a research study proposal

Organizing Your Social Sciences Research Assignments

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• About Informed Consent
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• Writing a Reflective Paper
• Writing a Research Proposal
• Generative AI and Writing
• Acknowledgments

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

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

How to Approach Writing a Research Proposal

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

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

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

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

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

Common Mistakes to Avoid

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

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

Structure and Writing Style

Beginning the Proposal Process

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

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

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

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

Most proposals should include the following sections:

I.  Introduction

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

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

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

II.  Background and Significance

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

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

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

III.  Literature Review

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

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

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

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

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

IV.  Research Design and Methods

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

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

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

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

V.  Preliminary Suppositions and Implications

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

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

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

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

VI.  Conclusion

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

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

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

VII.  Citations

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

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

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

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

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

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How to Write a Research Proposal: (with Examples & Templates)

Table of Contents

Before conducting a study, a research proposal should be created that outlines researchers’ plans and methodology and is submitted to the concerned evaluating organization or person. Creating a research proposal is an important step to ensure that researchers are on track and are moving forward as intended. A research proposal can be defined as a detailed plan or blueprint for the proposed research that you intend to undertake. It provides readers with a snapshot of your project by describing what you will investigate, why it is needed, and how you will conduct the research.  

Your research proposal should aim to explain to the readers why your research is relevant and original, that you understand the context and current scenario in the field, have the appropriate resources to conduct the research, and that the research is feasible given the usual constraints.  

This article will describe in detail the purpose and typical structure of a research proposal , along with examples and templates to help you ace this step in your research journey.  

What is a Research Proposal ?  

A research proposal¹ ,²  can be defined as a formal report that describes your proposed research, its objectives, methodology, implications, and other important details. Research proposals are the framework of your research and are used to obtain approvals or grants to conduct the study from various committees or organizations. Consequently, research proposals should convince readers of your study’s credibility, accuracy, achievability, practicality, and reproducibility.   

With research proposals , researchers usually aim to persuade the readers, funding agencies, educational institutions, and supervisors to approve the proposal. To achieve this, the report should be well structured with the objectives written in clear, understandable language devoid of jargon. A well-organized research proposal conveys to the readers or evaluators that the writer has thought out the research plan meticulously and has the resources to ensure timely completion.  

Purpose of Research Proposals  

A research proposal is a sales pitch and therefore should be detailed enough to convince your readers, who could be supervisors, ethics committees, universities, etc., that what you’re proposing has merit and is feasible . Research proposals can help students discuss their dissertation with their faculty or fulfill course requirements and also help researchers obtain funding. A well-structured proposal instills confidence among readers about your ability to conduct and complete the study as proposed.  

Research proposals can be written for several reasons:³  

• To describe the importance of research in the specific topic  
• Address any potential challenges you may encounter  
• Showcase knowledge in the field and your ability to conduct a study  
• Apply for a role at a research institute  
• Convince a research supervisor or university that your research can satisfy the requirements of a degree program  
• Highlight the importance of your research to organizations that may sponsor your project  
• Identify implications of your project and how it can benefit the audience  

What Goes in a Research Proposal?    

Research proposals should aim to answer the three basic questions—what, why, and how.  

The What question should be answered by describing the specific subject being researched. It should typically include the objectives, the cohort details, and the location or setting.  

The Why question should be answered by describing the existing scenario of the subject, listing unanswered questions, identifying gaps in the existing research, and describing how your study can address these gaps, along with the implications and significance.  

The How question should be answered by describing the proposed research methodology, data analysis tools expected to be used, and other details to describe your proposed methodology.   

Research Proposal Example  

Here is a research proposal sample template (with examples) from the University of Rochester Medical Center. 4 The sections in all research proposals are essentially the same although different terminology and other specific sections may be used depending on the subject.  

Structure of a Research Proposal  

If you want to know how to make a research proposal impactful, include the following components:¹  

1. Introduction  

This section provides a background of the study, including the research topic, what is already known about it and the gaps, and the significance of the proposed research.  

2. Literature review  

This section contains descriptions of all the previous relevant studies pertaining to the research topic. Every study cited should be described in a few sentences, starting with the general studies to the more specific ones. This section builds on the understanding gained by readers in the Introduction section and supports it by citing relevant prior literature, indicating to readers that you have thoroughly researched your subject.  

3. Objectives  

Once the background and gaps in the research topic have been established, authors must now state the aims of the research clearly. Hypotheses should be mentioned here. This section further helps readers understand what your study’s specific goals are.  

4. Research design and methodology  

Here, authors should clearly describe the methods they intend to use to achieve their proposed objectives. Important components of this section include the population and sample size, data collection and analysis methods and duration, statistical analysis software, measures to avoid bias (randomization, blinding), etc.  

5. Ethical considerations  

This refers to the protection of participants’ rights, such as the right to privacy, right to confidentiality, etc. Researchers need to obtain informed consent and institutional review approval by the required authorities and mention this clearly for transparency.  

6. Budget/funding  

Researchers should prepare their budget and include all expected expenditures. An additional allowance for contingencies such as delays should also be factored in.  

7. Appendices  

This section typically includes information that supports the research proposal and may include informed consent forms, questionnaires, participant information, measurement tools, etc.  

8. Citations  

Important Tips for Writing a Research Proposal  

Writing a research proposal begins much before the actual task of writing. Planning the research proposal structure and content is an important stage, which if done efficiently, can help you seamlessly transition into the writing stage. 3,5  

The Planning Stage  

• Manage your time efficiently. Plan to have the draft version ready at least two weeks before your deadline and the final version at least two to three days before the deadline.
• What is the primary objective of your research?  
• Will your research address any existing gap?  
• What is the impact of your proposed research?  
• Do people outside your field find your research applicable in other areas?  
• If your research is unsuccessful, would there still be other useful research outcomes?  

  The Writing Stage  

• Create an outline with main section headings that are typically used.  
• Focus only on writing and getting your points across without worrying about the format of the research proposal , grammar, punctuation, etc. These can be fixed during the subsequent passes. Add details to each section heading you created in the beginning.   
• Ensure your sentences are concise and use plain language. A research proposal usually contains about 2,000 to 4,000 words or four to seven pages.  
• Don’t use too many technical terms and abbreviations assuming that the readers would know them. Define the abbreviations and technical terms.  
• Ensure that the entire content is readable. Avoid using long paragraphs because they affect the continuity in reading. Break them into shorter paragraphs and introduce some white space for readability.  
• Focus on only the major research issues and cite sources accordingly. Don’t include generic information or their sources in the literature review.  
• Proofread your final document to ensure there are no grammatical errors so readers can enjoy a seamless, uninterrupted read.  
• Use academic, scholarly language because it brings formality into a document.  
• Ensure that your title is created using the keywords in the document and is neither too long and specific nor too short and general.  
• Cite all sources appropriately to avoid plagiarism.  
• Make sure that you follow guidelines, if provided. This includes rules as simple as using a specific font or a hyphen or en dash between numerical ranges.  
• Ensure that you’ve answered all questions requested by the evaluating authority.  

Key Takeaways   

Here’s a summary of the main points about research proposals discussed in the previous sections:  

• A research proposal is a document that outlines the details of a proposed study and is created by researchers to submit to evaluators who could be research institutions, universities, faculty, etc.  
• Research proposals are usually about 2,000-4,000 words long, but this depends on the evaluating authority’s guidelines.  
• A good research proposal ensures that you’ve done your background research and assessed the feasibility of the research.  
• Research proposals have the following main sections—introduction, literature review, objectives, methodology, ethical considerations, and budget.  

Frequently Asked Questions  

Q1. How is a research proposal evaluated?  

A1. In general, most evaluators, including universities, broadly use the following criteria to evaluate research proposals . 6  

• Significance —Does the research address any important subject or issue, which may or may not be specific to the evaluator or university?  
• Content and design —Is the proposed methodology appropriate to answer the research question? Are the objectives clear and well aligned with the proposed methodology?  
• Sample size and selection —Is the target population or cohort size clearly mentioned? Is the sampling process used to select participants randomized, appropriate, and free of bias?  
• Timing —Are the proposed data collection dates mentioned clearly? Is the project feasible given the specified resources and timeline?  
• Data management and dissemination —Who will have access to the data? What is the plan for data analysis?  

Q2. What is the difference between the Introduction and Literature Review sections in a research proposal ?  

A2. The Introduction or Background section in a research proposal sets the context of the study by describing the current scenario of the subject and identifying the gaps and need for the research. A Literature Review, on the other hand, provides references to all prior relevant literature to help corroborate the gaps identified and the research need.  

Q3. How long should a research proposal be?  

A3. Research proposal lengths vary with the evaluating authority like universities or committees and also the subject. Here’s a table that lists the typical research proposal lengths for a few universities.  

Q4. What are the common mistakes to avoid in a research proposal ?  

A4. Here are a few common mistakes that you must avoid while writing a research proposal . 7  

• No clear objectives: Objectives should be clear, specific, and measurable for the easy understanding among readers.  
• Incomplete or unconvincing background research: Background research usually includes a review of the current scenario of the particular industry and also a review of the previous literature on the subject. This helps readers understand your reasons for undertaking this research because you identified gaps in the existing research.  
• Overlooking project feasibility: The project scope and estimates should be realistic considering the resources and time available.   
• Neglecting the impact and significance of the study: In a research proposal , readers and evaluators look for the implications or significance of your research and how it contributes to the existing research. This information should always be included.  
• Unstructured format of a research proposal : A well-structured document gives confidence to evaluators that you have read the guidelines carefully and are well organized in your approach, consequently affirming that you will be able to undertake the research as mentioned in your proposal.  
• Ineffective writing style: The language used should be formal and grammatically correct. If required, editors could be consulted, including AI-based tools such as Paperpal , to refine the research proposal structure and language.  

Thus, a research proposal is an essential document that can help you promote your research and secure funds and grants for conducting your research. Consequently, it should be well written in clear language and include all essential details to convince the evaluators of your ability to conduct the research as proposed.  

This article has described all the important components of a research proposal and has also provided tips to improve your writing style. We hope all these tips will help you write a well-structured research proposal to ensure receipt of grants or any other purpose.  

References  

• Sudheesh K, Duggappa DR, Nethra SS. How to write a research proposal? Indian J Anaesth. 2016;60(9):631-634. Accessed July 15, 2024. https://www.ncbi.nlm.nih.gov/pmc/articles/PMC5037942/  
• Writing research proposals. Harvard College Office of Undergraduate Research and Fellowships. Harvard University. Accessed July 14, 2024. https://uraf.harvard.edu/apply-opportunities/app-components/essays/research-proposals  
• What is a research proposal? Plus how to write one. Indeed website. Accessed July 17, 2024. https://www.indeed.com/career-advice/career-development/research-proposal  
• Research proposal template. University of Rochester Medical Center. Accessed July 16, 2024. https://www.urmc.rochester.edu/MediaLibraries/URMCMedia/pediatrics/research/documents/Research-proposal-Template.pdf  
• Tips for successful proposal writing. Johns Hopkins University. Accessed July 17, 2024. https://research.jhu.edu/wp-content/uploads/2018/09/Tips-for-Successful-Proposal-Writing.pdf  
• Formal review of research proposals. Cornell University. Accessed July 18, 2024. https://irp.dpb.cornell.edu/surveys/survey-assessment-review-group/research-proposals  
• 7 Mistakes you must avoid in your research proposal. Aveksana (via LinkedIn). Accessed July 17, 2024. https://www.linkedin.com/pulse/7-mistakes-you-must-avoid-your-research-proposal-aveksana-cmtwf/  

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• How to Write a Research Proposal | Examples & Templates

How to Write a Research Proposal | Examples & Templates

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

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

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

Introduction

Literature review.

• Research design

Reference list

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

Table of contents

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

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

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

Research proposal length

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

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

Download our research proposal template

Prevent plagiarism, run a free check.

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

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

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

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

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

Your introduction should:

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

To guide your introduction , include information about:

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

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

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

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

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

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

For example, your results might have implications for:

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

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

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

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

Download our research schedule template

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

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

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

To determine your budget, think about:

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

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

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

I will compare …

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

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

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

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

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

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

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

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

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How To Write A Research Proposal

A Straightforward How-To Guide (With Examples)

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

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

Before you start:

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

The 5 essential ingredients:

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

What Is A Research Proposal?

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

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

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

How do I know I’m ready?

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

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

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

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

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

The 5 Essential Ingredients

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

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

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

Ingredient #1 – Topic/Title Header

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

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

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

Need a helping hand?

Ingredient #2 – Introduction

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

You should cover the following:

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

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

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

Ingredient #3 – Scope

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

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

Ingredient #4 – Literature Review

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

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

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

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

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

Ingredient #5 – Research Methodology

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

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

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

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

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

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

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

Don’t forget the practicalities…

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

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

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

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

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

Final Touches: Read And Simplify

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

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

Let’s Recap: Research Proposal 101

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

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

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

Psst… there’s more!

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

30 Comments

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

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

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

Once again, I thank you for this content.

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

Hi Bonginkosi

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

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

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

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

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

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

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

Thanks for your kind words, Desire.

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

Best of luck with your studies.

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

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

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

Best of luck with your research!

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

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

Thank you Kerryen so much for the support and help 🙂

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

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

This content is practical, valuable, and just great!

Thank you very much!

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

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

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

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

Dear Derek Jansen,

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

From Afghanistan!

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

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

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

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

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

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

Thank you very much, this is very insightful.

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11.2 Steps in Developing a Research Proposal

Learning objectives.

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

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

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

Choosing a Topic

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

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

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

Identifying Potential Topics

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

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

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

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

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

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

Narrowing Your Topic

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

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

Exploring Your Topic in Writing

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

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

Conducting Preliminary Research

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

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

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

Writing at Work

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

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

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

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

Collaboration

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

A Plan for Research

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

Formulating a Research Question

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

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

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

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

Constructing a Working ThesIs

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

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

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

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

Creating a Research Proposal

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

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

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

Writing Your Own Research Proposal

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

Key Takeaways

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

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

How to write a good research proposal (in 9 steps)

A good research proposal is one of the keys to academic success. For bachelor’s and master’s students, the quality of a research proposal often determines whether the master’s program= can be completed or not. For PhD students, a research proposal is often the first step to securing a university position. This step-by-step manual guides you through the main stages of proposal writing.

1. Find a topic for your research proposal

Finding a topic for your research is a crucial first step. This decision should not be treated lightly.

How to find a research topic? Start broadly: Which courses did you enjoy? What issues discussed during seminars or lectures did you like? What inspired you during your education? And which readings did you appreciate?

Take a blank piece of paper. Write down everything that comes to your mind. It will help you to reflect on your interests.

2. Develop your research idea

Once you pinpoint your general topic of interest, you need to develop your idea.

Second, writing a research proposal is not a linear process. Start slowly by reading literature about your topic of interest. You have an interest. You read. You rethink your idea. You look for a theoretical framework. You go back to your idea and refine it. It is a process.

Remember that a good research proposal is not written in a day.

3. Conduct a literature review for your research proposal

Academic publications (journal articles and books) are the foundation of any research. Thus, academic literature is a good place to start. Especially when you still feel kind of lost regarding a focused research topic.

Download interesting-sounding articles and read them. Repeat but be cautious: You will never be able to read EVERYTHING. So set yourself a limit, in hours, days or number of articles (20 articles, for instance).

4. Define a research gap and research question

Asking yourself these questions helps you to formulate your research question. In your research question, be as specific as possible.

5. Establish a theoretical framework for your research proposal

A theory is a general principle to explain certain phenomena. No need to reinvent the wheel here.

6. Specify an empirical focus for your research proposal

There are only very few master’s and PhD theses that are entirely theoretical. Most theses, similar to most academic journal publications, have an empirical section.

It is also possible to start the whole research proposal idea with empirical observation. Maybe you’ve come across something in your environment that you would like to investigate further.

7. Emphasise the scientific and societal relevance of your research proposal

Do the grandparent test: Explain what you want to do to your grandparents (or any other person for that matter). Explain why it matters. Do your grandparents understand what you say? If so, well done. If not, try again.

Always remember. There is no need for fancy jargon. The best proposals are the ones that use clear, straightforward language.

8. Develop a methodology in your research proposal

The methodology is a system of methods that you will use to implement your research. A methodology explains how you plan to answer your research question.

Methods of data analysis are used to make sense of this data. This can be done, for instance, by coding, discourse analysis, mapping or statistical analysis.

9. Illustrate your research timeline in your research proposal

Don’t underestimate the value of a good timeline. Inevitably throughout your thesis process, you will feel lost at some point. A good timeline will bring you back on track.

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17 Research Proposal Examples

Chris Drew (PhD)

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

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

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

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

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

Watch my Guide: How to Write a Research Proposal

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

Research Proposal Sample Structure

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

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

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

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

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

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

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

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

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

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

Research Proposal Examples

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

1. Education Studies Research Proposals

See some real sample pieces:

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

Consider this hypothetical education research proposal:

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

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

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

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

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

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

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

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

2. Psychology Research Proposals

See some real examples:

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

Consider this hypothetical psychology research proposal:

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

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

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

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

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

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

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

3. Sociology Research Proposals

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

Consider this hypothetical sociology research proposal:

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

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

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

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

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

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

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

4. Nursing Research Proposals

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

Consider this hypothetical nursing research proposal:

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

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

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

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

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

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

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

5. Social Work Research Proposals

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

Consider this hypothetical social work research proposal:

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

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

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

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

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

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

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

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

Research Proposal Template

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

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

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

• Chris Drew (PhD) https://helpfulprofessor.com/author/chris-drew-phd-2/ 25 Number Games for Kids (Free and Easy)
• Chris Drew (PhD) https://helpfulprofessor.com/author/chris-drew-phd-2/ 25 Word Games for Kids (Free and Easy)
• Chris Drew (PhD) https://helpfulprofessor.com/author/chris-drew-phd-2/ 25 Outdoor Games for Kids
• Chris Drew (PhD) https://helpfulprofessor.com/author/chris-drew-phd-2/ 50 Incentives to Give to Students

8 thoughts on “17 Research Proposal Examples”

Very excellent research proposals

very helpful

Very helpful

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

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

very good research proposal

Thank you so much sir! ❤️

Very helpful 👌

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• 301 Academic Skills Centre
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How to write a research proposal

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

Purpose of a Research Proposal

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

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

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

Your research proposal aims should be centred on: 

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

301 Recommends:

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

Proposal format

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

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

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

Introduction

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

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

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

Literature Review 

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

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

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

Research design and methods

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

You should definitely include:

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

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

Implications and Contributions to Knowledge

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

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

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

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

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

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

Reference List or Bibliography

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

Common mistakes to avoid 

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

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

Links and Resources

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

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

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

Related information

Dissertation planning

Writing a literature review

Research methods

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Writing a Scientific Research Project Proposal

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The importance of a well-written research proposal cannot be underestimated. Your research really is only as good as your proposal. A poorly written, or poorly conceived research proposal will doom even an otherwise worthy project. On the other hand, a well-written, high-quality proposal will increase your chances for success.

In this article, we’ll outline the basics of writing an effective scientific research proposal, including the differences between research proposals, grants and cover letters. We’ll also touch on common mistakes made when submitting research proposals, as well as a simple example or template that you can follow.

What is a scientific research proposal?

The main purpose of a scientific research proposal is to convince your audience that your project is worthwhile, and that you have the expertise and wherewithal to complete it. The elements of an effective research proposal mirror those of the research process itself, which we’ll outline below. Essentially, the research proposal should include enough information for the reader to determine if your proposed study is worth pursuing.

It is not an uncommon misunderstanding to think that a research proposal and a cover letter are the same things. However, they are different. The main difference between a research proposal vs cover letter content is distinct. Whereas the research proposal summarizes the proposal for future research, the cover letter connects you to the research, and how you are the right person to complete the proposed research.

There is also sometimes confusion around a research proposal vs grant application. Whereas a research proposal is a statement of intent, related to answering a research question, a grant application is a specific request for funding to complete the research proposed. Of course, there are elements of overlap between the two documents; it’s the purpose of the document that defines one or the other.

Scientific Research Proposal Format

Although there is no one way to write a scientific research proposal, there are specific guidelines. A lot depends on which journal you’re submitting your research proposal to, so you may need to follow their scientific research proposal template.

In general, however, there are fairly universal sections to every scientific research proposal. These include:

• Title: Make sure the title of your proposal is descriptive and concise. Make it catch and informative at the same time, avoiding dry phrases like, “An investigation…” Your title should pique the interest of the reader.
• Abstract: This is a brief (300-500 words) summary that includes the research question, your rationale for the study, and any applicable hypothesis. You should also include a brief description of your methodology, including procedures, samples, instruments, etc.
• Introduction: The opening paragraph of your research proposal is, perhaps, the most important. Here you want to introduce the research problem in a creative way, and demonstrate your understanding of the need for the research. You want the reader to think that your proposed research is current, important and relevant.
• Background: Include a brief history of the topic and link it to a contemporary context to show its relevance for today. Identify key researchers and institutions also looking at the problem
• Literature Review: This is the section that may take the longest amount of time to assemble. Here you want to synthesize prior research, and place your proposed research into the larger picture of what’s been studied in the past. You want to show your reader that your work is original, and adds to the current knowledge.
• Research Design and Methodology: This section should be very clearly and logically written and organized. You are letting your reader know that you know what you are going to do, and how. The reader should feel confident that you have the skills and knowledge needed to get the project done.
• Preliminary Implications: Here you’ll be outlining how you anticipate your research will extend current knowledge in your field. You might also want to discuss how your findings will impact future research needs.
• Conclusion: This section reinforces the significance and importance of your proposed research, and summarizes the entire proposal.
• References/Citations: Of course, you need to include a full and accurate list of any and all sources you used to write your research proposal.

Common Mistakes in Writing a Scientific Research Project Proposal

Remember, the best research proposal can be rejected if it’s not well written or is ill-conceived. The most common mistakes made include:

• Not providing the proper context for your research question or the problem
• Failing to reference landmark/key studies
• Losing focus of the research question or problem
• Not accurately presenting contributions by other researchers and institutions
• Incompletely developing a persuasive argument for the research that is being proposed
• Misplaced attention on minor points and/or not enough detail on major issues
• Sloppy, low-quality writing without effective logic and flow
• Incorrect or lapses in references and citations, and/or references not in proper format
• The proposal is too long – or too short

Scientific Research Proposal Example

There are countless examples that you can find for successful research proposals. In addition, you can also find examples of unsuccessful research proposals. Search for successful research proposals in your field, and even for your target journal, to get a good idea on what specifically your audience may be looking for.

While there’s no one example that will show you everything you need to know, looking at a few will give you a good idea of what you need to include in your own research proposal. Talk, also, to colleagues in your field, especially if you are a student or a new researcher. We can often learn from the mistakes of others. The more prepared and knowledgeable you are prior to writing your research proposal, the more likely you are to succeed.

One of the top reasons scientific research proposals are rejected is due to poor logic and flow. Check out our Language Editing Services to ensure a great proposal , that’s clear and concise, and properly referenced. Check our video for more information, and get started today.

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How to write a research proposal?

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

Devika Rani Duggappa

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

INTRODUCTION

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

Five ‘C’s while writing a literature review

BASIC REQUIREMENTS OF A RESEARCH PROPOSAL

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

CONTENTS OF A RESEARCH PROPOSAL

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

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

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

Introduction

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

Review of literature

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

Aims and objectives

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

Research design and method

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

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

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

Population and sample

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

Data collection

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

Rigor (soundness of the research)

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

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

Consistency

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

Applicability

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

Data analysis

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

Ethical considerations

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

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

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

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

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

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

Financial support and sponsorship

Conflicts of interest.

There are no conflicts of interest.

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Writing Research Proposals

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

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

Research proposals typically include the following components:

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

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

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

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Writing a Research Proposal

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Hypotheses vs. Theories

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

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

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

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

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

• Research Methodologies by Pfeiffer Library Last Updated Aug 2, 2022 45407 views this year
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Examples of research proposals

How to write your research proposal, with examples of good proposals.

Research proposals

Your research proposal is a key part of your application. It tells us about the question you want to answer through your research. It is a chance for you to show your knowledge of the subject area and tell us about the methods you want to use.

We use your research proposal to match you with a supervisor or team of supervisors.

In your proposal, please tell us if you have an interest in the work of a specific academic at York St John. You can get in touch with this academic to discuss your proposal. You can also speak to one of our Research Leads. There is a list of our Research Leads on the Apply page.

When you write your proposal you need to:

• Highlight how it is original or significant
• Explain how it will develop or challenge current knowledge of your subject
• Identify the importance of your research
• Show why you are the right person to do this research
• Research Proposal Example 1 (DOC, 49kB)
• Research Proposal Example 2 (DOC, 0.9MB)
• Research Proposal Example 3 (DOC, 55.5kB)
• Research Proposal Example 4 (DOC, 49.5kB)

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Organizing Your Social Sciences Research Paper: Writing a Research Proposal

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

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

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

How to Approach Writing a Research Proposal

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

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

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

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

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

Common Mistakes to Avoid

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

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

Structure and Writing Style

Beginning the Proposal Process

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

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

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

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

In general your proposal should include the following sections:

I.  Introduction

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

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

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

II.  Background and Significance

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

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

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

III.  Literature Review

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

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

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

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

IV.  Research Design and Methods

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

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

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

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

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

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Home » Proposal – Types, Examples, and Writing Guide

Proposal – Types, Examples, and Writing Guide

Table of Contents

Definition:

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

Proposal Layout

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

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

Types of Types of Proposals

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

Business Proposal

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

Project Proposal

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

Research Proposal

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

Grant Proposal

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

Sales Proposal

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

Sponsorship Proposal

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

Marketing Proposal

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

Policy Proposal

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

Training Proposal

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

Partnership Proposal

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

Event Proposal

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

Technology Proposal

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

Construction Proposal

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

Book Proposal

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

Social Media Proposal

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

Training and Development Proposal

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

Consulting Proposal

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

Policy Advocacy Proposal

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

Website Design Proposal

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

Environmental Proposal

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

Health and Wellness Proposal

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

Human Resources (HR) Proposal

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

Nonprofit Program Proposal

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

Government Contract Proposal

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

Product Development Proposal

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

Feasibility Study Proposal

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

Educational Program Proposal

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

Social Service Proposal

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

Proposal Writing Guide

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

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

Purpose of Proposal

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

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

When to write a Proposal

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

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

Importance of Proposal

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

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

About the author

Muhammad Hassan

Researcher, Academic Writer, Web developer

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Organizing Academic Research Papers: Writing a Research Proposal

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

The goal of a research proposal is to present and justify a research idea you have and to present the practical ways in which you think this research should be conducted. The forms and procedures for such research are defined by the field of study, so guidelines for research proposals are generally more exacting and less formal than a project proposal. Research proposals contain extensive literature reviews and must provide persuasive evidence that there is a need for the research study being proposed. In addition to providing rationale for the proposed research, a proposal describes detailed methodology for conducting the research consistent with requirements of the professional or academic field and a statement on anticipated outcomes and/or benefits derived from the study.

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

How to Approach Writing a Research Proposal

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

• Develop your skills in thinking about and designing a comprehensive research study.
• Help learn how to conduct a comprehensive review of the literature to ensure a research problem has not already been answered [or you may determine the problem has been answered ineffectively] and, in so doing, become familiar with scholarship related to your topic.
• Improve your general research and writing skills.
• Practice identifying what logical steps must be taken to accomplish one's research goals.
• Nurture a sense of inquisitiveness within yourself and to help see yourself as an active participant in the process of doing scholarly research.

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

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

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

Common Mistakes to Avoid

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

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

Structure and Writing Style

Beginning the Proposal Process

As with writing a traditional research paper, research proposals are generally organized the same way throughout the social sciences. Most proposals are between ten and fifteen pages in length. However, before you begin, read the assignment carefully and, if anything seems unclear, ask your professor whether there are any specific requirements for organizing and writing the proposal.

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

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

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

In general your proposal should include the following sections:

I.  Introduction

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

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

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

II.  Background and Significance

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

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

• State the research problem and give a more detailed explanation about the purpose of the study than what you stated in the introduction.
• Present the rationale of your proposed study and clearly indicate why it is worth doing. Answer the "So what? question [i.e., why should anyone care].
• Describe the major issues or problems to be addressed by your research.
• Explain how you plan to go about conducting your research. Clearly identify the key sources you intend to use and explain how they will contribute to the analysis of your topic.
• Set the boundaries of your proposed research in order to provide a clear focus.
• Provide definitions of key concepts or terms, if necessary.

III.  Literature Review

Connected to the background and significance of your study is a more deliberate review and synthesis of prior studies related to the research problem under investigation . The purpose here is to place your project within the larger whole of what is currently being explored, while demonstrating to your readers that your work is original and innovative. Think about what questions other researchers have asked, what methods they've used, and what is your understanding of their findings. Assess what you believe is still missing, and state how previous research has failed to examine the issue that your study addresses.

Since a literature review is information dense, it is crucial that this section is intelligently structured to enable a reader to grasp the key arguments underpinning your study in relation to that of other researchers. A good strategy is to break the literature into "conceptual categories" [themes] rather than systematically describing materials one at a time.

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

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

IV.  Research Design and Methods

This section must be well-written and logically organized because you are not actually doing the research . As a consequence, the reader will never have a study outcome from which to evaluate whether your methodological choices were the correct ones. The objective here is to ensure that the reader is convinced that your overall research design and methods of analysis will correctly address the research problem. Your design and methods should be absolutely and unmistakably tied to the specific aims of your study.

Describe the overall research design by building upon and drawing examples from your review of the literature. Be specific about the methodological approaches you plan to undertake to collect information, about the techniques you will use to analyze it, and about tests of external validity to which you commit yourself [i.e., the trustworthiness by which you can generalize from your study to other people, places or times].

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

• Specify the research operations you will undertake and the way you will interpret the results of these operations in relation to your research problem. Don't just describe what you intend to achieve from applying the methods you choose, but state how you will spend your time while doing it.
• Keep in mind that a methodology is not just a list of research tasks; it is an argument as to why these tasks add up to the best way to investigate the research problem. This is an important point because the mere listing of tasks to perform does not demonstrate that they add up to the best feasible approach.
• Be sure to anticipate and acknowledge any potential barriers and pitfalls in carrying out your research design and explain how you plan to get around them.

V.  Preliminary Suppositions and Implications

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

• What might the results mean in regards to the theoretical framework that frames the study?
• What suggestions for subsequent research could arise from the potential outcomes of the study?
• What will the results mean to practitioners in the "real world"?
• Will the results influence programs, methods, and/or forms of intervention?
• How might the results contribute to the solution of social, economic, or other types of problems?
• Will the results influence policy decisions?
• What will be improved or changed as a result of the proposed research?
• How will the results of the study be implemented, and what innovations will come about?

VI.  Conclusion

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

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

• Why the study was done,
• The specific purpose of the study and the research questions it attempted to answer,
• The research design and methods used,
• The potential implications emerging from your proposed study of the research problem, and
• A sense of how your study fits within the broader scholarship about the research problem.

VII.  Citations

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

• References -- lists only the literature that you actually used or cited in your proposal.
• Bibliography -- lists everything you used or cited in your proposal with additional citations of any key sources relevant to understanding the research problem.

In either case, this section should testify to the fact that you did enough preparatory work to make sure the project will complement and not duplicate the efforts of other researchers. Start a new page and use the heading "References" or "Bibliography" at the top of the page. Cited works should always use a standard format that follows the writing style advised by the discipline of your course [i.e., education=APA; history=Chicago, etc]. This section normally does not count towards the total length of your proposal.

Develop a Research Proposal: Writing the Proposal . Office of Library Information Services. Baltimore County Public Schools; Krathwohl, David R. How to Prepare a Dissertation Proposal: Suggestions for Students in Education and the Social and Behavioral Sciences. Syracuse, NY: Syracuse University Press, 2005; Procter, Margaret. The Academic Proposal . The Lab Report. University College Writing Centre. University of Toronto; Punch, Keith and Wayne McGowan. Developing and Writing a Research Proposal. In From Postgraduate to Social Scientist: A Guide to Key Skills. Nigel Gilbert, ed. (Thousand Oaks, CA: Sage, 2006), 59-81; Sanford, Keith. Information for Students: Writing a Research Proposal . Baylor University; Wong, Paul T. P. How to Write a Research Proposal . International Network on Personal Meaning. Trinity Western University; Writing Academic Proposals: Conferences, Articles, and Books . The Writing Lab and The OWL. Purdue University; Writing a Research Proposal . University Library. University of Illinois at Urbana-Champaign.

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Structuring Your Research Proposal

The Outline

    1. abstract/introduction.

A brief overview of the question you’re investigating and your proposed research framework. Although this will probably be the section that you write last, it should not be treated as an afterthought. It will be the section that grabs your readers’ attention, getting them excited to learn more about your project, given the significance and context of the larger problem.

    2. Literature Review

This section should engage with the themes that have emerged from the major pieces of literature you’ve reviewed. Some questions to consider answering include, how is the question that you’re researching situated within the broader discipline it sits in? What are the gaps in research thus far? How will your project build upon and contribute to the scholarly conversation within your discipline or field?

Even if there is little to no previous scholarship on your particular topic, you should connect it to other similar or parallel subjects.

    3. Methodology

One of the most critical parts of the proposal where you answer the “how” of your research project. Questions to answer include, what methods will you be using to collect your data? Through interviews, lab research, archival research, etc.? Have you begun IRB training if working with human subjects? How many people will you be interviewing? What’s your timeline? How much time will be spent during each stage of the research? Once you’ve collected your data, how will you be sorting through and analyzing it?

The key words to keep in mind while writing this section are scope + length.

    4. Discussing Your Credentials

Show, don’t tell. Demonstrate how the projects you’ve previously undertaken, courses you’ve taken, and/or internships and other research opportunities you’ve completed have helped you develop the necessary skills to conduct your proposed research project.

Some questions to answer include: what are your relevant skills? What skills will need to be developed through this process? Are there any necessary skills that you don’t yet possess but that you will be honing before beginning your project?

Don’t provide a laundry list of all the skills that you’ve ever developed in your academic career. Focus on only the experiences and skills that are relevant to this particular project.

    5. Connections Between Your Research & Goals

Your proposed project should build upon your academic and professional experiences thus far and set the stage for what is to follow. Questions to consider include, how does this fit in with your professional and/or academic trajectory? What kind of development will this research opportunity help facilitate?

Tip: When working on your proposal, make sure to meet with your faculty mentor(s), who may provide valuable disciplinary-specific feedback on your research question(s) and methodology.

Access a printable version of this guide here.

This paper is in the following e-collection/theme issue:

Published on 7.8.2024 in Vol 13 (2024)

Development and Evaluation of a Web-Based Platform for Personalized Educational and Professional Assistance for Dementia Caregivers: Proposal for a Mixed Methods Study

Authors of this article:

• Logan DuBose 1, 2 , MBA, MD   ; 
• Qiping Fan 3 , MS, DrPH   ; 
• Louis Fisher 3   ; 
• Minh-Nguyet Hoang 4 , MBA   ; 
• Diana Salha 1   ; 
• Shinduk Lee 5 , MSPH, DrPH   ; 
• Marcia G Ory 1 , MPH, PhD   ; 
• Tokunbo Falohun 2, 6 , MS  

1 School of Public Health, Texas A&M University, College Station, TX, United States

2 Olera lnc, Houston, TX, United States

3 Department of Public Health Sciences, Clemson University, Clemson, SC, United States

4 School of Medicine, Texas A&M University, College Station, TX, United States

5 College of Nursing, University of Utah, Salt Lake City, UT, United States

6 Department of Biomedical Engineering, Texas A&M University, College Station, TX, United States

Corresponding Author:

Qiping Fan, MS, DrPH

Department of Public Health Sciences

Clemson University

201 Epsilon Zeta Drive

Clemson, SC, 29634

United States

Phone: 1 864 656 3841

Email: [email protected]

Background: Alzheimer disease (AD) and AD-related dementia are prevalent concerns for aging populations. With a growing older adult population living in the United States, the number of people living with dementia is expected to grow, posing significant challenges for informal caregivers. The mental and physical burdens associated with caregiving highlight the importance of developing novel and effective resources to support caregivers. However, technology solutions designed to address their needs often face low adoption rates due to usability issues and a lack of contextual relevance. This study focuses on developing a web-based platform providing financial and legal planning information and education for dementia caregivers and evaluating the platform’s usability and adoptability.

Objective: The goal of this project is to create a web-based platform that connects caregivers with personalized and easily accessible resources. This project involves industrial, academic, and community partners and focuses on two primary aims: (1) developing a digital platform using a Dementia Care Personalization Algorithm and assessing feasibility in a pilot group of caregivers, and (2) evaluating the acceptability and usability of the digital platform across different racial or ethnic populations. This work will aid in the development of technology-based interventions to reduce caregiver burden.

Methods: The phase I study follows an iterative Design Thinking approach, involving at least 25 dementia caregivers as a user feedback panel to assess the platform’s functionality, aesthetics, information, and overall quality using the adapted Mobile Application Rating Scale. Phase II is a usability study with 300 dementia caregivers in Texas (100 African American, 100 Hispanic or Latinx, and 100 non-Hispanic White). Participants will use the digital platform for about 4 weeks and evaluate its usefulness and ease of use through the Technology Acceptance Survey.

Results: The study received funding from the National Institute on Aging on September 3, 2021. Ethical approval for phase I was obtained from the Texas A&M University Institutional Review Board on December 8, 2021, with data collection starting on January 1, 2022, and concluding on May 31, 2022. Phase I results were published on September 5, 2023, and April 17, 2024, respectively. On June 21, 2023, ethical approval for human subjects for phase II was granted, and participant recruitment began on July 1, 2023.

Conclusions: Upon completing these aims, we expect to deliver a widely accessible digital platform tailored to assist dementia caregivers with financial and legal challenges by connecting them to personalized, contextually relevant information and resources in Texas. If successful, we plan to work with caregiving organizations to scale and sustain the platform, addressing the needs of the growing population living with dementia.

International Registered Report Identifier (IRRID): DERR1-10.2196/64127

Introduction

Currently, 6.7 million Americans live with Alzheimer disease (AD) and AD-related dementia, a progressive and debilitating neurocognitive disease that leads to loss of memory, motor function, and other psychological symptoms [ 1 ]. With the growing aging population in the United States, the number of people living with dementia is projected to grow exponentially to 13.8 million by 2060 [ 1 ]. These trends indicate a growing public health crisis that requires multifaceted interventions. People living with dementia are primarily cared for by informal caregivers, typically spouses and adult children [ 2 , 3 ], with as many as 16 million Americans currently serving in this role [ 4 ]. These informal caregivers of people living with dementia often have a higher risk of developing depression, anxiety, social isolation, and physical problems due to the chronic stress and diverse burdens associated with caregiving [ 5 , 6 ]. In recent years, dementia caregivers are estimated to provide more than 18 billion hours annually with an estimated economic value of US $346 billion for their care services [ 1 ], and this informal care cost is projected to increase to US $2.2 trillion in 2060 [ 7 ].

A large part of the informal caregiver burden is related to various responsibilities in caregiving for people living with dementia, including management of the care recipient’s financial, legal, and estate-related challenges [ 6 , 8 ]. Without adequate support, caregivers often struggle to find or use proper resources, making even simple tasks burdensome. Furthermore, these primary family caregivers often must balance the challenges of caregiving with other personal responsibilities, such as employment and family obligations [ 8 , 9 ]. Considering the significant financial burden associated with caregiving, role strain is further exacerbated when caregiving requires a full-time commitment. Six out of 10 family caregivers of people with dementia have reported significant work impacts ranging from reduction of work hours to early retirement due to their caregiving obligations, which disrupts their wages and employment and depletes their savings [ 6 , 10 ]. The varied progressive nature of dementia further compounds the complexity of care for people with dementia, increasing the psychological, physical, and financial factors of the caregiving burden [ 1 , 11 ].

The variation in caregiver burdens related to sociodemographic characteristics contributes to greater complications. Burdens are often exacerbated in ethnic and minority populations, who generally have higher rates of dementia but lower access to caregiving services and information [ 12 , 13 ]. In addition, ethnic minorities can experience complications when communicating with care professionals due to cultural or linguistic barriers [ 13 ]. These barriers can disproportionately affect nonnative English speakers, increasing the informal caregiver burden due to the greater experienced inaccessibility in support systems within the American health care system. Unique stressors have also been demonstrated in gender or sexual minority caregivers, further emphasizing the diversity of caregiving experiences and challenges within the United States [ 14 ]. Literature has shown that considering unique barriers or challenges in diverse demographics when developing support interventions increases their effectiveness in reducing caregiver burden [ 15 ].

Technological Interventions and Artificial Intelligence–Driven Digital Health

There are many professional caregiver assistance organizations that provide services to informal caregivers, including aging care law, financial services, respite care, in-home care, older adults living, and medical services [ 16 ]. Digital interventions present a promising tool for assisting caregivers in identifying relevant professional caregiver assistance organizations services. A myriad of digital interventions have been developed to aid caregivers of people with dementia in identifying these services, ranging from web-based training, educational forums, caregiving support groups, and videoconferencing [ 17 - 19 ]. However, the adoption rate of these technologies remains low outside of pilot studies. This low adoption rate can be attributed to factors such as poor usability and accessibility, information complexity, funding limitations, and lack of contextualized relevance [ 8 , 20 - 24 ]. This issue is especially pronounced among minority populations, such as African American and Hispanic or Latinx caregivers, where cultural differences and caregiving challenges are often not considered in the development and evaluation of technology-based interventions [ 25 ].

Factors influencing the implementation and adoption of technology-based interventions by informal caregivers include the expected or perceived value by users, the features of the technology, the characteristics of the caregivers, and the condition of dementia [ 26 ]. According to the Technology Acceptance Model (TAM), perceived usefulness and ease of use are the 2 most important factors in determining how likely users are to adopt or reject new technologies [ 27 ]. The features of developed technologies, such as physical appearance, simplicity, and usability, are crucial for caregiver adoption [ 26 ]. In addition, the continued adaptation of technology over time, as dementia progresses and as caregiving needs evolve, is noted as important [ 26 ]. Family caregivers come from various racial and ethnic groups, generations, occupations, financial situations, and educational and cultural backgrounds [ 6 ], and their characteristics and specialized care needs are widely mentioned as influencing factors for technology adoption [ 26 ].

Artificial intelligence (AI) can offer various benefits to developing interventions that help caregivers better understand and use information in real time, leading to a more personalized and effective decision-making process [ 28 ]. AI has the potential to improve perceived usefulness and ease of use by personalizing and simplifying complex information. For instance, AI-driven applications can often offer user-friendly interfaces and navigation, reducing the learning curve for caregivers who may not be technologically savvy and enhancing user experience. Moreover, AI can be used to create and deliver personalized dementia care suggestions, meeting the evolving needs of people with dementia and their caregivers [ 29 ].

Development of a Caregiving Support Platform

While there is increasing interest in technology interventions for dementia caregiving, limited literature has explored their effectiveness outside of research settings. Early involvement of caregivers, as emphasized in community participatory research and dissemination and implementation science, can enhance intervention adoptability and sustainability [ 18 , 30 - 32 ]. Our study seeks to address the paucity of research by exploring the efficacy of delivering caregiving resources and services in a technology-driven setting that considers individualized and cultural issues, in order to provide personalized, relevant, timely interventions to caregivers of people living with dementia.

To address this gap, our team developed a website-based platform designed to provide personalized caregiver support, including identification of caregiving resources related to older adults living arrangements, financial services, and legal services, as well as education related to dementia management and caregiving. In our web-based care planning tool, the Olera.care platform, we use our Dementia Care Personalization Algorithm (DCPA) based on logic decision trees and geolocation to provide caregivers of people living with dementia with a tailored guide on the aging care, older adults living, financial, and legal aspects of dementia caregiving (Olera.care). Studies have shown that such caregiving assistance is particularly effective in reducing caregiver burden [ 8 ]. To provide a technological intervention that would reduce the caregiving burden and address the needs of caregivers of people living with dementia, we developed a study with 2 phases centered in a community-engaged approach [ 33 , 34 ].

In further development cycles, various AI elements will be incorporated into our digital platform to take advantage of the rapidly advancing technology to increase acceptance and adoption. These AI elements include large language models (LLMs), a novel class of AI, and personalized care planning agents specialized in social assistance functions and resource connection. LLMs are a type of AI program that can recognize and interpret vast amounts of human language, texts, and data. Fine-tuning of LLMs through aging care domain-specific training can vastly improve algorithm accuracy and provide the most up-to-date information that is relevant for each user, enabling caregivers to navigate and use preexisting resources and information databases more effectively. The LLM’s capacity is particularly valuable in navigating the complexity of dementia caregiving information, especially for individuals unfamiliar with financial and legal terminology, those unfamiliar with terminology related to aging services, or those who are uncertain about their specific needs. In addition, personalized care planning agents, capable of perceiving information and making decisions, can be integrated to guide users through various resources and instructions for navigating websites, significantly improving the user interface and user experience. These agents can be optimized using machine learning, specifically through reinforcement learning from human feedback that leverages domain expertise to train the AI to output more contextually relevant responses.

Evaluation Metrics and Framework

There are several metrics to evaluate the usability, ease of use, and acceptance of health care technological interventions, including the Mobile Application Rating Scale (MARS) and the TAM [ 35 - 37 ]. The MARS evaluates a digital product based on the functionality, design, information quality, engagement, and subjective quality of digital applications using a 5-point Likert scale survey [ 35 ]. The TAM evaluates the acceptability of a technology primarily based on its perceived usefulness and perceived ease of use among users [ 36 , 37 ]. Perceived usefulness refers to the degree to which a person believes that using a particular system can allow them to work more quickly, fulfill its intended purpose, increase productivity, enhance effectiveness, and make the job easier, with responses ranging from “strongly disagree” to “strongly agree” [ 38 ]. Similarly, perceived ease of use indicates the degree to which a person believes that the system is easy to learn, controllable, clear and understandable, flexible, easy to become skillful, and easy to use [ 38 ]. According to the TAM, perceived usefulness and ease of use are critical factors influencing the adoption or rejection of new technologies, and it has been used to determine the likelihood of dementia caregivers adopting digital technology interventions [ 39 ]; therefore, it is particularly suited for this evaluation study.

Study Objectives

This study has 2 phases to develop, evaluate, and refine the Olera.care web-based platform. Phase I aims to develop the Olera.care platform, identify the caregiving challenges and needs of informal caregivers, and pilot-test the performance of the platform among a group of dementia caregivers. Phase II aims to understand the perceived usefulness and ease of use of the Olera.care platform among 3 different sociodemographic groups of informal caregivers of people living with dementia: African American, Hispanic or Latinx, and non-Hispanic White American.

Study Overview

The study consists of 2 phases of platform development and evaluation ( Textbox 1 ). Phase I of the study involves identifying caregiving challenges and needs, developing the Olera.care web-based platform, and pilot-testing the usability of the platform in a group of dementia caregivers. Phase II aims to evaluate the Olera.care platform among 3 of the largest racial and ethnic groups in Texas and iteratively develop the Olera.care platform. Human subjects research was critiqued by the National Institutes of Health reviewers with key comments ( Multimedia Appendix 1 ) addressed including clarifying risks and benefits for human participants in informed consents, along with privacy protection protocols.

Phase I: Platform development and pilot test

Development of platform (Build Stage)

• Task 1: Compile care resources and educational materials
• Task 2: Build a logic decision tree for personalized recommendations
• Task 3: Design user questionnaire to collect user characteristics and develop prototypes
• Task 4: Develop a web-based application

Pilot testing of the platform in caregivers (n=30)

• Qualitative research: Identify caregiving challenges and needs for the platform using one-on-one interviews with caregivers
• Quantitative research: Collect user characteristics and preliminarily evaluate the platform using modified Mobile Application Rating Scale

Phase II: Iterative platform development and evaluation

Iterative development of the platform

• Expand care resources database outside of Texas
• Update educational materials of Alzheimer disease and Alzheimer disease–related dementia
• Integrate phase I feedback to platform features

Usability study across different racial or ethnic groups (n=300)

• Develop a comprehensive evaluation survey using the technology acceptance model
• Enroll and instruct caregivers to complete tasks:1. Generate a personalized caregiving checklist2. Identify and save 3 relevant resources to “favorite” list3. Register for “recommendation of the Day” and complete technology acceptance survey (TAS)4. Four-week interaction with the platform followed by a second completion of the TAS
• Evaluate perceived usefulness and ease of use of the platform across caregiver characteristics

Platform Development

The development of the platform (Olera.care) adopts a build-measure-learn framework to prioritize the needs and preferences of caregivers for people living with dementia, using the Design Thinking product design methodology [ 40 ]. This iterative development process consists of three major steps: (1) prototypes will be developed to address preidentified user needs [Build Stage], (2) product usability will be tested [Measure Stage], and (3) key lessons will be identified for changes in next product iteration [Learn Stage]. The platform uses user feedback and a self-improving DCPA to provide caregivers with tailored educational information on the legal, financial, and estate planning aspects of dementia caregiving, as well as details on relevant local care and support options. DCPA considers care recipients’ stage of disease, financial circumstances, and care preferences to create unique recommendations. As a result, when the platform is in use, information is presented in a personalized and user-friendly manner that enhances the experience of caregivers when searching online for Alzheimer disease and AD-related dementia (AD/ADRD) support and reduces time spent sorting through general search engine results. We are improving the DCPA algorithm by leveraging LLMs and personalized AI agents. These AI agents will enhance our ability to provide real-time support, guidance, and information to caregivers to find dementia care services. By learning from caregivers’ interactions with Olera.care, these AI agents will continuously improve in delivering personalized and contextually relevant assistance.

The platform is developed to be a free web-based service to assist caregivers in connecting them with educational and professional assistance. The educational materials ( Figures 1 and 2 ) are created in collaboration with subject matter experts from local Area Agencies on Aging and Texas A&M University Center for Community Health and Aging. In addition, the National Institute on Aging, the American Association of Retired Persons, and the Texas Alzheimer’s Research and Care Consortium offer detailed informational materials on the legal and financial considerations for our targeted caregiver groups, which we frequently reference. Information on local care (ie, non–medical home care, assisted living, and nursing home) options ( Figure 3 ) is gathered from public knowledge bases such as websites of Medicare and the websites of local Area Agencies on Aging (eg, Brazos Valley Area Agency on Aging, Harris County Area Agency on Aging, and Area Agency on Aging of the Capital Area). The primary objective of this step is to compile a comprehensive library of information on the functional, legal, financial, and estate planning aspects of AD/ADRD caregiving, along with a detailed list of care facilities in Texas.

The educational content gathered was organized after compilation. This process involved dividing the information into clear, manageable segments and classifying each segment into one of three categories: (1) legal, financial, or other services; (2) home care; and (3) senior communities. Once categorized, a logical decision tree was created to match each piece of information with specific combinations of caregiver characteristics provided by the user. The algorithm for this process was developed using Python (Python Software Foundation) due to its straightforward syntax, extensive open-source libraries, and capability for efficient data manipulation [ 41 ]. In the final website-based application, caregiver characteristics will serve as input criteria, including factors such as the dementia stage of the care recipient, the caregiver’s knowledge and skills, the availability of external resources, the care recipient’s insurance status, financial capacity for care, and family support presence. These criteria will be collected when users create their accounts for the first time, determining the personalized information and recommendations from each of the 3 categories that will be presented to the caregiver. The logic decision tree was ultimately converted into a user-friendly website-based platform for caregivers to access customized educational materials (eg, videos, articles) and relevant care options (eg, at-home care, older adults living arrangements, paying for care options, caregiver support). Google’s Firebase is employed for backend programming to enable seamless data synchronization, user authentication, and secure data management. The front-end user interface is built using Google’s Flutter software development kit, facilitating cross-platform development for Android, iOS, and web applications from a single codebase. This approach streamlines the development process and reduces long-term maintenance costs.

Phase I: Mixed Methods Study—Needs Assessment and Pilot Testing

The phase I study is designed in a sequential mixed methods approach to understand the caregiving challenges and needs of caregivers and assess the platform’s usability with a pilot panel of AD/ADRD caregivers. The mixed-methodological design aims to enhance the depth and richness of data interpretation. The qualitative research serves as a need assessment, providing comprehensive information on the caregiving needs and expectations for the digital platform. Subsequently, the quantitative research evaluates the platform’s usability and usefulness for caregiving and identifies areas for platform enhancements.

The qualitative part involves semistructured interviews with caregivers, focusing on financial and legal challenges related to caregiving, unmet needs in financial management and legal planning, and expectations for a caregiving support platform. These interviews are recorded and transcribed for qualitative data analysis using thematic analysis in a framework approach [ 42 ]. Participants were also invited to complete a survey including questions about sociodemographic and caregiving characteristics, as well as questions on the usage and preferences for older adult care services.

A panel of dementia caregivers was invited to test the prototype web-based application by performing specific tasks, such as searching for financial and legal information. The study team is responsible for monitoring task completion, recording the status and time taken, and taking observation notes. After the prototype test, participants are invited to complete a usability survey to rate the perceived usefulness, ease of use, and overall rating of the web-based platform in supporting their caregiving needs. The usability of the platform was assessed using a modified MARS, which evaluates functionality, design, information quality, and engagement on a 5-point Likert scale [ 35 ]. The development goal is a MARS score of 3.6 or higher [ 43 ] among the pilot group of caregivers. The collected information will enable the development team to learn from the user feedback and plan for continuous product enhancement.

Phase II: Usability Evaluation Study Among Diverse Racial and Ethnic Groups

The phase II study is a usability study that evaluates the acceptance of the platform among the 3 largest racial and ethnic groups in Texas (Black or African American, Hispanic or Latinx, and non-Hispanic Whites) from a diverse socioeconomic spectrum. Participants who are interested in the study will complete a short interest form consisting of 4 questions to provide contact information. Participants will then be contacted to complete an intake form via Qualtrics consisting of eligibility screening questions; an informed consent form; questions on their demographic, socioeconomic, and caregiving characteristics; and an assessment of care receipt’s dementia stage using a validated 8-item screening instrument, the Ascertain Dementia-8 [ 44 ]. Next, eligible participants can select either to explore the platform and complete the rest of the study on their own for greater flexibility or to schedule a guided session with 1 of the study staff over Zoom (Zoom Video Communications, Inc). With instructions from the study staff, participants will create an account on the Olera.care platform and generate a personalized caregiver checklist based on their needs by answering a few questions. After setting up their account, participants will explore and use the platform for 4 weeks. At the end of the 4 weeks, participants are invited to provide feedback by filling out an evaluation survey of the platform, the Technology Acceptance Survey, which was developed based on the TAM, a well-established framework for assessing the perceived usefulness and ease of use of information technologies [ 38 , 45 ].

Participant Eligibility and Recruitment

To be eligible for phase I, participants must meet the following criteria: (1) be the primary unpaid caregiver for a person living with dementia, (2) provide a minimum of 10 hours of care per week to a person living with dementia who has not been institutionalized, (3) be an adult child, spouse, or family member of the person living with dementia, (4) have concerns about or perceive the need for additional information on financial management and legal planning for caregiving in Texas, and (5) have access to a smartphone or computer with internet connectivity. Paid formal caregivers will be excluded from this study. For the phase II study, the study participants must meet an additional criterion: be of Caucasian, African American, or Latino or Hispanic descent. Study participants are recruited in collaboration with the Center for Community Health and Aging at Texas A&M University and the Brazos Valley Area Agency on Aging. Web-based advertisements, emails, in-person presentations, and network recruitments are used to recruit participants. Potential participants will be invited to complete an eligibility assessment survey, and eligible participants will be invited to enroll in the study.

Ethical Considerations

Human subject research approval (institutional review board [IRB] number: IRB2021-0943 D) was obtained from the Institutional Review Board at Texas A&M University, with phase I study approved on December 8, 2021, and phase II study approved on June 21, 2023. Electronic informed consents are obtained from study participants before study activities. Participants’ personal identifying information (eg, names, emails, phone numbers) was used solely for contacting purposes. We protected participants’ privacy and confidentiality by limiting access to IRB-approved team members, separating identifying information from deidentified study data, encrypting study information on Microsoft OneDrive, and deleting identifying information upon project completion. Participants in phase I received a US $25 e-gift card for completing both interviews and surveys, and phase II participants will receive up to US $50 e-gift card for completing the study.

Sample Size Calculations

The phase 2 research hypothesis is that there will be a difference in the perceived usefulness and ease of use between different racial and ethnic groups. For the sample size calculation, we assumed a minimum power of 80% and a type I error rate of 5%. Due to the limited research on the influence of racial or ethnic factors on caregiving technology acceptance, we estimated the necessary sample size across a range of effect sizes ( f ²=0.02-0.35). Our analysis model will adjust for caregivers’ sociodemographic characteristics, caregiving duration, and the dementia stage of the care recipient. Depending on the effect sizes, the required sample size varies from approximately 40 to 550 participants [ 46 ]. Previous studies have shown low retention rates among informal caregivers for individuals with AD/ADRD, around 50% [ 47 , 48 ], and even lower retention rates among Hispanic or Latinx caregivers [ 47 ]. By following recommended recruitment and retention strategies and drawing on the recruitment experience of Texas A&M Center for Community Health and Aging in various community and clinical projects, we estimate that a minimum total sample size of 300 for enrollment surveys (100 per group) with 150 for conclusion surveys (50 per group) is necessary. This minimum sample size of 150 caregivers is feasible and can detect a small effect size of 0.09.

Data Analysis

For phase I data, thematic analysis of qualitative interview transcript data was conducted using the framework method [ 42 , 49 ]. The framework method consists of several essential steps: transcribing interviews, familiarizing oneself with the interview material, coding, developing an analytical framework, applying this framework, charting data into the framework matrix, and interpreting the data [ 42 ]. In addition, descriptive analyses of quantitative survey responses will be conducted to describe the sociodemographic and caregiving characteristics of the participants, their usage and preference for care services, and their evaluations of the platform’s functionality, design, information quality, and engagement.

For phase II survey data, descriptive statistics (mean and SD or frequency and percentage) will be used to describe the characteristics of study participants and their perceived usefulness and ease of use of Olera.care digital platform. First, using the Technology Acceptance Survey data, separate multivariable regression models will be used to examine any differences in each key outcome (perceived usefulness and ease of use of Olera digital platform) by racial or ethnic characteristics and socioeconomic status (eg, education and income level). The regression model will be adjusted for known factors that influence technology adoption (eg, age, sex, and care recipients’ dementia stage).

The study received funding from the National Institute on Aging on September 3, 2021. Ethical approval for phase I was obtained from the Texas A&M University Institutional Review Board on December 8, 2021, with data collection starting on January 1, 2022, and concluding on May 31, 2022. Phase I results were published on September 5, 2023, and April 17, 2024, respectively. On June 21, 2023, ethical approval for human subjects for phase II was granted, and participant recruitment began on July 1, 2023, and is anticipated to end by December 31, 2024. We expect to publish our phase II results by June 30, 2025. The Olera.care platform has seen promising growth since its official launch in 2023, now with more than 350 daily logins and a steady increase in organic traffic from August 6, 2023, to June 1, 2024 ( Multimedia Appendix 2 ). In addition, our Facebook “Health Aging Community” has more than 11,000 followers by June 1, 2024. The goal is to expedite this organic growth of our website and social media platforms in a way that requires no paid advertisements and is sustained only by quality content on the website attracting visitors (organic traffic). Our goal is to reach more than 30,000 caregivers daily by June 30, 2027. This will be achieved through continued investment in quality content, strategic partnerships, and community engagement.

Platform Description and Functionality

The primary function of the Olera.care platform is to provide personalized recommendations for learning materials, including articles and videos, tailored to caregivers’ specific needs. The platform also offers recommended listings of local service providers across various domains such as legal and financial advisors (eg, older adults law attorneys, certified financial planners), home care providers, senior living options, and public support services such as Meals on Wheels and Area Agencies on Aging. This personalized approach aims to simplify the web-based research process for caregivers, providing a guided experience akin to expert advice.

Key features of the Olera.care ( Figure 4 ) include the following:

• Personalized recommendations : the DCPA customizes content based on the care recipient’s disease stage, financial circumstances, and care preferences. This ensures that caregivers receive relevant, contextually appropriate information and resources.
• Educational materials : The platform hosts a comprehensive library of educational content created in collaboration with experts from various organizations, including the National Institute on Aging, the American Association of Retired Persons, and the Alzheimer’s Association.
• Service provider listings : Caregivers can access a curated list of local care options, including non–medical home care, assisted living, and nursing homes, gathered from reliable public sources.
• User-friendly interface : developed using Ruby on Rails web application framework for a seamless cross-platform experience, the platform ensures ease of use across different devices.

Marketing and User Growth Strategy

Since its launch, the Olera platform has focused on building organic traffic through several key strategies:

Community Building

The “Healthy Aging Community,” a web-based space hosted on Facebook, for seniors and caregivers, has become a significant marketing channel, with more than 11,000 registered members. This community fosters engagement and word-of-mouth promotion, driving new users to the platform.

Content Marketing and Search Engine Optimization

The platform’s Educational Material and Caregiver Resource repository features more than 20,000 indexed pages of high-quality content ( Multimedia Appendix 3 ). This content attracts organic traffic from users searching for relevant caregiving information, supported by digital public relations efforts and outreach to journalists, bloggers, and podcast hosts.

Strategic Partnerships:

Collaborations with organizations such as the Alzheimer’s Association and Texas A&M Center for Community Health and Aging have expanded the platform’s reach. These partnerships are crucial for user growth, with plans to engage more caregivers through connections with local Area Agencies on Aging and older adult centers.

Promotion to Service Providers

Marketing efforts also target service providers in the older adult care industry. Promotions for new providers and participation in industry conferences help build a robust network of providers on the platform. When families like a provider, a lead can be generated for that organization when we forward their contact information. Weekly leads are directly related to the volume of organic visits we get from caregivers using the platform ( Multimedia Appendix 4 ).

Study Progress by June 30, 2024

Phase I study data collection started on January 1, 2022, and ended on May 31, 2022. For participants, 822 respondents filled out prescreening surveys and 150 (18.2%) of them were qualified. Approximately 20% (30/150) of the eligible respondents participated in the in-depth interviews and completed the survey. The preliminary results of the phase I study were disseminated in a few regional or national conferences (ie, 2024 annual meeting of American Academy of Health Behavior; 2024 Texas Alzheimer’s Research and Care Consortium Symposium; 2023 Healthy Aging and Dementia Research Symposium; and 2023 annual meeting of American Association for Geriatric Psychiatry), and formal results were published on September 5, 2023 [ 8 ] and April 17, 2024 [ 50 ].

Phase II study commenced on July 1, 2023, and we aim to complete recruitment and data collection by the end of December 31, 2024, and conduct analysis and report our phase II evaluation results by June 30, 2025. By thoroughly evaluating the Olera.care digital platform across diverse sociodemographic groups, we aim to ensure that the platform is both effective and user-friendly for a broad audience. This evaluation will provide critical insights into the specific needs and preferences of different caregiver populations, enabling us to tailor the platform more precisely.

Principal Findings

This study presents an iterative approach to developing, refining, and evaluating a novel caregiver assistive technology. Current literature regarding the efficacy and acceptance of predeveloped caregiver interventions, while able to provide context regarding caregiver needs and future directions, often overlooks user feedback during the developmental phase. Using a build-measure-learn approach, the development of the Olera.care platform incorporates caregiver opinions and thoughts throughout the process. In the phase I study, we used a mixed methods approach to obtain comprehensive feedback in both qualitative and quantitative measures and examine the quality of the developed platform using the validated MARS tool. In the phase II study, we evaluated the acceptance of the technology among 3 major racial and ethnic groups using the TAM framework. This enables a comparison of measurements in perceived ease of use and usefulness, similar to another study that used the TAM framework to evaluate the acceptability of a care coordination platform [ 51 ].

A significant difference between our product and recently developed caregiver platforms is the multifaceted nature of the Olera.care platform. While many caregiving assistive technologies aim to decrease caregiver burden and strain, they mainly focus on only 1 or 2 aspects of the caregiving experience, thus limiting their use. For example, while the end goal is the same, these technologies often target specific aspects such as caregiver management [ 51 - 54 ], clinical reasoning [ 55 ], caregiver education and training [ 56 , 57 ], or caregiver mental well-being [ 58 ]. Olera.care platform serves functions in all 4 of the identified components and thus is able to serve as a simplified hub, capable of assisting caregivers in all needed aspects. For these reasons, Olera.care is a more rounded and comprehensive intervention than existing platforms.

Strengths and Limitations

One of the key strengths of the study is the build-measure-learn process. This iterative approach ensures that caregiver feedback is incorporated throughout the development phase, leading to a more user-centric design. By continuously refining the platform based on user input, the Olera.care platform is better tailored to meet the actual needs and preferences of caregivers, enhancing its usability and effectiveness. Another significant strength is the mixed methods approach in phase I, which allows for the collection of both comprehensive qualitative data on caregiving needs and expectations, as well as quantitative measures of usability and usefulness using the validated tool, MARS. The majority of similar studies have evaluated the acceptance of an intervention using only qualitative measures as opposed to quantitative [ 52 , 53 , 55 ]. Other studies have demonstrated the use of a mixed methods approach and MARS in broadening the caregiver perspective [ 54 , 56 , 59 , 60 ]. While app quality can be assessed in a multitude of ways, it is important to consider the MARS during developmental testing to prevent poor quality, especially considering that the average caregiving app was found to be “of [minimal] acceptable quality” that is “likely to be insufficient to meet care partner needs” [ 61 ]. Furthermore, this study stands out by investigating the acceptance of the technology among diverse ethnic and racial groups of caregivers in phase II. It is important to note the necessity of a diverse study population, considering the aforementioned burden disparities in racial and ethnic groups. Limitations in similar studies often arise from a lack of generalizability and consideration of a broadly representative sample [ 56 , 57 ]. Often, the unintentional focus on non-Hispanic White populations materializes in a lack of culturally tailored interventions [ 62 ]. This study will help bridge this gap by focusing on the needs and feedback across racial or ethnic populations.

The study has several limitations typical to research in this field of study. Recruiting racially and ethnically diverse caregiver participants, specifically from the 3 largest groups in Texas: non-Hispanic White, Hispanic or Latinx, and African American individuals requires intense efforts. Despite significant efforts to collaborate with communities and local agencies for recruitment, achieving a truly representative sample remained challenging. In addition, we were unable to include other racial or ethnic groups such as Asian American, Pacific Islander, Indian American, and Multiracial American. This omission is noteworthy as it potentially excludes populations that could offer important insights. However, the decision to focus on the 3 major groups was based on examining differences across these groups and considering the feasibility of recruiting caregivers in Texas. In addition, while our sample was racially diverse, it may not have been socioeconomically diverse and representative of all residents in Texas and the United States. Therefore, it is important to compare our participants’ characteristics with Texas caregiver profiles and national caregiver profiles to determine the representativeness of our recruited sample. Despite measuring household income levels and self-reported financial situations, unmeasured factors may influence the acceptance and perceived usefulness of the platform. For instance, health literacy and technology literacy can significantly impact the access and use of web-based caregiving resources [ 63 , 64 ]. Another limitation is the lack of longitudinal testing to observe changes in perceived usefulness over time. This gap means we are unable to assess how perceived acceptance and ease of use might evolve as caregivers continue to use the platform and their caregiving responsibilities evolve. Longitudinal studies are essential to understanding the sustained impact and usability of interventions over time. This underscores the need for a longitudinal study design and a more comprehensive assessment of caregiver characteristics in our future studies. By addressing these limitations in future research, we can gain a deeper understanding of the long-term effectiveness and broad applicability of the platform across various demographic and socioeconomic groups.

Conclusions

This 2-phase study focuses on caregiver-based iterative development and evaluation of the quality and usability of the platform among caregivers. The development of our platform incorporates the needs and opinions of end users throughout the entire process to ensure the creation of an effective product. The platform is rigorously assessed regarding overall app quality and acceptability using validated tools in a pilot group and across diverse caregivers, respectively. The phase I results demonstrate that digital platforms, especially those offering personalized and comprehensive support, hold significant promise for supporting family caregivers of people living with dementia. By the end of the study, we expect to deliver a highly accessible digital platform designed to assist dementia caregivers in managing financial and legal challenges by linking them to personalized and contextually relevant information and resources in Texas. If the Olera.care platform demonstrates the usefulness and ease of use, we plan to collaborate with caregiving organizations to expand it nationally, addressing the needs of the growing population of dementia caregivers.

Acknowledgments

The authors express their gratitude for the support by the Center for Community Health and Aging at Texas A&M University and community partners. They are also thankful to all the study participants. This research was funded by the National Institute on Aging Small Business Innovation Research program (contract 1R44AG074116-01, Solicitation AG21-025). The findings and conclusions expressed in this study are those of the authors and do not necessarily reflect the views of the National Institute on Aging.

Data Availability

The data sets generated and analyzed during this study are not publicly available due to protection of study participants’ privacy, but de-identified data sets are available from the corresponding author on reasonable request.

Authors' Contributions

TF, LD, SL, and MGO contributed to the original proposal submitted to the National Institute on Aging. LD, QF, MNH, LF, and TF contributed to this manuscript’s first draft writing. SL and MGO contributed to supervision. All authors contributed to the critical revision of the manuscript.

Conflicts of Interest

TF and LD are executives and owners of Olera, Inc.

NIH peer review summary statement for original proposal.

Number of visitors who found Olera.care website from free traffic of search engines by June 1, 2024.

Number of pages indexed by Google by June 1, 2024.

Number of client requests by June 1, 2024.

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• Fan Q, Hoang MN, DuBose L, Ory MG, Vennatt J, Salha D, et al. The Olera.care digital caregiving assistance platform for dementia caregivers: preliminary evaluation study. JMIR Aging. Apr 17, 2024;7:e55132. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Mishra RK, Park C, Momin AS, Rafaei NE, Kunik M, York MK, et al. Care4AD: a technology-driven platform for care coordination and management: acceptability study in dementia. Gerontology. 2023;69(2):227-238. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Gilson A, Gassman M, Dodds D, Lombardo R, Ford Ii JH, Potteiger M. Refining a digital therapeutic platform for home care agencies in dementia care to elicit stakeholder feedback: focus group study with stakeholders. JMIR Aging. Mar 02, 2022;5(1):e32516. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Bults M, van Leersum CM, Olthuis TJJ, Siebrand E, Malik Z, Liu L, et al. Acceptance of a digital assistant (Anne4Care) for older adult immigrants living with dementia: qualitative descriptive study. JMIR Aging. Apr 19, 2024;7:e50219. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Boutilier JJ, Loganathar P, Linden A, Scheer E, Noejovich S, Elliott C, et al. A web-based platform (CareVirtue) to support caregivers of people living with Alzheimer disease and related dementias: mixed methods feasibility study. JMIR Aging. Aug 04, 2022;5(3):e36975. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Gitlin LN, Bouranis N, Kern V, Koeuth S, Marx KA, McClure LA, et al. WeCareAdvisor, an online platform to help family caregivers manage dementia-related behavioral symptoms: an efficacy trial in the time of COVID-19. J Technol Behav Sci. 2022;7(1):33-44. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Fuller-Tyszkiewicz M, Richardson B, Little K, Teague S, Hartley-Clark L, Capic T, et al. Efficacy of a smartphone app intervention for reducing caregiver stress: randomized controlled trial. JMIR Ment Health. Jul 24, 2020;7(7):e17541. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Rodriguez K, Fugard M, Amini S, Smith G, Marasco D, Shatzer J, et al. Caregiver response to an online dementia and caregiver wellness education platform. J Alzheimers Dis Rep. 2021;5(1):433-442. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Oostra DL, Vos WL, Olde Rikkert MGM, Nieuwboer MS, Perry M. Digital resilience monitoring of informal caregivers of persons with dementia for early detection of overburden: Development and pilot testing. Int J Geriatr Psychiatry. Jan 2023;38(1):e5869. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Guisado-Fernandez E, Caulfield B, Silva PA, Mackey L, Singleton D, Leahy D, et al. Development of a caregivers' support platform (Connected Health Sustaining Home Stay in Dementia): protocol for a longitudinal observational mixed methods study. JMIR Res Protoc. Aug 28, 2019;8(8):13280. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Zafeiridi P, Paulson K, Dunn R, Wolverson E, White C, Thorpe JA, et al. A web-based platform for people with memory problems and their caregivers (CAREGIVERSPRO-MMD): mixed-methods evaluation of usability. JMIR Form Res. Mar 12, 2018;2(1):e4. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Werner NE, Brown JC, Loganathar P, Holden RJ. Quality of mobile apps for care partners of people with Alzheimer disease and related dementias: mobile app rating scale evaluation. JMIR Mhealth Uhealth. Mar 29, 2022;10(3):e33863. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Assfaw AD, Reinschmidt KM, Teasdale TA, Stephens L, Kleszynski KL, Dwyer K. Assessing culturally tailored dementia interventions to support informal caregivers of people living with dementia (PLWD): a scoping review. J Racial Ethn Health Disparities. 2024. [ CrossRef ] [ Medline ]
• Lapid MI, Atherton PJ, Clark MM, Kung S, Sloan JA, Rummans TA. Cancer caregiver: perceived benefits of technology. Telemed J E Health. Nov 2015;21(11):893-902. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Efthymiou A, Middleton N, Charalambous A, Papastavrou E. The association of health literacy and electronic health literacy with self-efficacy, coping, and caregiving perceptions among carers of people with dementia: research protocol for a descriptive correlational study. JMIR Res Protoc. Nov 13, 2017;6(11):e221. [ FREE Full text ] [ CrossRef ] [ Medline ]

Abbreviations

Edited by T Leung; The proposal for this study was peer reviewed by the Special Emphasis Panels of the Risk, Prevention and Health Behavior Integrated Review Group - Training and Education for Alzheimer's disease (AD) and AD-related dementias (ADRD) Caregivers on Financial Management and Legal Planning (National Institutes of Health, USA). See the Multimedia Appendix for the peer-review report; submitted 09.07.24; accepted 13.07.24; published 07.08.24.

©Logan DuBose, Qiping Fan, Louis Fisher, Minh-Nguyet Hoang, Diana Salha, Shinduk Lee, Marcia G Ory, Tokunbo Falohun. Originally published in JMIR Research Protocols (https://www.researchprotocols.org), 07.08.2024.

This is an open-access article distributed under the terms of the Creative Commons Attribution License (https://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work, first published in JMIR Research Protocols, is properly cited. The complete bibliographic information, a link to the original publication on https://www.researchprotocols.org, as well as this copyright and license information must be included.

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Early Humans Migrated Out of Africa Several Times, DNA Study Suggests

Homo sapiens interbred with Neanderthals as early as 250,000 years ago and may have ultimately bred them out of existence, according to new research

Margherita Bassi

Daily Correspondent

Currently, the widely accepted story of human origins suggests that early members of our species left Africa in a single wave of migration about 50,000 years ago and interbred with Neanderthals in Europe and Asia.

But now, in a study published in July in the journal Science , researchers suggest  Homo sapiens migrated from the African continent in several waves, interbreeding with Neanderthal populations as early as 250,000 years ago.

“This is the first time that geneticists have identified multiple waves of modern human-Neanderthal admixture,” first author  Liming Li , an associate research scholar at Princeton University, says in a statement .

“It wasn’t a single out-of-Africa migration,” Sarah Tishkoff , a geneticist at the University of Pennsylvania who was not involved in the new study, adds to the New York Time s ’ Carl Zimmer. “There have been lots of migrations out of Africa at different time periods.”

According to Tishkoff, who has also studied interbreeding between early modern humans and Neanderthals, previous research largely didn’t recognize these earlier waves of migration, because they didn’t leave clear fossil records or DNA traces in living people.

Researchers have sequenced the genomes of hundreds of thousands of living humans, but they only have three known complete Neanderthal genomes, collected from one site in Croatia and two in Russia. As a result, scientists have an understanding of how interbreeding affected  Homo sapiens , but a much murkier picture of how it affected Neanderthals.

“We know much less about how these encounters impacted the genomes of Neanderthals,” Joshua Akey , a population geneticist at Princeton University and senior author of the study, tells Live Science ’s Charles Q. Choi.

This time, Akey’s team decided to look for human DNA in Neanderthal genomes, comparing the three available ones to those of 2,000 modern humans. They mapped the gene flow between the Neanderthal and modern human populations with a genetic tool called IBDmix, which uses machine learning to decode genomes. The researchers identified two separate instances of interbreeding: between 200,000 and 250,000 years ago and between 100,000 and 120,000 years ago.

Coupled with past research that supports a migration from Africa between 50,000 and 60,000 years ago, the study finds early modern humans left the continent several times and interbred with Neanderthals. Their results suggest the Neanderthal genome derived 2.5 percent to 3.7 percent of its DNA from Homo sapiens .

“Because we can now incorporate the Neanderthal component into our genetic studies, we are seeing these earlier dispersals in ways that we weren’t able to before,” Akey says in the statement.

This supports a separate study published in Current Biology last year in which another group of researchers, including Tishkoff, compared the genome of a Neanderthal fossil with the genomes of 180 humans from across Africa. This team also concluded that Homo sapiens and Neanderthals had contact 250,000 years ago.

Katerina Harvati , a paleoanthropologist at the University of Tübingen in Germany who was not involved in either study, tells the New York Times that “some mysterious human fossils from Europe and the Middle East might belong to these early waves.”

For one, skulls found in two Israeli caves seem to belong to modern humans, but they have a few confusing features, such as larger brows, that might have come from Neanderthal genes. These skulls date to about 100,000 years ago, during one of the newly proposed periods of migration. And another skull fragment found in Greece is roughly 210,000 years old—aligning with the first proposed exodus from Africa—and displays some human anatomical traits.

“We now know that for the vast majority of human history, we’ve had a history of contact between modern humans and Neanderthals,” Akey says in the statement.

His team’s research also hypothesizes, based on genetic data, that the Neanderthal population was even smaller than previously thought—on the order of 2,400 breeding individuals, rather than 3,400. As such, the team suggests Neanderthals’ mysterious disappearance had to do with them becoming absorbed into the population of modern humans through interbreeding.

“Modern humans were essentially like waves crashing on a beach, slowly but steadily eroding the beach away,” Akey says in the statement. “Eventually, we just demographically overwhelmed Neanderthals and incorporated them into modern human populations.”

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Margherita Bassi | READ MORE

Margherita Bassi is a trilingual storyteller and freelance journalist with a particular interest in ancient history, astronomy and human interest stories.

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Intake of sugar sweetened beverages among children and adolescents in 185 countries between 1990 and 2018: population based study

• Related content
• Peer review
• Renata Micha , professor 1 3 ,
• Frederick Cudhea , biostatistician 1 ,
• Victoria Miller , research fellow 1 4 5 ,
• Peilin Shi , biostatistician 1 ,
• Jianyi Zhang , biostatistician 6 ,
• Julia R Sharib , researcher 1 ,
• Josh Erndt-Marino , researcher 1 ,
• Sean B Cash , professor 7 ,
• Simon Barquera , director 8 ,
• Dariush Mozaffarian , professor 1 9 10
• on behalf of the Global Dietary Database
• 1 Food is Medicine Institute, Friedman School of Nutrition Science and Policy, Tufts University, Boston, MA, USA
• 2 Institute of Health Metrics and Evaluation, University of Washington, Seattle, WA, USA
• 3 University of Thessaly, Volos, Greece
• 4 Department of Medicine, McMaster University, Hamilton, ON, Canada
• 5 Population Health Research Institute, Hamilton, ON, Canada
• 6 Center for Surgery and Public Health, Brigham and Women’s Hospital Boston, MA, USA
• 7 Friedman School of Nutrition Science and Policy, Tufts University, Boston, MA, USA
• 8 Research Center on Nutrition and Health, National Institute of Public Health, Cuernavaca, Morelos, Mexico
• 9 Tufts University School of Medicine, Boston, MA, USA
• 10 Division of Cardiology, Tufts Medical Center, Boston, MA, USA
• Correspondence to: L Lara-Castor lauralac{at}uw.edu
• Accepted 11 June 2024

Objective To quantify global intakes of sugar sweetened beverages (SSBs) and trends over time among children and adolescents.

Design Population based study.

Setting Global Dietary Database.

Population Children and adolescents aged 3-19 years in 185 countries between 1990 and 2018, jointly stratified at subnational level by age, sex, parental education, and rural or urban residence.

Results In 2018, mean global SSB intake was 3.6 (standardized serving=248 g (8 oz)) servings/week (1.3 (95% uncertainly interval 1.0 to 1.9) in south Asia to 9.1 (8.3 to 10.1) in Latin America and the Caribbean). SSB intakes were higher in older versus younger children and adolescents, those resident in urban versus rural areas, and those of parents with higher versus lower education. Between 1990 and 2018, mean global SSB intakes increased by 0.68 servings/week (22.9%), with the largest increases in sub-Saharan Africa (2.17 servings/week; 106%). Of 185 countries included in the analysis, 56 (30.3%) had a mean SSB intake of ≥7 servings/week, representing 238 million children and adolescents, or 10.4% of the global population of young people.

Conclusion This study found that intakes of SSBs among children and adolescents aged 3-19 years in 185 countries increased by 23% from 1990 to 2018, parallel to the rise in prevalence of obesity among this population globally. SSB intakes showed large heterogeneity among children and adolescents worldwide and by age, parental level of education, and urbanicity. This research should help to inform policies to reduce SSB intake among young people, particularly those with larger intakes across all education levels in urban and rural areas in Latin America and the Caribbean, and the growing problem of SSBs for public health in sub-Saharan Africa.

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Introduction

In 2015, obesity was estimated to affect more than 100 million children and adolescents, in line with observed increases in body mass index among this population from 1975 to 2016 in most world regions. 1 43 Among the main risk factors for obesity, unhealthy diets play a crucial role. 2 In particular, intake of sugar sweetened beverages (SSBs) has been consistently reported to increase the risk of obesity among children and adolescents. 2 3 This is especially concerning because obesity in childhood tends to persist into adulthood, increasing the risk of type 2 diabetes, cardiovascular disease, and premature mortality. 4 Explanations for the increase in intake of SSBs include globalization of markets, transformation of food systems, aggressive marketing strategies directed at children and adolescents, and lack of (or poor) regulatory measures to limit intake. 5 6 In studies at national and subnational level, policies and strategies such as taxation on sugar sweetened drinks, restrictions on food marketing, regulations for front-of-package labeling, and restrictions at school level have proven to curb the intake of SSBs among children and adolescents. 6 7 8

Although quantifying the intake of SSBs among children and adolescents is critical to further evaluate the impact of these beverages on disease and the effectiveness of policies to control intake, recent national estimates among young people are unavailable for most countries. 6 The lack of such data prevents an analysis of the trends in SSB intake over time, as well as the role of key sociodemographic factors such as age, sex, education, and urbanicity to more accurately inform current and future policies. In this study we present SSB intakes among children and adolescents aged 3-19 years at global, regional, and national level and trends over time from 1990 to 2018, jointly stratified at subnational level by age, sex, parental level of education, and area of residence.

Study design

This investigation is based on a serial cross sectional analysis of SSB intakes from the Global Dietary Database 2018 for 185 countries. Details on the methods and standardized data collection protocol are described in detail elsewhere. 9 10 11 12 13 Compared with the Global Dietary Database 2010, innovations include major expansion of individual level dietary surveys and global coverage up to 2018; inclusion of new data jointly stratified at subnational level by age, sex, education level, and urban or rural residence; and updated modeling methods, covariates, and validation to improve prediction of stratum specific mean intakes and uncertainty. This present analysis focused on children and adolescents aged 3-19 years.

Data sources

The approach and results of our survey search strategy by dietary factor, time, and region are reported in detail elsewhere. 11 We performed systematic online searches for individual level dietary surveys in global and regional databases: PubMed, Embase, Web of science, LILACS, African Index Medicus, and the South-east Asia Index Medicus, using search terms “nutrition” or “diet” or “food habits” or “nutrition surveys” or “diet surveys” or “food habits”[mesh] or “diet”[mesh] or “nutrition surveys”[mesh] or “diet surveys”[mesh] and (“country of interest”). Additionally, we identified surveys through extensive personal communications with researchers and government authorities throughout the world, inviting them to be corresponding members of the Global Dietary Database. The search included surveys that collected data on at least one of 54 foods, beverages, nutrients, or dietary indices, including SSBs. A single reviewer screened identified studies by title and abstract, a random subset of articles was screened by a second reviewer to ensure consistency and accuracy, and a third reviewer screened studies to ensure that survey inclusion criteria were met. Surveys were prioritized if they were performed at national or subnational level and used individual level dietary assessments with standardized 24 hour recalls, food frequency questionnaires, or short standardized questionnaires (eg, Demographic Health Survey questionnaires). When national or subnational surveys at individual level were not identified for a country, we searched for individual level surveys from large cohorts, the World Health Organization (WHO) Global Infobase, and the WHO Stepwise Approach to Surveillance database. When individual level dietary surveys were not identified for a particular country, we considered household budget surveys. We excluded surveys focused on special populations (eg, exclusively pregnant or nursing mothers, individuals with a specific disease) or cohorts (eg, specific occupations or dietary patterns). Supplementary methods 1-3, supplementary tables 1-2, and supplementary figure 1 provide additional details on the methods. The final Global Dietary Database model incorporated 1224 dietary surveys from 185 countries, with 89% representative at national or subnational level, thus covering about 99.0% of the global population in 2018. Among these, 450 surveys reported data on SSBs, 85% of which provided individual level data. These 450 originated from 118 countries and surveyed a total of 2.9 million individuals, with 94% being representative at national or subnational level (see supplementary tables 4 and 5). Supplementary data 1 provides details on the characteristics of the survey.

Data extraction

For each survey, we used standardized methods to extract data on survey characteristics and dietary metrics, units, and mean and standard deviation of intake by age, sex, education level, and urban or rural residence (see supplementary methods 1). 12 All intakes are reported adjusted to 5439 kilojoules (kJ) daily (1300 kilocalories (kcal) daily) for ages 3-5 years, 7113 kJ/day (1700 kcal/day) for ages 6-10 years, and 8368 kJ/day (2000 kcal/day) for ages 11-19 years. SSBs were defined as any beverages with added sugars and ≥209 kJ (50 kcal) for each 237 g serving, including commercial or homemade beverages, soft drinks, energy drinks, fruit drinks, punch, lemonade, and aguas frescas. This definition excluded 100% fruit and vegetable juices, non-caloric artificially sweetened drinks, and sweetened milk. All included surveys used this definition.

Data modeling

Our model estimates intakes of SSBs for years for which we have survey data available. To incorporate and deal with differences in data comparability and sampling uncertainty, we used a bayesian model with a nested hierarchical structure (with random effects by country and region) to estimate the mean consumption of SSBs and its statistical uncertainty for each of 264 population strata across 185 countries for 1990, 1995, 2000, 2005, 2010, 2015, and 2018. Our model incorporated seven world regions: central and eastern Europe and central Asia, high income countries, Latin America and the Caribbean, the Middle East and north Africa, south Asia, southeast and east Asia, and sub-Saharan Africa. Our team and others (eg, the Global Burden of Disease study) have previously used this (or similar) classification for world regions, which aims to group nations by general similarities in risk profiles and disease outcomes. Although the current analysis only focuses on children and adolescents aged 3-19 years, the model used all age data to generate the strata predictions. Modeling all age groups jointly allows the use of the full set of available data and covariates to inform estimates, including age patterns, relationships between predictors and SSB intakes, and influence of covariates (eg, dietary assessment methods).

Primary inputs were the survey level quantitative data on SSB intakes (by country, time, age, sex, education level, and urban or rural residence), survey characteristics (dietary assessment method, type of dietary metric), and country-year specific covariates (see supplementary methods 2). The model included overdispersion of survey level variance for surveys that were not nationally representative or not stratified by smaller age groups (≤10 years), sex, education level, or urbanicity. Survey level covariates addressed potential survey bias, and the overdispersion parameter non-sampling variation due to survey level error (from imperfect study design and quality). The model then estimated intakes jointly stratified by age (<1, 1-2, 3-4, 5-9, 10-14, 15-19, 20-24, 25-29, 30-34, 35-39, 40-44, 45-49, 50-54, 55-59, 60-64, 65-69, 70-74, 75-79, 80-84, 85-89, 90-94, ≥95 years), sex, education (≤6 years, >6-12 years, >12 years), and urbanicity (urban, rural). For children and adolescents (age <20 years) the stratification by education refers to parental education.

The uncertainty of each stratum specific estimate was quantified using 4000 Monte Carlo iterations to determine posterior predictive distributions of mean intake jointly by country, year, and sociodemographic subgroup. We computed the median intake and the 95% uncertainty interval (UI) for each stratum as the 50th, 2.5th, and 97.5th percentiles of the 4000 draws, respectively. For model selection and validation, we compared results from fivefold cross validation (randomly omitting 20% of the survey data at the stratum level and using that to evaluate predictive ability, run five times), compared predicted country intakes with survey observed intakes, assessed implausible estimates (see supplementary table 2), and visually assessed global and national mean intakes using heat maps.

A second bayesian model was used to strengthen time trend estimates for dietary factors (including SSBs) with corresponding available date on food or nutrients from the Food and Agriculture Organization’s food balance sheets 14 or the Global Expanded Nutrient Supply dataset. 15 No time component was formally included in the model; rather, time was captured by the underlying time variation in the model covariates. This second model incorporated country level intercepts and slopes, along with their correlation estimated across countries. The model is commonly referred to as a varying slopes model structure, and it leverages two dimensional partial pooling between intercepts and slopes to regularize all parameters and minimize the risk of overfitting. 16 17 The final presented results are a combination of these two bayesian models, as detailed in supplementary methods 3.

Statistical analysis

Global, regional, national, and within country population subgroup intakes of SSBs and their uncertainty were calculated as population weighted averages using all 4000 posterior predictions for each of the 264 demographic strata in each country-year. Population weights for each year were derived from the United Nations (UN) Population Division, 18 supplemented with data for education and urban or rural status from Barro and Lee 19 and the UN. 20

Intakes were calculated as 248 g (8 oz) servings weekly, or two thirds of a common 355 mL (12 oz) can of a sugar sweetened drink weekly. Absolute changes and percentage changes in consumption between 1990 and 2005, 2005 and 2018, and 1990 and 2018 were calculated at the stratum specific prediction level to account for the full spectrum of uncertainty and standardized to the proportion of individuals within each stratum in 2018 to account for changes in population characteristics over time. Stratum specific predictions were summed to calculate the differences in intake between all children and adolescents aged 3-19 years, high and low parental education (>12 years and ≤6 years, respectively), and urban and rural residence, further stratified by sex, age, parental education, and area of residence, as appropriate.

National intakes of SSBs and trends were assessed by sociodemographic development index, including trends over time between 1990 and 2005, 2005 and 2018, and 1990 and 2018. The sociodemographic development index is a measure of the development of a country or region, ranging from 0 to 1, with 0 representing the minimum level and 1 the maximum level of development of a given nation, and it is based on income per capita, average educational attainment, and fertility rates. 21 Our UIs are derived from a bayesian model and can be interpreted as at least 95% probability that the true mean is contained within the interval. For comparisons between groups (or over time), if the 95% UI of the difference (or change over time) does not include zero, this can be interpreted as at least 95% probability of a true difference. No hypothesis testing was conducted, as estimation with uncertainty has been recognized as a more informative approach. 22

Patient and public involvement

No patients or members of the public were involved in the study as we did not collect data directly from individuals, the funding source did not provide support for direct patient and public involvement, and the study was initiated before patient and public involvement was common. The present analysis used modeled data derived from dietary data that had been previously collected, and we engaged with a diverse set of 320 corresponding members in nations around the world.

Global, regional, and national SSB intakes in 2018

In 2018, the mean global intake of SSBs among children and adolescents was 3.6 (standardized serving=248 g (8 oz)) servings/week (95% UI 3.3 to 4.0), with wide (sevenfold) variation across world regions, from 1.3 servings/week (1.0 to 1.9) in south Asia to 9.1 (8.3 to 10.1) in Latin America and the Caribbean ( table 1 ). Among the 25 countries with the largest population of children and adolescents worldwide, mean highest intakes were in Mexico (10.1 (9.1 to 11.3)), followed by Uganda (6.9 (4.5 to 10.6)), Pakistan (6.4 (4.3 to 9.7)), South Africa (6.2 (4.7 to 8.1)), and the US (6.2 (5.9 to 6.6)); while the lowest intakes were in India and Bangladesh (0.3 servings/week each) ( fig 1 , also see supplementary figure 9). Of the 185 countries included in the analysis, 56 (30.3%) had mean SSB intakes of ≥7 servings/week, representing 238 million young people aged 3-19 years, or 10.4% of the global population for this age group.

Global and regional mean intake of SSBs (248 g (8 oz) serving/week) in children and adolescents aged 3-19 years, by age, sex, parental education, and area of residence across 185 countries in 2018

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National mean intakes of SSBs (standardized 248 g (8 oz) serving/week for this analysis) in children and adolescents aged 3-19 years across 185 countries in 2018. SSBs were defined as any beverage with added sugars and ≥209 kJ (50 kcal) per 237 g serving, including commercial or homemade beverages, soft drinks, energy drinks, fruit drinks, punch, lemonade, and aguas frescas. This definition excludes 100% fruit and vegetable juices, non-caloric artificially sweetened drinks, and sweetened milk. For this visual representation, values were truncated at 21 servings/week to better reflect the distribution of intakes globally. The figure was created using the rworldmap package (v1.3-6). SSB=sugar sweetened beverage

SSB intake by sex and age in 2018

Globally, regionally, and nationally, SSB intakes between male and female children and adolescents aged 3-19 years did not differ noticeably, as observed by the 95% UI of the differences including zero ( table 1 , also see supplementary tables 7 and 8). Intake of SSBs in young people was greater with increasing age globally and regionally, although with varying magnitude of these differences by region ( table 1 and fig 2 ). For instance, intakes of SSBs exceeded 9 servings/week among children aged ≥10 years in Latin America and the Caribbean and in the Middle East and north Africa but were just over 1 serving/week among young people of the same age in south Asia. Regionally, patterns of intake by age were similar between young people (see supplementary figure 2). Considering both age and region, the highest weekly intakes of SSBs were in Latin America and the Caribbean in 15-19 year olds (11.5 servings/week) and lowest in southeast and east Asia in 3-4 year olds (0.9 servings/week) ( table 1 ). Among the 25 most populous countries, the highest intakes of SSBs were in Mexico among 10-14 year olds (11.9 servings/week) and 15-19 year olds (12.8 servings/week) and lowest in Kenya and China among 3-4 year olds (0.2 servings/week each) (supplementary table 6).

Global and regional intakes of SSBs (standardized 248 g (8 oz) serving/week for this analysis) by age in children and adolescents aged 3-19 years in 2018. SSBs were defined as any beverage with added sugars and ≥209 kJ (50 kcal) per 237 g serving, including commercial or homemade beverages, soft drinks, energy drinks, fruit drinks, punch, lemonade, and aguas frescas. This definition excludes 100% fruit and vegetable juices, non-caloric artificially sweetened drinks, and sweetened milk. The filled circles represent the mean SSBs intake (248 g (8 oz) serving/week) and the error bars the 95% UIs. In previous Global Dietary Database reports, the region central and eastern Europe and central Asia was referred to as the former Soviet Union, and southeast and east Asia was referred to as Asia. SSBs=sugar sweetened beverages; UI=uncertainty interval

SSB intake by parental education and urbanicity in 2018

Intakes of SSBs were greater in children and adolescents from urban areas than those from rural areas (4.6 servings/week (4.2 to 5.0) v 2.7 servings/week (2.4 to 3.1); table 1 ). When parental education and area of residence was assessed jointly, globally the highest intakes of SSBs were among children and adolescents of parents with high education in urban areas (5.15 servings/week (4.76 to 5.64)), representing 11.2% of the global population of children and adolescents ( fig 3 ). Regionally, a similar pattern was observed in Latin America and the Caribbean, south Asia, and sub-Saharan Africa, with the largest intakes of SSBs in children and adolescents of parents with high and medium education in urban and rural areas in Latin America and the Caribbean (≥9 servings/week each), representing 56% of the population of children and adolescents in that region. Intakes of SSBs by area of residence and education were inverted in the Middle East and north Africa, with larger intakes among children and adolescents from rural areas and of parents with lower education, and little variation was observed in other world regions. See supplementary tables 7, 9, and 10, supplementary figures 3 and 4, and supplementary results for further details on SSB intakes by parental education and area of residence.

Global and regional mean SSB intakes (standardized 248 g (8 oz) serving/week for this analysis) in children and adolescents aged 3-19 years by area of residence and parental education level in 2018. SSBs were defined as any beverage with added sugars and ≥209 kJ (50 kcal) per 237 g serving, including commercial or homemade beverages, soft drinks, energy drinks, fruit drinks, punch, lemonade, and aguas frescas. This definition excludes 100% fruit and vegetable juices, non-caloric artificially sweetened drinks, and sweetened milk. Error bars represent 95% UIs. Values were truncated at 11.5 servings/week to better reflect the distribution of intakes. Upper 95% UIs above that value are shown with a dashed line. In previous Global Dietary Database reports, the region central and eastern Europe and central Asia was referred to as the former Soviet Union, and southeast and east Asia was referred to as Asia. SSBs=sugar sweetened beverages; UI=uncertainty interval

Trends in SSB intake during 1990-2005, 2005-18, and 1990-2018

Supplementary tables 11-14 and supplementary figures 5-8 show absolute global, regional, and national intakes of SSBs for 1990 and 2005. Globally, from 1990 to 2018, intakes among children and adolescents increased by 0.68 servings/week (95% UI 0.54 to 0.85; 22.9%) ( fig 4 , also see supplementary data 2). The magnitude of global increase was similar from 1990 to 2005 (0.33 (0.25 to 0.43); 11.0%) and from 2005 to 2018 (0.35 (0.26 to 0.47); 10.7%). However, regionally, changes did not follow the same global pattern. Between 1990 and 2005, increases in intakes of SSBs were observed in most regions, with the largest increase in high income countries (1.48 (1.37 to 1.60); 29.1%), little change in central and eastern Europe and central Asia and in south Asia, and a decrease in Latin America and the Caribbean (−1.20 (−1.54 to −0.88); −12.7%). More recently, from 2005 to 2018, increases continued in most regions, with the largest in sub-Saharan Africa (1.38 (1.01 to 1.85); 49.2%), except for south Asia where little change was evident and high income countries where intakes decreased (−1.59 (−1.71 to −1.47); −24.1%). In the overall period from 1990 to 2018, the largest regional increase was in sub-Saharan Africa (2.17 (1.60 to 2.88); 106%), with other world regions showing steady, more modest increases over time. Exceptions were high income countries and Latin America and the Caribbean, where intakes increased after 1990 and then decreased close to 1990 levels by 2018. The supplementary results and supplementary table 15 describe regional trends over time by age, sex, parental education, and urbanicity.

(Top panel) Mean SSB intakes (standardized 248 g (8 oz) serving/week for this analysis) by world region in 1990, 2005, and 2018, and absolute changes from 1990 to 2005, 2005-18, and 1990-2018 in children and adolescents aged 3-19 years. (Bottom panel) Absolute changes in SSB intakes from 1990-2005, 2005-18, and 1990-2018. SSBs were defined as any beverage with added sugars and ≥209 kJ (50 kcal) per 237 g serving, including commercial or homemade beverages, soft drinks, energy drinks, fruit drinks, punch, lemonade, and aguas frescas. This definition excludes 100% fruit and vegetable juices, non-caloric artificially sweetened drinks, and sweetened milk. Error bars represent 95% UIs. In previous Global Dietary Database reports, the region central and eastern Europe and central Asia was referred to as the former Soviet Union, and southeast and east Asia was referred to as Asia. SSBs=sugar sweetened beverages; UI=uncertainty interval

Among the 25 most populous countries, the largest increase from 1990 to 2005 was in the US (2.95 (2.73 to 3.17); 43.2%) and the largest decrease was in Brazil (−3.42 (−3.95 to −2.97); −40.6%) (see supplementary data 2 and supplementary figure 9). From 2005 to 2018, the largest increase was in Uganda (4.30 (2.31 to 7.39); 173%), and the largest decrease was in the US (−3.55 (−3.81 to −3.30); −36.4%). Overall, between 1990 and 2018, the largest increased was in Uganda (6.73 (4.38 to 10.39); 5573%) and the largest decrease was in Brazil (−3.29 (−3.79 to −2.86); −39.0%) (see supplementary data 2 and supplementary figure 10). The supplementary results and supplementary tables 16-19 show trends over time within the 25 most populous countries by age, sex, parental education, and urbanicity.

SSB intakes and trends by sociodemographic development index and obesity

In 1990 and 2005 a positive correlation was evident between national intakes of SSBs and sociodemographic development index, with greater intakes observed in countries with a higher sociodemographic development index (see supplementary figures 11 and 12). However, this correlation was no longer present in 2018 (r=−0.001, P=0.99). Intakes of SSBs and prevalence of obesity were positively correlated in both 1990 (r=0.28, P<0.001) and 2018 (r=0.23, P<0.001) (see supplementary figure 13).

Intakes of SSBs among children and adolescents aged 3-19 years in 185 countries increased by 23% (0.68 servings/week (0.54 to 0.85)) from 1990 to 2018, parallel to the rise in prevalence of obesity among this population globally. 23 We found a positive correlation between intake of SSBs and prevalence of obesity among children and adolescents in all years. This finding needs particular attention given the incremental economic costs associated with overweight and obesity globally, which are projected to increase from about $2.0tn (£1.6tn; €1.9tn) in 2020 to $18tn by 2060, exceeding 3% of the world’s gross domestic product. 24 Chronic diet related conditions such as obesity have been recognized as part of a global syndemic along with undernutrition given their interaction and shared underlying societal drivers. 25 Tackling drivers of obesity and other diet related diseases among children and adolescents is also critical to be better equipped for potential future pandemics, as cardiometabolic conditions such as obesity, diabetes, and hypertension were top drivers of increased risk of hospital admission and death with covid-19. 26 The increase in intakes of SSBs among children and adolescents corresponded to nearly twice the absolute increase in intake observed among the adult population from 1990 to 2018, for which policies targeting specifically children and adolescents are critical. 13 Young people are particularly appealing to the food industry as they are easily influenced by food marketing, having an effect on not only their current intakes but also their preferences as they develop into adulthood. 27 Their susceptibility to marketing, rising trends in obesity, and accelerated increases in intakes of SSBs underline the necessity for interventions such as taxes, regulations on front-of-package labeling, and regulations in the school environment to curb intakes of SSBs. 6 8 27 28

Changes in intakes of SSBs in children and adolescents from 1990 to 2018 varied substantially by world region. As with the adult population, the largest increase from 1990 to 2018 was in sub-Saharan Africa, emphasizing the need for prompt interventions in this region. Young people in the Middle East and north Africa and in southeast and east Asia showed a more accelerated increase in SSB consumption compared with adults, underlining the importance of policies targeting young people in these regions. The Middle East and north Africa had the second highest intakes of SSBs among children and adolescents in 2018, which differed from our findings among adults, where the Middle East and north Africa occupied third place after sub-Saharan Africa.

Latin America and the Caribbean experienced an overall decrease in intakes of SSBs from 1990 to 2005, which could be attributed to the economic crisis experienced among most of the major economies in the region during this period, 29 in addition to potential greater health awareness as a result of healthy eating campaigns in several countries in the region. 30 In contrast, the increases in intakes in this region from 2005 to 2018 may relate to economic recovery, increased marketing campaigns, and industry opposition to public policies to reduce the intake of SSBs. 31 These findings align with findings in the adult population of this region. 13 Over the past 30 years, Latin America and the Caribbean has undergone an accelerated transformation in the food systems, resulting in wider availability of unhealthy foods, including SSBs, that could explain the large intakes in this region. 7 Moreover, the influence of multinational corporations responsible for ultra-processed foods, marketing strategies targeted at young people, lack of (or poor) regulatory measures to limit the intake of SSBs have also been consistently observed in Latin America and other regions with improving economies. 1 6 7 The use of social media and TV to target advertising at young people has been identified as being especially high in Latin America as well as in the Middle East. 6 27

High income countries experienced an overall decrease in intakes of SSBs from 2005 to 2018. This might be explained by the increasing scientific and public health attention on the harms of SSBs as well as obesity in these nations during this period, which may have led to increased media and public awareness about the harms to health associated with SSBs, wider formulation, promotion, and availability of non-caloric sweetened beverage substitutes, and, more recently, taxation on SSBs in several of these nations. 32

The potential role of sociodemographic factors on intakes of SSBs was evidenced by the large variations in intake by parental education and urbanicity, particularly in south Asia and sub-Saharan Africa, evidencing the need to account for these factors in the design of policies and interventions. At national level, the correlation between intake of SSBs and sociodemographic development index changed from positive in 1990 to null in 2018 (see supplementary figure 11), suggesting that the association between the two might be reversing. This is similar to what was observed in adults, where the association between intake of SSBs and sociodemographic index changed from null to negative from 1990 to 2018. 13 Our new findings show similar directional trends in national and subnational intakes of SSBs among young people compared with adults, 13 although with generally higher absolute intakes among young people, suggesting nation specific influences on SSB intakes are at least partly shared across the lifespan. Further efforts are needed to incorporate data on other social determinants of health, such as income, access to water, access to healthcare, and race/ethnicity to elucidate additional potential heterogeneities.

Strengths and limitations of this study

Our study has several strengths. We assessed and reported global, regional, and national estimates of SSB intakes jointly stratified by age, sex, parental education, and urbanicity among children and adolescents. Compared with previous estimates, our current model included a larger number of dietary surveys, additional demographic subgroups, and years of assessment. Our updated bayesian hierarchical model better incorporated survey and country level covariates—and addressed heterogeneity and uncertainty about sampling and modeling. 13 33 Intakes were estimated from 450 surveys—mostly representative at national and subnational levels and collected at individual level—and represented 87.1% of the world’s population. Other recent estimates for global intakes of SSBs relied mostly on national per capita estimates of food availability (eg, Food and Agriculture Organization food balance sheets) or sales data. 34 Such estimates can substantially overestimate and underestimate intake compared with individual level data 35 and are less robust for characterizing differences across population subgroups. Our estimates are informed by dietary data at individual level collected from both 24 hour recalls (24% of surveys), considered the ideal method for assessing nutritional intakes of populations), and food frequency questionnaires (61% of surveys), a validated approach for measuring intakes of SSBs 36 (see supplementary table 4).

Overall, our findings should be taken as the best currently available, but nonetheless imperfect, estimates of SSB intakes worldwide. Even with systematic searches for all relevant surveys, we identified limited availability of data for several countries (particularly lower income nations) and time periods. 11 Thus, estimated findings in countries with no primary individual level surveys have higher corresponding uncertainty, informing surveillance needs to assess SSBs nationally and in populations at subnational level. Particularly, we identified limited surveys for south Asia (n=9) and sub-Saharan Africa (n=22), which might have affected the accuracy of our estimates in those regions (see supplementary table 4). This finding emphasizes the critical need for further efforts in data collection and surveillance, particularly in these regions. Categorization by age, parental education, and urbanicity were in groups rather than in more nuanced classifications, balancing the interest in subgroup detail versus the realities required from a global demographic effort of de novo harmonized analyses of individual level dietary data from hundreds of different dietary surveys and corresponding members globally. All types of dietary assessments include some errors, whether from individual level surveys, national food availability estimates, or other sources. Our model’s incorporation of multiple types and sources of dietary assessments provided the best available estimates of global diets, as well as the uncertainty of these estimates. For instance, self-reported data rely on the memory and personal biases of the respondents, thus introducing potential bias from underreporting or overreporting of actual intakes. Furthermore, assumptions relating to standardization of serving sizes, SSB definitions, energy adjustment, and disaggregation at household level, as well as of no interaction between sociodemographic variables in our model, could have impacted our estimates. To minimize these limitations, we used standardized approaches and carefully documented each survey’s methods and standardization processes to maximize transparency.

Our definition and data collection on SSBs excluded 100% fruit juice, sugar sweetened milk, tea, and coffee, given that evidence for health effects of these beverages is inconsistent and does not achieve at least probable evidence for causal harms. 37 38 These differences may relate to additional nutrients, such as calcium, vitamin D, fats, and protein in milk, caffeine and polyphenols in coffee and tea, and fiber and vitamins in 100% juice; or to differences in rapidity of consumption and drinking patterns. Each of these beverages is generally also excluded in policy and surveillance efforts around SSBs. A recent meta-analysis suggested a modest positive association between 100% fruit juices and body mass index in children (0.03 units higher for each daily serving), 39 highlighting the need for more research on the health impacts of these and other beverages in children. Sweetened milks are mostly targeted at children and adolescents, and in some regions are mostly consumed by the youngest children. 40 Given that our SSBs definition excluded sweetened milk, this could partially explain the low intakes observed in our study among the youngest age categories. Future studies should also look into characterizing intakes of sweetened milks, especially in countries such as the US, Australia, Pakistan, and Chile where high intakes among children and adolescents have been reported. 40 41 Home sweetened teas and coffees were not explicitly excluded from the definition of SSBs at the time of data collection, but tea and coffee were collected as separate variables and thus most likely excluded by data owners from the SSBs category. SSBs were defined as beverages with added sugars and ≥209 kJ (50 kcal) per 237g serving, capturing most of the SSBs during the time period of our investigation that typically contained about 418 kJ (100 kcal) per serving. More recently, some SSBs with slightly less than 10 g of added sugar have entered the market. As these are a relatively recent addition, their exclusion is unlikely to meaningfully alter our findings, but future research should focus on more refined surveillance of SSBs to allow flexibility in beverage group definitions—for example, similar to the data harmonized in our collaboration with the FAO/WHO GIFT food consumption data tool. 42 Our current definition leveraging product name and caloric content to identify beverages with added sugar across the world ensures consistency in reporting.

Intakes of SSBs among children and adolescents aged 3-19 years in 185 countries increased by almost a quarter from 1990 to 2018, parallel to the rise in prevalence of obesity among this population globally. Policies and approaches at both a national level and a more targeted level are needed to reduce intakes of SSBs among young people worldwide, highlighting the larger intakes across all education levels in urban and rural areas in Latin America and the Caribbean, and the growing problem of SSBs for public health in sub-Saharan Africa. Our findings are intended to inform current and future policies to curb SSB intakes, adding to the UN’s 2030 Agenda for Sustainable Development for improving health and wellbeing, reducing inequities, responsible consumption, poverty, and access to clean water.

What is already known in this topic

The intake of sugar sweetened beverages (SSBs) has been consistently reported to increase the risk of obesity among children and adolescents

This is especially concerning given that obesity in childhood tends to persist into adulthood, increasing the risk of type 2 diabetes, cardiovascular disease, and premature mortality

Quantification of SSB intakes among children and adolescents is therefore critical, yet recent estimates among children and adolescents are unavailable for most nations

What this study adds

Intakes of SSBs among children and adolescents aged 3-19 years in 185 countries increased by almost a quarter from 1990 to 2018, parallel to the rise in prevalence of obesity among this population globally

Larger intakes were identified across all education levels in urban and rural areas in Latin America and the Caribbean, along with the growing problem of SSBs for public health in sub-Saharan Africa

Intake of SSBs among children and adolescents showed large heterogeneity by region and population characteristics, informing the need for national and targeted policies and approaches to reduce SSB intake among this population worldwide

Ethics statements

Ethical approval.

This investigation was exempt from ethical review board approval because it was based on published deidentified nationally representative data, without personally identifiable information. Individual surveys underwent ethical review board approval required for the applicable local context.

Data availability statement

The individual SSB intake estimate distribution data used in this as means and uncertainty (SE) for each strata in the analysis are available freely online at the Global Dietary Database (Download 2018 Final Estimates: https://www.globaldietarydatabase.org/data-download ). Global Dietary Database data were utilized in agreement with the database guidelines. Absolute and relative differences by strata and by year presented in this analysis were calculated using the 4000 simulations corresponding to the stratum level intake data derived from the bayesian model. The 4000 simulations files can be made available to researchers upon request. Eligibility criteria for such requests include utilization for non-profit purposes only, for appropriate scientific use based on a robust research plan, and by investigators from an academic institution. If you are interested in requesting access to the data, please submit the following documents: (1) proposed research plan (please download and complete the proposed research plan form: https://www.globaldietarydatabase.org/sites/default/files/manual_upload/research-proposal-template.pdf ), (2) data-sharing agreement (please download this form https://www.globaldietarydatabase.org/sites/default/files/manual_upload/tufts-gdd-data-sharing-agreement.docx and complete the highlighted fields, have someone who is authorized to enter your institution into a binding legal agreement with outside institutions sign the document. Note that this agreement does not apply when protected health information or personally identifiable information are shared), (3) email items (1) and (2) [email protected]. Please use the subject line “GDD Code Access Request.” Once all documents have been received, the Global Dietary Database team will be in contact with you within 2-4 weeks about subsequent steps. Data will be shared as .csv or .xlsx files, using a compressed format when appropriate. Population weights for each strata and year were derived from the United Nations Population Division ( https://population.un.org/wpp/ ), supplemented with data for education and urban or rural status from Barro and Lee (doi: 10.3386/w15902 ) and the United Nations ( https://population.un.org/wup/Download/ ).

Acknowledgments

We acknowledge the Tufts University High Performance Computing Cluster ( https://it.tufts.edu/high-performance-computing ), which was used for the research reported in this paper.

Members of the Global Dietary Database (see supplementary text 1 for affiliations)

Antonia Trichopoulou, Murat Bas, Jemal Haidar Ali, Tatyana El-Kour, Anand Krishnan, Puneet Misra, Nahla Hwalla, Chandrashekar Janakiram, Nur Indrawaty Lipoeto, Abdulrahman Musaiger, Farhad Pourfarzi, Iftikhar Alam, Celine Termote, Anjum Memon, Marieke Vossenaar, Paramita Mazumdar, Ingrid Rached, Alicia Rovirosa, María Elisa Zapata, Roya Kelishadi, Tamene Taye Asayehu, Francis Oduor, Julia Boedecker, Lilian Aluso, Emanuele Marconi, Laura D’Addezio, Raffaela Piccinelli, Stefania Sette, Johana Ortiz-Ulloa, J V Meenakshi, Giuseppe Grosso, Anna Waskiewicz, Umber S Khan, Kenneth Brown, Lene Frost Andersen, Anastasia Thanopoulou, Reza Malekzadeh, Neville Calleja, Anca Ioana Nicolau, Cornelia Tudorie, Marga Ocke, Zohreh Etemad, Mohannad Al Nsour, Lydiah M Waswa, Maryam Hashemian, Eha Nurk, Joanne Arsenault, Patricio Lopez-Jaramillo, Abla Mehio Sibai, Albertino Damasceno, Pulani Lanerolle, Carukshi Arambepola, Carla Lopes, Milton Severo, Nuno Lunet, Duarte Torres, Heli Tapanainen, Jaana Lindstrom, Suvi Virtanen, Cristina Palacios, Noel Barengo, Eva Roos, Irmgard Jordan, Charmaine Duante, Corazon Cerdena (retired), Imelda Angeles-Agdeppa (retired), Josie Desnacido, Mario Capanzana (retired), Anoop Misra, Ilse Khouw, Swee Ai Ng, Edna Gamboa Delgado, Mauricio T Caballero, Johanna Otero, Hae-Jeung Lee, Eda Koksal, Idris Guessous, Carl Lachat, Stefaan De Henauw, Ali Reza Rahbar, Alison Tedstone, Annie Ling, Beth Hopping, Catherine Leclercq, Christian Haerpfer, Christine Hotz, Christos Pitsavos, Coline van Oosterhout, Debbie Bradshaw, Dimitrios Trichopoulos, Dorothy Gauci, Dulitha Fernando, Elzbieta Sygnowska, Erkki Vartiainen, Farshad Farzadfar, Gabor Zajkas, Gillian Swan, Guansheng Ma, Hajah Masni Ibrahim, Harri Sinkko, Isabelle Sioen, Jean-Michel Gaspoz, Jillian Odenkirk, Kanitta Bundhamcharoen, Keiu Nelis, Khairul Zarina, Lajos Biro, Lars Johansson, Leanne Riley, Mabel Yap, Manami Inoue, Maria Szabo, Marja-Leena Ovaskainen, Meei-Shyuan Lee, Mei Fen Chan, Melanie Cowan, Mirnalini Kandiah, Ola Kally, Olof Jonsdottir, Pam Palmer, Philippos Orfanos, Renzo Asciak, Robert Templeton, Rokiah Don, Roseyati Yaakub, Rusidah Selamat, Safiah Yusof, Sameer Al-Zenki, Shu-Yi Hung, Sigrid Beer-Borst, Suh Wu, Widjaja Lukito, Wilbur Hadden, Xia Cao, Yi Ma, Yuen Lai, Zaiton Hjdaud, Jennifer Ali, Ron Gravel, Tina Tao, Jacob Lennert Veerman, Mustafa Arici, Demosthenes Panagiotakos, Yanping Li, Gülden Pekcan, Karim Anzid, Anuradha Khadilkar, Veena Ekbote, Irina Kovalskys, Arlappa Nimmathota, Avula Laxmaiah, Balakrishna Nagalla, Brahmam Ginnela, Hemalatha Rajkumar, Indrapal Meshram, Kalpagam Polasa, Licia Iacoviello, Marialaura Bonaccio, Simona Costanzo, Yves Martin-Prevel, Nattinee Jitnarin, Wen-Harn Pan, Yao-Te Hsieh, Sonia Olivares, Gabriela Tejeda, Aida Hadziomeragic, Le Tran Ngoan, Amanda de Moura Souza, Daniel Illescas-Zarate, Inge Huybrechts, Alan de Brauw, Mourad Moursi, Augustin Nawidimbasba Zeba, Maryam Maghroun, Nizal Sarrafzadegan, Noushin Mohammadifard, Lital Keinan-Boker, Rebecca Goldsmith, Tal Shimony, Gudrun B Keding, Shivanand C Mastiholi, Moses Mwangi, Yeri Kombe, Zipporah Bukania, Eman Alissa, Nasser Al-Daghri, Shaun Sabico, Rajesh Jeewon, Martin Gulliford, Tshilenge S Diba, Kyungwon Oh, Sihyun Park, Sungha Yun, Yoonsu Cho, Suad Al-Hooti, Chanthaly Luangphaxay, Daovieng Douangvichit, Latsamy Siengsounthone, Pedro Marques-Vidal, Peter Vollenweider, Constance Rybak, Amy Luke, Nipa Rojroongwasinkul, Noppawan Piaseu, Kalyana Sundram, Jeremy Koster, Donka Baykova, Parvin Abedi, Sandjaja Sandjaja, Fariza Fadzil, Noriklil Bukhary Ismail Bukhary, Pascal Bovet, Yu Chen, Norie Sawada, Shoichiro Tsugane, Lalka Rangelova, Stefka Petrova, Vesselka Duleva, Ward Siamusantu, Lucjan Szponar, Hsing-Yi Chang, Makiko Sekiyama, Khanh Le Nguyen Bao, Sesikeran Boindala, Jalila El Ati, Ivonne Ramirez Silva, Juan Rivera Dommarco, Luz Maria Sanchez-Romero, Simon Barquera, Sonia Rodríguez-Ramírez, Nayu Ikeda, Sahar Zaghloul, Anahita Houshiar-rad, Fatemeh Mohammadi-Nasrabadi, Morteza Abdollahi, Khun-Aik Chuah, Zaleha Abdullah Mahdy, Alison Eldridge, Eric L Ding, Herculina Kruger, Sigrun Henjum, Milton Fabian Suarez-Ortegon, Nawal Al-Hamad, Veronika Janská, Reema Tayyem, Bemnet Tedla, Parvin Mirmiran, Almut Richter, Gert Mensink, Lothar Wieler, Daniel Hoffman, Benoit Salanave, Shashi Chiplonkar, Anne Fernandez, Androniki Naska, Karin De Ridder, Cho-il Kim, Rebecca Kuriyan, Sumathi Swaminathan, Didier Garriguet, Anna Karin Lindroos, Eva Warensjo Lemming, Jessica Petrelius Sipinen, Lotta Moraeus, Saeed Dastgiri, Sirje Vaask, Tilakavati Karupaiah, Fatemeh Vida Zohoori, Alireza Esteghamati, Sina Noshad, Suhad Abumweis, Elizabeth Mwaniki, Simon G Anderson, Justin Chileshe, Sydney Mwanza, Lydia Lera Marques, Samuel Duran Aguero, Mariana Oleas, Luz Posada, Angelica Ochoa, Alan Martin Preston, Khadijah Shamsuddin, Zalilah Mohd Shariff, Hamid Jan Bin Jan Mohamed, Wan Manan, Bee Koon Poh, Pamela Abbott, Mohammadreza Pakseresht, Sangita Sharma, Tor Strand, Ute Alexy, Ute Nöthlings, Indu Waidyatilaka, Ranil Jayawardena, Julie M Long, K Michael Hambidge, Nancy F Krebs, Aminul Haque, Liisa Korkalo, Maijaliisa Erkkola, Riitta Freese, Laila Eleraky, Wolfgang Stuetz, Laufey Steingrimsdottir, Inga Thorsdottir, Ingibjorg Gunnarsdottir, Lluis Serra-Majem, Foong Ming Moy, Corina Aurelia Zugravu, Elizabeth Yakes Jimenez, Linda Adair, Shu Wen Ng, Sheila Skeaff, Regina Fisberg, Carol Henry, Getahun Ersino, Gordon Zello, Alexa Meyer, Ibrahim Elmadfa, Claudette Mitchell, David Balfour, Johanna M Geleijnse, Mark Manary, Laetitia Nikiema, Masoud Mirzaei, Rubina Hakeem

Contributors: LLC, RM, and DM conceived the study. FC, PS, JZ, JRS, JEM, VM, LLC, RM, DM curated the data. FC, LLC, RM, and DM were responsible for the methodology. LLC, JRS, VM, and RM collected the data. FC, PS, JZ, JEM, VM, and LLC developed the software. FC, PS, JZ, VM, LLC, RM, and DM validated the data. LLC, SBC, SB, RM, and DM performed the formal analysis. LLC prepared the original draft of the manuscript. LLC, FC, PS, JZ, JRS, JEM, VM, SBC, SB, RM, and DM wrote, reviewed, and edited the manuscript. LLC generated the original figures and tables; SBC, SB, RM, and DM supervised the analysis, manuscript draft, and generation of figures and tables. LLC, RM, and DM acquired funding. They are the guarantors. The corresponding author attests that all listed authors meet authorship criteria and that no others meeting the criteria have been omitted.

Funding: This research was supported by the Bill & Melinda Gates Foundation (grant OPP1176682 to DM), the American Heart Association (grant 903679 to LLC), and Consejo Nacional de Ciencia y Tecnología in Mexico (to LLC). This material is based upon work supported by the National Science Foundation under grant number 2018149. The computational resource is under active development by Research Technology, Tufts Technology Services. The funding agencies had no role in the design of the study; collection, management, analysis, or interpretation of the data; preparation, review, or approval of the manuscript; or decision to submit for publication.

Competing interests: All authors have completed the ICMJE uniform disclosure form at https://www.icmje.org/disclosure-of-interest/ and declare the following: support from the Bill & Melinda Gates Foundation, American Heart Association, and Consejo Nacional de Ciencia y Tecnología in Mexico. LLC reports research funding from the Bill & Melinda Gates Foundation, the American Heart Association, and Consejo Nacional de Ciencia y Tecnología in Mexico (CONACyT), outside of the submitted work. RM reports research funding from the Bill & Melinda Gates Foundation; and (ended) the US National Institutes of Health, Danone, and Nestle. She also reports consulting from Development Initiatives and as IEG chair for the Global Nutrition Report, outside of the submitted work. FC, JZ, and PS report research funding from the Bill & Melinda Gates Foundation, as well as the National Institutes of Health, outside of the submitted work. VM reports research funding the Canadian Institutes of Health Research and from the American Heart Association, outside the submitted work. JRS reports research funding from the Bill & Melinda Gates Foundation, as well as the National Institutes of Health, Nestlé, Rockefeller Foundation, and Kaiser Permanent Fund at East Bay Community Foundation, outside of the submitted work. SBC reports research funding from the US. National Institutes of Health, US. Department of Agriculture, the Rockefeller Foundation, US. Agency for International Development, and the Kaiser Permanente Fund at East Bay Community Foundation, outside the submitted work. SB reports funding from Bloomberg Philanthropies, CONACyT, United Nations International Children’s Emergency Fund (Unicef), and Fundación Rio Arronte, outside the submitted work. DM reports research funding from the US National Institutes of Health, the Bill & Melinda Gates Foundation, the Rockefeller Foundation, Vail Innovative Global Research, and the Kaiser Permanente Fund at East Bay Community Foundation; personal fees from Acasti Pharma, Barilla, Danone, and Motif FoodWorks; is on the scientific advisory board for Beren Therapeutics, Brightseed, Calibrate, Elysium Health, Filtricine, HumanCo, Instacart, January, Perfect Day, Tiny Organics, and (ended) Day Two, Discern Dx, and Season Health; has stock ownership in Calibrate and HumanCo; and receives chapter royalties from UpToDate, outside the submitted work. The investigators did not receive funding from a pharmaceutical company or other agency to write this report, and declare no other relationships or activities that could appear to have influenced the submitted work.

Transparency: The lead author (LLC) affirms that the manuscript is an honest, accurate, and transparent account of the study being reported; that no important aspects of the study have been omitted; and that any discrepancies from the study as originally planned (and, if relevant, registered) have been explained.

Dissemination to participants and related patient and public communities: Our research will be disseminated to the scientific community in a scientific conference and scientific publications; to the public through our website and social media; and to funders and interested ministries in various nations through presentations and brief reports.

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