justification of a research project example

7 Examples of Justification (of a project or research)

The justification to the part of a research project that sets out the reasons that motivated the research. The justification is the section that explains the importance and the reasons that led the researcher to carry out the work.

The justification explains to the reader why and why the chosen topic was investigated. In general, the reasons that the researcher can give in a justification may be that his work allows to build or refute theories; bring a new approach or perspective on the subject; contribute to the solution of a specific problem (social, economic, environmental, etc.) that affects certain people; generate meaningful and reusable empirical data; clarify the causes and consequences of a specific phenomenon of interest; among other.

Among the criteria used to write a justification, the usefulness of the research for other academics or for other social sectors (public officials, companies, sectors of civil society), the significance in time that it may have, the contribution of new research tools or techniques, updating of existing knowledge, among others. Also, the language should be formal and descriptive.

Examples of justification

• This research will focus on studying the reproduction habits of salmon in the Mediterranean region of Europe, since due to recent ecological changes in the water and temperatures of the region produced by human economic activity , the behavior of these animals has been modified. Thus, the present work would allow to show the changes that the species has developed to adapt to the new circumstances of its ecosystem, and to deepen the theoretical knowledge about accelerated adaptation processes, in addition to offering a comprehensive look at the environmental damage caused by growth. unsustainable economic, helping to raise awareness of the local population.
• We therefore propose to investigate the evolution of the theoretical conceptions of class struggle and economic structure throughout the work of Antonio Gramsci, since we consider that previous analyzes have overlooked the fundamentally dynamic and unstable conception of human society that is present. in the works of Gramsci, and that is of vital importance to fully understand the author’s thought.
• The reasons that led us to investigate the effects of regular use of cell phones on the health of middle-class young people under 18 years of age are centered on the fact that this vulnerable sector of the population is exposed to a greater extent than the rest of society to risks that the continuous use of cell phone devices may imply, due to their cultural and social habits. We intend then to help alert about these dangers, as well as to generate knowledge that helps in the treatment of the effects produced by the abuse in the use of this technology.
• We believe that by means of a detailed analysis of the evolution of financial transactions carried out in the main stock exchanges of the world during the period 2005-2010, as well as the inquiry about how financial and banking agents perceived the situation of the financial system, it will allow us to clarify the economic mechanisms that enable the development of an economic crisis of global dimensions such as the one that the world experienced since 2009, and thus improve the design of regulatory and counter-cyclical public policies that favor the stability of the local and international financial system.
• Our study about the applications and programs developed through the three analyzed programming languages ​​(Java, C ++ and Haskell), can allow us to clearly distinguish the potential that each of these languages ​​(and similar languages) present for solving specific problems. , in a specific area of ​​activity. This would allow not only to increase efficiency in relation to long-term development projects, but to plan coding strategies with better results in projects that are already working, and to improve teaching plans for teaching programming and computer science.
• This in-depth study on the expansion of the Chinese empire under the Xia dynasty, will allow to clarify the socioeconomic, military and political processes that allowed the consolidation of one of the oldest states in history, and also understand the expansion of metallurgical and administrative technologies along the coastal region of the Pacific Ocean. The deep understanding of these phenomena will allow us to clarify this little-known period in Chinese history, which was of vital importance for the social transformations that the peoples of the region went through during the period.
• Research on the efficacy of captropil in the treatment of cardiovascular conditions (in particular hypertension and heart failure) will allow us to determine if angiotensin is of vital importance in the processes of blocking the protein peptidase, or if by the On the contrary, these effects can be attributed to other components present in the formula of drugs frequently prescribed to patients after medical consultation.

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How to Write the Rationale of the Study in Research (Examples)

What is the Rationale of the Study?

The rationale of the study is the justification for taking on a given study. It explains the reason the study was conducted or should be conducted. This means the study rationale should explain to the reader or examiner why the study is/was necessary. It is also sometimes called the “purpose” or “justification” of a study. While this is not difficult to grasp in itself, you might wonder how the rationale of the study is different from your research question or from the statement of the problem of your study, and how it fits into the rest of your thesis or research paper. 

The rationale of the study links the background of the study to your specific research question and justifies the need for the latter on the basis of the former. In brief, you first provide and discuss existing data on the topic, and then you tell the reader, based on the background evidence you just presented, where you identified gaps or issues and why you think it is important to address those. The problem statement, lastly, is the formulation of the specific research question you choose to investigate, following logically from your rationale, and the approach you are planning to use to do that.

Table of Contents:

How to write a rationale for a research paper , how do you justify the need for a research study.

• Study Rationale Example: Where Does It Go In Your Paper?

The basis for writing a research rationale is preliminary data or a clear description of an observation. If you are doing basic/theoretical research, then a literature review will help you identify gaps in current knowledge. In applied/practical research, you base your rationale on an existing issue with a certain process (e.g., vaccine proof registration) or practice (e.g., patient treatment) that is well documented and needs to be addressed. By presenting the reader with earlier evidence or observations, you can (and have to) convince them that you are not just repeating what other people have already done or said and that your ideas are not coming out of thin air. 

Once you have explained where you are coming from, you should justify the need for doing additional research–this is essentially the rationale of your study. Finally, when you have convinced the reader of the purpose of your work, you can end your introduction section with the statement of the problem of your research that contains clear aims and objectives and also briefly describes (and justifies) your methodological approach. 

When is the Rationale for Research Written?

The author can present the study rationale both before and after the research is conducted. 

• Before conducting research : The study rationale is a central component of the research proposal . It represents the plan of your work, constructed before the study is actually executed.
• Once research has been conducted : After the study is completed, the rationale is presented in a research article or  PhD dissertation  to explain why you focused on this specific research question. When writing the study rationale for this purpose, the author should link the rationale of the research to the aims and outcomes of the study.

What to Include in the Study Rationale

Although every study rationale is different and discusses different specific elements of a study’s method or approach, there are some elements that should be included to write a good rationale. Make sure to touch on the following:

• A summary of conclusions from your review of the relevant literature
• What is currently unknown (gaps in knowledge)
• Inconclusive or contested results  from previous studies on the same or similar topic
• The necessity to improve or build on previous research, such as to improve methodology or utilize newer techniques and/or technologies

There are different types of limitations that you can use to justify the need for your study. In applied/practical research, the justification for investigating something is always that an existing process/practice has a problem or is not satisfactory. Let’s say, for example, that people in a certain country/city/community commonly complain about hospital care on weekends (not enough staff, not enough attention, no decisions being made), but you looked into it and realized that nobody ever investigated whether these perceived problems are actually based on objective shortages/non-availabilities of care or whether the lower numbers of patients who are treated during weekends are commensurate with the provided services.

In this case, “lack of data” is your justification for digging deeper into the problem. Or, if it is obvious that there is a shortage of staff and provided services on weekends, you could decide to investigate which of the usual procedures are skipped during weekends as a result and what the negative consequences are. 

In basic/theoretical research, lack of knowledge is of course a common and accepted justification for additional research—but make sure that it is not your only motivation. “Nobody has ever done this” is only a convincing reason for a study if you explain to the reader why you think we should know more about this specific phenomenon. If there is earlier research but you think it has limitations, then those can usually be classified into “methodological”, “contextual”, and “conceptual” limitations. To identify such limitations, you can ask specific questions and let those questions guide you when you explain to the reader why your study was necessary:

Methodological limitations

• Did earlier studies try but failed to measure/identify a specific phenomenon?
• Was earlier research based on incorrect conceptualizations of variables?
• Were earlier studies based on questionable operationalizations of key concepts?
• Did earlier studies use questionable or inappropriate research designs?

Contextual limitations

• Have recent changes in the studied problem made previous studies irrelevant?
• Are you studying a new/particular context that previous findings do not apply to?

Conceptual limitations

• Do previous findings only make sense within a specific framework or ideology?

Study Rationale Examples

Let’s look at an example from one of our earlier articles on the statement of the problem to clarify how your rationale fits into your introduction section. This is a very short introduction for a practical research study on the challenges of online learning. Your introduction might be much longer (especially the context/background section), and this example does not contain any sources (which you will have to provide for all claims you make and all earlier studies you cite)—but please pay attention to how the background presentation , rationale, and problem statement blend into each other in a logical way so that the reader can follow and has no reason to question your motivation or the foundation of your research.

Background presentation

Since the beginning of the Covid pandemic, most educational institutions around the world have transitioned to a fully online study model, at least during peak times of infections and social distancing measures. This transition has not been easy and even two years into the pandemic, problems with online teaching and studying persist (reference needed) . 

While the increasing gap between those with access to technology and equipment and those without access has been determined to be one of the main challenges (reference needed) , others claim that online learning offers more opportunities for many students by breaking down barriers of location and distance (reference needed) .  

Rationale of the study

Since teachers and students cannot wait for circumstances to go back to normal, the measures that schools and universities have implemented during the last two years, their advantages and disadvantages, and the impact of those measures on students’ progress, satisfaction, and well-being need to be understood so that improvements can be made and demographics that have been left behind can receive the support they need as soon as possible.

Statement of the problem

To identify what changes in the learning environment were considered the most challenging and how those changes relate to a variety of student outcome measures, we conducted surveys and interviews among teachers and students at ten institutions of higher education in four different major cities, two in the US (New York and Chicago), one in South Korea (Seoul), and one in the UK (London). Responses were analyzed with a focus on different student demographics and how they might have been affected differently by the current situation.

How long is a study rationale?

In a research article bound for journal publication, your rationale should not be longer than a few sentences (no longer than one brief paragraph). A  dissertation or thesis  usually allows for a longer description; depending on the length and nature of your document, this could be up to a couple of paragraphs in length. A completely novel or unconventional approach might warrant a longer and more detailed justification than an approach that slightly deviates from well-established methods and approaches.

Consider Using Professional Academic Editing Services

Now that you know how to write the rationale of the study for a research proposal or paper, you should make use of our free AI grammar checker , Wordvice AI, or receive professional academic proofreading services from Wordvice, including research paper editing services and manuscript editing services to polish your submitted research documents.

You can also find many more articles, for example on writing the other parts of your research paper , on choosing a title , or on making sure you understand and adhere to the author instructions before you submit to a journal, on the Wordvice academic resources pages.

How to Write the Rationale for a Research Paper

• Research Process
• Peer Review

A research rationale answers the big SO WHAT? that every adviser, peer reviewer, and editor has in mind when they critique your work. A compelling research rationale increases the chances of your paper being published or your grant proposal being funded. In this article, we look at the purpose of a research rationale, its components and key characteristics, and how to create an effective research rationale.

Updated on September 19, 2022

The rationale for your research is the reason why you decided to conduct the study in the first place. The motivation for asking the question. The knowledge gap. This is often the most significant part of your publication. It justifies the study's purpose, novelty, and significance for science or society. It's a critical part of standard research articles as well as funding proposals.

Essentially, the research rationale answers the big SO WHAT? that every (good) adviser, peer reviewer, and editor has in mind when they critique your work.

A compelling research rationale increases the chances of your paper being published or your grant proposal being funded. In this article, we look at:

• the purpose of a research rationale
• its components and key characteristics
• how to create an effective research rationale

What is a research rationale?

Think of a research rationale as a set of reasons that explain why a study is necessary and important based on its background. It's also known as the justification of the study, rationale, or thesis statement.

Essentially, you want to convince your reader that you're not reciting what other people have already said and that your opinion hasn't appeared out of thin air. You've done the background reading and identified a knowledge gap that this rationale now explains.

A research rationale is usually written toward the end of the introduction. You'll see this section clearly in high-impact-factor international journals like Nature and Science. At the end of the introduction there's always a phrase that begins with something like, "here we show..." or "in this paper we show..." This text is part of a logical sequence of information, typically (but not necessarily) provided in this order:

Here's an example from a study by Cataldo et al. (2021) on the impact of social media on teenagers' lives.

Note how the research background, gap, rationale, and objectives logically blend into each other.

The authors chose to put the research aims before the rationale. This is not a problem though. They still achieve a logical sequence. This helps the reader follow their thinking and convinces them about their research's foundation.

Elements of a research rationale

We saw that the research rationale follows logically from the research background and literature review/observation and leads into your study's aims and objectives.

This might sound somewhat abstract. A helpful way to formulate a research rationale is to answer the question, “Why is this study necessary and important?”

Generally, that something has never been done before should not be your only motivation. Use it only If you can give the reader valid evidence why we should learn more about this specific phenomenon.

A well-written introduction covers three key elements:

• What's the background to the research?
• What has been done before (information relevant to this particular study, but NOT a literature review)?
• Research rationale

Now, let's see how you might answer the question.

1. This study complements scientific knowledge and understanding

Discuss the shortcomings of previous studies and explain how'll correct them. Your short review can identify:

• Methodological limitations . The methodology (research design, research approach or sampling) employed in previous works is somewhat flawed.

Example : Here , the authors claim that previous studies have failed to explore the role of apathy “as a predictor of functional decline in healthy older adults” (Burhan et al., 2021). At the same time, we know a lot about other age-related neuropsychiatric disorders, like depression.

Their study is necessary, then, “to increase our understanding of the cognitive, clinical, and neural correlates of apathy and deconstruct its underlying mechanisms.” (Burhan et al., 2021).

• Contextual limitations . External factors have changed and this has minimized or removed the relevance of previous research.

Example : You want to do an empirical study to evaluate the effects of the COVID-19 pandemic on the number of tourists visiting Sicily. Previous studies might have measured tourism determinants in Sicily, but they preceded COVID-19.

• Conceptual limitations . Previous studies are too bound to a specific ideology or a theoretical framework.

Example : The work of English novelist E. M. Forster has been extensively researched for its social, political, and aesthetic dimensions. After the 1990s, younger scholars wanted to read his novels as an example of gay fiction. They justified the need to do so based on previous studies' reliance on homophobic ideology.

This kind of rationale is most common in basic/theoretical research.

2. This study can help solve a specific problem

Here, you base your rationale on a process that has a problem or is not satisfactory.

For example, patients complain about low-quality hospital care on weekends (staff shortages, inadequate attention, etc.). No one has looked into this (there is a lack of data). So, you explore if the reported problems are true and what can be done to address them. This is a knowledge gap.

Or you set out to explore a specific practice. You might want to study the pros and cons of several entry strategies into the Japanese food market.

It's vital to explain the problem in detail and stress the practical benefits of its solution. In the first example, the practical implications are recommendations to improve healthcare provision.

In the second example, the impact of your research is to inform the decision-making of businesses wanting to enter the Japanese food market.

This kind of rationale is more common in applied/practical research.

3. You're the best person to conduct this study

It's a bonus if you can show that you're uniquely positioned to deliver this study, especially if you're writing a funding proposal .

For an anthropologist wanting to explore gender norms in Ethiopia, this could be that they speak Amharic (Ethiopia's official language) and have already lived in the country for a few years (ethnographic experience).

Or if you want to conduct an interdisciplinary research project, consider partnering up with collaborators whose expertise complements your own. Scientists from different fields might bring different skills and a fresh perspective or have access to the latest tech and equipment. Teaming up with reputable collaborators justifies the need for a study by increasing its credibility and likely impact.

When is the research rationale written?

You can write your research rationale before, or after, conducting the study.

In the first case, when you might have a new research idea, and you're applying for funding to implement it.

Or you're preparing a call for papers for a journal special issue or a conference. Here , for instance, the authors seek to collect studies on the impact of apathy on age-related neuropsychiatric disorders.

In the second case, you have completed the study and are writing a research paper for publication. Looking back, you explain why you did the study in question and how it worked out.

Although the research rationale is part of the introduction, it's best to write it at the end. Stand back from your study and look at it in the big picture. At this point, it's easier to convince your reader why your study was both necessary and important.

How long should a research rationale be?

The length of the research rationale is not fixed. Ideally, this will be determined by the guidelines (of your journal, sponsor etc.).

The prestigious journal Nature , for instance, calls for articles to be no more than 6 or 8 pages, depending on the content. The introduction should be around 200 words, and, as mentioned, two to three sentences serve as a brief account of the background and rationale of the study, and come at the end of the introduction.

If you're not provided guidelines, consider these factors:

• Research document : In a thesis or book-length study, the research rationale will be longer than in a journal article. For example, the background and rationale of this book exploring the collective memory of World War I cover more than ten pages.
• Research question : Research into a new sub-field may call for a longer or more detailed justification than a study that plugs a gap in literature.

Which verb tenses to use in the research rationale?

It's best to use the present tense. Though in a research proposal, the research rationale is likely written in the future tense, as you're describing the intended or expected outcomes of the research project (the gaps it will fill, the problems it will solve).

Example of a research rationale

Research question : What are the teachers' perceptions of how a sense of European identity is developed and what underlies such perceptions?

Braun, V., & Clarke, V. (2006). Using thematic analysis in psychology. Qualitative Research in Psychology , 3(2), 77-101.

Burhan, A.M., Yang, J., & Inagawa, T. (2021). Impact of apathy on aging and age-related neuropsychiatric disorders. Research Topic. Frontiers in Psychiatry

Cataldo, I., Lepri, B., Neoh, M. J. Y., & Esposito, G. (2021). Social media usage and development of psychiatric disorders in childhood and adolescence: A review. Frontiers in Psychiatry , 11.

CiCe Jean Monnet Network (2017). Guidelines for citizenship education in school: Identities and European citizenship children's identity and citizenship in Europe.

Cohen, l, Manion, L., & Morrison, K. (2018). Research methods in education . Eighth edition. London: Routledge.

de Prat, R. C. (2013). Euroscepticism, Europhobia and Eurocriticism: The radical parties of the right and left “vis-à-vis” the European Union P.I.E-Peter Lang S.A., Éditions Scientifiques Internationales.

European Commission. (2017). Eurydice Brief: Citizenship education at school in Europe.

Polyakova, A., & Fligstein, N. (2016). Is European integration causing Europe to become more nationalist? Evidence from the 2007–9 financial crisis. Journal of European Public Policy , 23(1), 60-83.

Winter, J. (2014). Sites of Memory, Sites of Mourning: The Great War in European Cultural History . Cambridge: Cambridge University Press.

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Thank you. payment completed., you will receive an email from us to confirm your registration, please click the link in the email to activate your account., there was error during payment, orcid profile found in public registry, download history, how to write the rationale for your research.

• Charlesworth Author Services
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The rationale for one’s research is the justification for undertaking a given study. It states the reason(s) why a researcher chooses to focus on the topic in question, including what the significance is and what gaps the research intends to fill. In short, it is an explanation that rationalises the need for the study. The rationale is typically followed by a hypothesis/ research question (s) and the study objectives.

When is the rationale for research written?

The rationale of a study can be presented both before and after the research is conducted. 

• Before : The rationale is a crucial part of your research proposal , representing the plan of your work as formulated before you execute your study.
• After : Once the study is completed, the rationale is presented in a research paper or dissertation to explain why you focused on the particular question. In this instance, you would link the rationale of your research project to the study aims and outcomes.

Basis for writing the research rationale

The study rationale is predominantly based on preliminary data . A literature review will help you identify gaps in the current knowledge base and also ensure that you avoid duplicating what has already been done. You can then formulate the justification for your study from the existing literature on the subject and the perceived outcomes of the proposed study.

Length of the research rationale

In a research proposal or research article, the rationale would not take up more than a few sentences . A thesis or dissertation would allow for a longer description, which could even run into a couple of paragraphs . The length might even depend on the field of study or nature of the experiment. For instance, a completely novel or unconventional approach might warrant a longer and more detailed justification.

Basic elements of the research rationale

Every research rationale should include some mention or discussion of the following: 

• An overview of your conclusions from your literature review
• Gaps in current knowledge
• Inconclusive or controversial findings from previous studies
• The need to build on previous research (e.g. unanswered questions, the need to update concepts in light of new findings and/or new technical advancements). 

Example of a research rationale

Note: This uses a fictional study.

Abc xyz is a newly identified microalgal species isolated from fish tanks. While Abc xyz algal blooms have been seen as a threat to pisciculture, some studies have hinted at their unusually high carotenoid content and unique carotenoid profile. Carotenoid profiling has been carried out only in a handful of microalgal species from this genus, and the search for microalgae rich in bioactive carotenoids has not yielded promising candidates so far. This in-depth examination of the carotenoid profile of Abc xyz will help identify and quantify novel and potentially useful carotenoids from an untapped aquaculture resource .

In conclusion

It is important to describe the rationale of your research in order to put the significance and novelty of your specific research project into perspective. Once you have successfully articulated the reason(s) for your research, you will have convinced readers of the importance of your work!

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Research proposal, thesis, exegesis, and journal article writing for business, social science and humanities (BSSH) research degree candidates

Topic outline, introduction and research justification.

Introduction and research justification, business, social sciences, humanities

Introduction.

• Signalling the topic in the first sentence
• The research justification or 'problem' statement 
• The 'field' of literature
• Summary of contrasting areas of research
• Summary of the 'gap' in the literature
• Research aims and objectives

Summary of the research design

Example research proposal introductions.

This topic outlines the steps in the introduction of the research proposal. As discussed in the first topic in this series of web resources, there are three key elements or conceptual steps within the main body of the research proposal. In this resource, these elements are referred to as the research justification, the literature review and the research design. These three steps also structure, typically, but not always in this order, the proposal introduction which contains an outline of the proposed research.

These steps pertain to the key questions of reviewers:

• What problem or issue does the research address? (research justification)
• How will the research contribute to existing knowledge? (the 'gap' in the literature, sometimes referred to as the research 'significance')
• How will the research achieve its stated objectives? (the research design)

Reviewers look to find a summary of the case for the research in the introduction, which, in essence, involves providing summary answers to each of the questions above.

The introduction of the research proposal usually includes the following content:

• a research justification or statement of a problem (which also serves to introduce the topic)
• a summary of the key point in the literature review (a summary of what is known and how the research aims to contribute to what is known)
• the research aim or objective
• a summary of the research design
• concise definitions of any contested or specialised terms that will be used throughout the proposal (provided the first time the term is used).

This topic will consider how to write about each of these in turn.

Signaling the topic in the first sentence

The first task of the research proposal is to signal the area of the research or 'topic' so the reader knows what subject will be discussed in the proposal. This step is ideally accomplished in the opening sentence or the opening paragraph of the research proposal. It is also indicated in the title of the research proposal. It is important not to provide tangential information in the opening sentence or title because this may mislead the reader about the core subject of the proposal.

A ‘topic’ includes:

• the context or properties of the subject (the particular aspect or properties of the subject that are of interest).

Questions to consider in helping to clarify the topic:

• What is the focus of my research?
• What do I want to understand?
• What domain/s of activity does it pertain to?
• What will I investigate in order to shed light on my focus?

The research justification or the ‘problem’ statement

The goal of the first step of the research proposal is to get your audience's attention; to show them why your research matters, and to make them want to know more about your research. The first step within the research proposal is sometimes referred to as the research justification or the statement of the 'problem'. This step involves providing the reader with critical background or contextual information that introduces the topic area, and indicates why the research is important. Research proposals often open by outlining a central concern, issue, question or conundrum to which the research relates.

The research justification should be provided in an accessible and direct manner in the introductory section of the research proposal. The number of words required to complete this first conceptual step will vary widely depending on the project.

Writing about the research justification, like writing about the literature and your research design, is a creative process involving careful decision making on your part. The research justification should lead up to the topic of your research and frame your research, and, when you write your thesis, exegesis or journal article conclusion, you will again return to the research justification to wrap up the implications of your research. That is to say, your conclusions will refer back to the problem and reflect on what the findings suggest about how we should treat the problem. For this reason, you may find the need to go back and reframe your research justification as your research and writing progresses.

The most common way of establishing the importance of the research is to refer to a real world problem. Research may aim to produce knowledge that will ultimately be used to:

• advance national and organisational goals (health, clean environment, quality education),
• improve policies and regulations,
• manage risk,
• contribute to economic development,
• promote peace and prosperity,
• promote democracy,
• test assumptions (theoretical, popular, policy) about human behaviour, the economy, society,
• understand human behaviour, the economy and social experience,
• understand or critique social processes and values.

Examples of 'research problems' in opening sentences and paragraphs of research writing

Management The concept of meritocracy is one replicated and sustained in much discourse around organisational recruitment, retention and promotion. Women have a firm belief in the concept of merit, believing that hard work, education and talent will in the end be rewarded (McNamee and Miller, 2004). This belief in workplace meritocracy could in part be due to the advertising efforts of employers themselves, who, since the early 1990s, attempt to attract employees through intensive branding programs and aggressive advertising which emphasise equality of opportunity. The statistics, however, are less than convincing, with 2008 data from the Equal Employment for Women in the Workplace agency signalling that women are disproportionately represented in senior management levels compared to men, and that the numbers of women at Chief Executive Officer level in corporate Australia have actually decreased (Equal Opportunity for Women Agency, 2008). Women, it seems, are still unable to shatter the glass ceiling and are consistently overlooked at executive level.

Psychology Tension-type headache is extremely prevalent and is associated with significant personal and social costs.

Education One of the major challenges of higher education health programs is developing the cognitive abilities that will assist undergraduate students' clinical decision making. This is achieved by stimulating enquiry analysis, creating independent judgement and developing cognitive skills that are in line with graduate practice (Hollingworth and McLoughlin 2001; Bedard, 1996).

Visual arts In the East, the traditional idea of the body was not as something separate from the mind. In the West, however, the body is still perceived as separate, as a counterpart of the mind. The body is increasingly at the centre of the changing cultural environment, particularly the increasingly visual culture exemplified by the ubiquity of the image, the emergence of virtual reality, voyeurism and surveillance culture. Within the contemporary visual environment, the body's segregation from the mind has become more intense than ever, conferring upon the body a 'being watched' or 'manufacturable' status, further undermining the sense of the body as an integral part of our being.

Literature review summary

The next step following the research justification in the introduction is the literature review summary statement. This part of the introduction summarises the literature review section of the research proposal, providing a concise statement that signals the field of research and the rationale for the research question or aim.

It can be helpful to think about the literature review element as comprised of four parts. The first is a reference to the field or discipline the research will contribute to. The second is a summary of the main questions, approaches or accepted conclusions in your topic area in the field or discipline at present ('what is known'). This summary of existing research acts as a contrast to highlight the significance of the third part, your statement of a 'gap'. The fourth part rephrases this 'gap' in the form of a research question, aim, objective or hypothesis.

For example

Scholars writing about ... (the problem area) in the field of ... (discipline or sub-discipline, part one) have observed that ... ('what is known', part two). Others describe ... ('what is known', part two). A more recent perspective chronicles changes that, in broad outline, parallel those that have occurred in ... ('what is known', part two). This study differs from these approaches in that it considers ... ('gap', research focus, part three). This research draws on ... to consider ... (research objective, part four).  

More information about writing these four parts of the literature review summary is provided below.

1. The 'field' of literature

The field of research is the academic discipline within which your research is situated, and to which it will contribute. Some fields grow out of a single discipline, others are multidisciplinary. The field or discipline is linked to university courses and research, academic journals, conferences and other academic associations, and some book publishers. It also describes the expertise of thesis supervisors and examiners. 

The discipline defines the kinds of approaches, theories, methods and styles of writing adopted by scholars and researchers working within them.

For a list of academic disciplines have a look at the wikipedia site at: https://en.wikipedia.org/wiki/List_of_academic_disciplines

The field or discipline is not the same as the topic of the research. The topic is the subject matter or foci of your research. Disciplines or 'fields' refer to globally recognised areas of research and scholarship.

The field or discipline the research aims to contribute to can be signalled in a few key words within the literature review summary, or possibly earlier withn the research justification.

Sentence stems to signal the field of research 

• Within the field of ... there is now agreement that ... .
• The field of ... is marked by ongoing debate about ... .
• Following analysis of ... the field of ... turned to an exploration of ... .

2. A summary of contrasting areas of research or what is 'known'

The newness or significance of what you are doing is typically established in a contrast or dialogue with other research and scholarship. The 'gap' (or hole in the donut) only becomes apparent by the surrounding literature (or donut). Sometimes a contrast is provided to show that you are working in a different area to what has been done before, or to show that you are building on previous work, or perhaps working on an unresolved issue within a discipline. It might also be that the approaches of other disciplines on the same problem area or focus are introduced to highlight a new angle on the topic.

3. The summary of the 'gap' in the literature

The 'gap' in the field typically refers to the explanation provided to support the research question. Questions or objectives grow out of areas of uncertainty, or gaps, in the field of research. In most cases, you will not know what the gap in knowledge is until you have reviewed the literature and written up a good part of the literature review section of the proposal. It is often not possible therefore to confidently write the 'gap' statement until you have done considerable work on the literature review. Once your literature review section is sufficiently developed, you can summarise the missing piece of knowledge in a brief statement in the introduction.

Sentence stems for summarising a 'gap' in the literature

Indicate a gap in the previous research by raising a question about it, or extending previous knowledge in some way:

• However, there is little information/attention/work/data/research on … .
• However, few studies/investigations/researchers/attempt to … .

Often steps two and three blend together in the same sentence, as in the sentence stems below.

Sentence stems which both introduce research in the field (what is 'known') and summarise a 'gap'

• The research has tended to focus on …(introduce existing field foci), rather than on … ('gap').
• These studies have emphasised that … …(introduce what is known), but it remains unclear whether … ('gap').
• Although considerable research has been devoted to … (introduce field areas), rather less attention has been paid to … ('gap').

The 'significance' of the research

When writing the research proposal, it is useful to think about the research justification and the  ‘gap in the literature’ as two distinct conceptual elements, each of which must be established separately. Stating a real world problem or outlining a conceptual or other conundrum or concern is typically not, in itself, enough to justify the research. Similarly, establishing that there is a gap in the literature is often not enough on its own to persuade the reader that the research is important. In the first case, reviewers may still wonder ‘perhaps the problem or concern has already been addressed in the literature’, or, in the second, ‘so little has been done on this focus, but perhaps the proposed research is not important’? The proposal will ideally establish that the research is important, and that it will provide something new to the field of knowledge.

In effect, the research justification and the literature review work together to establish the benefit, contribution or 'significance' of the research. The 'significance' of the research is established not in a statement to be incorporated into the proposal, but as something the first two sections of the proposal work to establish. Research is significant when it pertains to something important, and when it provides new knowledge or insights within a field of knowledge.

4. The research aim or objective

The research aim is usually expressed as a concise statement at the close of the literature review. It may be referred to as an objective, a question or an aim. These terms are often used interchangeably to refer to the focus of the investigation. The research focus is the question at the heart of the research, designed to produce new knowledge. To avoid confusing the reader about the purpose of the research it is best to express it as either an aim, or an objective, or a question. It is also important to frame the aims of the research in a succinct manner; no more than three dot points say. And the aim/objective/question should be framed in more or less the same way wherever it appears in the proposal. This ensures the research focus is clear.

Language use

Research generally aims to produce knowledge, as opposed to say recommendations, policy or social change. Research may support policy or social change, and eventually produce it in some of its applications, but it does not typically produce it (with the possible exception of action research). For this reason, aims and objectives are framed in terms of knowledge production, using phrases like:

• to increase understanding, insight, clarity;
• to evaluate and critique;
• to test models, theory, or strategies.

These are all knowledge outcomes that can be achieved within the research process.

Reflecting your social philosophy in the research aim

A well written research aim typically carries within it information about the philosophical approach the research will take, even if the researcher is not themselves aware of it, or if the proposal does not discuss philosophy or social theory at any length. If you are interested in social theory, you might consider framing your aim such that it reflects your philosophical or theoretical approach. Since your philosophical approach reflects your beliefs about how 'valid' knowledge can be gained, and therefore the types of questions you ask, it follows that it will be evident within your statement of the research aim. Researchers, variously, hold that knowledge of the world arises through:

• observations of phenomena (measurements of what we can see, hear, taste, touch);
• the interactions between interpreting human subjects and objective phenomena in the world;
• ideology shaped by power, which we may be unconscious of, and which must be interrogated and replaced with knowledge that reflects people's true interests; 
• the structure of language and of the unconscious;
• the play of historical relations between human actions, institutional practices and prevailing discourses;
• metaphoric and other linguistic relations established within language and text.

The philosophical perspective underpinning your research is then reflected in the research aim. For example, depending upon your philosophical perspective, you may aim to find out about:

• observable phenomenon or facts;
• shared cultural meanings of practices, rituals, events that determine how objective phenomena are interpreted and experienced;
• social structures and political ideologies that shape experience and distort authentic or empowered experience;
• the structure of language;
• the historical evolution of networks of discursive and extra-discursive practices;
• emerging or actual phenomenon untainted by existing representation.

You might check your aim statement to ensure it reflects the philosophical perspective you claim to adopt in your proposal. Check that there are not contradictions in your philosophical claims and that you are consistent in your approach. For assistance with this you may find the Social philosophy of research resources helpful.

Sentence stems for aims and objectives

• The purpose of this research project is to … .
• The purpose of this investigation is to … .
• The aim of this research project is to … .
• This study is designed to … .

The next step or key element in the research proposal is the research design. The research design explains how the research aims will be achieved. Within the introduction a summary of the overall research design can make the project more accessible to the reader.

The summary statement of the research design within the introduction might include:

• the method/s that will be used (interviews, surveys, video observation, diary recording);
• if the research will be phased, how many phases, and what methods will be used in each phase;
• brief reference to how the data will be analysed.

The statement of the research design is often the last thing discussed in the research proposal introduction.

NB. It is not necessary to explain that a literature review and a detailed ouline of the methods and methodology will follow because academic readers will assume this.

Title: Aboriginal cultural values and economic sustainability: A case study of agro-forestry in a remote Aboriginal community

Further examples can be found at the end of this topic, and in the drop down for this topic in the left menu. 

In summary, the introduction contains a problem statement, or explanation of why the research is important to the world, a summary of the literature review, and a summary of the research design. The introduction enables the reviewer, as well as yourself and your supervisory team, to assess the logical connections between the research justification, the 'gap' in the literature, research aim and the research design without getting lost in the detail of the project. In this sense, the introduction serves as a kind of map or abstract of the proposed research as well as of the main body of the research proposal.

The following questions may be useful in assessing your research proposal introduction.

• Have I clearly signalled the research topic in the key words and phrases used in the first sentence and title of the research proposal?
• Have I explained why my research matters, the problem or issue that underlies the research in the opening sentences,  paragraphs and page/s?
• Have I used literature, examples or other evidence to substantiate my understanding of the key issues?
• Have I explained the problem in a way that grabs the reader’s attention and concern?
• Have I indicated the field/s within which my research is situated using key words that are recognised by other scholars?
• Have I provided a summary of previous research and outlined a 'gap' in the literature?
• Have I provided a succinct statement of the objectives or aims of my research?
• Have I provided a summary of the research phases and methods?

This resource was developed by Wendy Bastalich.

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• Research process
• 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

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

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

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

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

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

Your introduction should:

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

To guide your introduction , include information about:

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

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

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

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

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

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

For example, your results might have implications for:

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

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

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

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

Download our research schedule template

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

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

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

To determine your budget, think about:

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

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

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

I will compare …

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

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

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

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

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

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

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

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

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• Indian J Dermatol
• v.62(5); Sep-Oct 2017

Summary and Synthesis: How to Present a Research Proposal

Maninder singh setia.

From the MGM Institute of Health Sciences, Navi Mumbai, Maharashtra, India

Saumya Panda

1 Department of Dermatology, KPC Medical College, Kolkata, West Bengal, India

This concluding module attempts to synthesize the key learning points discussed during the course of the previous ten sets of modules on methodology and biostatistics. The objective of this module is to discuss how to present a model research proposal, based on whatever was discussed in the preceding modules. The lynchpin of a research proposal is the protocol, and the key component of a protocol is the study design. However, one must not neglect the other areas, be it the project summary through which one catches the eyes of the reviewer of the proposal, or the background and the literature review, or the aims and objectives of the study. Two critical areas in the “methods” section that cannot be emphasized more are the sampling strategy and a formal estimation of sample size. Without a legitimate sample size, none of the conclusions based on the statistical analysis would be valid. Finally, the ethical parameters of the study should be well understood by the researchers, and that should get reflected in the proposal.

As we reach the end of an exhaustive module encompassing research methods and biostatistics, we need to summarize and synthesize the key learning points, to demonstrate how one may utilize the different sections of the module to undertake research projects of different kinds. After all, the practical purpose behind publishing such a module is to facilitate the preparation of high quality research proposals and protocols. This concluding part will make an attempt to provide a window to the different sections of the module, underlining the various aspects of design and analysis needed to formulate protocols applicable to different kinds of clinical research in dermatology.

Components of a Research Proposal

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. A research proposal is generally meant to be presented by an investigator to request an agency or a body to support research work in the form of grants. The vast majority of research proposals, in India, however, are not submitted to agency or body for grants, simply because of the paucity of such agencies, bodies, and research grants. Most are academic research proposals, self-financed, and submitted to scientific and ethics committee of an institution. The parts of a proposal include the title page, abstract/project summary, table of contents, introduction, background and review of literature, and the research protocol.

The title page should contain the personal data pertaining to the investigators, and title of the project, which should be concise and comprehensive at the same time. The table of contents, strictly speaking, is not necessary for short proposals. The introduction includes a statement of the problem, purpose, and significance of the research.

The protocol is the document that specifies the research plan. It is the single most important quality control tool for all aspects of a clinical research. It is the instrument where the researcher explains how data will be collected, including the calculation for estimating sample size, and what outcome variables to measure.

A complete clinical research protocol includes the following:

Study design

• Precise definition of the disease or problem
• Completely defined prespecified primary and secondary outcome measures, including how and when these will be assessed
• Clear description of variables
• Well-defined inclusion and exclusion criteria
• Efficacy and safety parameters
• Whenever applicable, stopping guidelines and parameters of interim analyses
• Sample size calculation
• Randomization details
• Plan of statistical analysis
• Detailed description of interventions
• A chronogram of research flow (Gantt chart)
• Informed consent document
• Clinical research form
• Details of budget; and
• References.

(Modified from: Bagatin et al ., 2013).

Project Summary

The project summary is a brief document that consists of an overview, and discusses the intellectual merits, and broader impacts of the research project. Each of these three sections is required to be present and must be clearly defined. The project summary is one of the most important parts of the proposal. It is likely the first thing a reviewer will read, and is the investigators’ best chance to grab their interest, and convince them of the importance, and quality, of their research before they even read the proposal. Though it is the first proposal element in order, many applicants prefer to write the project summary last, after writing the protocol. This allows the writer to better avoid any inconsistencies between the two.

The overview specifies the research goal and it should demonstrate that this goal fits with the principal investigator's long-term research goals. It should specify the proposed research approach and the educational goal of the research project.

The intellectual merits (the contribution your research will make to your field) should specify the current state of knowledge in the field, and where it is headed. It should also clarify what your research will add to the state of knowledge in the field. Furthermore, important to state is what your research will do to enhance or enable other researches in the field. Finally, one should answer why your research is important for the advancement of the field.

The broader impacts (the contribution the research will make to the society) should answer the questions on the benefit to the society at large from the research, and the possible applications of the research, and why the general public would care. It should also clarify how the research can benefit the site of research (medical college or university, etc.) and the funding agency.

Background and Review of Literature

This is an important component of the research protocol. The review should discuss all the relevant literature, the method used in the literature, the lacunae in the literature, and justify the proposed research. We have provided a list of the useful databases in the section on systematic reviews and meta-analysis (Setia, 2017). Some of these are PubMed, Cochrane database, EMBASE, and LILACS.

Provide a critical analysis of the literature

The researcher should not provide a descriptive analysis of literature. For instance, the literature reviews should not be a list of one article followed by the next article. It should be a critical analysis of literature.

A study by XXXX et al . found that the prevalence of psoriasis was 20%. It was a hospital-based study conducted in North India. The prevalence was 35% in males and 12% in females.

Another study by YYYYY et al . found that the prevalence of psoriasis was 14%. The study was conducted in a private clinic in North India. The prevalence was 8% in males and 18% in females.

A third study by ZZZZZ et al . found that the prevalence of psoriasis was 5%. This study was a community-based study. The prevalence was 7% in males and 3% in females.

In this type of review, the researcher has described all the studies. However, it is useful to understand the findings of these three studies and summarize them in researcher's own words.

A possible option can be “ The reported prevalence of psoriasis in the Indian population varied from 5% to 20%. In general, it was higher in hospital-based studies and lower in community-based studies. There was no consistent pattern in the prevalence of psoriasis in males and females. Though some studies found the prevalence to be higher in males, others reported that females had a higher prevalence .”

Discuss the limitations and lacunae of these studies

The researcher should discuss the limitations of the studies. These could be the limitations that the authors have presented in the manuscript or the ones that the researcher has identified. Usually, the current research proposal should try to address the limitations of a previous study.

A study by BBBB et al : “ One of the main limitations of our study was the lack of objective criteria for assessing anemia in patients presenting with psoriasis. We classified the patients based on clinical assessment of pallor .”

The present proposal can mention “ Though previous studies have assessed the association between anemia and psoriasis, they have not used any objective criteria (such as hemoglobin or serum ferritin levels). Furthermore, pallor was evaluated by three clinicians; the authors have not described the agreement between these clinicians .”

In the above example, the authors have stated the limitation of their research in the manuscript. However, in the review of literature, the researcher has added another limitation. It is important to convince the reviewers that the researcher has read and understood the literature. It is also important that some or most of these lacunae should be addressed in the present proposal as far as possible.

Justify the present proposal by review

The researcher should adequately justify the present proposal based on the review of literature. The justification should not only be for the research question, but also the methods, study design, variables of interest, study instruments or measurements, and statistical methods of choice. Sometimes, the justification can be purely statistical. For example, all the previous studies have used cross-sectional data or cross-sectional analysis of longitudinal data in their manuscripts. The present proposal will use methods used for longitudinal data analysis. The researcher should justify the benefit of these methods over the previous statistical methods.

In short, the review should not be a “laundry list” of all the articles. The review should be able to convince the reader that the present research is required and it builds on the existing literature (either as a novel research question, new measurement of the outcome, a better study design, or advanced and appropriate statistical methods).

Kindly try to avoid this justification: “ It has not been done in our center .”

Aims and Objectives

The “aim” of the study is an overarching goal of the study. The objectives are measurable and help the researcher achieve the overall aim.

For example, the overall aim of our study is to assess the long-term health of patients of psoriasis.

The specific objectives are:

• To record the changes in Psoriasis Area and Severity Index (PASI) score in patients with psoriasis over a period of 5 years
• To study the side effects of medications in these patients over a period of 5 years.

It is important to clearly state the objectives, since the research proposal should be designed to achieve these objectives.

For example, the methods should describe the following:

• How will the researcher answer the first objective?
• Where will the researcher recruit the study participants (study site and population)?
• Which patients of psoriasis will be recruited (inclusion and exclusion criteria)?
• What will be the design of the study (cohort, etc.)?
• What are all the variables to be measured to achieve the study outcomes (exposure and outcome variables)?
• How will the researcher measure these variables (clinical evaluation, history, serological examination, etc.)?
• How will the researcher record these data (clinical forms, etc.)?
• How will the researcher analyze the data that have been collected?
• Are there any limitations of these methods? If so, what has the researcher done to minimize the limitations?

All the ten modules on research methodology have to be read and grasped to plan and design any kind of research applicable to one's chosen field. However, some key areas have been outlined below with examples to appreciate the same in an easier manner.

The study setting must be specified. This should include both the geographical location and the population from which the study sample would be recruited.

“The study took place at the antiretroviral therapy clinic of Queen Elizabeth Central Hospital in Blantyre, Malawi, from January 2006 to April 2007. Blantyre is the major commercial city of Malawi, with a population of 1,000,000 and an estimated HIV prevalence of 27% in adults in 2004” (Ndekha et al ., 2009).

This is a perfect example of description of a study setting which underscores the importance of planning it in detail a priori .

Study population, sampling strategy, and sample size

Study population has to be clearly and precisely defined. For example, a study on atopic dermatitis may be conducted upon patients defined according to the UK Working Party's modified diagnostic criteria, or the Hanifin and Rajka's criteria, or some other criteria defined by the investigators. However, it should always be prespecified within the protocol.

Similarly, the eligibility criteria of the participants for the study must be explicit. One truism that is frequently forgotten is that the inclusion and exclusion criteria are mutually exclusive, and one is not the negative image of the other. Eligible cases are included according to a set of inclusion criteria, and this is followed by administration of the exclusion criteria. Thus, in fact, they can never be the negative image of each other.

“Eligible participants were all adults aged 18 or over with HIV who met the eligibility criteria for antiretroviral therapy according to the Malawian national HIV treatment guidelines (WHO clinical stage III or IV or any WHO stage with a CD4 count < 250/mm 3 ) and who were starting treatment with a BMI < 18.5. Exclusion criteria were pregnancy and lactation or participation in another supplementary feeding program” (Ndekha et al ., 2009).

To put in perspective the point we made about inclusion and exclusion criteria, in the above example, “age above 18 years” or “CD4 count >250/mm 3 ” cannot be exclusion criteria, as these have already been excluded.

Sampling strategy has been adequately discussed in the Module 5 of the Methodology series (Setia, 2016). A few points are worth repeating:

• The sampling strategy should never be misrepresented. Example: If you have not done random sampling, no big deal. There are other legitimate sampling strategies available for your study. But once you have mentioned “random sampling” in your protocol, you cannot resort to purposive sampling
• Sometimes, the researcher might want to know the characteristics of a certain problem within a specific population, without caring for generalizability of results. In such a scenario, purposive sampling may be resorted to
• Nonprobability sampling methods such as consecutive consenting sampling or any such convenience sampling are perfectly legitimate and easy to do, particularly in case of dissertations where time and resources are limited.

Sample size is one of the most misunderstood, yet fundamentally important, issues among clinicians and has to be addressed once the study objectives have been set and the design has been finalized. Too small a sample means that there would be a failure to detect change following test intervention. A sample larger than necessary may also result in bad quality data. In either case, there would be ethical problems and wastage of resources. The researcher needs just enough samples to draw accurate inferences, which would be adequately powered (Panda, 2015).

Estimation of sample size has been dealt with adequately in the Module 5 biostatistics series (Hazra et al ., 2016), including the different mathematical derivations and the available software. Sample size determination is a statistical exercise based on the probability of errors in testing of hypothesis, power of the sample, and effect size. Although, relatively speaking, these are simple concepts to grasp, a large number of different study designs and analytical methods lead to a bewilderingly large number of formulae for determining sample size. Thus, the software are really handy and are becoming increasingly popular.

The study design defines the objectives and end points of the study, the type and manner of data collection, and the strategy of data analysis (Panda 2015). The different types of clinical studies have been depicted in Figure 1 . The suitability of various study designs vis-à-vis different types of research questions is summarized in Table 1 .

Types of study (Source: Panda, 2015)

Research questions vis-a-vis study designs

In our previous series of ten modules on methodology, we have discussed all these different kinds of studies and more. Some key issues that require reiteration are given below:

• The control of a case–control study and that of a randomized controlled trial is more different from each other than chalk is from cheese. The former is an observational study, while the latter is an interventional one. Every study with a control group is not a case–control study. For a study to be classified as a case–control study, the study should be an observational study and the participants should be recruited based on their outcome status (Setia, 2016). Apparently, this is not so difficult to understand, yet even now we have publications which confuse between the different kinds of controls (Bhanja et al ., 2015)
• Due to the fact that the outcome and exposure are assessed at the same time point in a cross-sectional study, it is pretty difficult, if not impossible, to derive causal relationships from such a study. At most, one may establish statistical association between exposures and outcomes by calculating the odds ratio. However, these associations must not be confused with causation.
• It is generally said that a cohort design may not be efficient for rare outcomes. However, if the rare outcome is common in some exposures, it may be useful to follow a cohort design. For example, melanoma is a rare condition in India. Hence, if we follow individuals to study the incidence of melanoma, it may not be efficient. However, if we know that, in India, acral lentiginous melanoma is the most commonly reported variant, we should follow a cohort of individuals with acral lentiginous and study the incidence of melanoma in this group (Setia, 2016).

Clinical researchers should also be accustomed with observational designs beyond case–control, cohort, and cross-sectional studies. Sometimes, the unit of analysis has to be a group or aggregate rather than the individual. Consider the following example:

The government introduced the supplementation of salt with iodine for about 20 years. However, not all states have used the same level of iodine in salt. Certain hilly states have used higher quantities compared with other states. Incidentally, you read a report that high iodine levels are associated with psoriasis. You are intrigued to find if introduction of iodine has altered the picture of psoriasis in the country. You feel compelled to design a study to answer this question .

It is obvious that here the unit of study cannot be individuals, but a large population distributed in a certain geographical area. This is the domain of ecologic studies. An allied category of observational studies is named “natural experiments,” where the exposure is not assigned by the investigator (as in an interventional study), but through “natural processes.” These may be through changes in the existing regulations or public policies or, may be, through introduction of new laws (Setia, 2017).

Another category of research questions that cannot be satisfactorily captured by all the quantitative methods described earlier, like social stigma experienced by patients or their families with, say, vitiligo, leprosy, or sexually transmitted infections, are best dealt with by qualitative research. As can be seen by the examples given above, this is a type of research which is very relevant to medical research, yet to which the regular medical researcher has got a very poor exposure, if any. We shall encourage interested researchers to take a look at the 10 th Module of the Methodology series that specifically deals with qualitative research (Setia, 2017).

Clinical studies are experiments that are not conducted in laboratories but in controlled real-life settings on human subjects with some disease. Hence, designing a study involves many pragmatic considerations aside pure methodology. Thus, factors to consider when selecting a study design are objectives of the study, time frame, treatment duration, carryover effects, cost and logistics, patient convenience, statistical considerations, sample size, etc. (Panda, 2015).

Certain truisms regarding study designs should always be remembered: a study design has to be tailored to objectives. The same question may be answered by different designs. The optimum design has to be based on workforce, budgetary allocation, infrastructure, and clinical material that may be commanded by the researchers. Finally, no design is perfect, and there is no design to provide a perfect answer to all research questions relevant to a particular problem (Panda, 2015).

Variables of interest and collection of these variables

Data structure depends on the characteristics of the variables [ Figure 2 ]. A variable refers to a particular character on which a set of data are recorded. Data are thus the values of a variable (Hazra et al ., 2016).

Types of data and variables (Source: Panda, 2015)

Quantitative data always have a proportional scale among values, and can be either discrete (e.g., number of moles) or continuous (e.g., age). Qualitative data can be either nominal (e.g., blood groups) or ordinal (e.g., Fitzpatrick's phototypes I-VI). Variables can be binary or dichotomous (male/female) or multinomial or polychotomous (homosexual/bisexual/heterosexual) (Panda, 2015).

Changing data scales is possible so that numerical data may become ordinal and ordinal data may become nominal. This may be done when the researcher is not confident about the accuracy of the measuring instrument, is unconcerned about the loss of fine detail, or where group numbers are not large enough to adequately represent a variable of interest. It may also make clinical interpretation easier (Hazra et al ., 2016).

The variables whose effects are observed on other variables are known as independent variables (e.g., risk factors). The latter kind of variables that change as a result of independent variables are known as dependent variables (i.e., outcome). Confounders are those variables that influence the relation between independent and dependent variables (e.g., the clinical effect of sunscreen used as part of a test intervention regimen in melasma). If the researcher fails to control or eliminate the confounder, it will damage the internal validity of an experiment (Panda, 2015).

Biostatistics begins with descriptive statistics that implies summarizing a collection of data from a sample or population. An excellent overview of descriptive statistics has been given in the Module 1 of the Biostatistics series (Hazra et al ., 2016). We would encourage every researcher to embark on designing and collecting data on their own to go through this particular module to have a clear idea on how to proceed further.

Statistical methods

As briefly discussed earlier, the “methods” section should also include a detailed description of statistical methods. It is best to describe the methods for each objective.

For example: Which statistical methods will the researcher use to study the changes in PASI score over time?

It is important to first identify the nature of the outcome – will it be linear or categorical?

• It may be noticed that the PASI is a score and can range from 0 to 72. The researcher can measure the actual score and assess the changes in score. Thus, the researcher will use methods for statistical analysis of continuous data (such as means, standard deviations, t -test, or linear regressions)
• However, the researcher may choose to cut off the PASI score at 60 (of course, there has to be justification!) and call it severe psoriasis. Thus, the researcher will have an outcome variable with two outcomes (Yes: >60 PASI, and No: <60 PASI). Thus, in this case, the researcher will use methods for statistical analysis of categorical data (proportions, Chi-square test, or logistic regression models).

The statistical methods have been described in detail in the Biostatistics section of the series. The reader is encouraged to read all the sections to understand these methods. However, the key points to remember are:

• Identify the nature of the outcome for each objective
• Describe the statistical methods separately for each objective
• Identify the methods to handle confounding and describe them in the statistical methods
• If the researcher is using advanced statistical methods or specific tools, please provide reference to these methods
• Provide the name of the statistical software (including the version) that will be used for data analysis in the present study
• Do not provide a laundry list of all the statistical methods. It just shows that the researcher has not understood the relevance of statistics in the study design.

Multivariate models

In general, multivariate analyses are used in studies and research proposals. These analyses are useful to adjust for confounding (though these are also useful to test for interaction, we shall discuss confounding in this section). For example, we propose to compare two different types of medications in psoriasis. We have used secondary clinical data for this study. The outcome of interest is PASI score. We have collected data on the type of medication, age, sex, and alcohol use. When we compare the PASI score in these two groups, we will use t -test (if linear comparison) or Chi-square test (if PASI is categorized – as described earlier). However, it is possible that age, sex, and alcohol use may also play a role in the clinical progression of psoriasis (which is measured as PASI score). Thus, the researcher would like to account for differences in these variables in the two groups. This can be done using multivariate analytical methods (such as linear regression for continuous variables and logistic regression for categorical dichotomous variables). This is a type of mathematical model in which we include multiple variables: the main explanatory variable (type of drug in this study) and potential confounders (age, sex, and alcohol use in this study). Thus, the outcome (PASI score) after multivariate analyses will be “adjusted” for age, sex, and alcohol use after multivariate analysis. We would like to encourage the readers to consult a statistician for these methods.

TRIVIA: The singular for “data” is “datum,” just as “stratum” is the singular for “strata.” Thus, “ data were analyzed …,” “ data were collected …,” and “ data have been ….”

Clinical Record Forms

We have discussed designing of questionnaires and clinical record forms (CRFs) in detail in two modules. We shall just highlight the most important aspects in this part. The CRF is an important part of the research protocol. The CRF should include all the variables of interest in the study. Thus, it is important to make a list of all parameters of interest before working on the CRF. This can be done by a thorough review of literature and discussion with experts. Once the questionnaire/CRF has been designed, the researcher should pilot it and change according to the feedback from the participants and one's own experience while administering the questionnaire or recording data in the CRF. The CRF should use coded responses (for close-ended questions), this will help in data entry and analysis. If the researcher has developed a scale, the reliability and validity should be tested (methods have been discussed in earlier sections). The CRF can be paper based or computer based (it will depend on the resources).

It is very important to describe the ethics for the present study. It should not be restricted to “ The study will be evaluated by an Institutional Review Committee …” The researcher should demonstrate that s/he has understood the various ethical issues in the present study. The three core principles for ethics are: autonomy (the participants have a right to decide whether to participate in the study or opt out), beneficence/nonmaleficence (the study should not be harmful to participants and the risk–benefit ratio should be adequately understood and described), and justice (all the risks and benefits of the present study should be equally distributed).

The researcher should try to address these issues in the section of “Ethics.” Currently, the National Institutes of Health has proposed the following seven principles of “Ethics in Clinical Research:” social and clinical value, scientific validity, fair subject selection, favorable risk–benefit ratio, independent review, informed consent, and respect for potential and enrolled subjects. The Indian Council of Medical Research has also published guidelines to conduct biomedical research in India. We strongly encourage the readers to be familiar with these guidelines. Furthermore, the researchers should keep themselves updated with changes in these regulations. If it is a clinical trial, the researcher should also be familiar with Schedule Y and Consent form requirements for these types of clinical trials.

Concluding Remarks

This module has been designed as a comprehensive guide for a dermatologist to enable him/her to embark on the exciting journey of designing studies of almost any kind that can be thought to be of relevance to clinical dermatology. There has been a conscious attempt to customize the discussion on design and analysis keeping not only dermatology, but also Indian conditions in mind. However, the module can be of help to any medical doctor embarking on the path to medical research. As contributors, it is our ardent hope that this module might act as a catalyst of good-quality research in the field of dermatology and beyond in India and elsewhere.

Financial support and sponsorship

Conflicts of interest.

There are no conflicts of interest.

Bibliography

What is justification in research/15 examples of justification

Research in science is fundamental projects to obtain advances and new knowledge that allow us to better understand the world, managing and dealing with all kinds of phenomena. But investigations are not a spontaneous phenomenon: they require planning, design and, especially, a reason that justifies their being carried out. This rationale must be particularly compelling in cases where financial and other means are required for the investigation to begin. What is justification in research ?

For this reason, before starting a scientific project, it is necessary to develop a justification for that research . Next we are going to see  different examples of justification for an investigation  and what questions they must answer.

What is justification in an investigation/research?

The justification of an investigation is the  part of a scientific project in which the reasons and arguments that have led the person behind proposing it and wanting to carry it out are exposed  . This justification must be added when writing the work in writing, usually appearing at the beginning of it, both in the abstract and in the theoretical introduction. Its objective is to try to answer what, how, why and for what purpose the investigation has been carried out.

Therefore, the part of the justification is something fundamental that all scientific work must explain, since it provides the reasons that have led one or more people to decide to start the research that they present in the article or book. These are the reasons that are considered to make research useful and beneficial to the scientific community . It is very important to indicate in it what benefits for common knowledge can carry out or have carried out such research, as well as to advance in the understanding of a certain knowledge as its practical applications.

As its name indicates, the justification of an investigation is the part that justifies the work, that is, within it a series of arguments must be highlighted that must be valid and powerful enough to prove the need to carry out the investigation. When it comes to demonstrating that the work will be useful, there are many options for arguing and defending such research . What is justification in research ?

Among the most common we have the fact that  this research will allow science to advance in a specific field of knowledge  , something that serves as a precedent for more complex and larger investigations to be developed in the future. It can also be indicated that the research will serve so that what has been discovered can be applied as a solution to an important problem for society.

Another interesting argument used in the justification of an investigation is that, based on what has been discovered in it, a new method can be developed of something that was already known to be solved but that will be more economical, that is, that the investigation will allow develop a new system to face a certain problem but lowering costs, improving efficiency or reducing the consumption of resources, improving the quality of life of people who could not afford to pay the classical method or promoting social and educational changes without having as obstacle to the liquidity of funds.

Several examples of justification for an investigation

Now that we know what the justifications of an investigation are and what questions they must answer, using solid and valid arguments,  we move on to see several examples of justification of an investigation from different areas  . Most come from real investigations, only that here a summary of the part of the introduction has been exposed in which the antecedents of the field to be investigated are exposed a little and what are the reasons, objectives and arguments that have led the research team to deepen on that theme .

1. The effects of television on the behavior of young people

“ Television has become the most influential medium in the development of behavior and thought patterns in children and adolescents around the world, some of them quite disruptive (violence, aggressiveness, lack of respect towards teachers and other reference adults. ..). The relationship between television and youth behavior is suspected, but no clear causal link had been identified.

This article aims to  review the evidence in favor of the hypothesis of the harmful effects of television , trying to understand more fully the effect of this means of communication on younger audiences, its repercussions at a social level and define how it should be a more responsible television “. What is justification in research ?

2. Local development and microfinance as strategies to attend to social needs

“Today, states are involved in two important processes but seen too much at a global level: economics and politics. People often make the mistake of leaving aside the local, a sphere that, focusing on the economic aspect, cannot be understood without understanding the nature of small-scale social development (family, neighborhood, town …) and small economic transactions. that occur in it: microfinance. Although microfinance has been largely ignored, it undoubtedly influences socio-economic policies, albeit often in unexpected ways.

The development of a society cannot be approached only at the global level, but also by paying special interest to the local and trying to understand microfinance in its multiple dimensions: economic, social, environmental, political, cultural and institutional. The objective of this article is precisely to explore these dimensions, addressing the different theoretical approaches to the notions of local development and microfinance in order to establish them as tools for addressing the socioeconomic needs of people with fewer resources.

Since the needs and the capacity to satisfy them are indicative of the poverty of the society ,  these seemingly insignificant socio-economic aspects should be included in the political agenda  , in order to understand and design better intervention strategies for the most disadvantaged people ”.

3. Expression of rabies virus G protein in carrots and corn

“Rabies supposes great economic losses, both in cure methods and in prevention vaccines. The current vaccines are difficult to access and acquire for the population of developing countries, since they do not have the logistical or economic resources so that they The entire population is vaccinated against this pathology, which is why it is necessary to develop new rabies vaccine alternatives, made with resources that can be obtained in countries with mostly subsistence economies.

Among the advantages of plant-derived vaccines we have lower costs in production , storage, transportation and distribution. Furthermore, it is possible to administer plant tissue to human animals without the need to purify the protein of interest. For this reason, it  is of interest to find out how the G protein of the rabies virus is expressed in vegetables, specifically in carrots and corn , plants widely cultivated throughout the world. ” What is justification in research ?

4. Comprehensive use of crustacean waste

“The shrimp industry discards every year hundreds of tons of crustacean remains, specifically the exoskeleton (the shell) and the cephalothorax (head). These parts contain a substance, chitin, which could have applications in the preservation of highly perishable foods, such as fresh fruits.

At present, several methods have been used to preserve fruit and not all of them are respectful with the environment . The objective of this research is to determine if the application of a biofilm of chitin and chitosan, obtained by green chemistry, is beneficial to extend the useful life of fruits and  propose it as a new ecological method in the conservation of the harvest  , since these two substances are neither harmful nor aggressive to the environment “.

5. Reduction of depression in old age through reminiscence therapy

“There is little work on the modification of autobiographical memories with different age groups. However, some research has suggested that life review based on the retrieval of autobiographical memories is effective in modifying such memories in people with depression.

This work is based on the results of several studies that indicate a significant reduction in depression symptoms in elderly people who have undergone a program with individual reminiscence sessions, a program that promotes recovery from positive and negative events. The objective of the present study is to  analyze what is the relationship between depressive symptoms in old age and the characteristics of autobiographical memories  , that is, what role do the memories obtained that explain reduce the symptoms of depression play “.

6. Adherence to pharmacological treatment in patients with type 2 diabetes

“Diabetes mellitus is a disease strongly determined by genetics, in which the individual presents alterations in the metabolism of carbohydrates, proteins and fats, with a relative or absolute deficit of insulin secretion. Between 85 and 90% of patients with diabetes mellitus are type 2 diabetic and it is chronic. What is justification in research ?

We understand as adherence to a treatment the behavior of the patient when it coincides with the medical prescription, taking the prescribed drugs, following prescribed diets or maintaining healthy lifestyle habits . Adherence to a treatment is important to evaluate the clinical evolution of a pathology. Studies indicate that 50% of people with chronic diseases comply with their treatment, with several risk factors for this not being the case.

We consider it important to identify in patients with type 2 diabetes mellitus what is the frequency of therapeutic non-adherence, what relationship it has with metabolic control, in addition to more precisely detecting which are the most common associated risk factors, in order to carry out tending programs to change their behavior  in order to encourage them to follow the treatment that has been prescribed for them  . ”

7. Relationship between family climate and school climate

“Classic studies, like that of Bernstein in the 70s, point out that the negative or positive attitude of the adolescent towards the teachers can be determined by the perception that his family has about the educational field. Both the family environment and the attitude towards authority in the classroom seem to be two very important factors in explaining violent behavior in adolescence in the school context .

Taking this into account, the main objective of this work has been to  examine the relationship between both contexts from the adolescent’s perception of the family and school climates  , analyzing the role played by different individual factors in the interaction between these two contexts ” .

8. Prevention of gender violence in universities

“University faculties are not places outside of gender violence. As a social problem that it is, gender violence affects women of all social classes , ages, cultures and economic levels, and overcomes the classic stereotypes associated with those who suffer it , why and where it occurs It does not matter if it is a socio-economically unfavorable context or if you are in the most select private university: violence against women is everywhere. What is justification in research ?

For this reason, the purpose of this research has been to  analyze the existence of gender-based violence in Spanish universities and to identify and develop measures that can help prevent it  , detecting the main foci, motives and contexts in which there are more possibilities for it to occur. produce in the university population “.

9. Linguistic study in children with Down syndrome

“This final degree project focuses on Down Syndrome , specifically on defining the basic abilities possessed by people with this intellectual disability , focusing on the processes of literacy during Primary Education.

The purpose of the study is to  obtain information that will help those families who have a member with this syndrome  , in order to help them progress taking into account their linguistic abilities and develop resources that allow the acquisition of theoretical-practical skills to be able to progress at work , socially and personally “.

10. Effects of the implementation of a VAT system in the United Arab Emirates

“The six member countries of the Cooperation Council for the Arab States of the Gulf (CCEAG) agreed to launch a common market to increase investment and trade among their members. To facilitate this proposal, the countries agreed to implement a value -added tax system (VAT) for the year 2012.

It is very necessary to evaluate the basic principles and the social and economic implications that this new measure could have before it is officially applied  . The purpose of this work is to provide a comprehensive analysis of the proposed VAT system and what socio-economic repercussions it could imply for the Gulf countries, in addition to identifying possible risks and developing preventive strategies. ” What is justification in research ?

11. Study on the benefits of reading aloud to students

“One of the most traditional pedagogical techniques is to read aloud to students. One student reads aloud, while the others follow the reading in their respective books, being aware of which line they go to and, if any, the teacher so requests, change another student to read aloud.

Although classic, the benefits of reading aloud and listening for content acquisition in class have not been fully evaluated. Among the suspected benefits of this technique we have that the student not only learns to control the volume of his voice or knows how to project it in a public context such as the class, but also, if he has to listen, it allows him to improve the capacity active listening, internalizing academic knowledge.

The objective of the present investigation is to find out to what extent these suspected advantages are real, and to  see if the method of reading aloud to students, both by the teacher and by one of them, improves comprehension and skills. It feeds the student’s critical thinking  , following the class more and asking himself questions about the content while simultaneously acquiring it “.

12. Project to increase production in Chino Winds

“Before 1992, the Yavapai ranch was exploited in a traditional way. About two-thirds of the ranch was not fenced and a rather simple irrigation system was used. The cattle walked freely all year round within this portion of land, having little control of what they ate and without exposing potentially fertile areas that could be used for growing fruits, vegetables , and cereals. Livestock’s favorite areas were those near water sources, wasted as there was no complex irrigation system to irrigate the entire property. What is justification in research ?

The poor exploitation of the Yavapai Ranch is surprising since, taking into account its potential profitability, it turns out to be a great wasted production opportunity. The reason for this project is to improve the irrigation system and make better use of the land, hoping for a greater increase in production and consequently a greater obtaining of income that defies investment costs. In addition, by  controlling grazing, it is expected to improve the vegetation cover of the historically exploited areas  on the ranch, albeit passively. ”

13. Teaching mathematics and understanding its usefulness in real life

“Until today, the way of teaching mathematics has focused on giving the student a definition or a formula, showing them an example of how to use it and hoping that they know how to imitate it, without explaining or having the certainty that they understand what they have to do Nor does it promote the development of the student’s creative and integrative capacity, memorization is more emphasized than comprehension, and traditional tools do not provide the tools to investigate, analyze and discern the problem.

The main objective and motive of this project is to make students learn to use mathematics in their day to day, learning that they are useful for all kinds of areas beyond the subject of mathematics: economics, technology, science … So, It is proposed to give them real examples, in which they themselves have to use their knowledge and resolution capacity to propose a resolution process, talking to each other or communicating in the most precise way all their mental processing. What is justification in research ?

The justification for this project is the large number of students who, after being explained what to do or what formula to apply, detach it from reality itself. There are not a few students who when they finish the mathematics course it is as if they had not learned anything, in the sense that they are not able to see the relationship between what they have learned in that subject and their real life. The subject of mathematics is not in the curriculum to teach useless content, but to  make it easier for people to understand reality and solve problems in real life  , like any other subject “.

14. Study on the reproduction of sockeye salmon in Canada

“The objective of this study is to observe and analyze the habits of the sockeye salmon from the Fraser River (British Columbia, Canada). The justification for this research is that, due to global environmental changes and the increase in the temperature of the water, it has been found that the population of this species in this area has changed, not being certain that the species is out of danger and even suspecting a possible risk that the sockeye salmon could end up being a threatened species ”

The incidence of human beings on this species is well known and historical, since the exploitation of natural resources in its habitat and other economic activities had already dramatically modified the ecological niche where sockeye salmon develop and reproduce. Knowing what the adaptation and change processes of this species  have been, more specific conservation programs can be developed, in addition to starting environmental projects  that prevent the total disappearance of the sockeye salmon “.

15. Justification of the treatment and use of laboratory animals

“The use of animals in scientific research is something historically seen as necessary since there are ethical codes that protect people from taking part in experiments without their consent or causing them some kind of damage, both physical and mental. Although to a certain extent Necessary point, animal research has opened many debates, since the use of non-human animals is done to test techniques that would never be used in humans, such as implanting diseases, testing potentially dangerous drugs or removing vital parts.

Despite the fact that throughout the 20th century and what we have been in the 21st, multiple ethical codes have been developed in which the ethical treatment of laboratory animals is addressed, the simple fact of using them without their consent is an aspect that movements animalists do not overlook.  Research should be carried out only if there is a clear scientific purpose, and that involves minimal harm and suffering to the animal.

This point is not the justification for actual research , but rather what is deemed necessary to justify research using animals. The scientific purpose of the research  must have a great potential benefit for scientific knowledge at the cost of suffering  , preferably not very serious, of the animal. The species that are chosen must be the most appropriate, that they are not in danger of extinction or protected by law and that it is known how to treat them in the least stressful way possible but that implies some kind of scientific benefit “.

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Sample Budget Justifications

Sponsor requirements differ, and sample budget justifications should be seen only as a starting point. Guidelines for sponsor requirements are in the annotated budget justifications. Read the solicitation and the sponsor’s proposal preparation guidelines for each proposal's requirements.

For Research Sponsors

• Sample Budget Justification for Non-Federal Research [DOCX]  - April 6, 2023
• Annotated Budget Justification - Non-Federal Research
• Sample Budget Justification for Federal Research  [DOCX]  - April 6, 2023
• Annotated Budget Justification - Federal Research

For Non-Research Sponsors:

• Sample Budget Justification for Non-Federal Non-Research [DOCX]  - July 29, 2022
• Annotated Budget Justification - Non-Federal Non-Research
• Sample Budget Justification for Federal Non-Research [DOCX]  - July 29, 2022
• Annotated Budget Justification - Federal Non-Research
• Uniform Guidance Fixed Rate Requirements
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• MIT Use of a de minimis Rate
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• Employee Benefits (EB) Rates
• Vacation Accrual Rates
• Graduate Research Assistant Tuition Subsidy
• Historical RA Salary Levels
• MIT Facts and Profile Information
• Classification of Sponsored Projects
• Types of Sponsored Awards
• How Are Sponsored Projects Generated?
• Cost Principles and Unallowable Costs
• Direct and Indirect Costs
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• Determining the Sponsor Approved Budget (SAB)
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Appendix C: Sample Budget Justification

Costs for project budgets - appendix c.

The budget justification is one of the most important non-technical sections of the proposal, and it is often required by the sponsor. In this section, the Principal Investigator (PI) provides additional detail for expenses within each budget category and articulates the need for the items/expenses listed. The information provided in the budget justification may be the definitive criteria used by sponsor review panels and administrative officials when determining the amount of funding to be awarded.

The following format is a sample only; not all components will apply to every proposal. Many sponsors prefer that budget justifications follow their own format. In all cases, however, it is best to present the justification for each budget category in the same order as that provided in the budget itself.

Salaries and Wages:

Note: The quantification of  unfunded  effort (e.g., "The PI will donate 5% effort...") in the proposal narrative, budget, or budget justification is considered Voluntary Committed Cost Sharing. This is a legal commitment which must be documented in the University's accounting system. Consider quantifying effort  only  for the requested salary support. See  http://www.dfa.cornell.edu/treasurer/policyoffice/policies/volumes/academic/costsharing.cfm  for additional information.

• Principal Investigator:  This proposal requests salary support for _______% of effort during the academic year and 100% of effort for _______months during the summer.
• Other Professional Support:  List title and level of effort to be proposed to be funded. Other personnel categories (Research Associates, Postdoctoral Associates, Technicians) may be included here.
• Administrative and Clerical:  List the circumstances for requiring direct charging of these services, which must be readily and specifically identifiable to the project with a high degree of accuracy. Provide a brief description of actual job responsibilities, the proposed title, and the level of effort. (See note at the end of this Appendix regarding direct charging costs that are normally considered indirect.)
• Graduate Students:  List number and a brief description of project role. Include stipend, GRA allowance (tuition), and health insurance.
• Undergraduate Students:  List number and a brief description of project role.
• Employee Benefits have been proposed at a rate of ______% for all non-student compensation as approved by the Department of Health and Human Services. See  https://www.dfa.cornell.edu/capitalassets/cost/employee .

Capital Equipment:  The following equipment will be necessary for the completion of the project: Include item description(s), estimated cost of each item, and total cost. Provide a brief statement on necessity and suitability.

Travel:  For each trip, list destination, duration, purpose, relationship to the project, and total cost. Indicate any plans for foreign travel.

Technical Supplies and Materials:  Include type of supplies, per unit price, quantity, and cost. When the cost is substantial, provide a brief statement justifying the necessity.

Publications:  Page charges (number of pages multiplied by the per-page charge).

Services:  Include type of services, cost per type, and total cost.

Consultants : Include the consultant's name, rate, number of days, total cost per consultant, and total consultant cost. Provide a brief statement outlining each individual's expertise and justifying the anticipated need for consultant services. Note: Justifying a specific consultant in the proposal may avoid the need to competitively bid consulting services.

Subcontracts:  Include the subcontractor's name, amount, and total cost. Provide a brief description of the work to be performed and the basis for selection of the subcontractor. A separate budget and corresponding budget justification should be completed by the subcontractor, and is required by many agencies. Note: Justifying a specific subcontractor in the proposal may avoid the need to competitively bid subcontracted services. Post-award changes to subcontracts (additions, deletions, scope or budget modification) may require sponsor approval.

Other Expenses:  May include conferences and seminars (see  Appendix D ), Repair and Maintenance, Academic and User Fees.

Facilities and Administrative Costs (F&A) : F&A costs have been proposed at a rate of _____% of Modified Total Direct Cost (MTDC) as approved in Cornell's rate agreement with the Department of Health and Human Services. A copy of this agreement may be found at  https://www.dfa.cornell.edu/capitalassets/cost/facilities . MTDC exclusions include Capital Equipment, GRA Allowance and Health Insurance, and Subcontract costs in excess of $25,000 per subcontract.

Annual escalations are proposed in accordance with University policy as outlined HERE .

Special information for direct charging costs that are normally considered indirect.  Many costs such as administrative and clerical salaries, office supplies, monthly telephone and network charges, general purpose equipment, and postage are not typically considered direct costs. These may be proposed as direct costs where "unlike and different" circumstances exist. In such cases a budget justification detailing the request must be submitted to OSP for review and approval. Please read the University policy at  https://www.dfa.cornell.edu/sites/default/files/policy/vol3_14.pdf  or contact your  Grant and Contract Officer  for additional assistance.

Overview of Costs for Project Budgets (Budget and Costing Guide)

Appendix a: sample budget format showing major categories, appendix b: facilities and administrative (f&a) cost calculation detail, appendix d: sample budget for conferences and seminars, appendix e: cost sharing allowability matrix.

Research Ethics & Ethical Considerations

A Plain-Language Explainer With Examples

By: Derek Jansen (MBA) | Reviewers: Dr Eunice Rautenbach | May 2024

Research ethics are one of those “ unsexy but essential ” subjects that you need to fully understand (and apply) to conquer your dissertation, thesis or research paper. In this post, we’ll unpack research ethics using plain language and loads of examples .

Overview: Research Ethics 101

• What are research ethics?
• Why should you care?
• Research ethics principles
• Respect for persons
• Beneficence
• Objectivity
• Key takeaways

What (exactly) are research ethics?

At the simplest level, research ethics are a set of principles that ensure that your study is conducted responsibly, safely, and with integrity. More specifically, research ethics help protect the rights and welfare of your research participants, while also ensuring the credibility of your research findings.

Research ethics are critically important for a number of reasons:

Firstly, they’re a complete non-negotiable when it comes to getting your research proposal approved. Pretty much all universities will have a set of ethical criteria that student projects need to adhere to – and these are typically very strictly enforced. So, if your proposed study doesn’t tick the necessary ethical boxes, it won’t be approved .

Beyond the practical aspect of approval, research ethics are essential as they ensure that your study’s participants (whether human or animal) are properly protected . In turn, this fosters trust between you and your participants – as well as trust between researchers and the public more generally. As you can probably imagine, it wouldn’t be good if the general public had a negative perception of researchers!

Last but not least, research ethics help ensure that your study’s results are valid and reliable . In other words, that you measured the thing you intended to measure – and that other researchers can repeat your study. If you’re not familiar with the concepts of reliability and validity , we’ve got a straightforward explainer video covering that below.

The Core Principles

In practical terms, each university or institution will have its own ethics policy – so, what exactly constitutes “ethical research” will vary somewhat between institutions and countries. Nevertheless, there are a handful of core principles that shape ethics policies. These principles include:

Let’s unpack each of these to make them a little more tangible.

Ethics Principle 1: Respect for persons

As the name suggests, this principle is all about ensuring that your participants are treated fairly and respectfully . In practical terms, this means informed consent – in other words, participants should be fully informed about the nature of the research, as well as any potential risks. Additionally, they should be able to withdraw from the study at any time. This is especially important when you’re dealing with vulnerable populations – for example, children, the elderly or people with cognitive disabilities.

Another dimension of the “respect for persons” principle is confidentiality and data protection . In other words, your participants’ personal information should be kept strictly confidential and secure at all times. Depending on the specifics of your project, this might also involve anonymising or masking people’s identities. As mentioned earlier, the exact requirements will vary between universities, so be sure to thoroughly review your institution’s ethics policy before you start designing your project.

Need a helping hand?

Ethics Principle 2: Beneficence

This principle is a little more opaque, but in simple terms beneficence means that you, as the researcher, should aim to maximise the benefits of your work, while minimising any potential harm to your participants.

In practical terms, benefits could include advancing knowledge, improving health outcomes, or providing educational value. Conversely, potential harms could include:

• Physical harm from accidents or injuries
• Psychological harm, such as stress or embarrassment
• Social harm, such as stigmatisation or loss of reputation
• Economic harm – in other words, financial costs or lost income

Simply put, the beneficence principle means that researchers must always try to identify potential risks and take suitable measures to reduce or eliminate them.

Ethics Principle 3: Objectivity

As you can probably guess, this principle is all about attempting to minimise research bias to the greatest degree possible. In other words, you’ll need to reduce subjectivity and increase objectivity wherever possible.

In practical terms, this principle has the largest impact on the methodology of your study – specifically the data collection and data analysis aspects. For example, you’ll need to ensure that the selection of your participants (in other words, your sampling strategy ) is aligned with your research aims – and that your sample isn’t skewed in a way that supports your presuppositions.

If you’re keen to learn more about research bias and the various ways in which you could unintentionally skew your results, check out the video below.

Ethics Principle 4: Integrity

Again, no surprises here; this principle is all about producing “honest work” . It goes without saying that researchers should always conduct their work honestly and transparently, report their findings accurately, and disclose any potential conflicts of interest upfront.

This is all pretty obvious, but another aspect of the integrity principle that’s sometimes overlooked is respect for intellectual property . In practical terms, this means you need to honour any patents, copyrights, or other forms of intellectual property that you utilise while undertaking your research. Along the same vein, you shouldn’t use any unpublished data, methods, or results without explicit, written permission from the respective owner.

Linked to all of this is the broader issue of plagiarism . Needless to say, if you’re drawing on someone else’s published work, be sure to cite your sources, in the correct format. To make life easier, use a reference manager such as Mendeley or Zotero to ensure that your citations and reference list are perfectly polished.

FAQs: Research Ethics

Research ethics & ethical considertation, what is informed consent.

Informed consent simply means providing your potential participants with all necessary information about the study. This should include information regarding the study’s purpose, procedures, risks, and benefits. This information allows your potential participants to make a voluntary and informed decision about whether to participate.

How should I obtain consent from non-English speaking participants?

What about animals.

When conducting research with animals, ensure you adhere to ethical guidelines for the humane treatment of animals. Again, the exact requirements here will vary between institutions, but typically include minimising pain and distress, using alternatives where possible, and obtaining approval from an animal care and use committee.

What is the role of the ERB or IRB?

An ethics review board (ERB) or institutional review board (IRB) evaluates research proposals to ensure they meet ethical standards. The board reviews study designs, consent forms, and data handling procedures, to protect participants’ welfare and rights.

How can I obtain ethical approval for my project?

This varies between universities, but you will typically need to submit a detailed research proposal to your institution’s ethics committee. This proposal should include your research objectives, methods, and how you plan to address ethical considerations like informed consent, confidentiality, and risk minimisation. You can learn more about how to write a proposal here .

How do I ensure ethical collaboration when working with colleagues?

Collaborative research should be conducted with mutual respect and clear agreements on roles, contributions, and publication credits. Open communication is key to preventing conflicts and misunderstandings. Also, be sure to check whether your university has any specific requirements with regards to collaborative efforts and division of labour. 

How should I address ethical concerns relating to my funding source?

Key takeaways: research ethics 101.

Here’s a quick recap of the key points we’ve covered:

• Research ethics are a set of principles that ensure that your study is conducted responsibly.
• It’s essential that you design your study around these principles, or it simply won’t get approved.
• The four ethics principles we looked at are: respect for persons, beneficence, objectivity and integrity

As mentioned, the exact requirements will vary slightly depending on the institution and country, so be sure to thoroughly review your university’s research ethics policy before you start developing your study.

Psst... there’s more!

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

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10 Tips on Creating a Research Program and Proposal Writing

Office of sponsored programs and research.

Start small and early. As a new faculty member-reach out to mentors (on campus and off) and inquire what might be a great first proposal to write. Given that grant funding today is more difficult to obtain than ever before, starting early in your career and capitalizing on the advantages of your "early-career" status is key. Reach out to the Office of Sponsored Programs and Research for a listening session and find grant programs specifically aimed at new faculty members. These grant programs typically do not require significant preliminary data. Instead, funding decisions rely most heavily on your promise and potential as a candidate — your training to date, your mentors, and your topic’s importance.

Early on in your career, it’s critical to envision your ultimate large grant. Drawing a Venn diagram of your research program could help communicate your research expertise to collaborators. Typically a major grant would include five aims. Once you’ve envisioned your big grant and its five aims, your next steps become clear: create component projects of that larger project by writing small grants designed to support one or more of your five specific aims. Small grants will show that each of your aims is feasible. This approach is critical as grant-review panels often see a large grant as the culmination of a growing body of work progressing from modest seed grants to larger and larger awards.

A key factor in developing a vision of your ultimate large grant will be the advice of your mentor(s). If you do not have a mentor in your department ask the chair to assign you one. It is also usually considered acceptable to seek out your own mentor. Indeed, many early-career academics assemble a mentorship team, in which each member provides guidance on different career facets (i.e., a teaching mentor, a research mentor, a work-life mentor). Consider approaching people on other campuses as well as at Coppin.

Look at who and what got funded before. Grant agencies typically list previous award recipients online. This list is critical as it shows the agency’s potential interest in supporting your area of research. Some agencies post abstracts online of both active and prior awards. They can give you a critical sense of what has been successful. Looking at the number of specific aims and the range of acceptable sample sizes will provide you with key insights as to what has appealed to your target agency in the past.

Funding agencies may post a list of prior and current grant reviewers and their affiliations online. Review the list and ask yourself if their expertise overlaps with the aims and methodology of your study. Reach out to program directors with a potential idea many months in advance of the deadline—ask for their feedback.

Spend half of your time on the abstract and aims. Writers of successful grant applications typically report that they spent 50 percent of their time on writing and revising their abstract and aims. When you finally start drafting your proposal, the specific aims should be the first thing you write — well before the background or methods sections.

Send a one-page sketch of your project abstract and aims to your mentor and co-investigators early in the grant-writing process with the goal of kicking off an iterative process of review and revision.

Why is this page so critical? Because of the nature of the peer-review process. Typically, only three or four academics are assigned as primary and secondary reviewers of your grant. The majority of review-panel members will only have read your proposal’s abstract. Therefore, it must not only provide a clear snapshot of the entire study, but also convey what is novel about your application.

Demonstrate your strengths and capabilities to do the research. These skills are a critical factor for reviewers. How do you demonstrate you can feasibly conduct the work?

• First, if possible, collaborate on the grant with senior investigators who have conducted similar projects. A senior scholar’s involvement will be a key factor supporting your potential for success, particularly if you are early in your career.
• Co-investigators should not appear in name only. Show established working relationships with them either via co-authored publications, co-presentations, and/or via an established mentoring relationship (e.g., as part of a training grant). Of course, much of this information will appear in the bio sketches in your proposal, but you cannot rely upon reviewers to connect the dots. Make it easy for reviewers by clearly noting these prior collaborations in your "preliminary studies" section.
• Finally, present evidence that you have conducted smaller-scale feasibility studies. That reassures reviewers that you, as a principal investigator, will be able to conduct your proposed aims and, ideally, translate that work into publications.

Take a focused methodological plan directly tied to your specific aims will be the most impressive to reviewers. For example, include methods in the proposal that relate directly to each of your study’s aims and don’t include additional methods that do not correspond to any aims.

You can never have too many figures or tables. They make it easy for a reviewer to quickly grasp your proposal, as compared with dense text. In addition, the act of creating them will help you to cross check your specific aims and study methods. Figures and tables can save space — reducing the amount of text necessary — which is critical to meeting the page limitations of most grant submissions. This tip is relevant for every section of your grant application:  Figures can be used to show how your specific aims interrelate, to depict study designs, and to demonstrate your anticipated results.

Seek external reviews prior to submission. The same person cannot write a grant and review it for clarity. You will miss errors, simply by virtue of your familiarity with the material. So ask colleagues to read the application. Even a generalist can read your grant proposal with the following questions in mind: Are the goals clearly stated? Does the grant extend prior work in the field? What is the impact of your potential findings?

In fact, it may be preferable for some of your proofreaders not to have expertise in your area at all — given that members of the grant-review panel will not have expertise in every aspect of your proposal.

Use the grant-review criteria as subheadings in your proposal, making it easier for the panelists to fill out their review forms. For example, reviewers typically have to complete a section on "Innovation." A clearly labeled subsection on "Innovation" not only saves the reviewer time, but gives you the opportunity to share your vision with the reviewer on innovative aspects they may not have recognized on their own.

Choose a topic that you find interesting—your expertise and passion will come through in your grant proposal. Having several grants in the pipeline and under review at the same time can help stack the deck in your favor.

Related links

Naval Research Program

Research proposal guide - naval research program, research proposal guide.

Once an Initial Research Estimate Form (IREF)  is validated and selected for funding, the next step is to complete a Research Proposal. Proposals must be completed and approved before funding can be authorized and released.

Faculty that have an IREF validated and selected for funding are required to complete the following steps before funding will be authorized and established. More details for each step are provided below; this list can be used as a checklist if desired.

Please notify NRP at [email protected]  if you have any reservations about accepting your funded project (e.g. impending retirement, emergent obligations, etc.).

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Eligibility, annual pi training, acknowledgment of terms.

• Technical Proposal/Narrative

Proposal tab

Nps personnel tab, proposal questions tab, proposal data tab, abstracts and attachments tab, proposal budget tab, review process, proposal amendments, troubleshooting.

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Quick links, principal investigators.

The Principal Investigator (PI) is the researcher who has primary responsibility for the design, execution, and management of a sponsored research project and is named on the proposal to the sponsoring agency. The PI has the primary responsibility for the fulfillment of the Statement of Work. Even when collaborating with one or more Co-PIs, the PI has the ultimate responsibility for the project and remains the sole individual responsible for managing expenditures in support of the project. 

Only eligible Naval Postgraduate School faculty participating in the mission of NPS may submit proposals and act as a PI/PD/Co-I/Co-PD for sponsored projects. Individuals in a faculty or staff category other than those listed in the SPPGM-22 require a waiver to be eligible. Sponsored Program Policy/Guidance Memo 22 (SPPGM-22): Who can be a PI/PD/Co-I/Co-PD?  (PDF, 4 January 2023) PI/PD/Co-I/Co-PD Justification Memorandum (Waiver Form)  (PDF)

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Training is required for anyone who functions as a PI/PD or has direct access to funds on sponsored projects. Annual PI Training is completed within Sakai, and includes four modules:

• Accountability/Fiscal Law: 13/14 required to pass
• Protection of Human Subjects: 7/8 required to pass
• OPSEC for the PI/PD: pass/fail
• Stewardship: 18/20 required to pass

PIs must pass all modules for training to be complete. Please visit Sponsored Programs Related Annual Online Trainings  to begin.

Please send a screenshot or export of your passing scores to NRP upon successful completion of your Annual PI Training.

All PIs and Co-PIs must digitally sign the Acknowledgment of Terms form . This form must then be uploaded as an attachment to your Research Proposal.

To digitally sign the form, you may need to download and save it to your computer, and open in Adobe Reader. Opening it in your web browser doesn't reliably activate the signature fields.

When uploading as an attachment, go to the Abstracts and Attachments tab in Coeus, and upload the form using the "Supplementary Documentation" category.

Please do not email any documents directly to NRP unless requested to do so.

PDF, 142KB. Last updated November 2023

All PIs must complete a Technical Proposal/Narrative, using the official NRP template.  These documents must be submitted as attachments to your Research Proposal.

• Read all template guidance prior to starting your proposal
• Complete all required template elements
• Supporting TASKS section must include direct correlation/justification for all budget expenses
• Coeus is approved for CUI, but please mark all documents accordingly if applicable
• Remove the first page containing template guidance before submitting to Coeus

Topic Advocate signatures are no longer required. Research Proposals will be routed through the chain for approval by NPS personnel and teams using Coeus. For efficiency purposes and to prevent delays, please  do not bypass  this process.

Word, 57KB. Last updated October 2023

Coeus Proposal Package

Koali Coeus is the system NRP uses to manage and review Research Proposals. To submit a Research Proposal, you will use a Proposal Development Document (PDD).

NRP creates empty PDD shells within Coeus, to pre-populate required information and simplify setup. Each PI will receive a Coeus-generated, automated email prompting you to begin your proposal.

Please email the NRP office at [email protected] with any questions, or if you don't receive your Coeus access email.

• Period of performance and milestone dates, in all proposal documents, must match.
• Proposals are only accepted through Coeus. Incomplete proposal packages will be rejected.
• Spend plans must be realistic as you will be required to execute as scheduled (burn rate).
• Expenses must include direct correlation/justification to the TASKS in your technical proposal.
• If someone is assisting you in preparing your proposal package, give them a link to this page.

This tab will be completed by NRP. Please do not make any changes to the fields present on this tab.

At minimum, you must include the PI and any Co-PIs. You can be a PI on no more than two concurrent NRP projects across all Cycle Years, and no more than one NRP project per Cycle Year.

• Enter the last name, email address, etc. of the person you wish to add. You only need to fill out one field, and the search is not case-sensitive. Click search .
• Click return value  on the far left of the row containing the correct personnel record.
• The top section of the page will now have the person's name, as well as a  Proposal Role  section. Select the appropriate role, then click  add person  below that.

If additional staff/faculty are expected to participate but have yet to be identified, input their positions in your project using To be named  instead of Employee Search .

Please answer all Proposal Questions, including any sub-questions that may appear. If you have any questions about this tab, please contact NRP .

Please fill out all Proposal Data. If you have any questions about this tab, please contact NRP .

To select multiple items in a "select all that apply" list, use  Ctrl  on Windows, or  Cmd  on Mac.

Upload your required attachments including your  Acknowledgment of Terms form  and your Technical Proposal/Narrative  under the categories below:

• Acknowledgment of Terms:  "Supplementary Documentation"
• Technical Proposal/Narrative:  "Technical Proposal/Narrative"
• Budget Justification:  "Budget Justification"
• Equipment Justification:  "Equipment"
• You must upload a waiver for  each  person requiring one

Copy-paste the abstract from your Technical Proposal/Narrative into the  Publicly Releasable Abstract  section, under Enter Abstract . Make sure to click  add  or it will not save to your PDD correctly.

When entering keywords, please enter one keyword per line,  not  a comma-separated list. Keywords are used by other integrated systems and comma-separating them can cause errors in the data integrations.

The quarterly spend plan you enter into Coeus generates your  required  burn rate schedule. This data is reported to the Budget Submission Office (BSO) and the burn rate must be executed as input into Coeus. PIs are expected to plan for salary adjustments within their budget. The authorized project amount is not increased due to promotions or Cost of Living Allowance increases.

Ensure your quarterly spend plan is realistic by accounting for:

• Cost-of-living adjustments
• Raises and promotions
• Reasonable flexibility

Official research proposal budgets must be submitted using the Coeus budget proposal tool. The  FY24 NRP Budget Spreadsheet  is used for budget/spend plan updates during the PoP. The spreadsheet can be used for general offline proposal budget planning purposes but it is highly recommended that you use the  Coeus training instance  to draft your proposal budget.

Your proposal budget is an embedded document within your PDD, and has tabs of its own. NRP has created a quarterly budget shell for you to fill out; open this budget by using the  open  button on the far right of the page.

Using your IREF budget allocations, enter quarterly expenses in the  NPS Labor  and Other Direct Costs  (Non-Labor) tabs. Your PDD's budget must be equal to or less than the budget proposed in your IREF.

If financial expenditure questions arise during budget development or execution, PIs should consult with the NRP SPFA .

How can the money be spent?

• NRP funds are RDT&E BA 6.6 and are appropriated solely for specific selected NRP projects. There must be a direct relationship between funds spent and the selected NRP research project.
• This money cannot be used for academic/curriculum support.
• This money cannot be used for office supplies, printers or cell phones.
• This money cannot be used to hire administrative personnel.

Financial Terms

• Indirect Costs:  The NRP uses NR&DE funds, and indirect cost are not collected. The indirect rate is 0%.
• Fringe  (aka Acceleration or Fully Burdened Rate): Fringe is always included in the cost of payroll regardless of how your payroll is being charged.  Fringe addresses the actual cost of benefits paid by the government for each employee (TSP, FERS, Medicare, FEGLI, TSP Matching, Annual Leave, Sick Leave, Vacation).  NPS recommends using 52.5% for projection purposes.
• Overhead:  The NRP takes a small percentage off the top of the annual budget to run the program. Therefore, no overhead cost needs to be factored into each individual project budget.

Spend Plan Justification

The Description & Purpose field(s) in Coeus for all expenses (Other Direct Costs/Non-Labor) must include a direct correlation/justification to the TASKS in your Technical Proposal/Narrative. Do not use blanket terms.

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• 15 May 2024

‘Quantum internet’ demonstration in cities is most advanced yet

• Davide Castelvecchi

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A quantum network node at Delft University of Technology in the Netherlands. Credit: Marieke de Lorijn for QuTech

Three separate research groups have demonstrated quantum entanglement — in which two or more objects are linked so that they contain the same information even if they are far apart — over several kilometres of existing optical fibres in real urban areas. The feat is a key step towards a future quantum internet , a network that could allow information to be exchanged while encoded in quantum states.

Together, the experiments are “the most advanced demonstrations so far” of the technology needed for a quantum internet, says physicist Tracy Northup at the University of Innsbruck in Austria. Each of the three research teams — based in the United States, China and the Netherlands — was able to connect parts of a network using photons in the optical-fibre-friendly infrared part of the spectrum, which is a “major milestone”, says fellow Innsbruck physicist Simon Baier.

How to build a quantum internet

A quantum internet could enable any two users to establish almost unbreakable cryptographic keys to protect sensitive information . But full use of entanglement could do much more, such as connecting separate quantum computers into one larger, more powerful machine. The technology could also enable certain types of scientific experiment, for example by creating networks of optical telescopes that have the resolution of a single dish hundreds of kilometres wide.

Two of the studies 1 , 2 were published in Nature on 15 May. The third was described last month in a preprint posted on arXiv 3 , which has not yet been peer reviewed.

Impractical environment

Many of the technical steps for building a quantum internet have been demonstrated in the laboratory over the past decade or so. And researchers have shown that they can produce entangled photons using lasers in direct line of sight of each other, either in separate ground locations or on the ground and in space.

But going from the lab to a city environment is “a different beast”, says Ronald Hanson, a physicist who led the Dutch experiment 3 at the Delft University of Technology. To build a large-scale network, researchers agree that it will probably be necessary to use existing optical-fibre technology. The trouble is, quantum information is fragile and cannot be copied; it is often carried by individual photons, rather than by laser pulses that can be detected and then amplified and emitted again. This limits the entangled photons to travelling a few tens of kilometres before losses make the whole thing impractical. “They also are affected by temperature changes throughout the day — and even by wind, if they’re above ground,” says Northup. “That’s why generating entanglement across an actual city is a big deal.”

The three demonstrations each used different kinds of ‘quantum memory’ device to store a qubit, a physical system such as a photon or atom that can be in one of two states — akin to the ‘1’ or ‘0’ of ordinary computer bits — or in a combination, or ‘quantum superposition’, of the two possibilities.

The quantum internet has arrived (and it hasn’t)

In one of the Nature studies, led by Pan Jian-Wei at the University of Science and Technology of China (USTC) in Hefei, qubits were encoded in the collective states of clouds of rubidium atoms 1 . The qubits’ quantum states can be set using a single photon, or can be read out by ‘tickling’ the atomic cloud to emit a photon. Pan’s team had such quantum memories set up in three separate labs in the Hefei area. Each lab was connected by optical fibres to a central ‘photonic server’ around 10 kilometres away. Any two of these nodes could be put in an entangled state if the photons from the two atom clouds arrived at the server at exactly the same time.

By contrast, Hanson and his team established a link between individual nitrogen atoms embedded in small diamond crystals with qubits encoded in the electron states of the nitrogen and in the nuclear states of nearby carbon atoms 3 . Their optical fibre went from the university in Delft through a tortuous 25-kilometre path across the suburbs of The Hague to reach a second laboratory in the city.

In the US experiment, Mikhail Lukin, a physicist at Harvard University in Cambridge, Massachusetts, and his collaborators also used diamond-based devices, but with silicon atoms instead of nitrogen, making use of the quantum states of both an electron and a silicon nucleus 2 . Single atoms are less efficient than atomic ensembles at emitting photons on demand, but they are more versatile, because they can perform rudimentary quantum computations. “Basically, we entangled two small quantum computers,” says Lukin. The two diamond-based devices were in the same building at Harvard, but to mimic the conditions of a metropolitan network, the researchers used an optical fibre that snaked around the local Boston area. “It crosses the Charles River six times,” Lukin says.

Challenges ahead

The entanglement procedure used by the Chinese and the Dutch teams required photons to arrive at a central server with exquisite timing precision, which was one of the main challenges in the experiments. Lukin’s team used a protocol that does not require such fine-tuning: instead of entangling the qubits by getting them to emit photons, the researchers sent one photon to entangle itself with the silicon atom at the first node. The same photon then went around the fibre-optic loop and came back to graze the second silicon atom, thereby entangling it with the first.

Pan has calculated that at the current pace of advance, by the end of the decade his team should be able to establish entanglement over 1,000 kilometres of optical fibres using ten or so intermediate nodes, with a procedure called entanglement swapping . (At first, such a link would be very slow, creating perhaps one entanglement per second, he adds.) Pan is the leading researcher for a project using the satellite Micius , which demonstrated the first quantum-enabled communications in space, and he says there are plans for a follow-up mission.

“The step has now really been made out of the lab and into the field,” says Hanson. “It doesn’t mean it’s commercially useful yet, but it’s a big step.”

Nature 629 , 734-735 (2024)

doi: https://doi.org/10.1038/d41586-024-01445-2

Knaut, C. M. et al. Nature 629 , 573–578 (2024).

Article   PubMed   Google Scholar  

Liu, J. L. et al. Nature 629 , 579–585 (2024).

Stolk, A. J. et al. Preprint at arXiv https://doi.org/10.48550/arXiv.2404.03723 (2024).

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