purpose of a research proposal definition

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 .

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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• How to Write a Research Proposal | Examples & Templates

How to Write a Research Proposal | Examples & Templates

Published on October 12, 2022 by Shona McCombes and Tegan George. Revised on November 21, 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 organized 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, other interesting articles, frequently asked questions about research proposals.

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

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Professional editors proofread and edit your paper by focusing on:

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See an example

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

Prevent plagiarism. Run a free check.

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 synthesize 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. Emphasize 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?

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

Methodology

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

 Statistics

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

Research bias

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

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.

The best way to remember the difference between a research plan and a research proposal is that they have fundamentally different audiences. A research plan helps you, the researcher, organize your thoughts. On the other hand, a dissertation proposal or research proposal aims to convince others (e.g., a supervisor, a funding body, or a dissertation committee) that your research topic is relevant and worthy of being conducted.

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McCombes, S. & George, T. (2023, November 21). How to Write a Research Proposal | Examples & Templates. Scribbr. Retrieved August 12, 2024, from https://www.scribbr.com/research-process/research-proposal/

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What is a research proposal?

A research proposal is a type of text which maps out a proposed central research problem or question and a suggested approach to its investigation.

In many universities, including RMIT, the research proposal is a formal requirement. It is central to achieving your first milestone: your Confirmation of Candidature. The research proposal is useful for both you and the University: it gives you the opportunity to get valuable feedback about your intended research aims, objectives and design. It also confirms that your proposed research is worth doing, which puts you on track for a successful candidature supported by your School and the University. 

Although there may be specific School or disciplinary requirements that you need to be aware of, all research proposals address the following central themes:

• what   you propose to research
• why   the topic needs to be researched
• how  you plan to research it.

Purpose and audience

Before venturing into writing a research purposal, it is important to think about the  purpose  and  audience of this type of text.  Spend a moment or two to reflect on what these might be.

What do you think is the purpose of your research proposal and who is your audience?

The purpose of your research proposal is:

1. To allow experienced researchers (your supervisors and their peers) to assess whether

• the research question or problem is viable (that is, answers or solutions are possible)
• the research is worth doing in terms of its contribution to the field of study and benefits to stakeholders
• the scope is appropriate to the degree (Masters or PhD)
• you’ve understood the relevant key literature and identified the gap for your research
• you’ve chosen an appropriate methodological approach.

2. To help you clarify and focus on what you want to do, why you want to do it, and how you’ll do it. The research proposal helps you position yourself as a researcher in your field. It will also allow you to:

• systematically think through your proposed research, argue for its significance and identify the scope
• show a critical understanding of the scholarly field around your proposed research
• show the gap in the literature that your research will address
• justify your proposed research design
• identify all tasks that need to be done through a realistic timetable
• anticipate potential problems
• hone organisational skills that you will need for your research
• become familiar with relevant search engines and databases
• develop skills in research writing.

The main audience for your research proposal is your reviewers. Universities usually assign a panel of reviewers to which you need to submit your research proposal. Often this is within the first year of study for PhD candidates, and within the first six months for Masters by Research candidates.

Your reviewers may have a strong disciplinary understanding of the area of your proposed research, but depending on your specialisation, they may not. It is therefore important to create a clear context, rationale and framework for your proposed research. Limit jargon and specialist terminology so that non-specialists can comprehend it. You need to convince the reviewers that your proposed research is worth doing and that you will be able to effectively ‘interrogate’ your research questions or address the research problems through your chosen research design.

Your review panel will expect you to demonstrate:

• a clearly defined and feasible research project
• a clearly explained rationale for your research
• evidence that your research will make an original contribution through a critical review of the literature
• written skills appropriate to graduate research study.

Research and Writing Skills for Academic and Graduate Researchers Copyright © 2022 by RMIT University is licensed under a Creative Commons Attribution-NonCommercial 4.0 International License , except where otherwise noted.

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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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SOC W 505/506 Foundations of Social Welfare Research

• What is a Research Proposal?

Information on Writing a Research Proposal

• Qualitative Research
• Quantitative Research
• General Research Methods
• IRB's and Research Ethics
• Data Management and Analysis

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

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

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

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

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

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

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

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

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Home » Research Proposal – Types, Template and Example

Research Proposal – Types, Template and Example

Table of Contents

Research Proposal

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

Types of Research Proposal

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

Academic Research Proposal

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

Grant Proposal

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

Dissertation or Thesis Proposal

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

Research Project Proposal

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

Research Fellowship Proposal

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

Collaborative Research Proposal

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

Research Proposal Outline

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

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

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Research Proposal Example Template

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

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

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

1. Introduction

1.1 Background and Context:

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

1.2 Research Objectives:

The main objectives of this study are:

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

2. Literature Review

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

3. Methodology

3.1 Research Design:

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

3.2 Data Collection Methods:

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

3.3 Data Analysis:

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

4. Timeline

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

5. Expected Outcomes and Significance

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

6. Resources

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

7. References

Research Proposal Writing Guide

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

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

Research Proposal Length

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

Purpose of Research Proposal

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

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

Importance of Research Proposal

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

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

When to Write Research Proposal

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

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

About the author

Muhammad Hassan

Researcher, Academic Writer, Web developer

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11.2 Steps in Developing a Research Proposal

Learning objectives.

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

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

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

Choosing a Topic

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

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

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

Identifying Potential Topics

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

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

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

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

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

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

Narrowing Your Topic

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

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

Exploring Your Topic in Writing

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

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

Conducting Preliminary Research

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

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

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

Writing at Work

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

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

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

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

Collaboration

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

A Plan for Research

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

Formulating a Research Question

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

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

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

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

Constructing a Working ThesIs

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

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

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

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

Creating a Research Proposal

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

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

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

Writing Your Own Research Proposal

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

Key Takeaways

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

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

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• Indian J Anaesth
• v.60(9); 2016 Sep

How to write a research proposal?

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

Devika Rani Duggappa

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

INTRODUCTION

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

Five ‘C’s while writing a literature review

BASIC REQUIREMENTS OF A RESEARCH PROPOSAL

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

CONTENTS OF A RESEARCH PROPOSAL

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

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

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

Introduction

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

Review of literature

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

Aims and objectives

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

Research design and method

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

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

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

Population and sample

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

Data collection

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

Rigor (soundness of the research)

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

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

Consistency

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

Applicability

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

Data analysis

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

Ethical considerations

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

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

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

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

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

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

Financial support and sponsorship

Conflicts of interest.

There are no conflicts of interest.

• 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, see our essay planning template  for guidance. 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: 

• Guidance for candidates
• Manchester University Academic Phrasebank
• Leeds Beckett Assignment Calculator
• Calendarpedia

For guidance regarding specific research proposals (including templates), please check with your specific departments.

Related information

Dissertation planning

Writing a literature review

Research methods

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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.

Cite this Scribbr article

If you want to cite this source, you can copy and paste the citation or click the ‘Cite this Scribbr article’ button to automatically add the citation to our free Reference Generator.

McCombes, S. & George, T. (2023, June 13). How to Write a Research Proposal | Examples & Templates. Scribbr. Retrieved 12 August 2024, from https://www.scribbr.co.uk/the-research-process/research-proposal-explained/

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

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

Written by: Danesh Ramuthi Nov 29, 2023

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

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

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

What to include in a research proposal?

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

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

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

How to format a research proposal?

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

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

How to write a research proposal in 11 steps?

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

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

Step 1: title and abstract.

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

Step 2: Introduction

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

Step 3: Research objectives

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

Step 4: Literature review

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

Step 5: Methodology

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

Step 6: Timeline

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

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

Step 7: Resources

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

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

Step 8: Ethical considerations

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

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

Step 9: Expected outcomes and significance

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

Step 10: References

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

Step 11: Appendices

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

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

Research proposal FAQs

1. how long should a research proposal be.

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

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

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

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

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

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

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

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

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Organizing Your Social Sciences Research Paper: Writing a Research Proposal

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

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

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

How to Approach Writing a Research Proposal

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

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

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

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

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

Common Mistakes to Avoid

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

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

Structure and Writing Style

Beginning the Proposal Process

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

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

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

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

In general your proposal should include the following sections:

I.  Introduction

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

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

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

II.  Background and Significance

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

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

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

III.  Literature Review

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

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

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

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

IV.  Research Design and Methods

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

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

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

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

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

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Purpose of Research Proposal + Definition, Importance, & Writing Steps

Few students fully get the meaning and the importance of a research proposal. If you have a good research proposal, it means that you are going to carry out adequate research. A low-quality research proposal may be the reason your research will never start.

The main purpose of a research proposal is to convince the reader of your project’s value . You will have to prove that you have a plan for your work and that your project will be successful. Your reader has to be sure that it is not another useless piece of writing, but a profound research work that will be extremely important for science.

Want to learn more about the reasons why it is important to have a research plan? Continue reading this article by Custom-writing.org experts!

• 🔤 Definition
• 🎯 Purpose & Importance

❗ Importance of Research Proposal

• 👣 Writing Steps

🔗 References

🔤 what is research proposal.

A research proposal is a document that proposes a particular research project, usually in academia or sciences, intending to get funding from an institution. A typical research proposal addresses a range of points:

• A research question(s) that the proposed research seeks to answer
• The data & methods that will be used to answer the questions
• The time and financial costs for the research
• The prior research in the field
• Potential benefits for the sponsoring institution

Research proposals are usually required when one plans to write a thesis, dissertation, or research paper. The format is similar to that of a research paper, with an introduction, a literature review, a methods section, and a conclusion.

🎯 Purpose of Research Proposal

The primary goal of any research proposal is to convince a sponsoring institution that a particular research project is worthwhile. The document usually aims to cover the aspects below.

In other words, the purpose of a research proposal is to answer the following questions about your research project:

• What do you want to achieve? Try to be as clear as possible in defining the research problem and what aspect of it you intend to investigate.
• Why do you want to do it? You must thoroughly analyze the literature and present compelling evidence that the topic is worth researching.
• How are you going to do it? Make sure you have the time, finances, and competence to complete what you want to accomplish.

A research proposal is important for several reasons:

• It helps identify the research focus. A research proposal defines the topic, outlines methods, and clarifies your research objectives.
• It assists in research planning. You can use a research proposal as an overview of the work to be done, making the research process smoother and easier.
• It allows researchers to secure funding. Research proposals are essential for getting money to fund research projects. These documents help persuade internal and external agencies of the project’s significance and feasibility.
• It demonstrates the student’s communication skills. The way a proposal is worded and structured shows the student’s ability to organize their thoughts and communicate complex ideas.
• It shows the researcher’s competence. The research proposal demonstrates a scholar’s ability to select appropriate methods, justify the choice of topic and methodology, conduct a literature review, and address ethical and budget considerations.

👣 Making a Research Plan in 10 Steps

Research Proposal Topics

• A research proposal on staff attitudes to physician orders for life-sustaining treatment (POLST).
• Research the aspects of corporate social responsibility integration for multinational companies.
• Explore the efficacy of speaker recognition technology for the crime rate reduction.  
• Analyze the peculiarities of Nigeria’s healthcare system and the problems it faced during the COVID-19 pandemic.
• Marketing research proposal: study the skill deficiencies of the students of the current occupational training programs and their influence on the job perspectives.  
• Write a research proposal on the examination of asthma risk factors for African immigrants.
• Research proposal on the connection between hypertension and chronic kidney disease .
• Conduct research on cyber terrorism as a political weapon.
• Explore the effective programs for asthma education among adolescents.
• Research proposal on the controversy of the second amendment.
• Examine the impact of Nokia’s marketing strategy on its product popularity and the company’s share price.
• Analyze the current situation of VEGA medical center and the necessity to implement sustainable change.  
• Formulate a research proposal on the sustainable innovation strategy implementation methods for logistics companies.
• Research proposal on homeland security in the United States .
• Study the most efficient ways to implement a harm reduction approach in healthcare practice.
• Research the efficacy of current procedures of early ventilator-associated pneumonia diagnostics.
• Explore and compare the consumer behavior of generation Y in the USA and China.
• Research proposal on the usefulness of the mobile app English at Hands implementation in educational establishments’ curricula.
• Justice in healthcare: a research proposal .
• Analyze whether watching movies can be considered an effective method of foreign language practice.
• Examine the most widespread reasons for medical personnel shortage in low-income countries.  
• Research proposal on the current state of McDonald’s company .
• Study the effect of lowering high-calorie food consumption on human health and life quality.  
• Write a research proposal on the effect of technology on human health and living conditions.  
• Explore the connection between congestive heart failure and air travel. 
• Study the role of government in enhancing the sustainable innovation strategy implementation rates. 
• Research the use of BMP in improving e-government security.
• Analyze the necessity of health teaching to middle-aged women.
• Research proposal on the online buying site ViaBela.
• Examine the current methods of suicide prevention among geriatric patients.
• Write a research proposal on the investigation of the COVID-19 lockdown on people with mental health issues.
• Explore and compare consumers’ corporate social responsibility awareness in different countries.  
• Study the use of the national DNA database for law enforcement.
• Research the specifics and the ways to eliminate narcoterrorism in Mexico.
• Examine the contemporary ways to prevent Clostridium difficile infection .
• Research proposal on the advantages and disadvantages of skin-to-skin contact after labor.
• Explore the reasons for inadequate nurse staffing and its impact on the level of healthcare service.   
• Anasarca and acute renal failure: a research proposal .
• Analyze whether telephone follow-ups will help to improve the satisfaction and life quality of diabetic patients.
• Write a research proposal on the safety and efficiency of fad diets.  
• Research proposal on capital punishment application .
• Examine the benefits and drawbacks of wireless technologies for modern business organizations.
• Research the reasons that influence the participation rates of African Americans in clinical trials.
• Study how motivational interviews can reduce childhood obesity rates.  
• Research proposal on the role of e-marketing strategies in business development.  
• Analyze the connection between critical thinking and mass media literacy.
• Explore the benefits of medicine computerization.
• Research proposal on green supply chain management .
• Examine the impact of computer technology development on criminology. 
• Conduct intersectionality research on prejudices against Asian American women.
• Writing a Research Proposal (USC Library Guides)
• Writing a research proposal – Research & Learning Online
• How to write a research proposal? – NCBI
• How to Write a Research Proposal – University of Birmingham
• How To Write an Academic Research Proposal
• How to write a research proposal (Yale College)
• How to write a research proposal for a strong PhD application (University of Sydney)
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Introduction to Writing a Research Proposal: Structure, Format & Examples

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A research paper proposal is a document that outlines the research project that a student or researcher intends to undertake. It is usually submitted to a supervisor or committee for approval before the actual study begins.

Whether you are a student completing an assignment or a researcher seeking grants, approval, or funding, knowing how to write a research proposal is an essential skill. This article discusses the basics of formulating effctive proposals and provides examples for reference. If you're struggling with your proposal, don't hesitate to seek assistance from a reliable paper writing service . Our professional writers are highly experienced in various academic fields and can provide you with top-quality, custom-written papers that meet your requirements.

What Is a Research Proposal: Definition

So, what is a research proposal paper? A research proposal is a thoughtful explanation of what your project will focus on and how you will conduct the involved activities. A proposal makes you consider what your study will entail, how you will gather data and analyze it, and why your topic is significant. Through writing a proposal, you can clarify your research objectives, identify potential obstacles, and ensure that your research paper is well-planned and feasible. Ultimately, a well-written research proposal serves as a roadmap for your research project and helps to convince others of the value of your study.

What Is the Purpose of a Research Proposal?

The primary purpose of a research proposal is to convince your audience that your project aligns with the course requirements, and is feasible within the constraints of resources and time.  Essentially, research proposals serve as persuasive pitches to specific individuals. If these individuals are not convinced, you may need to develop an alternative plan and resubmit, resulting in additional costs in terms of time and resources. This could lead to delays in carrying out your actual study or, worse still, exceeding the allocated time frame. Here is why it’s important to write a research proposal:

• Significance Shows an audience that this is an insightful research paper needed to solve a real-world problem.
• Background Indicates that you have looked extensively at other works in your field and know the issue you will be studying.
• Approach Describes the suitability of your selected methodology. This shows that you have carefully considered the required data for addressing your issue and how you will collect, treat, and interpret it.
• Practicability Shows your investigation is worth undertaking and can be achieved within the set period.

How Long Should a Research Proposal Be?

Proposals are normally between 500 and 1500 words, even though some institutions usually specify the required limit. It is rare for a comprehensive research paper proposal to exceed this span since most of them take up a maximum of three pages long, excluding citations. Nonetheless, larger works such as a Ph.D. dissertation may require more details and, thus, a thesis proposal can be more extended. Note that some disciplinary differences also affect an exact research proposal length. Thus, be sure to check your instructions.

Research Proposal Outline & Template Example

Developing a research topic proposal outline is a crucial step in planning and organizing a research project. It helps to identify the main components of the work, their coverage, and how they fit into the argument.  A well-structured research paper outline gives direction for your study, ensuring that all the necessary elements are included and in a logical order. A research paper proposal outline also gives you a good idea of the extent to which you can conceptualize and articulate your points. Keep in mind that you do not need to offer extensive details at this phase. Leave that for the next stage. Here is an example of a research proposal outline. Use it as a research proposal template to fill in your details as you write your work.

• Hypothesis/question
• Definition of major concepts
• Significance and contribution
• Implications
• Strategy, methods, and design
• Literature cited

Research Proposal Structure

Although the structure of a research proposal can vary depending on factors such as discipline, institution, and instructions, there are standard requirements that must be followed. Specific sections must be included in a particular order to ensure a logical flow of the proposal.  The primary parts of a research proposal include:

• Title page Your working title goes here. It highlights a project’s content and direction. Ensure it's narrow, concise, descriptive, catchy, and informative. Also include your name, field of study, date of publication, and institution.
• Introduction In an introduction to a research proposal, you explain what you are investigating and why. Be creative and relevant because this is your opening subsection, which makes it very important. Also, remember to tell your readers about the organization of your work.
• Background and significance Scientific research proposals must highlight what is already known about your topic from the literature. This is like a brief history of your theme concerning current trends and helps you establish a foundation for what you will explore.
• Literature review Writing a proposal also requires that you engage in a critical examination of prior articles related to your subject area to identify gaps in knowledge or unresolved issues.
• Design and methodology Your study proposal should also include a description of how you will collect data and test your hypothesis/question. Additionally, identify the design you will use, the procedures to be followed, and the adopted analysis techniques.
• Implications Offer a general discussion regarding how your work will extend existing knowledge or benefit the field.
• Conclusions Reinforce the importance of your proposed work and summarize the entire project.
• References You must also offer an accurate list of all sources used in your proposal paper. Use a specific layout based on your instructions.

Remember to use these headings to demonstrate where one can find specific information. Need help writing papers for college ? Don’t wait any longer! Ask our professional for assistance.

Things to Consider Before Writing a Research Proposal

When writing a topic proposal, it is essential to answer the questions "what," "why," and "how" regarding your research. The project must clearly outline the chosen research topic and its context.  Mere suggestion of a topic is not sufficient; you must also explain why it is unique and relevant. In other words, your proposal should address an original issue. Additionally, it is crucial to identify the gaps in existing knowledge that your research aims to fill and explain the potential significance and usefulness of your proposed topic. Elaborate on the practical aspects of your research topic. This involves describing the methods you will use to conduct your study, outlining the chosen research design , and identifying the resources available to you. Provide a transparent overview of your methodology and the design decisions relevant to your research.

How to Write a Research Proposal

Now that you are familiar with the nature of this work, able to develop an outline, and comprehend the structure, you can begin drafting your proposal. This can be a daunting task if you have no idea how to write a good research proposal.  Nevertheless, it becomes more manageable when you break it down into specific stages. In the following sections, you will find step-by-step instructions on preparing a proposal paper. By completing all phases explained below, you will gain a better understanding of how to write a proposal for a research paper or any other study.

1. Design a Research Proposal Title Page

The research proposal title page expresses your topic’s main message. The purpose of a cover page is to convey a statement of your subject concisely and identify who is responsible for the work. It is the first section of your paper, and it must be relevant, short, and precise.  In general, include your title, name, and affiliation of the principal investigator and assistants, your institutional affiliation and submission date. Look at this example of the title page for a research proposal formatted in APA style.

Read more: How to Create an APA Format Title Page

2. Write a Research Proposal Introduction

Your research proposal introduction is the initial pitch of your project. Therefore, use it to establish the scene and place your study in context. Design this part to attract readers’ interest regarding your theme and project by making them want to continue reading until the end.  Here is how to write an introduction for a research proposal. Start by presenting to your audience your intention, why the investigation should be conducted, your passion for the subject area, and trends related to your problem. Finally, identify your research question and hypothesis statement . If you do not have one, indicate the line of inquiry you will use in your investigation. Research proposal introduction example

Recent transformations in the IT curriculum focus more on first-year science courses. Researchers have done much work to assist in determining factors that predict success during this period. Nonetheless, most studies cannot validate their results because they lack an evaluation tool. The existing tools in this field are flawed, which makes them insufficient for assessing first-year IT courses. This research proposes to develop an evaluation instrument that can be administered to first-year IT students. Its validity and reliability will be considered. Developing this tool will allow the IT department to advance curriculum innovations for IT courses.

Read more: How to Start a Research Paper

3. Provide a Context

This is part of your research proposal where you describe the context of your work and its significance. For this section, assume that your audience has insufficient time but wants to understand the essence of your issue and the whole investigation. You should focus on eliciting interest in your project, not providing extensive descriptions. Therefore, as you write a proposal for a paper, provide the necessary background by explaining your topic’s importance and why it is essential to grasp the major elements of your research.  Highlight the historical basis from the literature that resulted in your theme and problem under investigation, and elaborate on your purpose. Also, explain your rationale and why it is meaningful to explore the problem. Identify your main ideas to be examined using statements or questions and stress how the analysis develops on existing views about your subject. Remember to establish the boundaries of your proposed inquiry, as this offers a clear focus. Example of research proposal background

Existing first-year IT curricula lack instructions regarding ways of implementing its guidelines and suggestions. This leaves departments to create individual approaches to course materials and develop curriculum tasks. However, when a new syllabus device is conceived, it is important to determine its effectiveness. Researchers examining new curriculum inventions use methods that consider exam scores, resignation percentages, course grades, or lab scores (Decker, 2012). However, these measures have been proven invalid and unreliable. Therefore, there is a need for a tool that can be used to evaluate how students comprehend the core IT material. This thesis aims to develop a validated and reliable evaluation tool to assess IT learners’ knowledge. Such a tool is unavailable currently because existing ones are designed for final-year students. Creating this tool will promote further experimentation as institutions develop this course.

4. Prepare a Literature Review

The literature review section is typically the lengthiest and most comprehensive part of your research proposal. It is closely linked to the background section and primarily aims to synthesize previous research relevant to your topic, situating your proposed study within a broader body of existing investigations. This highlights the originality of your project and its contribution to expanding existing knowledge. Given the abundance of information typically included in this section, it is important to structure it logically when writing your research proposal. This allows readers to easily comprehend the connections between your work and existing studies in the field. To ensure a coherent flow in your research proposal writing, it is recommended to use subheadings based on major themes. Keep in mind that accessing sources online has become increasingly convenient with current technological trends. However, it is crucial to select peer-reviewed and dependable papers mainly from major databases or your school library. While you can present the sources in a unique way, the following steps outline how to write a literature review for your research proposal:

• Provide context and explain its significance to your research topic.
• Identify major themes or concepts for the review.
• Summarize and synthesize existing literature for each theme, highlighting key findings, gaps, and inconsistencies.
• Critically evaluate the literature's strengths, limitations, and relevance to your study.
• Highlight key insights and explain how they inform your research question or hypothesis in the conclusion.

Example of how to discuss sources in a research proposal

Previous studies have described in detail how to teach introductory IT courses using diverse approaches (Owens et al., 2013, Evans, 2018). Other researchers highlight the importance of changing how students are taught IT due to learners being exposed to technology today (Soloway, 2012). They state that graphics and event-based approaches should be used to motivate IT students. These are among the numerous discussions in the literature. However, these studies lack empirical evidence to support the real effect of their approaches on introductory IT learning. This highlights a need for an accurate evaluation tool for IT courses during the first year of study.

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5. Describe Your Research Design and Methods

The objective of the design section of a research proposal is to persuade your audience that the overall analysis approach will address the issue under investigation correctly. You also must convince readers that your methodological selections are relevant to the specific subject matter. Remember that this part should be connected to your objectives and aims. After identifying the relevant independent and dependent variables and defining their relationship, the next step is to select and present your study design. Common study models in scientific research proposals include observational and experimental design . To select an appropriate study design, it is important to consider various criteria and carefully evaluate the strengths and weaknesses of your preferred approach. Additionally, potential confounding variables associated with your decision should be taken into account.  Here is an example of how to write a proposal paper for this segment. Research design proposal example

The proposed study is based on a quantitative strategy with a focus on experimental design. The research will be conducted in phases starting with the process of producing an evaluation tool followed by its analysis, and lastly, testing to confirm its various parameters. These stages aim to ensure the generation of a reliable and valid product. Since human participants are involved at some stages, particularly during the testing part, seeking approval from the Institutional Review Board before commencing the inquiry is necessary.

Research Proposal Methods Section

The methods section of a research proposal outlines the techniques to be used for data collection, analyses, and tests to ensure the validity . To begin, develop a plan for executing your work and explain how you will interpret your results in accordance with the project's objectives. In this section, discuss the sources and practices that will be used to conduct the study. Identify key authors, manuscripts, databases, or locations that will be critical to the project. The aim is to establish and justify the methodology that will be used to achieve the research goals. Your choices will depend on the variables to be measured and how they are interrelated.  Popular techniques include conducting surveys and questionnaires. Remember to cite any literature used to clarify your choices. To gain more insight into how to write a methodology for a research proposal, consider the following example: Methods section of research proposal example

For this study, a web-based survey will be developed. The participants include educators who are involved in advancing the IT curriculum. An invitation shall be sent to them asking for their voluntary involvement in evaluating the relevance of the instrument, as this aids in determining its validity. The survey contains two sets of questions. The first group focuses on gaining data about the types of units first-year IT students study and the involvement of educators in these courses. The next category acts as a follow-up of the first questions’ contents. Participants will offer their views about selected topics from the course.

6. Emphasize Your Contribution to the Field

It is also a good idea to spell out how you expect your research project proposal will extend, revise, or improve existing knowledge in your field. In other words, discuss the implications of your project to readers. While predicting outcomes with certainty is challenging, aim to be clear about their scope and nature, as well as the individuals who will benefit from the research. Ensure that the contribution of your research project is directly related to your exploration aims. The impact of your study can be at the theoretical or practical level, or both. For instance, it could result in the development of a new data analysis technique or a deeper theoretical understanding. You should consider how your investigation will contribute to addressing issues in your field and what it will mean for others in your focus area. It is essential to explain these possibilities in your scientific proposal.  Nonetheless, you should be realistic when identifying your expected conclusions. Don’t promise things that cannot be achieved. Rather, reflect carefully on existing gaps and demonstrate the way your work will address some or all of the problems.  The sample below shows how to write a research proposal contribution section. Implications in research topic proposal example

This work aims to identify the relationship between the techniques for teaching IT. The findings will help teachers and researchers understand the basic skills required for first-year IT students regardless of the instruction approach. Besides, the development of a valid and reliable evaluation tool will enable course tutors to benchmark for units focusing on the effectiveness of various styles of IT instruction. Teachers can use the instrument to examine whether a specific teaching method enhances IT student performance. This will, in turn, allow them to know which tactics are good and which ones are inadequate. The poor techniques can then be reassessed and enhanced.

7. Conclude Your Research Proposal

In the conclusion section, reiterate the importance of your research proposal and provide a brief summary of your entire work. This section should be concise and to-the-point.  Begin by discussing the reasons why your research is necessary. In other words, how is it unique, and how will it advance current views in the field? In the research proposal conclusion, it is vital to:

• State the purpose of the experiment and the questions to be answered.
• Explain the suitability of the chosen design and methods.
• Describe how the research fits into the broader field and anticipate the outcomes.
• Encourage feedback and engagement from the audience.
• Summarize the proposal's key points and emphasize its significance in advancing knowledge in the field.

Here is how to do a research proposal conclusion: Conclusion of a research paper proposal example

My proposed study is important and original because it will enhance the teaching of first-year IT courses in higher education institutions. The investigation particularly seeks to demonstrate the importance of using valid and reliable tools when developing a curriculum. Existing instruments are not supported by scientific evidence, differ in which factors they consider, and are mostly meant for final-year students. Thus, there is a need to create one to help tutors design appropriate instruction techniques for first-year students. The development of the tool will also enable educators and institutions to improve inadequate techniques.

View more: How to Write  Conclusion in Research Paper

8. Make a Research Proposal Reference List

As with other scholarly tasks, writing a paper proposal also requires citing any sources used. A list of references contains all the literature quoted in your project’s body. Ensure that everything here also appears within your work’s content. As you write your research proposal, referring to original texts only is advisable as this helps you identify or avoid any errors.  Generally, mentioning citations demonstrates that you did an adequate level of initial investigation to ensure that your study will enhance past efforts. Remember to prepare this section based on the format specified in your task instructions.  Usually, this part is excluded from the word count of research projects proposals. Example of a research proposal references

9. Include a Budget

If you intend to conduct a simple study, you may not be required to include this section. Nevertheless, if you are seeking funding for your project, then it is essential to offer a detailed budget in your proposal showing the cost of each main segment. Start by predicting and determining the total of all aspects of your work and add extra allowances for unforeseen events, price increases, and delays. The major elements in your application will include equipment, personnel, supplies and materials, publication and printing, lease of facilities, travel, overhead, and extras. Remember to present how much money you need to complete the whole project, justify why those funds are necessary, and describe how you arrived at your final amount. Also, state your financial plan on a yearly basis and ensure to confirm the types of expenses your agency covers. This helps in focusing on relevant components only as you write a study proposal.

10. Proofread and Edit a Research Proposal Draft

Proofreading your proposal before delivering it is also vital, just like in other types of writing tasks. You can ask colleagues, friends, or even your supervisor to read your work and offer suggestions and feedback. This process acts as an error check system to help you improve your piece.  Remember that the intention of writing your research proposal is to ensure that it is not rejected because of simple mistakes that can be corrected easily. Even if you are an experienced scholar, you can make sentence, structural, grammatical, or stylistic errors when writing a proposal for a research paper. Therefore, editing boosts your approval chances by identifying faults and enhancing your compliance with the required academic format.

Research Proposal Format

Most institutions or agencies usually offer information on how to format a research proposal. Some may provide complete templates in a specific layout with instructions about section contents. The styles vary and include APA, Chicago, MLA, or Harvard. The format primarily depends on the subject. For instance, APA style paper is more common for social and natural science works. MLA paper format is often preferred for projects in humanities. Therefore, be sure that you read all the instructions about your task to understand a paper proposal format. If this is not stated explicitly, you may need to seek more information from any relevant department, agency, or supervisor. Don’t select any design unless a specific guideline permits you to do so.

Research Proposal Examples

There are countless examples of research proposals that you can find in your field or for your target publisher. Read them to get a good idea of what you should include in yours or which aspects readers want. Even though scientific research proposal examples will not show you all relevant things, considering several of them is helpful as you sharpen your writing skills for this type of work. Look at the following research paper proposal samples: Research proposal example 1

Proposal paper example 2

Research proposal sample 3

Research Proposal Writing Tips

To avoid having to revise your research proposal paper, it is essential to ensure that it is written in the correct format. Here are additional tips on how to write a great research proposal:

• Avoid overly tentative or hesitant language such as “it appears that…” etc. Rather, be confident with your statements such as “I argue that…”.
• Use subheadings and bullet lists to break up large sections of your proposal.
• Expect potential limitations of your project and address them directly to enhance it.
• Ensure readers can skim your paper easily by highlighting all major sections and restating key arguments. This guides them through your manuscript.
• Look for samples of other proposals in your study field and examine how they prepare their documents.

Research Proposal Checklist

Before submitting your paper, ensure that you have included all the relevant elements and offered enough details. Look at the following checklist on how to write a research proposal to make sure that you have complied with all requirements:

• checkbox I have demonstrated the logical basis and feasibility of my work.
• checkbox I included a clear question or hypothesis and provided its proper context.
• checkbox I have justified my research topic proposal using the literature.
• checkbox My project informs readers how I will explore an issue.
• checkbox I have argued effectively in my research proposal why the study should be funded or approved.
• checkbox My work is well-written and in compliance with the guidelines and style of a successful academic essay.
• checkbox I have cited all the sources.

Bottom Line on How to Write a Research Proposal

The proposal phase is a critical aspect of the research process as it enables you to conduct thorough background research and planning before beginning your actual work. This article has provided a comprehensive overview of the basics and steps on how to write research proposals.  By reviewing all the sections in this guide, you should be able to explain what a research proposal is. Additionally, to reinforce your understanding of key concepts, free research proposal samples have been provided. It is highly recommended to review these examples and practice writing to solidify your comprehension of the material.  The next stage is crafting your study. Check this useful resource to see how to write a research paper .

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FAQ About Research Proposals

1. what makes a good research proposal.

A good research proposal should demonstrate that you are conversant with the relevant literature in your field and describe what you will do. An effective paper:

• Mentions specific aims.
• Is inventive and original.
• Has preliminary data.
• Explains your approach.
• Identifies your work’s importance concerning the specific problem.
• Describes its contribution to the wider literature and field of study.

3. What tense should I use when writing a research proposal?

Your research proposal comprises three central parts. They include an introduction, a literature review, and a methodology, respectively. Each one of them has several subheadings. However, write your first section in the present tense, the second one using the past tense, and apply the future tense in your last segment.

2. How to start a research proposal?

Begin a research proposal by selecting a topic before formulating a question or hypothesis or a working thesis. This part of the writing process is very important because it will assist you in developing a solid basis for your project. Thus, set aside sufficient time for this section.

4. How to write a research paper proposal?

Write a research paper proposal in an unbiased and formal tone, just like you do for other types of academic essays. It is also important to be precise by complying with the general framework of these kinds of papers. In particular, a proposal for a research paper should contain at least a title page, introduction, literature review, design and methods, and reference list. Your reader is aware of these elements and expects you to include them. Remember to present your work logically and clearly.

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AI Act enters into force

On 1 August 2024, the European Artificial Intelligence Act (AI Act) enters into force . The Act aims to foster responsible artificial intelligence development and deployment in the EU .

Proposed by the Commission in April 2021 and agreed by the European Parliament and the Council in December 2023, the AI Act addresses potential risks to citizens’ health, safety, and fundamental rights. It provides developers and deployers with clear requirements and obligations regarding specific uses of AI while reducing administrative and financial burdens for businesses.

The AI Act introduces a uniform framework across all EU countries, based on a forward-looking definition of AI and a risk-based approach:

• Minimal risk: most AI systems such as spam filters and AI-enabled video games face no obligation under the AI Act, but companies can voluntarily adopt additional codes of conduct.
• Specific transparency risk: systems like chatbots must clearly inform users that they are interacting with a machine, while certain AI-generated content must be labelled as such.
• High risk: high-risk AI systems such as AI-based medical software or AI systems used for recruitment must comply with strict requirements, including risk-mitigation systems, high-quality of data sets, clear user information, human oversight, etc.
• Unacceptable risk: for example, AI systems that allow “social scoring” by governments or companies are considered a clear threat to people's fundamental rights and are therefore banned.

The EU aspires to be the global leader in safe AI. By developing a strong regulatory framework based on human rights and fundamental values, the EU can develop an AI ecosystem that benefits everyone. This means better healthcare , safer and cleaner transport , and improved public services for citizens . It brings innovative products and services , particularly in energy, security, and healthcare, as well as higher productivity and more efficient manufacturing for businesses, while governments can benefit from cheaper and more sustainable services such as transport, energy and waste management.

Recently, the Commission has launched a consultation on a Code of Practice for providers of general-purpose Artificial Intelligence (GPAI) models. This Code, foreseen by the AI Act, will address critical areas such as transparency, copyright-related rules, and risk management. GPAI providers with operations in the EU, businesses, civil society representatives, rights holders and academic experts are invited to submit their views and findings, which will feed into the Commission's upcoming draft of the Code of Practice on GPAI models.

The provisions on GPAI will enter into application in 12 months. The Commission expects to finalise the Code of Practice by April 2025. In addition, the feedback from the consultation will also inform the work of the AI Office, which will supervise the implementation and enforcement of the AI Act rules on GPAI. 

For more information

European Artificial Intelligence Act comes into force - press release

Artificial Intelligence - Q&A

More about the European AI Act

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AI Act: Have Your Say on Trustworthy General-Purpose AI

European AI Office

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An interdisciplinary account of the terminological choices by EU policymakers ahead of the final agreement on the AI Act: AI system, general purpose AI system, foundation model, and generative AI

• Review Article
• Open access
• Published: 09 August 2024

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• David Fernández-Llorca 1 ,
• Emilia Gómez   ORCID: orcid.org/0000-0003-4983-3989 1 ,
• Ignacio Sánchez 2 &
• Gabriele Mazzini 3  

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The European Union’s Artificial Intelligence Act (AI Act) is a groundbreaking regulatory framework that integrates technical concepts and terminology from the rapidly evolving ecosystems of AI research and innovation into the legal domain. Precise definitions accessible to both AI experts and lawyers are crucial for the legislation to be effective. This paper provides an interdisciplinary analysis of the concepts of AI system , general purpose AI system , foundation model and generative AI across the different versions of the legal text (Commission proposal, Parliament position and Council General Approach) before the final political agreement. The goal is to help bridge the understanding of these key terms between the technical and legal communities and contribute to a proper implementation of the AI Act. We provide an analysis of the concept of AI system considering its scientific foundation and the crucial role that it plays in the regulation, which requires a sound definition both from legal and technical standpoints. We connect the outcomes of this discussion with the analysis of the concept of general purpose AI system and its evolution during the negotiations. We also address the distinct conceptual meanings of AI system vs AI model and explore the technical nuances of the term foundation model . We conclude that rooting the definition of foundation model to its general purpose capabilities following standardised evaluation methodologies appears to be most appropriate approach. Lastly, we tackle the concept of generative AI , arguing that definitions of AI system that include “content” as one of the system’s outputs already captures it, and concluding that not all generative AI is based on foundation models .

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1 Introduction

After the European Commission tabled the proposal for the Artificial Intelligence Act (AI Act) in April 2021 (European Commission 2021b ), important market and technological developments in the field of AI have taken place, including the emergence of ChatGPT (OpenAI 2022 ) and other similar tools, showcasing the general purpose capabilities of Large Language Models. Those developments have attracted a lot of public attention, prompting EU policy makers to specifically consider them in the course of the negotiations of the AI Act under way (Helberger and Diakopoulos 2023 ; Hacker et al. 2023 ; Boine and Rolnick 2023 ).

In the European Union legal order, which is distinct from the legal order of the Member States belonging to it, most laws are the result of a process where three institutions play an essential role. The European Commission, the executive, has the exclusive power to initiate legislation by preparing and publishing a draft law. This is sent in parallel to the European Parliament, directly elected by the EU citizens, and the Council, representing the government of all 27 Member States. The European Parliament and the Council are known as the ’co-legislators’ insofar as they have the power to adopt the final law by agreeing on the same text. Each of them follows internal procedures to reach its own position (i.e. a set of amendments to the Commission proposal). In order to reach a compromise in a more effective manner, the European Parliament, the Council and the Commission have developed the the practice of holding "trialogues" meetings between their representatives having received a mandate to negotiate a political deal on the basis of their own starting position. Any political deal reached in trialogues must be articulated into a fully fledged legal text, which has to be endorsed by the co-legislators In trialogues the Commission does not have a formal decision-making role, but remains an influential player by providing technical support to the other two institutions (European Parliamentary Research Service 2021 ).

The position expressed by the co-legislators, notably the General Approach of the Council (December 2022) Footnote 1 and the text adopted by the European Parliament (June 2023), Footnote 2 introduce in the AI Act new terms and concepts, notably general purpose AI system , foundation model and generative AI , and foresee accordingly dedicated legal provisions. These terms and concepts add to the already rich and varied ecosystem of specialised jargon used in the research community (Estevez Almenzar et al. 2022 ; Smuha 2021 ).

Terminological choices in law are essential and have far reaching consequences for the practical impact of the rules being introduced, especially in areas permeated by a high-degree of interdisciplinarity like AI (Koivisto et al. 2024 ; Schuett 2023 ).

The objective of this paper is to present and explain those terms and concepts, considering both a technical and legal perspective, with a view to facilitate a correct understanding thereof. To offer a useful context for the reader, we also propose a section on the term AI system , already included in the Commission proposal.

The considerations contained in this paper are based solely on the texts adopted separately by the three EU institutions before the final political agreement reached on December 9, 2023. We do not comment on the final text of the AI Act, which is still to be published at the time of writing of this paper. Nonetheless, we believe that the analysis we offer provides relevant background and tools also for a correct understanding of the adopted law, which results from negotiations between the co-legislators on the basis of their own position.

2 AI system

One of the most consequential concepts in the AI Act is the definition of AI system . This determines which systems fall within the scope of the regulation and may therefore be subject to the requirements and obligations established therein depending on their risk level.

Table  1 contains the several versions of the definition of AI system discussed herein. Although certainly important elements to consider, in the interest of brevity, we do not analyse the recitals (of the AI Act) or other explanatory text (of the OECD) accompanying the definition strictly speaking. In EU law the recitals can provide additional interpretative context in case of ambiguity in the operative provisions, but are not binding as such.

The AI Act, which follows the logic of the vast EU product legislation acquis called ’New Legislative Framework’, considers an AI system as a product, as discussed by Mazzini and Scalzo ( 2023 ). In line with other product legislation, the intended purpose of the AI system (i.e., the use for which an AI system is intended by the provider, including the specific context and conditions of use: Art. 3(12) Commission proposal) plays an essential role, including, among others, its classification according to risk levels.

The Commission’s intention was to propose a definition of AI system that would exclude conventional software as this does not present the characteristics or challenges typical of AI systems , as discussed in the Commission’s impact assessment (European Commission 2021a ). On the other hand, the definition was intended to be inclusive enough to cover not only machine learning, but also other AI techniques and approaches such as symbolic ones. In addition, the definition was intended to be capable of adapting to new developments in the field. Because the definition of AI system in the AI Act should serve a regulatory objective and therefore provide legal certainty to operators, other definitions from the scientific literature or other non-binding policy documents would as a matter of principle not be fit for purpose, as discussed by Samoili et al. ( 2021 ).

In order to ensure an alignment of the EU legislative initiative with concepts emerging in international fora, the Commission took inspiration from the definition of AI system proposed by the OECD in its 2019 Recommendation of the Council on Artificial Intelligence (OECD 2019 ). However, because the OECD definition was not designed for regulatory purposes, some refinements were made in the AI Act proposal.

First, the Commission referred to “software” as opposed to “machine-based system” in order to align with already existing references to “software” in other EU legislative acts (e.g. the Medical Devices Regulation regulates "software" as such - which can itself be or can include an AI system - as a medical device). Footnote 3 Second, it highlighted that an AI system “can, for a given set of human-defined objectives, generate outputs” and made it also clear that those outputs can include “content”. Third, the Commission added that the software should be developed “with one or more of the techniques and approaches listed in Annex I”. In order to ensure legal certainty, Annex I listed a set of techniques used in machine learning, logic- and knowledge-based approaches and statistical modelling, which could be updated via delegated acts.

Although there are differences in their choices, both the Council and the Parliament aimed in general to keep the definition of AI system as aligned as possible to the OECD wording.

As regards the Council, it deleted the Annex I with the list of techniques, and incorporated the concepts that the Annex I was meant to clarify and exemplify in the definition itself, with the sentence “infers how to achieve a given set of objectives using machine learning and/or logic- and knowledge-based approaches”. In addition, the Council replaced the term “software” with “system”, added the concept of “elements of autonomy” and emphasised the relevance of data and inputs.

Like the Council, the Parliament also deleted the Annex I, but overall departed much less from the wording proposed by the OECD. Among others, the Parliament deleted the word “content” proposed by the Commission, replaced the term “software” with “machine-based system”, and included the reference to “varying level of autonomy”.

Compared to the definition adopted by the Council, the definition of the Parliament is not clear in making a clear distinction between AI systems and non-AI systems by omitting the reference to AI approaches and the ability of the system to infer how to achieve its own objectives. Other differences between the Parliament approach and that of the Council relate, for instance, to the deletion of the word “content”, the reference to a different concept of autonomy (“varying levels of autonomy” as opposed to "elements of autonomy") and the addition of the words “explicit or implicit" for the objectives of the system.

In parallel to the legislative deliberations in the EU, the OECD ( 2023 ) worked on revising the initially proposed definition of AI system , amended at the 2023 Recommendation of the Council on Artificial Intelligence, followed by an explanatory memorandum in 2024 (OECD 2024 ). It is interesting to note that the revised OECD definition includes elements discussed at EU level - notably in order to clearly differentiate an AI system from other more traditional software systems - such as the elements of "infer [...] how to generate outputs" and the mention of “content” as a possible output of the AI system .

3 General purpose AI system

The term general purpose AI system was used for the first time in a regulatory context in the Council General Approach. It emerged as a new concept during the Council debates as regards the role and responsibilities of actors in the AI value chain, i.e., of those actors whose software tools and components can be used by downstream providers for the development of AI systems that are under the scope of the AI Act (e.g. high-risk AI systems ). Most likely, the expression “general purpose” was chosen as a derivation of the key concept of “intended purpose” of an AI system , although the two concepts should not be understood as antonyms.

In fact, in the debates surrounding the AI Act too often the legal term “intended purpose” has been incorrectly understood as specific purpose. Most probably this confusion originated because all high-risk AI systems (to which the greatest majority of the AI Act provisions are devoted) have an intended purpose that is specific (e.g. assessing creditworthiness of individuals, selecting resumes of job candidates, etc.) and, as mentioned earlier, the concept of “intended purpose” is key in the logic of the AI Act for the classification of those systems. However, as the definition itself states (Art. 1(12)), the concept of “intended purpose” merely refers to “the use for which an AI system is intended by the provider”, regardless of whether that use is general or specific.

In recital 60 of the proposal, the Commission had acknowledged the complexity of the AI value chain and the importance of the cooperation between relevant third parties and provider of the AI system with a view to enable compliance by the latter of their obligations under the AI Act. Such cooperation was left to the relevant parties’ contractual freedom and, consistently with the product legislation approach, regulatory compliance was identified as a responsibility of the provider of the final (high-risk) AI system .

The Council defines the concept of general purpose AI system as an AI system that “is intended by the provider to perform generally applicable functions such as image and speech recognition, audio and video generation, pattern detection, question-answering, translation and others; a general purpose AI system may be used in a plurality of contexts and be integrated in a plurality of other AI systems ” (Art. 3(1b) General Approach).

The main characteristic of the general purpose AI system emerging from the Council text is that it can be integrated as a component of a downstream AI system covered by the AI Act, but also that it can be used “as such” as an AI system falling under the scope of the AI Act (Art. 4b(1) and recital 12c General Approach).

In the light of the above elements, the Council suggested to impose specific requirements and obligations (very much aligned with those applicable to high-risk AI systems ) on the provider of this category of AI system . On the one hand, such requirements and obligations would lead to an improvement in the balance of responsibilities in the AI value chain (notably when those systems are integrated as components of high-risk AI systems ). The downstream provider would benefit from the compliance activity performed by the upstream provider. On the other hand, the approach proposed by the Council would also serve to ensure compliance with the applicable requirements of the AI Act where these systems, in spite of the ’generality’ of purpose intended by the provider, due to their capabilities could be used by themselves as high-risk AI systems . In order to maintain a close link of the new rules on general purpose AI systems with the risk-based approach of the AI Act, the Council clarified that compliance by the providers of general purpose AI systems with the specific requirements and obligations is not expected if those providers have explicitly excluded in good faith all high-risk uses.

From the examples provided in the Council definition, general purpose AI systems include systems that generate content such as audio, video, and also text (e.g. question answering, translation). Therefore AI systems like ChatGPT, which was launched by OpenAI on 30 November 2022, i.e. just around the time the Council was finalising its General Approach - can certainly be considered an example of the concept of general purpose AI system introduced by the Council.

However, the Council definition of general purpose AI system appears to be more encompassing, in that it also refers to “narrow” AI systems , i.e. AI systems typically constrained to perform a more limited task or function, such as image and speech recognition or pattern detection on a specific domain. While AI systems belonging to this category are different from the previous ones that display broader capabilities and can perform a plurality of tasks, they are part of the AI value chain and can be integrated as components of downstream AI systems such as high-risk AI systems .

The Parliament proposed a different definition for general purpose AI system , referring to an “ AI system that can be used in and adapted to a wide range of applications for which it was not intentionally and specifically designed” (Art. 3(1d)). This definition appears to exclude the category of narrow AI systems , and focuses essentially on systems that are capable of dealing with tasks outside those for which they were specifically trained. Therefore, this definition points more directly to those highly capable AI systems that have become known to the public since the appearance of ChatGPT.

In this paper we focus only on the terminology used by the three EU institutions in the context of the AI Act. It is to note, however, that several other terms have been used often interchangeably by different actors, including outside the scientific communities, to refer to AI tools like ChatGPT and related underlying techniques (e.g. generative pre-trained transformers). Such terms include for instance large pre-trained models, large language models, base models, foundational models, frontier models and also generative AI .

4 AI system vs AI model

In the light of the terminological variations just mentioned, it is important to understand the difference between AI model and AI system . In short, a system is a broader concept than a model, to the extent the latter is solely a component, among others, of the former.

An AI system comprises various components, including, in addition to the model or models, elements such as interfaces, sensors, conventional software, etc. From a scientific and technical standpoint and in accordance with ISO ( 2022 ) terminology, an AI model is a “physical, mathematical, or otherwise logical representation of a system, entity, phenomenon, process or data” and a machine learning model is a “mathematical construct that generates an inference or prediction based on input data”.

Therefore, the model in itself would not be useful, or rather usable in the first place, unless it is complemented by other software components which, together, constitute a system. In fact, only a system is capable to perform tasks and to function effectively, including of course interacting with users, other machine based systems and the environment more generally, as considered by Junklewitz et al. ( 2023 ). As an example, while ChatGPT is an AI system , a chatbot, GPT 3.5 is the model powering the chatbot. Figure  1 depicts the relationship between AI model and AI system .

Often times the terms “system” and “model” are used interchangeably, especially in non-technical discussions, in relation to AI tools such as ChatGPT and similar applications. However, the distinction between the two becomes very important from a legal perspective if a decision is made to establish binding rules not only at the level of an AI system , but also at the level of its components, like the AI model .

In fact, unlike the Council, which established additional rules for the new category of general purpose AI systems , the Parliament opted to establish new rules upstream in the AI value chain and introduced the concept of foundation model defined as “an AI model that is trained on broad data at scale, is designed for generality of output, and can be adapted to a wide range of distinctive tasks” (Art. 3(1c). Accordingly, the Parliament established a number of obligations for the providers of the foundation models , including on: risk assessment and management, data governance, performance requirements as regards predictability, interpretability, corrigibility, safety and cybersecurity of the model, energy reduction and energy efficiency, technical documentation, quality management system and registration (Art. 28b).

As any other possible component in the context of the AI value chain, the AI model can be provided by actors other than the provider of the final AI system , who determines the purpose for which the AI system can be used. It is therefore important to duly reflect on any possible obligations at the level of the AI model upstream so that they are appropriate, feasible and calibrated to the position of the actor in question. For instance, as it typically happens in complex engineering products, including software, where components can be sourced from multiple suppliers and integrated by one final manufacturer or developer, the providers of the AI system typically have at their disposal other tools, in addition to those available to providers of the AI models , to handle possible risks (e.g. adapted to concrete applications or scenarios).

This situation may be made even more complex depending on the means by which the AI model can be provided. For instance, if a model is provided as a software library, it may become unfeasible for model providers to monitor the manner in which the model is further deployed downstream or monitor whether the use of the model may have lead to problems or accidents.

The above does not mean however that the provider of the AI model should not have any role for compliance purposes, notably to the extent legal compliance downstream may be dependent on information available only to the provider of the AI model . In this respect an adequate level of transparency vis-a-vis downstream providers of AI systems seems necessary to address the risk of an imbalance of knowledge and ensure a fair allocation of responsibilities overall.

Diagram depicting the relationship between AI model and AI system

5 Foundation model

The term foundation model was introduced by the Stanford Institute for Human-Centered Artificial Intelligence in August 2021. That concept refers to a new machine learning paradigm in which one large model is pre-trained on a huge amount of data (broad data at scale) and can be used for many downstream tasks and applications (Bommasani et al. 2021 ).

The approach of pre-training a model (a base model) for a particular task and adapting it to a different task or set of tasks is a common approach in the machine learning community. This is traditionally enabled by transfer learning, where, according to Thrun and Mitchell ( 1995 ), “knowledge” learned from one task is adapted and applied to another task via fine-tuning (i.e., the parameters of a pre-trained model are re-computed with new data for another task).

However, when it comes to foundation models , such machine learning approach takes a different dimension. The key element of differentiation is the generality of capabilities of the model, which derive primarily from the architecture and size of the model (e.g. number of parameters in the neural network), the scale of the training data and compute, as well as the training methodology.

Learning objectives of foundation models involved in their training tend to be general and largely focused on the structure of the data itself, that is, learning representations directly from the data attributes without the need of a specific ground truth. Examples of learning objectives are predicting the next word given a sentence, capturing a distribution of images given a text prompt, or capturing and encoding representative features of data (images, audio or text).

At the current stage of technological development and architectures, the capabilities of the model are largely influenced by the size of the model itself and the amount and quality of the data used to train the same. It is worth noting that the relevant orders of magnitude (e.g. as regards model size or amount of data) are dependent on the modality (i.e., text, images, video or audio) and they are also a moving target. For example, in 2019, a language model such as BERT by Devlin et al. ( 2019 ), with 340 million parameters trained on a dataset of about 3.3 billion tokens, was considered a very large model trained on a very large dataset. However, four years later, language models considered large are of the order of tens or hundreds of billions of parameters, trained on datasets of more than 1 trillion tokens (e.g. a state-of-the-art model such as Llama 2 by Touvron et al. ( 2023 ) contains 70 billion parameters and was trained with 2 trillion tokens).

Considering that quantitative elements can significantly vary with technological development, any possible legal definition that would factor in scale (e.g. data, model parameters or merely the training compute as a joint indicator) as a proxy for capabilities to define the boundaries of foundation models should include a mechanism for flexible and timely updates to ensure that the definition remains future-proof. At the same time, it is important to consider the impact of the technological advances (e.g. new neural network architectures) whereby models may be highly capable also if they have a lower number of parameters or have been trained with a lower quantity of data or computational resources. Fig.  2 shows that whilst the compute required for the training of the model is the main factor to predict its performance (in the MMLU benchmark in this case), we see evidence that other factors such as data quality and model architecture also play an important role, which explains why some models like Phi-3 3.8b can outperform much bigger ones (Abdin et al. 2024 ). Finally, all those factors that could be considered relevant for the purpose of regulating foundation models should be closely monitored and documented to ensure they remain fit for purpose and closely linked to the type of capabilities or potential risk that may be relevant from a policy standpoint.

An alternative definitional approach for foundation models that does not rely on factors that are highly variable depending on modality and technological evolution could be to focus on the ability of the system to be inherently capable to competently perform a wide range of distinctive computational tasks. Such an approach would require establishing a taxonomy of tasks, as well as certain thresholds regarding the minimum number of tasks and the level of performance (Uuk et al. 2023 ).

Considering that the advanced capabilities of the foundation models , notably those capabilities that may generate certain risks, are what could justify attention by policymakers, the soundest definitional approach would be to attach regulation to the existence of those advanced capabilities, rather than other elements. From a technical point of view, standardised evaluation protocols or tools (i.e. benchmarks) are the key tools to actually identify the existence of the capabilities and limitations of the foundation model .

The evaluation of the model against standardised benchmarks would also be the basis for an informed appreciation of the risks that may possibly be associated with the specific context of the AI system in which the model is integrated. Evaluation protocols and tools for foundation models are the subject of intense research by the AI community and still in the process of being developed and validated.

Finally, it is important to note that foundation models can be used for generating content in the form of text, images, video or audio. Therefore, foundation models can be at the basis of what is colloquially referred to most recently as generative AI , described in the following section. However, it should be noted that foundation models can also be used for “non-generative” purposes. These would typically imply a more limited output (e.g. a numeric or discrete value), rather than generating a longer free-form output. Some examples are text or image classification.

Graphical representation of estimated compute required to train the model vs MMLU performance for several popular LLMs. Adapted from https://www.interconnects.ai/p/llama-3-and-scaling-open-llms .

6 Generative AI

The concept of generative learning is well known in the machine learning domain. For example, the distinction between discriminative models, focused on predicting the labels of the data, and generative models, focused on learning how the data are distributed, is a classic topic in this field as observed in Jebara ( 2004 ). However, most recently the term generative AI has become widely used, notably after the emergence of consumer facing products such as ChatGPT or Midjourney, to refer to AI models or AI systems that generate content such as text, images, video or audio. The content generated by these tools is usually conditioned to an input prompt provided by the user (e.g. question-answering, text-to-image, text-to-video or text-to-audio). However, from a technical point of view, the generation capability does not necessarily depend on a prompt (e.g. automatic generation systems).

Generative models have been around for quite some time. Some architectures such as Variational Autoencoders (VAEs), Generative Adversarial Networks (GANs) or Recurrent Neural Networks (RNNs) have been widely used to develop generative models since at least 2014. These architectures are less scalable than other more recent ones, so they have traditionally been developed at smaller scales in relation to the number of parameters, data and computational resources. For this reason, models based on VAEs, GANs or RNNs are not usually considered as foundation models . Therefore, generative AI does not necessarily imply the use of foundation models . However, the more powerful generative models, based on other architectures such as the Generative Pre-trained Transformer (GPT) or the diffusion models, which have typically been associated most recently to the concept of generative AI , are considered as foundational models.

It has to be noted that the concept of generative AI is already captured in the Commission and Council definitions of AI system , as they refer to the generation of “outputs such as content”. Moreover, specific transparency obligations are introduced for this type of AI system outputs addressed to “users of AI systems that generate image, audio or video content that appreciably resembles existing persons, objects, places or other entities or events and would falsely appear to a person to be authentic or truthful (’deep fake’)” (Art. 52(3)).

The position of the Parliament (Art. 28b(4)) includes specific obligations for providers of foundation models used in AI systems intended to generate content and for providers of foundation models specialised into a generative AI system. This approach appears to link the concept of generative AI exclusively to foundation models , excluding therefore other types of AI models capable of generating content.

7 Conclusions

Considering the importance and complexity of key legal concepts of the AI Act (notably AI system , general purpose AI system , foundation model and generative AI ), this paper seeks to bring clarity to them from a technical and legal point of view.

After highlighting the need to define the concept of AI system in such a way to duly distinguish it from conventional software/non-AI based systems, we observe that the concept of general purpose AI system - not included in the Commission proposal - is not the same in the Council and in the European Parliament versions of the AI Act. We also address the conceptual differences between the term AI system vs the term AI model and analyse the concept of foundation model in the light of its particular technical properties. While different definitional approaches of this concept from a legal point of view are possible and none is without challenges, we consider that the identification of the relevant capabilities on the basis of standardised evaluation protocols or tools appears to be most appropriate approach. The AI community is making great efforts to develop holistic evaluation frameworks to establish the capabilities of these models. Finally, we argue that the concept of generative AI is already captured by any definition of the term AI system that includes ’content’ as one of the system’s outputs, and that not all generative AI is based on foundation models . We hope that our considerations on the specific terminological choices made and wording used by the three institutions in their version of the AI Act can provide useful context and background to better understand the origin and evolution of the text of the AI Act, including in its final form.

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Fernández-Llorca, D., Gómez, E., Sánchez, I. et al. An interdisciplinary account of the terminological choices by EU policymakers ahead of the final agreement on the AI Act: AI system, general purpose AI system, foundation model, and generative AI. Artif Intell Law (2024). https://doi.org/10.1007/s10506-024-09412-y

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Accepted : 08 July 2024

Published : 09 August 2024

DOI : https://doi.org/10.1007/s10506-024-09412-y

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