUCRC Proposals for Research and Thought Leadership on Insurance Risk Modeling and Underwriting Related to Terrorism and Catastrophic Cyber Risks: A Joint NSF and U.S. Department of the Treasury Federal Insurance Office Call

April 24, 2024

Dear Colleagues:

This Dear Colleague Letter (DCL) invites submission of proposals to the U.S. National Science Foundation's (NSF) Industry-University Cooperative Research Center (IUCRC) program to provide use-inspired research analysis and thought leadership on issues affecting the insurance sector's modeling and underwriting of terrorism and catastrophic cyber risks. The goal of this DCL is to stimulate research in areas that support the effective provision of insurance against terrorism and catastrophic cyber risks. Such research will, in turn, develop best practices and tools; assess policy reforms or solutions that could provide insurers, governments, and other stakeholders with new data; and develop improved modeling and underwriting tools, methodologies, and practices. The DCL is jointly sponsored by the U.S. Department of Treasury Federal Insurance Office (FIO) and the NSF's Directorates for Technology, Innovation and Partnerships (TIP), Computer and Information Science and Engineering (CISE), and Social, Behavioral and Economic Sciences (SBE).

In this partnership, NSF and FIO support their respective missions. NSF has a mission to promote the progress of science; advance the national health, prosperity, and welfare; and secure the national defense. FIO has the authority to monitor all aspects of the insurance sector and administers the Terrorism Risk Insurance Program which provides a system of shared public and private compensation for insured losses resulting from acts of terrorism and ensures continued widespread availability and affordability of terrorism risk insurance. Further, as directed by the 2023 National Cybersecurity Strategy Implementation Plan and at the recommendation of the Government Accountability Office, FIO assesses the need for and possible structures of a federal insurance response to catastrophic cyber incidents. In support of these missions, this NSF/FIO partnership fosters collaboration between industry, academic teams, and the United States government to better predict and insure against the impacts of terrorism and catastrophic cyber risks. Achieving success will depend on cutting-edge scientific research, innovations in financial resilience, and the development of related tools, analytics, and other technologies.

Both terrorism events and catastrophic cyber incidents (whether terrorism related or not) present serious risks that share many common modeling and underwriting challenges. Challenges include the paucity of data for such events due to their historically low frequency of occurrence. The lack of historic event data limits the ability of insurers to predict future risk based upon past loss experience. In addition, both terrorism and catastrophic cyber risk present the potential for high losses because such events are commonly intentional and designed to maximize damage, resulting in significant potential insurer liability with impacts that can spread far beyond the initial target including cascading losses across broad geographic areas and business sectors.

These challenges hinder insurers' capabilities to adequately estimate financial exposure to terrorism and catastrophic cyber risk. The lack of accurate estimates, in turn, impedes insurers from fully underwriting these risks on a commercial basis (i.e., without a government backstop or other support).

NSF and FIO have an interest in supporting an IUCRC project that will focus on developing and refining terrorism and catastrophic cyber insurance modeling and underwriting with a view to strengthening the resilience of the United States' financial system. The objectives of the new IUCRC include: (1) helping insurers to estimate risk with greater certainty, thereby improving insurance pricing, coverage, and policyholder uptake; (2) contributing to the potential expansion of reinsurance and capital markets to help support these risks; and (3) informing the treatment of terrorism and catastrophic cyber risks in government programs.

PROJECT INFORMATION

IUCRC proposals in response to this DCL should be designed to bring together the insurance sector, academic teams, government, and other stakeholders to innovate and advance current terrorism and catastrophic cyber risk modeling and underwriting in support of the goals stated above. Teams responding to this call should conduct research on practice and policy reforms and/or solutions that provide insurers and other insurance industry stakeholders with improved or additional tools, data, and methodologies to increase their assumption of terrorism and cyber risk. Proposals should include plans to bolster the insurance sector's understanding of terrorism and catastrophic cyber risks by evaluating current modeling and underwriting practices and identifying data and issues that affect terrorism and catastrophic cyber risk perception and risk exposure within the United States.

IUCRC PROGRAM OVERVIEW

IUCRCs are powerful vehicles, developed by NSF, through which university faculty and students work with an industry consortium to carry out cutting-edge, use-inspired research focused on the collective needs of a sector of the U.S. economy. Information on IUCRCs, how they work, and other relevant information about them can be found on the IUCRC website: https://iucrc.nsf.gov/about/ and the IUCRC program solicitation: https://iucrc.nsf.gov/universities/solicitation/ .

To initiate an IUCRC, interested faculty teams at one or more universities should interview members of a targeted sector to: (1) identify the most important and high priority challenges facing the sector; (2) converge on a theme of high sector and university faculty interest; and (3) identify companies and other entities willing to participate in a center on the proposed topic.

The first formal step to forming an IUCRC is submitting an IUCRC Planning Grant proposal that demonstrates the interest of the private sector and other stakeholders in the proposed center. Planning Grant proposals or waivers of the planning grant process require submission of a preliminary proposal. If awarded, the proposal team receives funding to carry out industry sector discovery to refine their center research agenda and identifies potential center members willing to pay membership fees and join an industry advisory board for the center.

Investigators responding to this DCL with a Planning Grant proposal should use the following title format: "IUCRC: NSF/FIO: (title)."

A successful planning phase is followed by submission of a proposal for a Phase I IUCRC that has the potential to run for five years. After successful completion of Phase I, the center can compete for another 5 years (Phase II). During this time, center leadership and faculty continue to recruit dues paying members for their advisory board with the goal that, by the end of Phase II, the center is self-supporting without further federal investment.

SUBMISSION and AWARD INFORMATION

Planning Grant proposals or waivers of the planning grant process require submission of a preliminary proposal. Target dates for Planning Grant preliminary proposals are the second Wednesdays in September and March. Full proposal target dates are the second Wednesdays of December and June. See the NSF IUCRC solicitation for more details.

The review of submitted proposals to this DCL and any subsequent awards will be managed by NSF. NSF may share the identities of the Principal Investigator(s) (PI and Co-PI(s)) and the universities and industrial partners as well as the Project Summary of the proposed project and the unattributed reviews with FIO in order for the agencies to discuss and coordinate award funding. No other proposal documentation will be shared. As a funding partner of the IUCRC, FIO may also request access to data, software artifacts, and information provided by the PI if their proposal is awarded. Providing such access is at the sole discretion of the PI and is not a condition of an award.

FIO will be invited to post award meetings and discussions with recipients, as appropriate. FIO understands and acknowledges that the information about PIs, their proposal, and reviewers of such proposals is protected by the Privacy Act of 1974, and is to be treated as confidential.

POINTS OF CONTACT

Jeffrey Stanton - NSF/Directorate for Technology, Innovation and Partnerships (TIP), ( [email protected] )

Mohan Kumar - NSF/Directorate for Computer and Information Science and Engineering ( [email protected] )

Andy DeSoto - NSF/Directorate for Social, Behavioral, and Economic Sciences ( [email protected] )

Dr. Erwin Gianchandani Assistant Director for Technology, Innovation and Partnerships (TIP) NSF

Dr. Dilma Da Silva Acting Assistant Director for Computer Information Science and Engineering (CISE) NSF

Dr. Kaye Husbands Fealing Assistant Director for Social, Behavioral and Economic Sciences (SBE) NSF

Steven Seitz Director FIO