develop the research plan

How to write a research plan: Step-by-step guide

Last updated

30 January 2024

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Today’s businesses and institutions rely on data and analytics to inform their product and service decisions. These metrics influence how organizations stay competitive and inspire innovation. However, gathering data and insights requires carefully constructed research, and every research project needs a roadmap. This is where a research plan comes into play.

There’s general research planning; then there’s an official, well-executed research plan. Whatever data-driven research project you’re gearing up for, the research plan will be your framework for execution. The plan should also be detailed and thorough, with a diligent set of criteria to formulate your research efforts. Not including these key elements in your plan can be just as harmful as having no plan at all.

Read this step-by-step guide for writing a detailed research plan that can apply to any project, whether it’s scientific, educational, or business-related.

• What is a research plan?

A research plan is a documented overview of a project in its entirety, from end to end. It details the research efforts, participants, and methods needed, along with any anticipated results. It also outlines the project’s goals and mission, creating layers of steps to achieve those goals within a specified timeline.

Without a research plan, you and your team are flying blind, potentially wasting time and resources to pursue research without structured guidance.

The principal investigator, or PI, is responsible for facilitating the research oversight. They will create the research plan and inform team members and stakeholders of every detail relating to the project. The PI will also use the research plan to inform decision-making throughout the project.

• Why do you need a research plan?

Create a research plan before starting any official research to maximize every effort in pursuing and collecting the research data. Crucially, the plan will model the activities needed at each phase of the research project.

Like any roadmap, a research plan serves as a valuable tool providing direction for those involved in the project—both internally and externally. It will keep you and your immediate team organized and task-focused while also providing necessary definitions and timelines so you can execute your project initiatives with full understanding and transparency.

External stakeholders appreciate a working research plan because it’s a great communication tool, documenting progress and changing dynamics as they arise. Any participants of your planned research sessions will be informed about the purpose of your study, while the exercises will be based on the key messaging outlined in the official plan.

Here are some of the benefits of creating a research plan document for every project:

Project organization and structure

Well-informed participants

All stakeholders and teams align in support of the project

Clearly defined project definitions and purposes

Distractions are eliminated, prioritizing task focus

Timely management of individual task schedules and roles

Costly reworks are avoided

• What should a research plan include?

The different aspects of your research plan will depend on the nature of the project. However, most official research plan documents will include the core elements below. Each aims to define the problem statement, devising an official plan for seeking a solution.

Specific project goals and individual objectives

Ideal strategies or methods for reaching those goals

Required resources

Descriptions of the target audience, sample sizes, demographics, and scopes

Key performance indicators (KPIs)

Project background

Research and testing support

Preliminary studies and progress reporting mechanisms

Cost estimates and change order processes

Depending on the research project’s size and scope, your research plan could be brief—perhaps only a few pages of documented plans. Alternatively, it could be a fully comprehensive report. Either way, it’s an essential first step in dictating your project’s facilitation in the most efficient and effective way.

• How to write a research plan for your project

When you start writing your research plan, aim to be detailed about each step, requirement, and idea. The more time you spend curating your research plan, the more precise your research execution efforts will be.

Account for every potential scenario, and be sure to address each and every aspect of the research.

Consider following this flow to develop a great research plan for your project:

Define your project’s purpose

Start by defining your project’s purpose. Identify what your project aims to accomplish and what you are researching. Remember to use clear language.

Thinking about the project’s purpose will help you set realistic goals and inform how you divide tasks and assign responsibilities. These individual tasks will be your stepping stones to reach your overarching goal.

Additionally, you’ll want to identify the specific problem, the usability metrics needed, and the intended solutions.

Know the following three things about your project’s purpose before you outline anything else:

What you’re doing

Why you’re doing it

What you expect from it

Identify individual objectives

With your overarching project objectives in place, you can identify any individual goals or steps needed to reach those objectives. Break them down into phases or steps. You can work backward from the project goal and identify every process required to facilitate it.

Be mindful to identify each unique task so that you can assign responsibilities to various team members. At this point in your research plan development, you’ll also want to assign priority to those smaller, more manageable steps and phases that require more immediate or dedicated attention.

Select research methods

Research methods might include any of the following:

User interviews: this is a qualitative research method where researchers engage with participants in one-on-one or group conversations. The aim is to gather insights into their experiences, preferences, and opinions to uncover patterns, trends, and data.

Field studies: this approach allows for a contextual understanding of behaviors, interactions, and processes in real-world settings. It involves the researcher immersing themselves in the field, conducting observations, interviews, or experiments to gather in-depth insights.

Card sorting: participants categorize information by sorting content cards into groups based on their perceived similarities. You might use this process to gain insights into participants’ mental models and preferences when navigating or organizing information on websites, apps, or other systems.

Focus groups: use organized discussions among select groups of participants to provide relevant views and experiences about a particular topic.

Diary studies: ask participants to record their experiences, thoughts, and activities in a diary over a specified period. This method provides a deeper understanding of user experiences, uncovers patterns, and identifies areas for improvement.

Five-second testing: participants are shown a design, such as a web page or interface, for just five seconds. They then answer questions about their initial impressions and recall, allowing you to evaluate the design’s effectiveness.

Surveys: get feedback from participant groups with structured surveys. You can use online forms, telephone interviews, or paper questionnaires to reveal trends, patterns, and correlations.

Tree testing: tree testing involves researching web assets through the lens of findability and navigability. Participants are given a textual representation of the site’s hierarchy (the “tree”) and asked to locate specific information or complete tasks by selecting paths.

Usability testing: ask participants to interact with a product, website, or application to evaluate its ease of use. This method enables you to uncover areas for improvement in digital key feature functionality by observing participants using the product.

Live website testing: research and collect analytics that outlines the design, usability, and performance efficiencies of a website in real time.

There are no limits to the number of research methods you could use within your project. Just make sure your research methods help you determine the following:

What do you plan to do with the research findings?

What decisions will this research inform? How can your stakeholders leverage the research data and results?

Recruit participants and allocate tasks

Next, identify the participants needed to complete the research and the resources required to complete the tasks. Different people will be proficient at different tasks, and having a task allocation plan will allow everything to run smoothly.

Prepare a thorough project summary

Every well-designed research plan will feature a project summary. This official summary will guide your research alongside its communications or messaging. You’ll use the summary while recruiting participants and during stakeholder meetings. It can also be useful when conducting field studies.

Ensure this summary includes all the elements of your research project. Separate the steps into an easily explainable piece of text that includes the following:

An introduction: the message you’ll deliver to participants about the interview, pre-planned questioning, and testing tasks.

Interview questions: prepare questions you intend to ask participants as part of your research study, guiding the sessions from start to finish.

An exit message: draft messaging your teams will use to conclude testing or survey sessions. These should include the next steps and express gratitude for the participant’s time.

Create a realistic timeline

While your project might already have a deadline or a results timeline in place, you’ll need to consider the time needed to execute it effectively.

Realistically outline the time needed to properly execute each supporting phase of research and implementation. And, as you evaluate the necessary schedules, be sure to include additional time for achieving each milestone in case any changes or unexpected delays arise.

For this part of your research plan, you might find it helpful to create visuals to ensure your research team and stakeholders fully understand the information.

Determine how to present your results

A research plan must also describe how you intend to present your results. Depending on the nature of your project and its goals, you might dedicate one team member (the PI) or assume responsibility for communicating the findings yourself.

In this part of the research plan, you’ll articulate how you’ll share the results. Detail any materials you’ll use, such as:

Presentations and slides

A project report booklet

A project findings pamphlet

Documents with key takeaways and statistics

Graphic visuals to support your findings

• Format your research plan

As you create your research plan, you can enjoy a little creative freedom. A plan can assume many forms, so format it how you see fit. Determine the best layout based on your specific project, intended communications, and the preferences of your teams and stakeholders.

Find format inspiration among the following layouts:

Written outlines

Narrative storytelling

Visual mapping

Graphic timelines

Remember, the research plan format you choose will be subject to change and adaptation as your research and findings unfold. However, your final format should ideally outline questions, problems, opportunities, and expectations.

• Research plan example

Imagine you’ve been tasked with finding out how to get more customers to order takeout from an online food delivery platform. The goal is to improve satisfaction and retain existing customers. You set out to discover why more people aren’t ordering and what it is they do want to order or experience. 

You identify the need for a research project that helps you understand what drives customer loyalty. But before you jump in and start calling past customers, you need to develop a research plan—the roadmap that provides focus, clarity, and realistic details to the project.

Here’s an example outline of a research plan you might put together:

Project title

Project members involved in the research plan

Purpose of the project (provide a summary of the research plan’s intent)

Objective 1 (provide a short description for each objective)

Objective 2

Objective 3

Proposed timeline

Audience (detail the group you want to research, such as customers or non-customers)

Budget (how much you think it might cost to do the research)

Risk factors/contingencies (any potential risk factors that may impact the project’s success)

Remember, your research plan doesn’t have to reinvent the wheel—it just needs to fit your project’s unique needs and aims.

Customizing a research plan template

Some companies offer research plan templates to help get you started. However, it may make more sense to develop your own customized plan template. Be sure to include the core elements of a great research plan with your template layout, including the following:

Introductions to participants and stakeholders

Background problems and needs statement

Significance, ethics, and purpose

Research methods, questions, and designs

Preliminary beliefs and expectations

Implications and intended outcomes

Realistic timelines for each phase

Conclusion and presentations

How many pages should a research plan be?

Generally, a research plan can vary in length between 500 to 1,500 words. This is roughly three pages of content. More substantial projects will be 2,000 to 3,500 words, taking up four to seven pages of planning documents.

What is the difference between a research plan and a research proposal?

A research plan is a roadmap to success for research teams. A research proposal, on the other hand, is a dissertation aimed at convincing or earning the support of others. Both are relevant in creating a guide to follow to complete a project goal.

What are the seven steps to developing a research plan?

While each research project is different, it’s best to follow these seven general steps to create your research plan:

Defining the problem

Identifying goals

Choosing research methods

Recruiting participants

Preparing the brief or summary

Establishing task timelines

Defining how you will present the findings

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FLEET LIBRARY | Research Guides

Rhode island school of design, create a research plan: research plan.

• Research Plan
• Literature Review
• Ulrich's Global Serials Directory
• Related Guides

A research plan is a framework that shows how you intend to approach your topic. The plan can take many forms: a written outline, a narrative, a visual/concept map or timeline. It's a document that will change and develop as you conduct your research. Components of a research plan

1. Research conceptualization - introduces your research question

2. Research methodology - describes your approach to the research question

3. Literature review, critical evaluation and synthesis - systematic approach to locating,

    reviewing and evaluating the work (text, exhibitions, critiques, etc) relating to your topic

4. Communication - geared toward an intended audience, shows evidence of your inquiry

Research conceptualization refers to the ability to identify specific research questions, problems or opportunities that are worthy of inquiry. Research conceptualization also includes the skills and discipline that go beyond the initial moment of conception, and which enable the researcher to formulate and develop an idea into something researchable ( Newbury 373).

Research methodology refers to the knowledge and skills required to select and apply appropriate methods to carry through the research project ( Newbury 374) .

Method describes a single mode of proceeding; methodology describes the overall process.

Method - a way of doing anything especially according to a defined and regular plan; a mode of procedure in any activity

Methodology - the study of the direction and implications of empirical research, or the sustainability of techniques employed in it; a method or body of methods used in a particular field of study or activity *Browse a list of research methodology books  or this guide on Art & Design Research

Literature Review, critical evaluation & synthesis

A literature review is a systematic approach to locating, reviewing, and evaluating the published work and work in progress of scholars, researchers, and practitioners on a given topic.

Critical evaluation and synthesis is the ability to handle (or process) existing sources. It includes knowledge of the sources of literature and contextual research field within which the person is working ( Newbury 373).

Literature reviews are done for many reasons and situations. Here's a short list:

Sources to consult while conducting a literature review:

Online catalogs of local, regional, national, and special libraries

meta-catalogs such as worldcat , Art Discovery Group , europeana , world digital library or RIBA

subject-specific online article databases (such as the Avery Index, JSTOR, Project Muse)

digital institutional repositories such as Digital Commons @RISD ; see Registry of Open Access Repositories

Open Access Resources recommended by RISD Research LIbrarians

works cited in scholarly books and articles

print bibliographies

the internet-locate major nonprofit, research institutes, museum, university, and government websites

search google scholar to locate grey literature & referenced citations

trade and scholarly publishers

fellow scholars and peers

Communication                              

Communication refers to the ability to

• structure a coherent line of inquiry
• communicate your findings to your intended audience
• make skilled use of visual material to express ideas for presentations, writing, and the creation of exhibitions ( Newbury 374)

Research plan framework: Newbury, Darren. "Research Training in the Creative Arts and Design." The Routledge Companion to Research in the Arts . Ed. Michael Biggs and Henrik Karlsson. New York: Routledge, 2010. 368-87. Print.

About the author

Except where otherwise noted, this guide is subject to a Creative Commons Attribution license

source document

  Routledge Companion to Research in the Arts

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• Last Updated: Sep 20, 2023 5:05 PM
• URL: https://risd.libguides.com/researchplan

How to Write a Research Plan

Your answers to these questions form your research strategy. Most likely, you’ve addressed some of these issues in your proposal. But you are further along now, and you can flesh out your answers. With your instructor’s help, you should make some basic decisions about what information to collect and what methods to use in analyzing it. You will probably develop this research strategy gradually and, if you are like the rest of us, you will make some changes, large and small, along the way. Still, it is useful to devise a general plan early, even though you will modify it as you progress. Develop a tentative research plan early in the project. Write it down and share it with your instructor. The more concrete and detailed the plan, the better the feedback you’ll get.

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This research plan does not need to be elaborate or time-consuming. Like your working bibliography, it is provisional, a work in progress. Still, it is helpful to write it down since it will clarify a number of issues for you and your professor.

Writing a Research Plan

To write out your research plan, begin by restating your main thesis question and any secondary ones. They may have changed a bit since your original proposal. If these questions bear on a particular theory or analytic perspective, state that briefly. In the social sciences, for example, two or three prominent theories might offer different predictions about your subject. If so, then you might want to explore these differences in your thesis and explain why some theories work better (or worse) in this particular case. Likewise, in the humanities, you might consider how different theories offer different insights and contrasting perspectives on the particular novel or film you are studying. If you intend to explore these differences, state your goal clearly in the research plan so you can discuss it later with your professor. Next, turn to the heart of this exercise, your proposed research strategy. Try to explain your basic approach, the materials you will use, and your method of analysis. You may not know all of these elements yet, but do the best you can. Briefly say how and why you think they will help answer your main questions.

Be concrete. What data will you collect? Which poems will you read? Which paintings will you compare? Which historical cases will you examine? If you plan to use case studies, say whether you have already selected them or settled on the criteria for choosing them. Have you decided which documents and secondary sources are most important? Do you have easy access to the data, documents, or other materials you need? Are they reliable sources—the best information you can get on the subject? Give the answers if you have them, or say plainly that you don’t know so your instructor can help. You should also discuss whether your research requires any special skills and, of course, whether you have them. You can—and should—tailor your work to fit your skills.

If you expect to challenge other approaches—an important element of some theses—which ones will you take on, and why? This last point can be put another way: Your project will be informed by some theoretical traditions and research perspectives and not others. Your research will be stronger if you clarify your own perspective and show how it usefully informs your work. Later, you may also enter the jousts and explain why your approach is superior to the alternatives, in this particular study and perhaps more generally. Your research plan should state these issues clearly so you can discuss them candidly and think them through.

If you plan to conduct tests, experiments, or surveys, discuss them, too. They are common research tools in many fields, from psychology and education to public health. Now is the time to spell out the details—the ones you have nailed down tight and the ones that are still rattling around, unresolved. It’s important to bring up the right questions here, even if you don’t have all the answers yet. Raising these questions directly is the best way to get the answers. What kinds of tests or experiments do you plan, and how will you measure the results? How will you recruit your test subjects, and how many will be included in your sample? What test instruments or observational techniques will you use? How reliable and valid are they? Your instructor can be a great source of feedback here.

Your research plan should say:

• What materials you will use
• What methods you will use to investigate them
• Whether your work follow a particular approach or theory

There are also ethical issues to consider. They crop up in any research involving humans or animals. You need to think carefully about them, underscore potential problems, and discuss them with your professor. You also need to clear this research in advance with the appropriate authorities at your school, such as the committee that reviews proposals for research on human subjects.

Not all these issues and questions will bear on your particular project. But some do, and you should wrestle with them as you begin research. Even if your answers are tentative, you will still gain from writing them down and sharing them with your instructor. That’s how you will get the most comprehensive advice, the most pointed recommendations. If some of these issues puzzle you, or if you have already encountered some obstacles, share them, too, so you can either resolve the problems or find ways to work around them.

Remember, your research plan is simply a working product, designed to guide your ongoing inquiry. It’s not a final paper for a grade; it’s a step toward your final paper. Your goal in sketching it out now is to understand these issues better and get feedback from faculty early in the project. It may be a pain to write it out, but it’s a minor sting compared to major surgery later.

Checklist for Conducting Research

• Familiarize yourself with major questions and debates about your topic.
• Is appropriate to your topic;
• Addresses the main questions you propose in your thesis;
• Relies on materials to which you have access;
• Can be accomplished within the time available;
• Uses skills you have or can acquire.
• Divide your topic into smaller projects and do research on each in turn.
• Write informally as you do research; do not postpone this prewriting until all your research is complete.

Back to How To Write A Research Paper .

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Writing the Research Plan for Your Academic Job Application

By Jason G. Gillmore, Ph.D., Associate Professor, Department of Chemistry, Hope College, Holland, MI

A research plan is more than a to-do list for this week in lab, or a manila folder full of ideas for maybe someday—at least if you are thinking of a tenure-track academic career in chemistry at virtually any bachelor’s or higher degree–granting institution in the country. A perusal of the academic job ads in C&EN every August–October will quickly reveal that most schools expect a cover letter (whether they say so or not), a CV, a teaching statement, and a research plan, along with reference letters and transcripts. So what is this document supposed to be, and why worry about it now when those job ads are still months away?

What Is a Research Plan?

A research plan is a thoughtful, compelling, well-written document that outlines your exciting, unique research ideas that you and your students will pursue over the next half decade or so to advance knowledge in your discipline and earn you grants, papers, speaking invitations, tenure, promotion, and a national reputation. It must be a document that people at the department you hope to join will (a) read, and (b) be suitably excited about to invite you for an interview.

That much I knew when I was asked to write this article. More specifics I only really knew for my own institution, Hope College (a research intensive undergraduate liberal arts college with no graduate program), and even there you might get a dozen nuanced opinions among my dozen colleagues. So I polled a broad cross-section of my network, spanning chemical subdisciplines at institutions ranging from small, teaching-centered liberal arts colleges to our nation’s elite research programs, such as Scripps and MIT. The responses certainly varied, but they did center on a few main themes, or illustrate a trend across institution types. In this article I’ll share those commonalities, while also encouraging you to be unafraid to contact a search committee chair with a few specific questions, especially for the institutions you are particularly excited about and feel might be the best fit for you.

How Many Projects Should You Have?

While more senior advisors and members of search committees may have gotten their jobs with a single research project, conventional wisdom these days is that you need two to three distinct but related projects. How closely related to one another they should be is a matter of debate, but almost everyone I asked felt that there should be some unifying technique, problem or theme to them. However, the projects should be sufficiently disparate that a failure of one key idea, strategy, or technique will not hamstring your other projects.

For this reason, many applicants wisely choose to identify:

• One project that is a safe bet—doable, fundable, publishable, good but not earthshaking science.
• A second project that is pie-in-the-sky with high risks and rewards.
• A third project that fits somewhere in the middle.

Having more than three projects is probably unrealistic. But even the safest project must be worth doing, and even the riskiest must appear to have a reasonable chance of working.

How Closely Connected Should Your Research Be with Your Past?

Your proposed research must do more than extend what you have already done. In most subdisciplines, you must be sufficiently removed from your postdoctoral or graduate work that you will not be lambasted for clinging to an advisor’s apron strings. After all, if it is such a good idea in their immediate area of interest, why aren’t they pursuing it?!?

But you also must be able to make the case for why your training makes this a good problem for you to study—how you bring a unique skill set as well as unique ideas to this research. The five years you will have to do, fund, and publish the research before crafting your tenure package will go by too fast for you to break into something entirely outside your realm of expertise.

Biochemistry is a partial exception to this advice—in this subdiscipline it is quite common to bring a project with you from a postdoc (or more rarely your Ph.D.) to start your independent career. However, you should still articulate your original contribution to, and unique angle on the work. It is also wise to be sure your advisor tells that same story in his or her letter and articulates support of your pursuing this research in your career as a genuinely independent scientist (and not merely someone who could be perceived as his or her latest "flunky" of a collaborator.)

Should You Discuss Potential Collaborators?

Regarding collaboration, tread lightly as a young scientist seeking or starting an independent career. Being someone with whom others can collaborate in the future is great. Relying on collaborators for the success of your projects is unwise. Be cautious about proposing to continue collaborations you already have (especially with past advisors) and about starting new ones where you might not be perceived as the lead PI. Also beware of presuming you can help advance the research of someone already in a department. Are they still there? Are they still doing that research? Do they actually want that help—or will they feel like you are criticizing or condescending to them, trying to scoop them, or seeking to ride their coattails? Some places will view collaboration very favorably, but the safest route is to cautiously float such ideas during interviews while presenting research plans that are exciting and achievable on your own.

How Do You Show Your Fit?

Some faculty advise tailoring every application packet document to every institution to which you apply, while others suggest tweaking only the cover letter. Certainly the cover letter is the document most suited to introducing yourself and making the case for how you are the perfect fit for the advertised position at that institution. So save your greatest degree of tailoring for your cover letter. It is nice if you can tweak a few sentences of other documents to highlight your fit to a specific school, so long as it is not contrived.

Now, if you are applying to widely different types of institutions, a few different sets of documents will certainly be necessary. The research plan that you target in the middle to get you a job at both Harvard University and Hope College will not get you an interview at either! There are different realities of resources, scope, scale, and timeline. Not that my colleagues and I at Hope cannot tackle research that is just as exciting as Harvard’s. However, we need to have enough of a niche or a unique angle both to endure the longer timeframe necessitated by smaller groups of undergraduate researchers and to ensure that we still stand out. Furthermore, we generally need to be able to do it with more limited resources. If you do not demonstrate that understanding, you will be dismissed out of hand. But at many large Ph.D. programs, any consideration of "niche" can be inferred as a lack of confidence or ambition.

Also, be aware that department Web pages (especially those several pages deep in the site, or maintained by individual faculty) can be woefully out-of-date. If something you are planning to say is contingent on something you read on their Web site, find a way to confirm it!

While the research plan is not the place to articulate start-up needs, you should consider instrumentation and other resources that will be necessary to get started, and where you will go for funding or resources down the road. This will come up in interviews, and hopefully you will eventually need these details to negotiate a start-up package.

Who Is Your Audience?

Your research plan should show the big picture clearly and excite a broad audience of chemists across your sub-discipline. At many educational institutions, everyone in the department will read the proposal critically, at least if you make the short list to interview. Even at departments that leave it all to a committee of the subdiscipline, subdisciplines can be broad and might even still have an outside member on the committee. And the committee needs to justify their actions to the department at large, as well as to deans, provosts, and others. So having at least the introduction and executive summaries of your projects comprehensible and compelling to those outside your discipline is highly advantageous.

Good science, written well, makes a good research plan. As you craft and refine your research plan, keep the following strategies, as well as your audience in mind:

• Begin the document with an abstract or executive summary that engages a broad audience and shows synergies among your projects. This should be one page or less, and you should probably write it last. This page is something you could manageably consider tailoring to each institution.
• Provide sufficient details and references to convince the experts you know your stuff and actually have a plan for what your group will be doing in the lab. Give details of first and key experiments, and backup plans or fallback positions for their riskiest aspects.
• Hook your readers with your own ideas fairly early in the document, then strike a balance between your own new ideas and the necessary well referenced background, precedents, and justification throughout. Propose a reasonable tentative timeline, if you can do so in no more than a paragraph or two, which shows how you envision spacing out the experiments within and among your projects. This may fit well into your executive summary
• Show how you will involve students (whether undergraduates, graduate students, an eventual postdoc or two, possibly even high schoolers if the school has that sort of outreach, depending on the institutions to which you are applying) and divide the projects among students.
• Highlight how your work will contribute to the education of these students. While this is especially important at schools with greater teaching missions, it can help set you apart even at research intensive institutions. After all, we all have to demonstrate “broader impacts” to our funding agencies!
• Include where you will pursue funding, as well as publication, if you can smoothly work it in. This is especially true if there is doubt about how you plan to target or "market" your research. Otherwise, it is appropriate to hold off until the interview to discuss this strategy.

So, How Long Should Your Research Plan Be?

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Here is where the answers diverged the most and without a unifying trend across institutions. Bottom line, you need space to make your case, but even more, you need people to read what you write.

A single page abstract or executive summary of all your projects together provides you an opportunity to make the case for unifying themes yet distinct projects. It may also provide space to articulate a timeline. Indeed, many readers will only read this single page in each application, at least until winnowing down to a more manageable list of potential candidates. At the most elite institutions, there may be literally hundreds of applicants, scores of them entirely well-suited to the job.

While three to five pages per proposal was a common response (single spaced, in 11-point Arial or 12-point Times with one inch margins), including references (which should be accurate, appropriate, and current!), some of my busiest colleagues have said they will not read more than about three pages total. Only a few actually indicated they would read up to 12-15 pages for three projects. In my opinion, ten pages total for your research plans should be a fairly firm upper limit unless you are specifically told otherwise by a search committee, and then only if you have two to three distinct proposals.

Why Start Now?

Hopefully, this question has answered itself already! Your research plan needs to be a well thought out document that is an integrated part of applications tailored to each institution to which you apply. It must represent mature ideas that you have had time to refine through multiple revisions and a great deal of critical review from everyone you can get to read them. Moreover, you may need a few different sets of these, especially if you will be applying to a broad range of institutions. So add “write research plans” to this week’s to do list (and every week’s for the next few months) and start writing up the ideas in that manila folder into some genuine research plans. See which ones survive the process and rise to the top and you should be well prepared when the job ads begin to appear in C&EN in August!

Jason G. Gillmore , Ph.D., is an Associate Professor of Chemistry at Hope College in Holland, MI. A native of New Jersey, he earned his B.S. (’96) and M.S. (’98) degrees in chemistry from Virginia Tech, and his Ph.D. (’03) in organic chemistry from the University of Rochester. After a short postdoctoral traineeship at Vanderbilt University, he joined the faculty at Hope in 2004. He has received the Dreyfus Start-up Award, Research Corporation Cottrell College Science Award, and NSF CAREER Award, and is currently on sabbatical as a Visiting Research Professor at Arizona State University. Professor Gillmore is the organizer of the Biennial Midwest Postdoc to PUI Professor (P3) Workshop co-sponsored by ACS, and a frequent panelist at the annual ACS Postdoc to Faculty (P2F) Workshops.

Other tips to help engage (or at least not turn off) your readers include:

• Avoid two-column formats.
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• Use good figures that are readable and broadly understandable!
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What is UX Research: The Ultimate Guide for UX Researchers

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How to create a UX research plan (examples, tactics, and templates)

Conducting UX research without a plan is like moving to another country without knowing the language—confusing and exhausting.

To avoid wasting time and resources, it’s crucial to set achievable research goals and work on developing a research plan that’s clear, comprehensive, and aligned with your overarching business goals and research strategy.

A good UX research plan sets out the parameters for your research, and guides how you’ll gather insights to inform product development. In this chapter, we share a step-by-step guide to creating a research plan, including templates and tactics for you to try. You’ll also find expert tips from Paige Bennett, Senior User Research Manager at Affirm, and Sinéad Davis Cochrane, Research Manager at Workday.

What is a UX research plan?

A UX research plan—not to be confused with a UX research strategy —is a plan to guide individual user experience (UX) research projects.

It's a living document that includes a detailed explanation of tactics, methods, timeline, scope, and task owners. It should be co-created and shared with key stakeholders, so everyone is familiar with the project plan, and product teams can meet strategic goals.

While the UX research plan should be based on strategy, it’s not the same thing. A strategy is a high-level document that contains goals, budget, vision, and expectations. Meanwhile, a plan is a detailed document explaining how the team will achieve those strategic goals. In short, a strategy is a guide, but a plan is what drives action.

What are the benefits of using a UX research plan?

Conducting research without goals and parameters is aimless. A UX research plan is beneficial for your product, user, and business—by building a plan for conducting UX research, you can:

Streamline processes and add structure

Work toward specific, measurable goals, align and engage stakeholders, save time by avoiding rework.

The structure of a research plan allows you to set timelines, expectations, and task owners, so everyone on your team is aligned and empowered to make decisions. Since there’s no second guessing what to do next or which methods to use, you’ll find your process becomes simpler and more efficient. It’s also worth standardizing your process to turn your plan into a template that you can reuse for future projects.

When you set research goals based on strategy, you’ll find it easier to track your team’s progress and keep the project in scope, on time, and on budget. With a solid, strategy-based UX research plan you can also track metrics at different stages of the project and adjust future tactics to get better research findings.

“It’s important to make sure your stakeholders are on the same page with regards to scope, timeline, and goals before you start," explains Paige Bennett, Senior User Research Manager at Affirm. That's because, when stakeholders are aligned, they're much more likely to sign off on product changes that result from UX research.

A written plan is a collaborative way to involve stakeholders in your research and turn them into active participants rather than passive observers. As they get involved, they'll make useful contributions and get a better understanding of your goals.

A UX research plan helps you save time and money quite simply because it’s easier and less expensive to make design or prototype changes than it is to fix usability issues once the product is coded or fully launched. Additionally, having a plan gives your team direction, which means they won’t be conducting research and talking to users without motive, and you’ll be making better use of your resources. What’s more, when everyone is aligned on goals, they’re empowered to make informed decisions instead of waiting for their managers’ approval.

What should a UX research plan include?

In French cuisine, the concept of mise en place—putting in place—allows chefs to plan and set up their workspace with all the required ingredients before cooking. Think of your research plan like this—laying out the key steps you need to go through during research, to help you run a successful and more efficient study.

Here’s what you should include in a UX research plan:

• A brief reminder of the strategy and goals
• An outline of the research objectives
• The purpose of the plan and studies
• A short description of the target audience, sample size, scope, and demographics
• A detailed list of expectations including deliverables, timings, and type of results
• An overview of the test methods and a short explanation of why you chose them
• The test set up or guidelines to outline everything that needs to happen before the study: scenarios, screening questions, and duration of pilot tests
• Your test scripts, questions to ask, or samples to follow
• When and how you’ll present the results
• Cost estimations or requests to go over budget

Collect all UX research findings in one place

Use Maze to run quantitative and qualitative research, influence product design, and shape user-centered products.

How to create a UX research plan

Now we’ve talked through why you need a research plan, let’s get into the how. Here’s a short step-by-step guide on how to write a research plan that will drive results.

• Define the problem statement
• Get stakeholders’ buy-in
• Identify your objectives
• Choose the right research method
• Recruit participants
• Prepare the brief
• Establish the timeline
• Decide how you’ll present your findings

1. Define the problem statement

One of the most important purposes of a research plan is to identify what you’re trying to achieve with the research, and clarify the problem statement. For Paige Bennett , Senior User Research Manager at Affirm, this process begins by sitting together with stakeholders and looking at the problem space.

“We do an exercise called FOG, which stands for ‘Fact, Observation, Guess’, to identify large gaps in knowledge,” says Paige. “Evaluating what you know illuminates questions you still have, which then serves as the foundation of the UX research project.”

You can use different techniques to identify the problem statement, such as stakeholder interviews, team sessions, or analysis of customer feedback. The problem statement should explain what the project is about—helping to define the research scope with clear deliverables and objectives.

2. Identify your objectives

Research objectives need to align with the UX strategy and broader business goals, but you also need to define specific targets to achieve within the research itself—whether that’s understanding a specific problem, or measuring usability metrics . So, before you get into a room with your users and customers, “Think about the research objectives: what you’re doing, why you’re doing it, and what you expect from the UX research process ,” explains Sinéad Davis Cochrane , Research Manager at Workday.

Examples of research objectives might be:

• Learn at what times users interact with your product
• Understand why users return (or not) to your website/app
• Discover what competitor products your users are using
• Uncover any pain points or challenges users find when navigating with your product
• Gauge user interest in and prioritize potential new features

A valuable purpose of setting objectives is ensuring your project doesn't suffer from scope creep. This can happen when stakeholders see your research as an opportunity to ask any question. As a researcher , Sinéad believes your objectives can guide the type of research questions you ask and give your research more focus. Otherwise, anything and everything becomes a research question—which will confuse your findings and be overwhelming to manage.

Sinéad shares a list of questions you should ask yourself and the research team to help set objectives:

• What are you going to do with this information?
• What decisions is it going to inform?
• How are you going to leverage these insights?

Another useful exercise to help identify research objectives is by asking questions that help you get to the core of a problem. Ask these types of questions before starting the planning process:

• Who are the users you’re designing this for?
• What problems and needs do they have?
• What are the pain points of using the product?
• Why are they not using a product like yours?

3. Get stakeholders buy-in

It’s good practice to involve stakeholders at early stages of plan creation to get everyone on board. Sharing your UX research plan with relevant stakeholders means you can gather context, adjust based on comments, and gauge what’s truly important to them. When you present the research plan to key stakeholders, remember to align on the scope of research, and how and when you’ll get back to them with results.

Stakeholders usually have a unique vision of the product, and it’s crucial that you’re able to capture it early on—this doesn’t mean saying yes to everything, but listening to their ideas and having a conversation. Seeing the UX research plan as a living document makes it much easier to edit based on team comments. Plus, the more you listen to other ideas, the easier it will be to evangelize research and get stakeholders to see the value behind it.

I expect my stakeholders to be participants, and I outline how I expect that to happen. That includes observing interviews, participating in synthesis exercises, or co-presenting research recommendations.

Paige Bennett , Senior User Research Manager at Affirm

4. Choose the right research method

Choose between the different UX research methods to capture different insights from users.

To define the research methods you’ll use, circle back to your research objectives, what stage of the product development process you’re in, and the constraints, resources, and timeline of the project. It’s good research practice to use a mix of different methods to get a more complete perspective of users’ struggles.

For example, if you’re at the start of the design process, a generative research method such as user interviews or field studies will help you generate new insights about the target audience. Or, if you need to evaluate how a new design performs with users, you can run usability tests to get actionable feedback.

It’s also good practice to mix methods that drive quantitative and qualitative results so you can understand context, and catch the user sentiment behind a metric. For instance, if during a remote usability test, you hear a user go ‘Ugh! Where’s the sign up button?’ you’ll get a broader perspective than if you were just reviewing the number of clicks on the same test task.

Examples of UX research methods to consider include:

• Five-second testing
• User interviews
• Field studies
• Card sorting
• Tree testing
• Focus groups
• Usability testing
• Diary studies
• Live website testing

Check out our top UX research templates . Use them as a shortcut to get started on your research.

5. Determine how to recruit participants

Every research plan should include information about the participants you need for your study, and how you’ll recruit them. To identify your perfect candidate, revisit your goals and the questions that need answering, then build a target user persona including key demographics and use cases. Consider the resources you have available already, by asking yourself:

• Do you have a user base you can tap into to collect data?
• Do you need to hire external participants?
• What’s your budget to recruit users?
• How many users do you need to interact with?

When selecting participants, make sure they represent all your target personas. If different types of people will be using a certain product, you need to make sure that the people you research represent these personas. This means not just being inclusive in your recruitment, but considering secondary personas—the people who may not be your target user base, but interact with your product incidentally.

You should also consider recruiting research participants to test the product on different devices. Paige explains: “If prior research has shown that behavior differs greatly between those who use a product on their phone versus their tablet, I need to better understand those differences—so I’m going to make sure my participants include people who have used a product on both devices.”

During this step, make sure to include information about the required number of participants, how you’ll get them to participate, and how much time you need per user. The main ways to recruit testers are:

• Using an online participant recruitment tool like Maze’s panel
• Putting out physical or digital adverts in spaces that are relevant to your product and user
• Reaching out to existing users
• Using participants from previous research
• Recruiting directly from your website or app with a tool like In-Product Prompts

5.1. Determine how you’ll pay them

You should always reward your test participants for their time and insights. Not only because it’s the right thing to do, but also because if they have an incentive they’re more likely to give you complete and insightful answers. If you’re hosting the studies in person, you’ll also need to cover your participants' travel expenses and secure a research space. Running remote moderated or unmoderated research is often considered to be less expensive and faster to complete.

If you’re testing an international audience, remember to check your proposed payment system works worldwide—this might be an Amazon gift card or prepaid Visa cards.

6. Prepare the brief

The next component of a research plan is to create a brief or guide for your research sessions. The kind of brief you need will vary depending on your research method, but for moderated methods like user interviews, field studies, or focus groups, you’ll need a detailed guide and script. The brief is there to remind you which questions to ask and keep the sessions on track.

Your script should cover:

• Introduction: A short message you’ll say to participants before the session begins. This works as a starting point for conversations and helps set the tone for the meeting. If you’re testing without a moderator, you should also include an introductory message to explain what the research is about and the type of answers they should give (in terms of length and specificity).
• Interview questions: Include your list of questions you’ll ask participants during the sessions. These could be examples to help guide the interviews, specific pre-planned questions, or test tasks you’ll ask participants to perform during unmoderated sessions.
• Outro message: Outline what you'll say at the end of the session, including the next steps, asking participants if they are open to future research, and thanking them for their time. This can be a form you share at the end of asynchronous sessions.

It’s crucial you remember to ask participants for their consent. You should do this at the beginning of the test by asking if they’re okay with you recording the session. Use this space to lay out any compensation agreements as well. Then, ask again at the end of the session if they agree with you keeping the results and using the data for research purposes. If possible, explain exactly what you’ll do with their data. Double check and get your legal team’s sign-off on these forms.

7. Establish the timeline

Next in your plan, estimate how long the research project will take and when you should expect to review the findings. Even if not exact, determining an approximate timeline (e.g., two-three weeks) will enable you to manage stakeholders’ expectations of the process and results.

Many people believe UX research is a lengthy process, so they skip it. When you set up a timeline and get stakeholders aligned with it, you can debunk assumptions and put stakeholders’ minds at ease. Plus, if you’re using a product discovery tool like Maze, you can get answers to your tests within days.

8. Decide how you’ll present your findings

When it comes to sharing your findings with your team, presentation matters. You need to make a clear presentation and demonstrate how user insights will influence design and development. If you’ve conducted UX research in the past, share data that proves how implementing user insights has improved product adoption.

Examples of ways you can present your results include:

• A physical or digital PDF report with key statistics and takeaways
• An interactive online report of the individual research questions and their results
• A presentation explaining the results and your findings
• A digital whiteboard, like Miro, to display the results

In your plan, mention how you’ll share insights with the product team. For example, if you’re using Maze, you can start by emailing everyone the ready-to-share report and setting up a meeting with the team to identify how to bring those insights to life. This is key, because your research should be the guiding light for new products or updates, if you want to keep development user-centric. Taking care over how you present your findings will impact whether they’re taken seriously and implemented by other stakeholders.

Templates for UX research

Whether you’re creating the plan yourself or are delegating this responsibility to your team, here are six research templates to get started:

• UX research plan template : This editable Miro research project plan example helps you brainstorm user and business-facing problems, objectives, and questions
• UX research brief : You need a clear brief before you conduct UX research—Milanote shares a template that will help you simplify the writing process
• User testing synthesis : Trello put together a sample board to organize user testing notes—you can use this as a guide, but change the titles to fit your UX research purposes
• Usability testing templates : At Maze, we’ve created multiple templates for conducting specific UX research methods—this list will help you create different remote usability tests
• Information architecture (IA) tests template : The way you organize the information in your website or app can improve or damage the user experience—use this template to run IA tests easily
• Feedback survey templates : Ask users anything through a survey, and use these templates to get creative and simplify creation

Everything you need to know about UX research plans

We all know that a robust plan is essential for conducting successful UX research. But, in case you want a quick refresher on what we’ve covered:

• Using a UX research strategy as a starting point will make your plan more likely to succeed
• Determine your research objectives before anything else
• Use a mix of qualitative and quantitative research methods
• Come up with clear personas so you can recruit and test a group of individuals that’s representative of your real end users
• Involve stakeholders from the beginning to get buy-in
• Be vocal about timelines, budget, and expected research findings
• Use the insights to power your product decisions and wow your users; building the solution they genuinely want and need

UX research can happen at any stage of the development lifecycle. When you build products with and for users, you need to include them continuously at various stages of the process.

It’s helpful to explore the need for continuous discovery in your UX research plan and look for a tool like Maze that simplifies the process for you. We’ll cover more about the different research methods and UX research tools in the upcoming chapters—ready to go?

Elevate your UX research workflow

Discover how Maze can streamline and operationalize your research plans to drive real product innovation while saving on costs.

Frequently asked questions

What’s the difference between a UX research plan and a UX research strategy?

The difference between a UX research plan and a UX research strategy is that they cover different levels of scope and detail. A UX research plan is a document that guides individual user experience (UX) research projects. UX research plans are shared documents that everyone on the product team can and should be familiar with. The UX research strategy, on the other hand, outlines the high-level goals, expectations, and demographics of the discovery.

What should you include in a user research plan?

Here’s what to include in a user research plan:

• Problem statement
• Research objectives
• Research methods
• Participants' demographics
• Recruitment plan
• User research brief
• Expected timeline
• How to present findings

How do you write a research plan for UX design?

Creating a research plan for user experience (UX) requires a clear problem statement and objectives, choosing the right research method, recruiting participants and briefing them, and establishing a timeline for your project. You'll also need to plan how you'll analyze and present your findings.

Generative Research: Definition, Methods, and Examples

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Research Design | Step-by-Step Guide with Examples

Published on 5 May 2022 by Shona McCombes . Revised on 20 March 2023.

A research design is a strategy for answering your research question  using empirical data. Creating a research design means making decisions about:

• Your overall aims and approach
• The type of research design you’ll use
• Your sampling methods or criteria for selecting subjects
• Your data collection methods
• The procedures you’ll follow to collect data
• Your data analysis methods

A well-planned research design helps ensure that your methods match your research aims and that you use the right kind of analysis for your data.

Table of contents

Step 1: consider your aims and approach, step 2: choose a type of research design, step 3: identify your population and sampling method, step 4: choose your data collection methods, step 5: plan your data collection procedures, step 6: decide on your data analysis strategies, frequently asked questions.

• Introduction

Before you can start designing your research, you should already have a clear idea of the research question you want to investigate.

There are many different ways you could go about answering this question. Your research design choices should be driven by your aims and priorities – start by thinking carefully about what you want to achieve.

The first choice you need to make is whether you’ll take a qualitative or quantitative approach.

Qualitative research designs tend to be more flexible and inductive , allowing you to adjust your approach based on what you find throughout the research process.

Quantitative research designs tend to be more fixed and deductive , with variables and hypotheses clearly defined in advance of data collection.

It’s also possible to use a mixed methods design that integrates aspects of both approaches. By combining qualitative and quantitative insights, you can gain a more complete picture of the problem you’re studying and strengthen the credibility of your conclusions.

Practical and ethical considerations when designing research

As well as scientific considerations, you need to think practically when designing your research. If your research involves people or animals, you also need to consider research ethics .

• How much time do you have to collect data and write up the research?
• Will you be able to gain access to the data you need (e.g., by travelling to a specific location or contacting specific people)?
• Do you have the necessary research skills (e.g., statistical analysis or interview techniques)?
• Will you need ethical approval ?

At each stage of the research design process, make sure that your choices are practically feasible.

Prevent plagiarism, run a free check.

Within both qualitative and quantitative approaches, there are several types of research design to choose from. Each type provides a framework for the overall shape of your research.

Types of quantitative research designs

Quantitative designs can be split into four main types. Experimental and   quasi-experimental designs allow you to test cause-and-effect relationships, while descriptive and correlational designs allow you to measure variables and describe relationships between them.

With descriptive and correlational designs, you can get a clear picture of characteristics, trends, and relationships as they exist in the real world. However, you can’t draw conclusions about cause and effect (because correlation doesn’t imply causation ).

Experiments are the strongest way to test cause-and-effect relationships without the risk of other variables influencing the results. However, their controlled conditions may not always reflect how things work in the real world. They’re often also more difficult and expensive to implement.

Types of qualitative research designs

Qualitative designs are less strictly defined. This approach is about gaining a rich, detailed understanding of a specific context or phenomenon, and you can often be more creative and flexible in designing your research.

The table below shows some common types of qualitative design. They often have similar approaches in terms of data collection, but focus on different aspects when analysing the data.

Your research design should clearly define who or what your research will focus on, and how you’ll go about choosing your participants or subjects.

In research, a population is the entire group that you want to draw conclusions about, while a sample is the smaller group of individuals you’ll actually collect data from.

Defining the population

A population can be made up of anything you want to study – plants, animals, organisations, texts, countries, etc. In the social sciences, it most often refers to a group of people.

For example, will you focus on people from a specific demographic, region, or background? Are you interested in people with a certain job or medical condition, or users of a particular product?

The more precisely you define your population, the easier it will be to gather a representative sample.

Sampling methods

Even with a narrowly defined population, it’s rarely possible to collect data from every individual. Instead, you’ll collect data from a sample.

To select a sample, there are two main approaches: probability sampling and non-probability sampling . The sampling method you use affects how confidently you can generalise your results to the population as a whole.

Probability sampling is the most statistically valid option, but it’s often difficult to achieve unless you’re dealing with a very small and accessible population.

For practical reasons, many studies use non-probability sampling, but it’s important to be aware of the limitations and carefully consider potential biases. You should always make an effort to gather a sample that’s as representative as possible of the population.

Case selection in qualitative research

In some types of qualitative designs, sampling may not be relevant.

For example, in an ethnography or a case study, your aim is to deeply understand a specific context, not to generalise to a population. Instead of sampling, you may simply aim to collect as much data as possible about the context you are studying.

In these types of design, you still have to carefully consider your choice of case or community. You should have a clear rationale for why this particular case is suitable for answering your research question.

For example, you might choose a case study that reveals an unusual or neglected aspect of your research problem, or you might choose several very similar or very different cases in order to compare them.

Data collection methods are ways of directly measuring variables and gathering information. They allow you to gain first-hand knowledge and original insights into your research problem.

You can choose just one data collection method, or use several methods in the same study.

Survey methods

Surveys allow you to collect data about opinions, behaviours, experiences, and characteristics by asking people directly. There are two main survey methods to choose from: questionnaires and interviews.

Observation methods

Observations allow you to collect data unobtrusively, observing characteristics, behaviours, or social interactions without relying on self-reporting.

Observations may be conducted in real time, taking notes as you observe, or you might make audiovisual recordings for later analysis. They can be qualitative or quantitative.

Other methods of data collection

There are many other ways you might collect data depending on your field and topic.

If you’re not sure which methods will work best for your research design, try reading some papers in your field to see what data collection methods they used.

Secondary data

If you don’t have the time or resources to collect data from the population you’re interested in, you can also choose to use secondary data that other researchers already collected – for example, datasets from government surveys or previous studies on your topic.

With this raw data, you can do your own analysis to answer new research questions that weren’t addressed by the original study.

Using secondary data can expand the scope of your research, as you may be able to access much larger and more varied samples than you could collect yourself.

However, it also means you don’t have any control over which variables to measure or how to measure them, so the conclusions you can draw may be limited.

As well as deciding on your methods, you need to plan exactly how you’ll use these methods to collect data that’s consistent, accurate, and unbiased.

Planning systematic procedures is especially important in quantitative research, where you need to precisely define your variables and ensure your measurements are reliable and valid.

Operationalisation

Some variables, like height or age, are easily measured. But often you’ll be dealing with more abstract concepts, like satisfaction, anxiety, or competence. Operationalisation means turning these fuzzy ideas into measurable indicators.

If you’re using observations , which events or actions will you count?

If you’re using surveys , which questions will you ask and what range of responses will be offered?

You may also choose to use or adapt existing materials designed to measure the concept you’re interested in – for example, questionnaires or inventories whose reliability and validity has already been established.

Reliability and validity

Reliability means your results can be consistently reproduced , while validity means that you’re actually measuring the concept you’re interested in.

For valid and reliable results, your measurement materials should be thoroughly researched and carefully designed. Plan your procedures to make sure you carry out the same steps in the same way for each participant.

If you’re developing a new questionnaire or other instrument to measure a specific concept, running a pilot study allows you to check its validity and reliability in advance.

Sampling procedures

As well as choosing an appropriate sampling method, you need a concrete plan for how you’ll actually contact and recruit your selected sample.

That means making decisions about things like:

• How many participants do you need for an adequate sample size?
• What inclusion and exclusion criteria will you use to identify eligible participants?
• How will you contact your sample – by mail, online, by phone, or in person?

If you’re using a probability sampling method, it’s important that everyone who is randomly selected actually participates in the study. How will you ensure a high response rate?

If you’re using a non-probability method, how will you avoid bias and ensure a representative sample?

Data management

It’s also important to create a data management plan for organising and storing your data.

Will you need to transcribe interviews or perform data entry for observations? You should anonymise and safeguard any sensitive data, and make sure it’s backed up regularly.

Keeping your data well organised will save time when it comes to analysing them. It can also help other researchers validate and add to your findings.

On their own, raw data can’t answer your research question. The last step of designing your research is planning how you’ll analyse the data.

Quantitative data analysis

In quantitative research, you’ll most likely use some form of statistical analysis . With statistics, you can summarise your sample data, make estimates, and test hypotheses.

Using descriptive statistics , you can summarise your sample data in terms of:

• The distribution of the data (e.g., the frequency of each score on a test)
• The central tendency of the data (e.g., the mean to describe the average score)
• The variability of the data (e.g., the standard deviation to describe how spread out the scores are)

The specific calculations you can do depend on the level of measurement of your variables.

Using inferential statistics , you can:

• Make estimates about the population based on your sample data.
• Test hypotheses about a relationship between variables.

Regression and correlation tests look for associations between two or more variables, while comparison tests (such as t tests and ANOVAs ) look for differences in the outcomes of different groups.

Your choice of statistical test depends on various aspects of your research design, including the types of variables you’re dealing with and the distribution of your data.

Qualitative data analysis

In qualitative research, your data will usually be very dense with information and ideas. Instead of summing it up in numbers, you’ll need to comb through the data in detail, interpret its meanings, identify patterns, and extract the parts that are most relevant to your research question.

Two of the most common approaches to doing this are thematic analysis and discourse analysis .

There are many other ways of analysing qualitative data depending on the aims of your research. To get a sense of potential approaches, try reading some qualitative research papers in your field.

A sample is a subset of individuals from a larger population. Sampling means selecting the group that you will actually collect data from in your research.

For example, if you are researching the opinions of students in your university, you could survey a sample of 100 students.

Statistical sampling allows you to test a hypothesis about the characteristics of a population. There are various sampling methods you can use to ensure that your sample is representative of the population as a whole.

Operationalisation means turning abstract conceptual ideas into measurable observations.

For example, the concept of social anxiety isn’t directly observable, but it can be operationally defined in terms of self-rating scores, behavioural avoidance of crowded places, or physical anxiety symptoms in social situations.

Before collecting data , it’s important to consider how you will operationalise the variables that you want to measure.

The research methods you use depend on the type of data you need to answer your research question .

• If you want to measure something or test a hypothesis , use quantitative methods . If you want to explore ideas, thoughts, and meanings, use qualitative methods .
• If you want to analyse a large amount of readily available data, use secondary data. If you want data specific to your purposes with control over how they are generated, collect primary data.
• If you want to establish cause-and-effect relationships between variables , use experimental methods. If you want to understand the characteristics of a research subject, use descriptive methods.

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Driving Discovery: How to Create an Effective Research Plan

September 23, 2023 - 10 min read

When embarking on a research project , having a well-thought-out research plan is crucial to driving discovery and achieving your objectives. In this article, we will explore the importance of a research plan, the key benefits it offers, the essential components of an effective research plan, the steps to create one, and tips for implementing it successfully.

Understanding the Importance of a Research Plan

A research plan serves as a roadmap that guides your investigation and ensures that you stay focused and on track. It outlines the objectives, questions, and methods that will shape your research and enable you to make meaningful discoveries.

Imagine embarking on a research journey without a plan. You would be wandering aimlessly, unsure of where to focus your attention and resources. A research plan acts as a compass, guiding you towards the most promising avenues of exploration. It helps you formulate research questions that are relevant and meaningful, so that your study contributes to the existing body of knowledge in a significant way.

Key Benefits

A well-structured research plan offers several benefits besides guiding your investigation.

• Clarify your research goals and align them with your overarching research objectives. You want your study to remain focused and avoid unnecessary detours.
• Organize your research process, so that you cover all the necessary steps and avoid potential pitfalls. Break down your research into manageable tasks, allowing you to allocate your time and resources effectively. 
• Secure funding and gain the support of stakeholders. When applying for grants or seeking approval for your research project, a comprehensive and compelling research plan can make all the difference. It provides a clear overview of your study's objectives, methods, and expected outcomes, demonstrating the potential impact of your research.

Essential Components 

When creating a research plan, certain components should be included to ensure its effectiveness. These components serve as building blocks that shape the overall structure and content of your plan.

Defining Your Research Objectives

The first step in creating an effective research plan is to clearly define your research objectives. These objectives should be specific, measurable, attainable, relevant, and time-bound (SMART). By setting SMART research objectives, you provide a clear purpose for your investigation and establish criteria by which you can evaluate its success.

Defining research objectives is crucial because it helps researchers stay focused and avoid getting lost in the vast sea of information. It provides a sense of direction and purpose, so that every step taken during the research process contributes to achieving the desired outcomes. Without well-defined objectives, researchers may find themselves overwhelmed and unable to make meaningful progress.

Identifying Your Research Questions

In addition to defining your research objectives, it is crucial to identify the research questions that will guide your investigation. These should be focused and address the specific aspects you aim to explore. By formulating precise research questions, you narrow down your research scope and provide a framework for gathering and analyzing data.

Remember that research questions serve as a compass, guiding researchers through the vast landscape of information. They help researchers stay on track and ensure that their efforts are aligned with the overall objectives of the study. Well-crafted research questions also enable them to delve deeper into specific areas of interest, uncovering valuable insights that contribute to the existing body of knowledge.

Choosing the Right Research Methodology

The selection of an appropriate research methodology is another vital component of an effective research plan. The methodology you choose should be aligned with your research objectives and questions, enabling you to gather and analyze data effectively. Whether quantitative or qualitative, your chosen methodology should provide reliable and valid results that contribute to driving your research forward.

Choosing the right research methodology is like selecting the right tools for a construction project. Each methodology has its strengths and limitations, and understanding these nuances is crucial for conducting a successful study. The decision that researchers make will impact the data collection techniques, analysis methods, and overall validity of the study.

Steps to Create a Comprehensive Research Plan

Now that we understand the essential components of a research plan, let's dive into the steps to create a comprehensive one.

Setting Your Research Goals

The first step in creating a research plan is to set clear and concise research goals. These goals serve as the guiding principles of the research and provide a framework for the investigation. When setting research goals, align them with the research objectives, so that the plan remains focused and purposeful. 

Don't forget that research goals can vary depending on the nature of the study. They can be broad, encompassing the overall aims of the research, or specific, focusing on particular aspects or variables. Regardless of their scope, research goals play a vital role in shaping the research plan and determining the path to be followed.

Conducting a Literature Review

A comprehensive literature review is crucial for building a solid foundation for your research plan. During this process, researchers explore various sources such as academic journals, books, conference proceedings, and online databases to gather relevant information. They critically analyze and synthesize the findings from previous studies, to identify gaps, inconsistencies, and areas that require further investigation. This process helps researchers refine their research questions, develop hypotheses, and select appropriate research methods.

Moreover, a literature review allows researchers to identify key theories, concepts, and methodologies that are relevant to their research. It helps them establish the theoretical framework for their study, providing a solid basis for data collection and analysis. By conducting a thorough literature review, researchers guarantee that their research plan is grounded in existing knowledge and contributes meaningfully to the field.

Designing Your Research Strategy

Once you have set your research goals and conducted a thorough literature review, it's time to design your research strategy. This step involves making important decisions regarding research questions, research methods, and data collection and analysis procedures.

• Carefully consider various factors, such as the research goals, the nature of the research problem, the available resources, and ethical considerations. Determine the most appropriate research questions that align with the research goals and can be effectively addressed through the chosen research methods.
• Select the most suitable research methods to collect and analyze data. This can involve qualitative methods such as interviews, observations, or focus groups, or quantitative methods such as surveys or experiments. The choice of research methods depends on the research objectives, the nature of the research problem, and the available resources.
• Outline the data collection and analysis procedures. This means determining the sample size, developing data collection instruments, and devising data analysis techniques. A well-designed research strategy ensures that researchers gather the necessary data to address their research questions effectively and draw meaningful conclusions.

Tips for Implementing Your Research Plan

Creating a research plan is just the first step; successful implementation is equally important. Here are some tips to help you implement your research plan effectively.

Ensuring Flexibility 

While a research plan provides a structured roadmap, it is essential to remain flexible throughout the research process. Unexpected challenges and discoveries may require adjustments to your plan. By maintaining flexibility, you can adapt to changing circumstances and make the most of unforeseen opportunities.

Imagine you are conducting a research study on the impact of climate change on coral reefs. Your initial plan may involve collecting data from a specific location over a six-month period. However, during the course of your research, you may discover a new coral species that is particularly vulnerable to climate change. In such a scenario, being flexible allows you to modify your research plan to include a more in-depth investigation of this new species, potentially leading to groundbreaking findings.

Tracking Your Research Progress

Regularly tracking your research progress is crucial to ensuring that you stay on schedule and achieve your research objectives. Establish milestones and set aside dedicated time for progress evaluation. This will help you identify any deviations from the plan and take corrective measures promptly.

Suppose you are conducting a longitudinal study on the effects of a new teaching method on student performance. By tracking your research progress, you can analyze the data collected at various intervals and assess whether the teaching method is consistently improving student outcomes. If you notice any inconsistencies or unexpected trends, you can adjust your research plan accordingly, such as modifying the teaching method or expanding the sample size.

Evaluating and Refining Your Research Plan

Periodically evaluating and refining your research plan is vital for its effectiveness. Reflect on the progress of your research and assess whether your objectives and questions are still relevant. Take feedback from colleagues and stakeholders into account and make necessary adjustments to improve your research plan.

Let's say you are conducting a survey-based research study on consumer preferences for sustainable packaging. After analyzing the initial survey responses, you may realize that the questions you asked did not capture all the relevant factors influencing consumer choices. By evaluating and refining your research plan, you can modify the survey questions to include additional variables, such as price sensitivity or brand perception, thus enhancing the validity and comprehensiveness of your study.

Drive Your Discovery with Wrike

Creating an effective research plan to drive discovery is like having a detailed itinerary for an exploration journey. It guides your research efforts and ensures that you uncover valuable insights. However, managing these research plans across multiple projects can be challenging.

This is where Wrike steps in. Within Wrike, you can easily create folders for each project or research plan. These folders can serve as a place where you can store research methods, data collection plans, and even your research findings. This structured approach brings direction and discovery to your research, much like a detailed itinerary guides an exploration journey.

And when it comes to the other documents and workflows your business needs — whether it's data analysis or report writing — Wrike has you covered with robust project management features and ready-to-use templates. Ready to drive your discovery process? Start your free trial of Wrike today.

Note: This article was created with the assistance of an AI engine. It has been reviewed and revised by our team of experts to ensure accuracy and quality.

Occasionally we write blog posts where multiple people contribute. Since our idea of having a gladiator arena where contributors would fight to the death to win total authorship wasn’t approved by HR, this was the compromise.

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Key Sales Pipeline Metrics to Monitor for Business Success

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Training and Development for Sales Teams Invest in training and development programs for your sales team to enhance their skills and knowledge. Provide them with the tools and resources they need to effectively engage with leads and close deals. By continually developing your sales team's capabilities, you can improve their performance and drive better sales pipeline metrics. Overall, monitoring key sales pipeline metrics is vital for your business's success. By understanding the importance of these metrics, utilizing the right tools and techniques, and implementing strategies to improve them, you can optimize your sales process, increase revenue, and achieve sustainable growth. Monitor key sales pipeline metrics using Wrike’s advanced analytical tools. Register for a free trial today and align your sales strategies with solid data for guaranteed business success. Note: This article was created with the assistance of an AI engine. It has been reviewed and revised by our team of experts to ensure accuracy and quality.

Catalyzing Business Growth: Strategies for Expansion

Expanding a business is an exciting and challenging endeavor. It requires careful planning, strategic thinking, and a deep understanding of the market. In this article, we will explore the key strategies for business expansion and how to catalyze growth effectively. Whether you are a small startup or an established company, these strategies will provide valuable insights into achieving your growth goals. Understanding Business Expansion Business expansion offers numerous benefits, such as increased market share, higher revenues, and improved brand recognition. It allows businesses to tap into new markets, gain a competitive edge, and attract a larger customer base. However, expanding without a well-thought-out plan can be risky and may lead to financial instability. Therefore, it is essential to carefully consider all aspects of expansion before embarking on this journey. 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Key Factors in Business Expansion Several key factors play a crucial role in successful business expansion: Market Demand: Before expanding, assess the market demand for your products or services. Conduct market research and analyze customer preferences and buying patterns to confirm that there is a sustainable demand in the new market. Identify potential gaps in the market that your business can fill, offering unique value propositions to attract customers. Competitive Analysis: Understand the competitive landscape in the target market. Identify key competitors and analyze their strengths and weaknesses. This analysis will help you position your organization and differentiate it from the competition. Develop a compelling value proposition that highlights your unique selling points and conveys why customers should choose your business over others. Operational Capacity: Evaluate your operational capacity to handle expansion. Verify that you have the necessary infrastructure, resources, and systems in place to meet the increased demand without compromising product quality or customer service. Consider factors such as production capacity, supply chain management, and distribution channels. Implement scalable processes and invest in technology that can support your growth objectives. Financial Planning: Expansion requires significant financial resources. Develop a comprehensive financial plan that includes projected revenues, expenses, and cash flow forecasts. Assess your funding options, such as internal sources (retained earnings) or external sources (loans, investments). Consider the potential risks and uncertainties associated with expansion and have contingency plans in place to mitigate them. Talent Acquisition and Development: Expanding your business may require additional workforce. Evaluate your current talent pool and identify any skill gaps that need to be filled. Develop a recruitment strategy to attract and hire qualified individuals who align with your company's values and objectives. Additionally, invest in training and development programs to upskill existing employees and ensure they are equipped to handle new responsibilities and challenges. Formulating a Strategic Plan for Growth Expanding a business requires careful planning and consideration of various factors. In order to oversee a smooth and successful expansion, it is important to set clear business objectives and conduct a thorough analysis of the internal and external environment. Setting Clear Business Objectives Clearly define your business objectives for expansion. Are you aiming to penetrate a new market, launch new products, or expand geographically? Remember to consider the current market conditions, customer demands, and competitive landscape. Conducting a SWOT Analysis Identify internal strengths and weaknesses, as well as external opportunities and threats. This analysis will help you capitalize on your strengths, address weaknesses, seize opportunities, and mitigate potential risks. Remember to involve key stakeholders from different departments within your organization, for a holistic view of your business and access to diverse perspectives.  During the analysis, consider your company's strengths, such as a strong brand reputation, talented workforce, or innovative products. These strengths can be leveraged to gain a competitive advantage in the new market or industry segment you are targeting. Identifying weaknesses is equally important, as it allows you to address any internal limitations that may hinder your expansion efforts. This could include areas such as outdated technology, lack of skilled personnel, or inefficient processes.  Opportunities and threats in the external environment should also be carefully evaluated. This could include emerging market trends, changes in consumer behavior, or new technological advancements. 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Additionally, factor in potential risks and uncertainties that may impact your financial projections. Conducting a thorough risk assessment can help you identify and mitigate potential financial challenges, so that your budget remains realistic and achievable. Exploring Financing Options Consider various financing options to fund your expansion. These may include bank loans, venture capital, crowdfunding, or seeking partnerships with strategic investors. Carefully evaluate the pros and cons of each option to determine the most suitable financing strategy for your business. When exploring financing options, assess your business's current financial health and creditworthiness. Lenders and investors will evaluate your financial statements, credit history, and cash flow to determine the level of risk associated with providing funds. Furthermore, seek professional advice from financial experts, such as accountants or financial advisors, who can guide you through the process and help you make informed decisions. They can assist in analyzing the financial implications of different financing options and provide recommendations based on your specific business needs. Remember that securing financing for expansion is not just about obtaining the necessary funds; it also involves understanding the terms and conditions associated with each financing option. Consider factors such as interest rates, repayment terms, collateral requirements, and potential impact on your business's ownership and control. Lastly, maintaining open communication with potential lenders or investors is crucial. Clearly articulate your expansion plans, demonstrate your business's growth potential, and provide a comprehensive financial proposal that highlights the expected return on investment. Building trust and credibility with financial stakeholders can increase your chances of securing the necessary funds for your business expansion. Human Resources and Business Growth Efficiently managing human resources is crucial during business expansion, as shown by the factors below. Staffing for Expansion Assessing the current workforce is not only about identifying the need for additional staff members, but also about evaluating the existing employees' potential for growth and development. By recognizing the talent within the organization, businesses can provide opportunities for internal promotions and career advancement. This not only motivates employees but also fosters loyalty and commitment to the company. When hiring new employees, take into account diversity and inclusion. By creating a diverse workforce, businesses can benefit from a wide range of perspectives, experiences, and ideas. This can lead to increased innovation, creativity, and problem-solving capabilities, which are essential for business growth. Training and Development for Growth Investing in training and development programs is crucial to making sure that employees have the necessary skills and knowledge to support the expanded operations. By providing continuous learning opportunities, businesses can enhance the capabilities of their workforce, leading to higher productivity and better customer service. Training programs can include a variety of methods, such as workshops, seminars, online courses, and on-the-job training. These initiatives can focus on developing technical skills, leadership abilities, communication skills, and other competencies that are essential for business growth. Moreover, businesses can also consider partnering with external training providers or educational institutions to offer specialized programs tailored to their specific industry or market. By providing employees with access to industry-leading training, businesses can stay ahead of the competition and see to it that their workforce remains up-to-date with the latest trends and best practices. Marketing Strategies for Business Expansion Effective marketing strategies are essential for creating brand awareness and driving customer acquisition during business expansion. Branding and Expansion Review and refine your brand strategy to align with the expanded market and target audience. Confirm that your brand positioning, messaging, and visual identity convey the unique value proposition of your business in a way that resonates with the new market. Digital Marketing for Growth Leverage the power of digital marketing channels to reach your target audience and generate leads. Invest in search engine optimization (SEO), social media marketing, content marketing, and targeted online advertising to expand your reach and drive traffic to your website or physical location. Catalyze Your Business Growth with Wrike Business growth requires effective strategies and the right tools. With Wrike, you can easily manage your growth strategies. Wrike allows you to create individual folders for each growth initiative, serving as a central hub for all relevant information and updates, fostering effective growth management. Beyond just growth management, Wrike offers a comprehensive suite of tools designed to streamline your workflows, foster collaboration, and drive productivity. From real-time communication to intuitive task management features, Wrike provides everything you need to catalyze your business growth and drive expansion. Ready to catalyze your business growth and drive expansion? There's no better time to start than now. Get started with Wrike for free today. Note: This article was created with the assistance of an AI engine. It has been reviewed and revised by our team of experts to ensure accuracy and quality.

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11.2 Steps in Developing a Research Proposal

Learning objectives.

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

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

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

Choosing a Topic

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

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

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

Identifying Potential Topics

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

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

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

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

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

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

Narrowing Your Topic

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

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

Exploring Your Topic in Writing

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

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

Conducting Preliminary Research

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

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

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

Writing at Work

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

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

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

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

Collaboration

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

A Plan for Research

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

Formulating a Research Question

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

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

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

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

Constructing a Working ThesIs

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

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

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

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

Creating a Research Proposal

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

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

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

Writing Your Own Research Proposal

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

Key Takeaways

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

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

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How to plan a research project

Whether for a paper or a thesis, define your question, review the work of others – and leave yourself open to discovery.

by Brooke Harrington   + BIO

is professor of sociology at Dartmouth College in New Hampshire. Her research has won international awards both for scholarly quality and impact on public life. She has published dozens of articles and three books, most recently the bestseller Capital without Borders (2016), now translated into five languages.

Edited by Sam Haselby

Need to know

‘When curiosity turns to serious matters, it’s called research.’ – From Aphorisms (1880-1905) by Marie von Ebner-Eschenbach

Planning research projects is a time-honoured intellectual exercise: one that requires both creativity and sharp analytical skills. The purpose of this Guide is to make the process systematic and easy to understand. While there is a great deal of freedom and discovery involved – from the topics you choose, to the data and methods you apply – there are also some norms and constraints that obtain, no matter what your academic level or field of study. For those in high school through to doctoral students, and from art history to archaeology, research planning involves broadly similar steps, including: formulating a question, developing an argument or predictions based on previous research, then selecting the information needed to answer your question.

Some of this might sound self-evident but, as you’ll find, research requires a different way of approaching and using information than most of us are accustomed to in everyday life. That is why I include orienting yourself to knowledge-creation as an initial step in the process. This is a crucial and underappreciated phase in education, akin to making the transition from salaried employment to entrepreneurship: suddenly, you’re on your own, and that requires a new way of thinking about your work.

What follows is a distillation of what I’ve learned about this process over 27 years as a professional social scientist. It reflects the skills that my own professors imparted in the sociology doctoral programme at Harvard, as well as what I learned later on as a research supervisor for Ivy League PhD and MA students, and then as the author of award-winning scholarly books and articles. It can be adapted to the demands of both short projects (such as course term papers) and long ones, such as a thesis.

At its simplest, research planning involves the four distinct steps outlined below: orienting yourself to knowledge-creation; defining your research question; reviewing previous research on your question; and then choosing relevant data to formulate your own answers. Because the focus of this Guide is on planning a research project, as opposed to conducting a research project, this section won’t delve into the details of data-collection or analysis; those steps happen after you plan the project. In addition, the topic is vast: year-long doctoral courses are devoted to data and analysis. Instead, the fourth part of this section will outline some basic strategies you could use in planning a data-selection and analysis process appropriate to your research question.

Step 1: Orient yourself

Planning and conducting research requires you to make a transition, from thinking like a consumer of information to thinking like a producer of information. That sounds simple, but it’s actually a complex task. As a practical matter, this means putting aside the mindset of a student, which treats knowledge as something created by other people. As students, we are often passive receivers of knowledge: asked to do a specified set of readings, then graded on how well we reproduce what we’ve read.

Researchers, however, must take on an active role as knowledge producers . Doing research requires more of you than reading and absorbing what other people have written: you have to engage in a dialogue with it. That includes arguing with previous knowledge and perhaps trying to show that ideas we have accepted as given are actually wrong or incomplete. For example, rather than simply taking in the claims of an author you read, you’ll need to draw out the implications of those claims: if what the author is saying is true, what else does that suggest must be true? What predictions could you make based on the author’s claims?

In other words, rather than treating a reading as a source of truth – even if it comes from a revered source, such as Plato or Marie Curie – this orientation step asks you to treat the claims you read as provisional and subject to interrogation. That is one of the great pieces of wisdom that science and philosophy can teach us: that the biggest advances in human understanding have been made not by being correct about trivial things, but by being wrong in an interesting way . For example, Albert Einstein was wrong about quantum mechanics, but his arguments about it with his fellow physicist Niels Bohr have led to some of the biggest breakthroughs in science, even a century later.

Step 2: Define your research question

Students often give this step cursory attention, but experienced researchers know that formulating a good question is sometimes the most difficult part of the research planning process. That is because the precise language of the question frames the rest of the project. It’s therefore important to pose the question carefully, in a way that’s both possible to answer and likely to yield interesting results. Of course, you must choose a question that interests you, but that’s only the beginning of what’s likely to be an iterative process: most researchers come back to this step repeatedly, modifying their questions in light of previous research, resource limitations and other considerations.

Researchers face limits in terms of time and money. They, like everyone else, have to pose research questions that they can plausibly answer given the constraints they face. For example, it would be inadvisable to frame a project around the question ‘What are the roots of the Arab-Israeli conflict?’ if you have only a week to develop an answer and no background on that topic. That’s not to limit your imagination: you can come up with any question you’d like. But it typically does require some creativity to frame a question that you can answer well – that is, by investigating thoroughly and providing new insights – within the limits you face.

In addition to being interesting to you, and feasible within your resource constraints, the third and most important characteristic of a ‘good’ research topic is whether it allows you to create new knowledge. It might turn out that your question has already been asked and answered to your satisfaction: if so, you’ll find out in the next step of this process. On the other hand, you might come up with a research question that hasn’t been addressed previously. Before you get too excited about breaking uncharted ground, consider this: a lot of potentially researchable questions haven’t been studied for good reason ; they might have answers that are trivial or of very limited interest. This could include questions such as ‘Why does the area of a circle equal π r²?’ or ‘Did winter conditions affect Napoleon’s plans to invade Russia?’ Of course, you might be able to make the argument that a seemingly trivial question is actually vitally important, but you must be prepared to back that up with convincing evidence. The exercise in the ‘Learn More’ section below will help you think through some of these issues.

Finally, scholarly research questions must in some way lead to new and distinctive insights. For example, lots of people have studied gender roles in sports teams; what can you ask that hasn’t been asked before? Reinventing the wheel is the number-one no-no in this endeavour. That’s why the next step is so important: reviewing previous research on your topic. Depending on what you find in that step, you might need to revise your research question; iterating between your question and the existing literature is a normal process. But don’t worry: it doesn’t go on forever. In fact, the iterations taper off – and your research question stabilises – as you develop a firm grasp of the current state of knowledge on your topic.

Step 3: Review previous research

In academic research, from articles to books, it’s common to find a section called a ‘literature review’. The purpose of that section is to describe the state of the art in knowledge on the research question that a project has posed. It demonstrates that researchers have thoroughly and systematically reviewed the relevant findings of previous studies on their topic, and that they have something novel to contribute.

Your own research project should include something like this, even if it’s a high-school term paper. In the research planning process, you’ll want to list at least half a dozen bullet points stating the major findings on your topic by other people. In relation to those findings, you should be able to specify where your project could provide new and necessary insights. There are two basic rhetorical positions one can take in framing the novelty-plus-importance argument required of academic research:

• Position 1 requires you to build on or extend a set of existing ideas; that means saying something like: ‘Person A has argued that X is true about gender; this implies Y, which has not yet been tested. My project will test Y, and if I find evidence to support it, that will change the way we understand gender.’
• Position 2 is to argue that there is a gap in existing knowledge, either because previous research has reached conflicting conclusions or has failed to consider something important. For example, one could say that research on middle schoolers and gender has been limited by being conducted primarily in coeducational environments, and that findings might differ dramatically if research were conducted in more schools where the student body was all-male or all-female.

Your overall goal in this step of the process is to show that your research will be part of a larger conversation: that is, how your project flows from what’s already known, and how it advances, extends or challenges that existing body of knowledge. That will be the contribution of your project, and it constitutes the motivation for your research.

Two things are worth mentioning about your search for sources of relevant previous research. First, you needn’t look only at studies on your precise topic. For example, if you want to study gender-identity formation in schools, you shouldn’t restrict yourself to studies of schools; the empirical setting (schools) is secondary to the larger social process that interests you (how people form gender identity). That process occurs in many different settings, so cast a wide net. Second, be sure to use legitimate sources – meaning publications that have been through some sort of vetting process, whether that involves peer review (as with academic journal articles you might find via Google Scholar) or editorial review (as you’d find in well-known mass media publications, such as The Economist or The Washington Post ). What you’ll want to avoid is using unvetted sources such as personal blogs or Wikipedia. Why? Because anybody can write anything in those forums, and there is no way to know – unless you’re already an expert – if the claims you find there are accurate. Often, they’re not.

Step 4: Choose your data and methods

Whatever your research question is, eventually you’ll need to consider which data source and analytical strategy are most likely to provide the answers you’re seeking. One starting point is to consider whether your question would be best addressed by qualitative data (such as interviews, observations or historical records), quantitative data (such as surveys or census records) or some combination of both. Your ideas about data sources will, in turn, suggest options for analytical methods.

You might need to collect your own data, or you might find everything you need readily available in an existing dataset someone else has created. A great place to start is with a research librarian: university libraries always have them and, at public universities, those librarians can work with the public, including people who aren’t affiliated with the university. If you don’t happen to have a public university and its library close at hand, an ordinary public library can still be a good place to start: the librarians are often well versed in accessing data sources that might be relevant to your study, such as the census, or historical archives, or the Survey of Consumer Finances.

Because your task at this point is to plan research, rather than conduct it, the purpose of this step is not to commit you irrevocably to a course of action. Instead, your goal here is to think through a feasible approach to answering your research question. You’ll need to find out, for example, whether the data you want exist; if not, do you have a realistic chance of gathering the data yourself, or would it be better to modify your research question? In terms of analysis, would your strategy require you to apply statistical methods? If so, do you have those skills? If not, do you have time to learn them, or money to hire a research assistant to run the analysis for you?

Please be aware that qualitative methods in particular are not the casual undertaking they might appear to be. Many people make the mistake of thinking that only quantitative data and methods are scientific and systematic, while qualitative methods are just a fancy way of saying: ‘I talked to some people, read some old newspapers, and drew my own conclusions.’ Nothing could be further from the truth. In the final section of this guide, you’ll find some links to resources that will provide more insight on standards and procedures governing qualitative research, but suffice it to say: there are rules about what constitutes legitimate evidence and valid analytical procedure for qualitative data, just as there are for quantitative data.

Circle back and consider revising your initial plans

As you work through these four steps in planning your project, it’s perfectly normal to circle back and revise. Research planning is rarely a linear process. It’s also common for new and unexpected avenues to suggest themselves. As the sociologist Thorstein Veblen wrote in 1908 : ‘The outcome of any serious research can only be to make two questions grow where only one grew before.’ That’s as true of research planning as it is of a completed project. Try to enjoy the horizons that open up for you in this process, rather than becoming overwhelmed; the four steps, along with the two exercises that follow, will help you focus your plan and make it manageable.

Key points – How to plan a research project

• Planning a research project is essential no matter your academic level or field of study. There is no one ‘best’ way to design research, but there are certain guidelines that can be helpfully applied across disciplines.
• Orient yourself to knowledge-creation. Make the shift from being a consumer of information to being a producer of information.
• Define your research question. Your question frames the rest of your project, sets the scope, and determines the kinds of answers you can find.
• Review previous research on your question. Survey the existing body of relevant knowledge to ensure that your research will be part of a larger conversation.
• Choose your data and methods. For instance, will you be collecting qualitative data, via interviews, or numerical data, via surveys?
• Circle back and consider revising your initial plans. Expect your research question in particular to undergo multiple rounds of refinement as you learn more about your topic.

Good research questions tend to beget more questions. This can be frustrating for those who want to get down to business right away. Try to make room for the unexpected: this is usually how knowledge advances. Many of the most significant discoveries in human history have been made by people who were looking for something else entirely. There are ways to structure your research planning process without over-constraining yourself; the two exercises below are a start, and you can find further methods in the Links and Books section.

The following exercise provides a structured process for advancing your research project planning. After completing it, you’ll be able to do the following:

• describe clearly and concisely the question you’ve chosen to study
• summarise the state of the art in knowledge about the question, and where your project could contribute new insight
• identify the best strategy for gathering and analysing relevant data

In other words, the following provides a systematic means to establish the building blocks of your research project.

Exercise 1: Definition of research question and sources

This exercise prompts you to select and clarify your general interest area, develop a research question, and investigate sources of information. The annotated bibliography will also help you refine your research question so that you can begin the second assignment, a description of the phenomenon you wish to study.

Jot down a few bullet points in response to these two questions, with the understanding that you’ll probably go back and modify your answers as you begin reading other studies relevant to your topic:

• What will be the general topic of your paper?
• What will be the specific topic of your paper?

b) Research question(s)

Use the following guidelines to frame a research question – or questions – that will drive your analysis. As with Part 1 above, you’ll probably find it necessary to change or refine your research question(s) as you complete future assignments.

• Your question should be phrased so that it can’t be answered with a simple ‘yes’ or ‘no’.
• Your question should have more than one plausible answer.
• Your question should draw relationships between two or more concepts; framing the question in terms of How? or What? often works better than asking Why ?

c) Annotated bibliography

Most or all of your background information should come from two sources: scholarly books and journals, or reputable mass media sources. You might be able to access journal articles electronically through your library, using search engines such as JSTOR and Google Scholar. This can save you a great deal of time compared with going to the library in person to search periodicals. General news sources, such as those accessible through LexisNexis, are acceptable, but should be cited sparingly, since they don’t carry the same level of credibility as scholarly sources. As discussed above, unvetted sources such as blogs and Wikipedia should be avoided, because the quality of the information they provide is unreliable and often misleading.

To create an annotated bibliography, provide the following information for at least 10 sources relevant to your specific topic, using the format suggested below.

Name of author(s):

Publication date:

Title of book, chapter, or article:

If a chapter or article, title of journal or book where they appear:

Brief description of this work, including main findings and methods ( c 75 words):

Summary of how this work contributes to your project ( c 75 words):

Brief description of the implications of this work ( c 25 words):

Identify any gap or controversy in knowledge this work points up, and how your project could address those problems ( c 50 words):

Exercise 2: Towards an analysis

Develop a short statement ( c 250 words) about the kind of data that would be useful to address your research question, and how you’d analyse it. Some questions to consider in writing this statement include:

• What are the central concepts or variables in your project? Offer a brief definition of each.
• Do any data sources exist on those concepts or variables, or would you need to collect data?
• Of the analytical strategies you could apply to that data, which would be the most appropriate to answer your question? Which would be the most feasible for you? Consider at least two methods, noting their advantages or disadvantages for your project.

Links & books

One of the best texts ever written about planning and executing research comes from a source that might be unexpected: a 60-year-old work on urban planning by a self-trained scholar. The classic book The Death and Life of Great American Cities (1961) by Jane Jacobs (available complete and free of charge via this link ) is worth reading in its entirety just for the pleasure of it. But the final 20 pages – a concluding chapter titled ‘The Kind of Problem a City Is’ – are really about the process of thinking through and investigating a problem. Highly recommended as a window into the craft of research.

Jacobs’s text references an essay on advancing human knowledge by the mathematician Warren Weaver. At the time, Weaver was director of the Rockefeller Foundation, in charge of funding basic research in the natural and medical sciences. Although the essay is titled ‘A Quarter Century in the Natural Sciences’ (1960) and appears at first blush to be merely a summation of one man’s career, it turns out to be something much bigger and more interesting: a meditation on the history of human beings seeking answers to big questions about the world. Weaver goes back to the 17th century to trace the origins of systematic research thinking, with enthusiasm and vivid anecdotes that make the process come alive. The essay is worth reading in its entirety, and is available free of charge via this link .

For those seeking a more in-depth, professional-level discussion of the logic of research design, the political scientist Harvey Starr provides insight in a compact format in the article ‘Cumulation from Proper Specification: Theory, Logic, Research Design, and “Nice” Laws’ (2005). Starr reviews the ‘research triad’, consisting of the interlinked considerations of formulating a question, selecting relevant theories and applying appropriate methods. The full text of the article, published in the scholarly journal Conflict Management and Peace Science , is available, free of charge, via this link .

Finally, the book Getting What You Came For (1992) by Robert Peters is not only an outstanding guide for anyone contemplating graduate school – from the application process onward – but it also includes several excellent chapters on planning and executing research, applicable across a wide variety of subject areas. It was an invaluable resource for me 25 years ago, and it remains in print with good reason; I recommend it to all my students, particularly Chapter 16 (‘The Thesis Topic: Finding It’), Chapter 17 (‘The Thesis Proposal’) and Chapter 18 (‘The Thesis: Writing It’).

Meaning and the good life

How to appreciate what you have

To better face an imperfect world, try a deeper reflection on the things, people and legacies that make your life possible

by Avram Alpert

How to use ‘possibility thinking’

Have you hit an impasse in your personal or professional life? Answer these questions to open your mind to what’s possible

by Constance de Saint Laurent & Vlad Glăveanu

The nature of reality

How to think about time

This philosopher’s introduction to the nature of time could radically alter how you see your past and imagine your future

by Graeme A Forbes

• CREd Library , Planning, Managing, and Publishing Research

Developing a Five-Year Research Plan

Cathy binger and lizbeth finestack, doi: 10.1044/cred-pvd-path006.

The following is a transcript of the presentation videos, edited for clarity.

What Is a Research Plan, and Why Do You Need One?

Presented by Cathy Binger

First we’re going to talk about what a research plan is, why it’s important to write one, and why five years—why not one year, why not ten years. So we’ll do some of those basic things, then Liza is going to get down and dirty into the nitty-gritty of “now what” how do I go about writing that research plan.

First of all, what is a research plan? I’m sure some of you have taken a stab at these already. In case you haven’t, this is a real personalized map that relates your projects to goals. It’s exactly what it sounds like, it’s a plan of how you’re going to go about doing your research. It doesn’t necessarily just include research.

It’s something that you need to put a little time and effort into in the beginning. And then, if you don’t revisit it, it’s really a useless document. It’s something that you need to come back to repeatedly, at least annually, and you need to make it visible. So it’s not a document that sits around and once a year you pull it out and look at it.

It can and should be designed, especially initially, with the help of a mentor or colleague. And it does serve multiple purposes, with different lengths and different amounts of detail.

I forgot to say, too, getting started, the slides for this talk were started using as a jumping off point Ray Kent’s talk from last year. So some of the slides we’ve borrowed from him, so many thanks to him for that.

But why do we want to do a research plan? Well, to me the big thing is the vision. Dr. Barlow talked this morning about your line of research and really knowing where you want to go, and this is where that shows up with all the nuts and bolts in place.

What do you want to accomplish? What do you want to contribute? Most of you are at the stage in your career where maybe you have started out with that you want to change the world scenario and realized that whatever you wanted your first research project to be, really, is your entire career. You need to get that down to the point where it is manageable projects that you can do—this is where you map out what those projects are and set reasonable timelines for that.

You want to really demonstrate your independent thinking and your own creativity, whatever that is that you then establish as a PhD student, postdoc, and beyond—this is where you come back to, okay, here’s how I’m going to go about achieving all of that.

This next point, learning to realistically gauge how long it takes to achieve each goal, this for most of us is a phenomenally challenging thing to do. Most of us really overestimate what we can do in a certain amount of time, and we learn the hard way that you can’t, and that’s another reason why you keep coming back to these plans repeatedly and learning over time what’s really manageable, what’s really doable, so we can still reach our goals and be very strategic about how we do that.

When you’re not strategic, you just don’t meet the goals. Your time gets sucked into so many different things. We need to be really practical and strategic.

Everything we do is going to take longer than we think.

I think this last one is something that maybe we don’t talk about enough. Really being honest with ourselves about the role of research in our lives. Not all of you are at very high-level research universities. Some of you have chosen to go elsewhere, where research maybe isn’t going to be playing the same role as it is for other people. The research plan for someone at an R One research intensive university is going to look quite different from someone who is at a primary teaching university. We need to be open and practical about that.

Getting sidetracked. I love this picture, I just found this picture the other day. This feels like my life. You can get pulled in so many different directions once you are a professor. You will get asked to do a thousand different things. There are lots of great opportunities that are out there. Especially initially, it’s tempting to say yes to all of them. But if you’re going to be productive, you have to be very strategic. I’m going to be a little bit sexist against my own sex here for a minute, but my observation has been that women tend to fall into this a little bit more than men do in wanting to say yes and be people pleasers for everything that comes down the pike.

It is a professional skill to learn how to say no. And to do that in such a way that you are not burning bridges as you go down the path. That is a critical skill if you are going to be a successful researcher. I can’t tell you how many countless people I’ve seen who are very bright, very dedicated, have the skills that it takes in terms of doing the work—but then they are not successful because they’ve gotten sidetracked and they try to be too much of a good citizen, give too much service to the department, too much “sure I’ll take on that extra class” or whatever else comes down the line.

I just spoke with a professor recently who had something like five hours a week of office hours scheduled every single week for one class. Margaret is shaking her head like “are you kidding?” That’s crazy stuff. But he wanted to really support his students. His students loved him, but he was not going to get tenure. That’s the story.

So we have to be very thoughtful and strategic, and what can help you with this, and ASHA very firmly recognizes which is why we’re here—is that your mentors in your life should be there to help you learn these skills and learn what to say yes to, and learn what to say no to. I’ve learned to say things like, “Let me check with my mentor before I agree to that.” And it gives you a way out of that. The line that I use a lot is, “Let me check with my department head” or, I just said this to somebody last week, “I just promised my department head two weeks ago that I would only do X number of external workshops this year, so I’m going to have to turn this one down.” Those are really important skills to develop.

And having that research plan in place that you can go back to and say, know what, it’s not on my plan I can’t do it. If I do it—I have to go back to my research plan and figure out what I’m going to kick off in order to review this extra paper, in order to take on this extra task. The plan also helps me to know exactly what to say no to. And to be very direct and have a very strong visual.

I actually have my research plan up on a giant whiteboard in my office, so I can always go back to that and see where I am, and I can say, “Okay, what am I going to kick off of here? Nothing. Okay, I have to say no to whatever comes up.” Just be strategic. This is where I see most beginning professors really end up taking that wrong fork in the road—taking that right instead of that left, and ending up not being the successful researcher that they wanted to be.

What evidence supports research planning? This was something Ray Kent had found. That a recent analysis had found that postdoc scholars who developed a written plan with their postdoc advisers were much more productive than those who didn’t. And your performance during a postdoc—and I know many of you have either finished your postdoc or decided not to—so more simply, just during those first six years, the decisions you make really do establish the foundation for the rest of your professional life. It’s very important to get started and get off on the right foot.

I love this quote, I just found it the other day: “Productivity is never an accident. It is always the result of a commitment to excellence, intelligent planning, and focused effort.”

What we see with productivity is that postdoc scholars who developed written productivity expectations with their advisers were more productive than those who didn’t. You see 23% more papers submitted, 30% more first-author papers, and more grant proposals as well.

So why five years? I’m going to start with number 5. It’s long enough to build a program of research, but short enough to deal with changing circumstances. That’s really the long and the short of the matter. As well as these other things as well that I won’t take the time to go through point by point.

What Should a Five-Year Plan Include?

Presented by Lizbeth Finestack

So, thinking about a five-year research plan, I like to think about it like your major “To Do List.” It’s what you’re going to accomplish in five years. Start thinking: What is going to be on my to do list?

You can also think about it like: Okay, I have research. I’ve got to do research. Maybe think about this as one big bucket, or maybe one humongous silo. I have some farm themes going on. Cathy was just on a farm, so I thought I’d tie that in.

So here’s your big silo. You can call that your research silo.

But more realistically, you need to think about it like separate buckets, separate silos, where research is just one of those. Just like Cathy indicated, there’s going to be lots of other things coming up that you’re going to have to manage. They are going to have to be on your to do list, you need to figure out how to fit everything in.

What all those other buckets or silos are, are really going to depend on your job. And maybe the size of the silos, and the size of the buckets are going to vary depending on where you are, what the expectations are at your institution.

That’s important to keep in mind, and Cathy said this too, it’s not going to be the same for everyone. The five-year plan has to be your plan, your to do list.

Here are some buckets or some silos that I have on my list and the way that I break it up, this is just one example, take it or leave it.

The first three are all very closely related, right? Thinking about grants, thinking about research, thinking about publications. I’m going to define grants as actual writing, getting the grant, getting the money.

Research is what you’re going to do once you get that money. Steps you need to take before you are getting the money. Any sorts of projects, the lab work, that’s why I have the lab picture there. Of course, publications are part of the product—what’s coming out of the research—but it also cycles in because you need publications to support that you are a researcher to apply for funding and show you have this line of research that you’ve established and you’ll be able to continue. So, those first three are really closely related. And that’s where I’ll go next. And then have teaching and service you see here at the bottom.

So thinking about research, in that broad sense. As you’re writing your five-year plan you’re going to want to think of, “What’s my long-term goal?” There’s lots of ways to think of long-term goals. You could think, before I die, this is what I want to accomplish. For me I kind of have that. My long-term goal is that I’m going to find the most effective and efficient interventions for kids with language impairment. Huge broad goal. But within that I can start narrowing it down.

Where am I within that? Within the next five years or maybe the next ten years, what is it I want to accomplish towards that goal. Then start thinking about: In order to accomplish that goal, what are the steps I need to take? Starting to break it down a little bit. Then it’s also going to be really important to think: where are you going to start? Where are you now? What do you need to have happen? And is it reasonable to accomplish this goal within five years? Is it going to take longer? Maybe you could do it in a couple years? Start thinking about the timeline that’s going to work for you.

Then thinking about your goals—and everyone’s program is going to be different, like I said, there’s going to be a lot of individual needs, preferences. So it might be the case that you have this one long-term goal that you’re aiming for. Long-term goal in the sense of, maybe, what you want to study in your R01, perhaps something like that. But in order to get to that point, you’re going to have several short-term goals that need to be accomplished.

Or maybe it’s the case that you have two long-term goals. And with each of those you’re going to have multiple short-term goals that you’re working on. Maybe the scope of each of these long-term goals is a little bit less than in that first scenario.

Start thinking about my research, what I want to do, and how it might fit into these different circumstances.

Also thinking about your goals, this is a slide from Ray Kent from last year, was thinking about the different types of projects you might want to pursue, and thinking about ones that are definitely well on your way. They are safe bets. You have some funding. They are going to lead directly into your longer-term plan.

Those are going to be your front burner—things you can easily focus on. That said, don’t put everything there.

You can also have things on the back burner. Things that really excite you, might have huge benefits, big pay. But you don’t want to spend all of your time there because they could be pretty risky.

Start thinking about where you’re putting your time. Are you putting it all on this high-risk thing that if it doesn’t pan out you’re going to be in big trouble? Or balancing that somewhat with your front burner. Making that steady progress that will lead directly to help fund an R01 or whatever the mechanism that you’re looking for.

Then, thinking about your goals—if you have multiple long-term goals, or thinking about your short-term goals, you could think about your process. Is it something where you need to do study 1 then study 2, then study 3—each of those building on each other, that’s leading to that long-term goal. In many cases, that is the case, where you have to get information from the first study which is going to lead directly to the second study and so forth.

Or is it the case that you can be working on these three short-term goals simultaneously? Spreading your resources at the same time. Maybe it will take longer for any one study, but across a longer period of time you’ll get the information that you need to reach that long-term goal.

Lots and lots of different ways to go about it. The important thing is to think about what your needs are and what makes the most sense for you.

Here’s my own little personal example. Starting over here, I have my dissertation study. My dissertation study was this early efficacy study looking at one treatment approach using novel forms that really can’t generalize to anything too useful, but it was important.

Then I did a follow up study, where I was taking that same paradigm, looking to see where kids with typical development perform on the task. So I have these two studies, and they served as my preliminary studies for an R03. So I just finished an R03 where I was looking at different treatment approaching for kids with primary language impairment. At the same time, while conducting my R03, I’m also looking at some different approaches that might help with language development. Also conducting surveys to see what current practices are.

I have these three projects going on simultaneously, that are going to lead to a bigger pilot study that are going to feed directly into my R01. All of this will serve as preliminary data to go into an R01.

Start thinking about your projects, what you have. Maybe starting with your dissertation project or work that you’re doing as a postdoc as seeing how that can feed into your long-term goal. And really utilizing it, building on it, to your benefit.

That’s all fine and dandy. You can draw these great pictures. But you still have to break it down some more. It’s not like, “Oh, I’m just going to do this project.” There are other steps involved, and lots of the time these steps are going to be just as time consuming.

Starting to think about: well, if you have the funding. Saying, “I want to do this study, but I have no money to do it.” What are the steps in order to get the money to do it? Do you have a pilot study? What do you need?

Start thinking about the resources? Do you need to develop stimuli, protocols, procedures? Start working on that. All of these can be very time consuming, and if you don’t jump on that immediately, it’s going to delay when you can start that project.

Thinking about IRB. Relationships for recruitment, if you’re working with special populations especially? Do you have necessary personnel, grad students, people to help you with the project? Do you need to train them? What’s the timeline of the study?

Start thinking about all these pieces, and how they are going to fit in that timeline.

This is one way that might help you start thinking about the resources that you need. This is online—Ray Kent had it in his talk, and when I was doing my searches I came across it too and I have the website at the end. Just different ways to think about the resources you might need.

Let’s talk about mapping it out. You have your long-term goal. You have your short-term goals. You’re breaking it down thinking about all those little steps that you need to accomplish. We gotta put it on a calendar. When is it going to happen?

This is an example—you might have your five years. Each month plugging in what are you going to accomplish by that time. Maybe it’s when are grant applications due? It’s going to be important to put those on there to go what do I need to do to make that deadline. Maybe it’s putting when you’re going to get publications out. Things like that.

Honestly, looking at this drives me a little bit crazy, it seems a bit overwhelming. But it’s important to get to these details.

This is an example from, I did Lessons for Success a few years ago and they had their format for doing your plan. I wrote out all my projects, started thinking about all the different aspects. So if something like this works for you, by all means you could use that type of procedure.

Here’s a grid that Ray Kent showed last year. We’re breaking it down by semester. Thinking about each of your semesters, what manuscripts you’re going to be working on, what data collection, your grant applications. Starting to get into some of those other buckets: course preparation, conference submissions.

We also need to include teaching and service.

You probably can’t see this very well. This is similar to that last slide Ray Kent had used last year.

I have my five year plan: what studies I want to accomplish, start thinking about breaking it down.

Then at the beginning of each semester, I fill in a grid like this. Where at the top, I have each of my buckets. I have my grant bucket, my writing bucket which is going to include publications. I also include doing article reviews in my writing bucket, because that’s my writing time. My teaching bucket, my research bucket. Then at the end, my service bucket.

At the beginning of the semester, I think about the big things I want to accomplish. I list those at the top. Then at the beginning of each month, I say, okay what are the things I’m going to accomplish this month, write those in. Then at the beginning of each week, I start looking at whether I’m dedicating any time to the things I said I was going to do that month. I start listing those out saying, this is the amount of time I’m going to spend on that. Of course, I have to take data on what I actually do, so I plug in how much time I’m spending on each of the tasks. Then I graph it, because that’s rewarding to see how much time you’re spending on things, and I get a little side-tracked sometimes.

Think about a system that will help you keep on track, to make sure you’re meeting the goals that you want to meet in terms of your research. But also getting the other things done that you need to get done in terms of teaching and service.

Discussion and Questions

Compiled from comments made during the Pathways 2014 and 2015 conferences. (Video unavailable.)

Building Flexibility into Your Five-Year Plan Comments by Ray Kent, University of Wisconsin-Madison

The five-year plan is not a contract. It’s a map or a compass. A general set of directions to help you plan ahead. It’s not even a contract with yourself, because it will inevitably be revised in some ways.

Sometimes cool things land in your lap. Very often it turns out that through serendipity or whatever else, you find opportunities that are very enticing. Some of those can be path to an entirely new line of research. Some of them can be a huge distraction and a waste of time. It’s a really cool part of science that new things come along. If we put on blinders and say, “I’m committed to my research plan,” and we don’t look to the left or the right, we’re really robbing ourselves of much of the richness of the scientific life. Science is full of surprises, and sometimes those surprises are going to appear as research projects. The problem is you don’t want to redirect all your time and resources to those until you’re really sure they are going to pay off. I personally believe, some of those high risk but really appealing projects are things you can nurse along. You can devote some time and build some collaborations – far enough to determine how realistic and viable they are. That’s important because those things can be the core of your next research program.

It’s very easy to get overcommitted. We all know people who always say “yes”—and we know those people, and they are often disappointing because they can’t get things done. It’s important to have new directions, but limit them. Don’t say, “I’m going to have 12 new directions this year.” Maybe one or two. Weigh them carefully. Talk about them with other people to get a judgment about how difficult it might be to implement them. It enriches science: not only our knowledge, but the way we acquire new knowledge. A psychologist, George Miller—this is the guy with the magic number 7 +- 2—when we interviewed him years ago at Boystown, he said, “My conviction is that everybody should be able to learn a new area of study within three months.” That’s what he thought for a scientist was a goal.

The idea is that you can learn new things. And that’s very important because when you think of it in terms of a 30-year career, how likely is it that the project that you’re undertaking at age 28 is the same project you’ll be working on at age 68? Not very likely. You’re going to be reinventing yourself as a scientist. And reinventing yourself is one of the most important things you can do, because otherwise you’re going to be dead wood. Some projects aren’t worth carrying beyond five or ten years. They have an expiration date.

Building Risk into Your Five-Year Plan Comments by Ray Kent, University of Wisconsin-Madison

Your doctoral study should generally be low-risk research. As you move into a postdoctoral fellowship, think about having two studies—one low-risk, one high-risk with a potential for high impact. At this time you can begin to play the risk factor a little bit differently.

When you are tenure-track you can have a mix of significance with low-risk and high-risk studies. And when you are tenured, then you can go for high risk, clinical trials, and collaborations. Because you have established your independence, so you do not need to worry about losing your visibility. You can be recognized as a legitimate member of the team.

As you plan your career, you should take risk into account. Just as you manage your money taking risk into account, we should manage our careers taking risk into account. I have met people who did not really think about that, and they embarked on some very risky procedures and wasted a lot of time and resources with very little to show for it. For example, don’t put everything into an untested technology basket. You want to be using state of the art technology, but you want to be sure it is going to give you what you need.

Other Formats and Uses of Your Research Plan Audience Comments

• If you do your job right with your job talk, there’s a lot of cross-pollination between your job talk and your research plan. Ideally your job talk tells your colleagues that this is the long-term plan that you have. And they shouldn’t be surprised when you submit a more detailed research plan. They should say, “okay this is very consistent with the job talk.” In my view, the job talk should be a crystal summary of the major aspects of that research program. Of course, much of the talk will be about a specific project or two—but it should always be embedded within the larger program. That helps the audience keep sight of the fact that you are looking at the program. You can say that this is one project that I’ve done, and I plan to do more of these, and this is how they are conceptually related. That’s a good example of why the research plan has multiple purposes – it can be a research statement, it can be the core of your job talk, it can be the nature of your elevator message, and it can be a version of your research plan for a K award application or R01 application or anything else of that nature.
• I think what’s useful is to actually draft your NIH biosketch. The new biosketch has a section called “contributions to science.” It’s really helpful to think about all your projects. It’s hard to start with a blank sheet of paper. But to have it in the format of a biosketch can be really helpful.

Avoiding Overcommitment Audience Comments

• One of the things that is amazing about planning is that if you put an estimate on the level of effort for each part of your plan, you’ll quickly find that you are living three or four lives. Some 300% of your time is spent. It’s helpful for those of us who might share my lack of ability to see constraints or limitations to reel it back and say, “I have a lot on my plate.” Which allows you to say no—which is not something we all do very well when it comes to those nice colleagues and those people you want to impress nationally and connect with. But it allows you to look at what’s planned and go, “I don’t know where I’d find the time to do that.” Which will hopefully help you stay on track.
• I keep a to do list, but I also keep a “to not do” list. One of the things I will keep on my plan is the maximum number of papers I will review in a year. If I hit that number in March, that’s it. I say no to every other paper that comes down the pike. That’s something to work out with your mentor as far as what’s realistic and what’s okay for you. Every time I get a request, I think, “That’s my reading and writing time, so what am I willing to give up. If it means I won’t be able to write on my own paper this week, am I willing to do this?”

Staying on Schedule with Reading, Writing, and Reviewing Audience Comments

• You have to do what works for you. Some people do wait for big blocks of time for writing—which are hard to come by. But the most important thing is to block off your time. Put it on your schedule, or it is the first thing that will get pushed aside.
• Another thing I’ve done with some of my colleagues is writing retreats. So maybe once a year, twice a year, we’ll get together. Usually we’ll go to a hotel or somewhere, and we’re just writing. It’s a great way to get a jumpstart on a project. Like, I need to sit down and start this manuscript, and you can keep going once you’ve got that momentum.
• My input would be that you really have to write all the time, every day. It’s a skill. I’ve found that if I take time off, my writing deteriorates. It’s something you need to keep up with.
• I would look at it like a savings account that you put money into on a daily, weekly, monthly basis. The flip side of writing is reading. I would read constantly, widely, and not just in the discipline. That will give you not only a breadth in terms of your understanding of your field and the world around you, but it will also give you an incentive to make your own contributions. I think we don’t talk enough about the comprehensive side to this, and being receptive to the reading. I have a book, or something, by my bedside every night. And I read that until I fall asleep every night. And it’s done me in good stead over the years.
• Reviewing articles can help advance your career, but it is something you need to weigh carefully as a draw on your time. You get a lot from it. You get to see what’s out there. You get to see what’s coming down the pipe before publication. To me that’s a huge benefit. You get to learn from other people’s writing, and that’s part of your reading you get to do. But it is time consuming. And it depends on the kinds of papers you get. Sometimes you’re lucky and sometimes you’re not.
• If someone else is reviewing your grants and your articles, at some point you owe it back. You should at least be in break-even mode. Now, pre-tenure or postdoc your mentor should be doing that or senior faculty in the department. But there are so many articles to review. I review so many articles, but I am also at the tail end of my career. The bottom line is, if you don’t put on your schedule that if you don’t put time on your schedule for reading, reviewing articles forces you to look at and think about the literature, so you can be accomplishing what you owe back to the field—and at the same time, staying one step ahead knowledge wise. It forces you to do what you should be doing all along, which is keeping up with the literature.

Further Reading: Web Resources

Golash-Boza, T. (2014). In Response to Popular Demand, More on the 5-Year Plan. The Professor Is In . Available at http://theprofessorisin.com/2014/05/09/in-response-to-popular-demand-more-on-the-5-year-plan

Kelsky, K. (2010). The Five-Year Plan for Tenure-Track Professors. Get a life, PhD . Available at http://getalifephd.blogspot.com/2010/07/five-year-plan-for-tenure-track.html

National Association of Geoscience Teachers (NAGT). (2012). Planning Worksheets . Planning your Research Program (Available from the Science Education Resource Center at Carelton College Website at http://serc.carleton.edu/).

Pfirman, S., Bell, R., Culligan, P., Balsam, P. & Laird, J. (2008) . Maximizing Productivity and Recognition , Part 3: Developing a Research Plan. Science Careers. Available at http://sciencecareers.sciencemag.org/career_magazine/previous_issues/articles/2008_10_10/caredit.a0800148

Cathy Binger University of New Mexico

Lizbeth Finestack University of Minnesota

Based on a presentation and slides originally developed by Ray Kent, University of Wisconsin-Madison.

Presented at Pathways (2015). Hosted by the American Speech-Language-Hearing Association Research Mentoring Network.

Pathways is sponsored by the National Institute on Deafness and Other Communication Disorders (NIDCD) of the National Institutes of Health (NIH) through a U24 grant awarded to ASHA.

Copyrighted Material. Reproduced by the American Speech-Language-Hearing Association in the Clinical Research Education Library with permission from the author or presenter.

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Developing the Overall Research Plan

• Market Research
• Sustainable Businesses
• Supply Chain Management
• Operations & Technology
• Business Law & Taxes
• Business Insurance
• Business Finance
• Becoming an Owner
• University of Washington
• San Jose State University
• University of California, San Diego

The market research process consists of six discrete stages or steps:

• Step 1 - Articulate the research problem and objectives
• Step 2 - Develop the overall research plan
• Step 3 – Collect the data or information
• Step 4 – Analyze the data or information
• Step 5 – Present or disseminate the findings
• Step 6 – Use the findings to make the decision

This article focuses on Step 2. Developing a research plan is a complex undertaking because it involves so many different decisions.

Designing a market research plan begins with determining the most efficacious way to  collect the information . Innovative technology has enabled research tools to move to digital environments. Still, the fundamentals haven't changed: A market researcher must determine what data sources to use, the type of research approaches to take, how to  limit distortions of the data , what research instruments to employ, how a  sampling plan should be configured, how to protect participants' privacy, and what methods will be used to  contact research participants . Another critical concern is how much it will cost to implement the research plan.

Primary vs. Secondary Data

Before the market researcher can determine what research instruments to use, a decision must be made about the data sources. A market researcher can choose to collect primary data, secondary data, or both types of information. Primary data is gathered for the first time for a particular project or a specific purpose. Secondary data exists prior to the initialization of a new research project, having been collected for another purpose.

The fresh gathering of data, using primary research constitutes the main distinction between primary data and secondary data is that freshly gathered data is associated with primary research. A common form of primary research data is syndicated research, in which a group of researchers who are interested in the same research problem commission an independent market research provider to conduct a study and share the results with the purchasing participants.

While primary data seems the preferable course, a common and prudent practice is for a market researcher to explore possible secondary sources of data to determine if they will suffice to answer research questions.  Primary data collection can be expensive. Secondary data is generally of low cost or even available for free, and it is immediately available without having to wait for a research study to be completed.

Of course, a fundamental disadvantage of secondary data is that it will generally not have been configured precisely to fulfill a research agenda. As such, secondary data may be incomplete, inaccurate, dated, or unreliable. In such cases, a market researcher will necessarily need to commit to some type of primary data collection process.

Pilot Testing

Typically, primary data collection begins with some type of pilot testing, even if it is as simple as interviewing people in groups or individually to get the feel for  how people perceive some topic or question . Then a formal research instrument is developed, pilot-tested again for problems, and then used in the field to conduct the desired research, all according to the research plan. There are four main types of research data instruments available to market researchers:

Questionnaires or Surveys

For gathering primary research data , surveys are the most commonly used of the instruments. Although  the survey instrument is flexible and relatively inexpensive, it requires careful attention during development. All surveys should be pilot tested, at least to some degree, before they are released and administered to a target sample. The forms that the questions take should be carefully considered to ensure they perform as expected and that they fit well into the survey document as a whole. Developing survey questions is both an art and a science. Fortunately, many guidelines to survey construction, administration, and scoring are available.

Psychological Tools

Three commonly used psychological tools used to collect primary data are laddering questions techniques , in-depth interviews , and Rorschach-like tests.

• Laddering questions continue to probe deeper into the perspectives and opinions of respondents. The technique is iterative so that each subsequent question is generated according to the response to the previous question. Laddering is a technique that has been widely used in creative problem-solving methods and workshops. In-depth interviewing consists of probing ever deeper into the customer experience.
• The technique of in-depth interviewing was developed by Ernest Dichter. He differentiated between  qualitative research and quantitative research, referring to the former as head shrinking and the latter as nose counting . (Needless to say, Dichter was a proponent of qualitative research .)
• An interview technique similar to that used in Rorschach testing has been developed for market research by Gerald Zaltman of Olson Zaltman Associates. The instrument is known as the Zaltman Metaphoric Elicitation Technique (ZMET) and uses metaphoric images to access the associations that consumers have with certain product types. Typically, a participant in a ZMET-based study will collect images from a wide array of pictures that have no verbal content in order to  express the associated feelings and thoughts they have with regard to a product type.

Mechanical Devices

Mechanical devices are sometimes used to measure the physiological responses of research participants to product attributes or advertisements. Generally, what is measured is interest or emotions in response to what is seen, heard, felt, or smelled. Mechanical devices used in primary research data collection include Galvanometers, eye cameras, eye gaze recorders, audiometers, and tachistoscopes that show an image or ad for a brief flash.

Qualitative Measures

Qualitative measures are becoming more common in primary research as advanced in technology support different approaches, such as online surveys enabled by SurveyMonkey. Consumers are being turned loose with sophisticated technology on which they can record their impressions of product or aspects of their consumer experience.

Some market research provider agencies even go into the homes of consumers to film their interactions with products. These videos are trimmed down to a highlight reel that is used to analyze consumer behavior. One of the primary reasons for preferring qualitative measures to surveys or interviewing is that  the expressed beliefs and intentions of consumers often fail to match their actual behavior in the realm of brand engagement or purchase decisions.

Kotler, P. (2003). Marketing Management (11th ed.). Upper Saddle River, NJ: Pearson Education, Inc., Prentice Hall.

Lehmann, D. R. Gupta, S., and Seckel, J. (1997). Market Research. Reading, MA: Addison-Wesley.

6.3 Steps in a Successful Marketing Research Plan

Learning outcomes.

By the end of this section, you will be able to:

• 1 Identify and describe the steps in a marketing research plan.
• 2 Discuss the different types of data research.
• 3 Explain how data is analyzed.
• 4 Discuss the importance of effective research reports.

Define the Problem

There are seven steps to a successful marketing research project (see Figure 6.3 ). Each step will be explained as we investigate how a marketing research project is conducted.

The first step, defining the problem, is often a realization that more information is needed in order to make a data-driven decision. Problem definition is the realization that there is an issue that needs to be addressed. An entrepreneur may be interested in opening a small business but must first define the problem that is to be investigated. A marketing research problem in this example is to discover the needs of the community and also to identify a potentially successful business venture.

Many times, researchers define a research question or objectives in this first step. Objectives of this research study could include: identify a new business that would be successful in the community in question, determine the size and composition of a target market for the business venture, and collect any relevant primary and secondary data that would support such a venture. At this point, the definition of the problem may be “Why are cat owners not buying our new cat toy subscription service?”

Additionally, during this first step we would want to investigate our target population for research. This is similar to a target market, as it is the group that comprises the population of interest for the study. In order to have a successful research outcome, the researcher should start with an understanding of the problem in the current situational environment.

Develop the Research Plan

Step two is to develop the research plan. What type of research is necessary to meet the established objectives of the first step? How will this data be collected? Additionally, what is the time frame of the research and budget to consider? If you must have information in the next week, a different plan would be implemented than in a situation where several months were allowed. These are issues that a researcher should address in order to meet the needs identified.

Research is often classified as coming from one of two types of data: primary and secondary. Primary data is unique information that is collected by the specific researcher with the current project in mind. This type of research doesn’t currently exist until it is pulled together for the project. Examples of primary data collection include survey, observation, experiment, or focus group data that is gathered for the current project.

Secondary data is any research that was completed for another purpose but can be used to help inform the research process. Secondary data comes in many forms and includes census data, journal articles, previously collected survey or focus group data of related topics, and compiled company data. Secondary data may be internal, such as the company’s sales records for a previous quarter, or external, such as an industry report of all related product sales. Syndicated data , a type of external secondary data, is available through subscription services and is utilized by many marketers. As you can see in Table 6.1 , primary and secondary data features are often opposite—the positive aspects of primary data are the negative side of secondary data.

There are four research types that can be used: exploratory, descriptive, experimental, and ethnographic research designs (see Figure 6.4 ). Each type has specific formats of data that can be collected. Qualitative research can be shared through words, descriptions, and open-ended comments. Qualitative data gives context but cannot be reduced to a statistic. Qualitative data examples are categorical and include case studies, diary accounts, interviews, focus groups, and open-ended surveys. By comparison, quantitative data is data that can be reduced to number of responses. The number of responses to each answer on a multiple-choice question is quantitative data. Quantitative data is numerical and includes things like age, income, group size, and height.

Exploratory research is usually used when additional general information in desired about a topic. When in the initial steps of a new project, understanding the landscape is essential, so exploratory research helps the researcher to learn more about the general nature of the industry. Exploratory research can be collected through focus groups, interviews, and review of secondary data. When examining an exploratory research design, the best use is when your company hopes to collect data that is generally qualitative in nature. 7

For instance, if a company is considering a new service for registered users but is not quite sure how well the new service will be received or wants to gain clarity of exactly how customers may use a future service, the company can host a focus group. Focus groups and interviews will be examined later in the chapter. The insights collected during the focus group can assist the company when designing the service, help to inform promotional campaign options, and verify that the service is going to be a viable option for the company.

Descriptive research design takes a bigger step into collection of data through primary research complemented by secondary data. Descriptive research helps explain the market situation and define an “opinion, attitude, or behavior” of a group of consumers, employees, or other interested groups. 8 The most common method of deploying a descriptive research design is through the use of a survey. Several types of surveys will be defined later in this chapter. Descriptive data is quantitative in nature, meaning the data can be distilled into a statistic, such as in a table or chart.

Again, descriptive data is helpful in explaining the current situation. In the opening example of LEGO , the company wanted to describe the situation regarding children’s use of its product. In order to gather a large group of opinions, a survey was created. The data that was collected through this survey allowed the company to measure the existing perceptions of parents so that alterations could be made to future plans for the company.

Experimental research , also known as causal research , helps to define a cause-and-effect relationship between two or more factors. This type of research goes beyond a correlation to determine which feature caused the reaction. Researchers generally use some type of experimental design to determine a causal relationship. An example is A/B testing, a situation where one group of research participants, group A, is exposed to one treatment and then compared to the group B participants, who experience a different situation. An example might be showing two different television commercials to a panel of consumers and then measuring the difference in perception of the product. Another example would be to have two separate packaging options available in different markets. This research would answer the question “Does one design sell better than the other?” Comparing that to the sales in each market would be part of a causal research study. 9

The final method of collecting data is through an ethnographic design. Ethnographic research is conducted in the field by watching people interact in their natural environment. For marketing research, ethnographic designs help to identify how a product is used, what actions are included in a selection, or how the consumer interacts with the product. 10

Examples of ethnographic research would be to observe how a consumer uses a particular product, such as baking soda. Although many people buy baking soda, its uses are vast. So are they using it as a refrigerator deodorizer, a toothpaste, to polish a belt buckle, or to use in baking a cake?

Select the Data Collection Method

Data collection is the systematic gathering of information that addresses the identified problem. What is the best method to do that? Picking the right method of collecting data requires that the researcher understand the target population and the design picked in the previous step. There is no perfect method; each method has both advantages and disadvantages, so it’s essential that the researcher understand the target population of the research and the research objectives in order to pick the best option.

Sometimes the data desired is best collected by watching the actions of consumers. For instance, how many cars pass a specific billboard in a day? What website led a potential customer to the company’s website? When are consumers most likely to use the snack vending machines at work? What time of day has the highest traffic on a social media post? What is the most streamed television program this week? Observational research is the collecting of data based on actions taken by those observed. Many data observations do not require the researched individuals to participate in the data collection effort to be highly valuable. Some observation requires an individual to watch and record the activities of the target population through personal observations .

Unobtrusive observation happens when those being observed aren’t aware that they are being watched. An example of an unobtrusive observation would be to watch how shoppers interact with a new stuffed animal display by using a one-way mirror. Marketers can identify which products were handled more often while also determining which were ignored.

Other methods can use technology to collect the data instead. Instances of mechanical observation include the use of vehicle recorders, which count the number of vehicles that pass a specific location. Computers can also assess the number of shoppers who enter a store, the most popular entry point for train station commuters, or the peak time for cars to park in a parking garage.

When you want to get a more in-depth response from research participants, one method is to complete a one-on-one interview . One-on-one interviews allow the researcher to ask specific questions that match the respondent’s unique perspective as well as follow-up questions that piggyback on responses already completed. An interview allows the researcher to have a deeper understanding of the needs of the respondent, which is another strength of this type of data collection. The downside of personal interviews it that a discussion can be very time-consuming and results in only one respondent’s answers. Therefore, in order to get a large sample of respondents, the interview method may not be the most efficient method.

Taking the benefits of an interview and applying them to a small group of people is the design of a focus group . A focus group is a small number of people, usually 8 to 12, who meet the sample requirements. These individuals together are asked a series of questions where they are encouraged to build upon each other’s responses, either by agreeing or disagreeing with the other group members. Focus groups are similar to interviews in that they allow the researcher, through a moderator, to get more detailed information from a small group of potential customers (see Figure 6.5 ).

Link to Learning

Focus groups.

Focus groups are a common method for gathering insights into consumer thinking and habits. Companies will use this information to develop or shift their initiatives. The best way to understand a focus group is to watch a few examples or explanations. TED-Ed has this video that explains how focus groups work.

You might be asking when it is best to use a focus group or a survey. Learn the differences, the pros and cons of each, and the specific types of questions you ask in both situations in this article .

Preparing for a focus group is critical to success. It requires knowing the material and questions while also managing the group of people. Watch this video to learn more about how to prepare for a focus group and the types of things to be aware of.

One of the benefits of a focus group over individual interviews is that synergy can be generated when a participant builds on another’s ideas. Additionally, for the same amount of time, a researcher can hear from multiple respondents instead of just one. 11 Of course, as with every method of data collection, there are downsides to a focus group as well. Focus groups have the potential to be overwhelmed by one or two aggressive personalities, and the format can discourage more reserved individuals from speaking up. Finally, like interviews, the responses in a focus group are qualitative in nature and are difficult to distill into an easy statistic or two.

Combining a variety of questions on one instrument is called a survey or questionnaire . Collecting primary data is commonly done through surveys due to their versatility. A survey allows the researcher to ask the same set of questions of a large group of respondents. Response rates of surveys are calculated by dividing the number of surveys completed by the total number attempted. Surveys are flexible and can collect a variety of quantitative and qualitative data. Questions can include simplified yes or no questions, select all that apply, questions that are on a scale, or a variety of open-ended types of questions. There are four types of surveys (see Table 6.2 ) we will cover, each with strengths and weaknesses defined.

Let’s start off with mailed surveys —surveys that are sent to potential respondents through a mail service. Mailed surveys used to be more commonly used due to the ability to reach every household. In some instances, a mailed survey is still the best way to collect data. For example, every 10 years the United States conducts a census of its population (see Figure 6.6 ). The first step in that data collection is to send every household a survey through the US Postal Service (USPS). The benefit is that respondents can complete and return the survey at their convenience. The downside of mailed surveys are expense and timeliness of responses. A mailed survey requires postage, both when it is sent to the recipient and when it is returned. That, along with the cost of printing, paper, and both sending and return envelopes, adds up quickly. Additionally, physically mailing surveys takes time. One method of reducing cost is to send with bulk-rate postage, but that slows down the delivery of the survey. Also, because of the convenience to the respondent, completed surveys may be returned several weeks after being sent. Finally, some mailed survey data must be manually entered into the analysis software, which can cause delays or issues due to entry errors.

Phone surveys are completed during a phone conversation with the respondent. Although the traditional phone survey requires a data collector to talk with the participant, current technology allows for computer-assisted voice surveys or surveys to be completed by asking the respondent to push a specific button for each potential answer. Phone surveys are time intensive but allow the respondent to ask questions and the surveyor to request additional information or clarification on a question if warranted. Phone surveys require the respondent to complete the survey simultaneously with the collector, which is a limitation as there are restrictions for when phone calls are allowed. According to Telephone Consumer Protection Act , approved by Congress in 1991, no calls can be made prior to 8:00 a.m. or after 9:00 p.m. in the recipient’s time zone. 12 Many restrictions are outlined in this original legislation and have been added to since due to ever-changing technology.

In-person surveys are when the respondent and data collector are physically in the same location. In-person surveys allow the respondent to share specific information, ask questions of the surveyor, and follow up on previous answers. Surveys collected through this method can take place in a variety of ways: through door-to-door collection, in a public location, or at a person’s workplace. Although in-person surveys are time intensive and require more labor to collect data than some other methods, in some cases it’s the best way to collect the required data. In-person surveys conducted through a door-to-door method is the follow-up used for the census if respondents do not complete the mailed survey. One of the downsides of in-person surveys is the reluctance of potential respondents to stop their current activity and answer questions. Furthermore, people may not feel comfortable sharing private or personal information during a face-to-face conversation.

Electronic surveys are sent or collected through digital means and is an opportunity that can be added to any of the above methods as well as some new delivery options. Surveys can be sent through email, and respondents can either reply to the email or open a hyperlink to an online survey (see Figure 6.7 ). Additionally, a letter can be mailed that asks members of the survey sample to log in to a website rather than to return a mailed response. Many marketers now use links, QR codes, or electronic devices to easily connect to a survey. Digitally collected data has the benefit of being less time intensive and is often a more economical way to gather and input responses than more manual methods. A survey that could take months to collect through the mail can be completed within a week through digital means.

Design the Sample

Although you might want to include every possible person who matches your target market in your research, it’s often not a feasible option, nor is it of value. If you did decide to include everyone, you would be completing a census of the population. Getting everyone to participate would be time-consuming and highly expensive, so instead marketers use a sample , whereby a portion of the whole is included in the research. It’s similar to the samples you might receive at the grocery store or ice cream shop; it isn’t a full serving, but it does give you a good taste of what the whole would be like.

So how do you know who should be included in the sample? Researchers identify parameters for their studies, called sample frames . A sample frame for one study may be college students who live on campus; for another study, it may be retired people in Dallas, Texas, or small-business owners who have fewer than 10 employees. The individual entities within the sampling frame would be considered a sampling unit . A sampling unit is each individual respondent that would be considered as matching the sample frame established by the research. If a researcher wants businesses to participate in a study, then businesses would be the sampling unit in that case.

The number of sampling units included in the research is the sample size . Many calculations can be conducted to indicate what the correct size of the sample should be. Issues to consider are the size of the population, the confidence level that the data represents the entire population, the ease of accessing the units in the frame, and the budget allocated for the research.

There are two main categories of samples: probability and nonprobability (see Figure 6.8 ). Probability samples are those in which every member of the sample has an identified likelihood of being selected. Several probability sample methods can be utilized. One probability sampling technique is called a simple random sample , where not only does every person have an identified likelihood of being selected to be in the sample, but every person also has an equal chance of exclusion. An example of a simple random sample would be to put the names of all members of a group into a hat and simply draw out a specific number to be included. You could say a raffle would be a good example of a simple random sample.

Another probability sample type is a stratified random sample , where the population is divided into groups by category and then a random sample of each category is selected to participate. For instance, if you were conducting a study of college students from your school and wanted to make sure you had all grade levels included, you might take the names of all students and split them into different groups by grade level—freshman, sophomore, junior, and senior. Then, from those categories, you would draw names out of each of the pools, or strata.

A nonprobability sample is a situation in which each potential member of the sample has an unknown likelihood of being selected in the sample. Research findings that are from a nonprobability sample cannot be applied beyond the sample. Several examples of nonprobability sampling are available to researchers and include two that we will look at more closely: convenience sampling and judgment sampling.

The first nonprobability sampling technique is a convenience sample . Just like it sounds, a convenience sample is when the researcher finds a group through a nonscientific method by picking potential research participants in a convenient manner. An example might be to ask other students in a class you are taking to complete a survey that you are doing for a class assignment or passing out surveys at a basketball game or theater performance.

A judgment sample is a type of nonprobability sample that allows the researcher to determine if they believe the individual meets the criteria set for the sample frame to complete the research. For instance, you may be interested in researching mothers, so you sit outside a toy store and ask an individual who is carrying a baby to participate.

Collect the Data

Now that all the plans have been established, the instrument has been created, and the group of participants has been identified, it is time to start collecting data. As explained earlier in this chapter, data collection is the process of gathering information from a variety of sources that will satisfy the research objectives defined in step one. Data collection can be as simple as sending out an email with a survey link enclosed or as complex as an experiment with hundreds of consumers. The method of collection directly influences the length of this process. Conducting personal interviews or completing an experiment, as previously mentioned, can add weeks or months to the research process, whereas sending out an electronic survey may allow a researcher to collect the necessary data in a few days. 13

Analyze and Interpret the Data

Once the data has been collected, the process of analyzing it may begin. Data analysis is the distillation of the information into a more understandable and actionable format. The analysis itself can take many forms, from the use of basic statistics to a more comprehensive data visualization process. First, let’s discuss some basic statistics that can be used to represent data.

The first is the mean of quantitative data. A mean is often defined as the arithmetic average of values. The formula is:

A common use of the mean calculation is with exam scores. Say, for example, you have earned the following scores on your marketing exams: 72, 85, 68, and 77. To find the mean, you would add up the four scores for a total of 302. Then, in order to generate a mean, that number needs to be divided by the number of exam scores included, which is 4. The mean would be 302 divided by 4, for a mean test score of 75.5. Understanding the mean can help to determine, with one number, the weight of a particular value.

Another commonly used statistic is median. The median is often referred to as the middle number. To generate a median, all the numeric answers are placed in order, and the middle number is the median. Median is a common statistic when identifying the income level of a specific geographic region. 14 For instance, the median household income for Albuquerque, New Mexico, between 2015 and 2019 was $52,911. 15 In this case, there are just as many people with an income above the amount as there are below.

Mode is another statistic that is used to represent data of all types, as it can be used with quantitative or qualitative data and represents the most frequent answer. Eye color, hair color, and vehicle color can all be presented with a mode statistic. Additionally, some researchers expand on the concept of mode and present the frequency of all responses, not just identifying the most common response. Data such as this can easily be presented in a frequency graph, 16 such as the one in Figure 6.9 .

Additionally, researchers use other analyses to represent the data rather than to present the entirety of each response. For example, maybe the relationship between two values is important to understand. In this case, the researcher may share the data as a cross tabulation (see Figure 6.10 ). Below is the same data as above regarding social media use cross tabulated with gender—as you can see, the data is more descriptive when you can distinguish between the gender identifiers and how much time is spent per day on social media.

Not all data can be presented in a graphical format due to the nature of the information. Sometimes with qualitative methods of data collection, the responses cannot be distilled into a simple statistic or graph. In that case, the use of quotations, otherwise known as verbatims , can be used. These are direct statements presented by the respondents. Often you will see a verbatim statement when reading a movie or book review. The critic’s statements are used in part or in whole to represent their feelings about the newly released item.

Infographics

As they say, a picture is worth a thousand words. For this reason, research results are often shown in a graphical format in which data can be taken in quickly, called an infographic .

Check out this infographic on what components make for a good infographic. As you can see, a good infographic needs four components: data, design, a story, and the ability to share it with others. Without all four pieces, it is not as valuable a resource as it could be. The ultimate infographic is represented as the intersection of all four.

Infographics are particularly advantageous online. Refer to this infographic on why they are beneficial to use online .

Prepare the Research Report

The marketing research process concludes by sharing the generated data and makes recommendations for future actions. What starts as simple data must be interpreted into an analysis. All information gathered should be conveyed in order to make decisions for future marketing actions. One item that is often part of the final step is to discuss areas that may have been missed with the current project or any area of further study identified while completing it. Without the final step of the marketing research project, the first six steps are without value. It is only after the information is shared, through a formal presentation or report, that those recommendations can be implemented and improvements made. The first six steps are used to generate information, while the last is to initiate action. During this last step is also when an evaluation of the process is conducted. If this research were to be completed again, how would we do it differently? Did the right questions get answered with the survey questions posed to the respondents? Follow-up on some of these key questions can lead to additional research, a different study, or further analysis of data collected.

Methods of Quantifying Marketing Research

One of the ways of sharing information gained through marketing research is to quantify the research . Quantifying the research means to take a variety of data and compile into a quantity that is more easily understood. This is a simple process if you want to know how many people attended a basketball game, but if you want to quantify the number of students who made a positive comment on a questionnaire, it can be a little more complicated. Researchers have a variety of methods to collect and then share these different scores. Below are some of the most common types used in business.

Is a customer aware of a product, brand, or company? What is meant by awareness? Awareness in the context of marketing research is when a consumer is familiar with the product, brand, or company. It does not assume that the consumer has tried the product or has purchased it. Consumers are just aware. That is a measure that many businesses find valuable. There are several ways to measure awareness. For instance, the first type of awareness is unaided awareness . This type of awareness is when no prompts for a product, brand, or company are given. If you were collecting information on fast-food restaurants, you might ask a respondent to list all the fast-food restaurants that serve a chicken sandwich. Aided awareness would be providing a list of products, brands, or companies and the respondent selects from the list. For instance, if you give a respondent a list of fast-food restaurants and ask them to mark all the locations with a chicken sandwich, you are collecting data through an aided method. Collecting these answers helps a company determine how the business location compares to those of its competitors. 17

Customer Satisfaction (CSAT)

Have you ever been asked to complete a survey at the end of a purchase? Many businesses complete research on buying, returning, or other customer service processes. A customer satisfaction score , also known as CSAT, is a measure of how satisfied customers are with the product, brand, or service. A CSAT score is usually on a scale of 0 to 100 percent. 18 But what constitutes a “good” CSAT score? Although what is identified as good can vary by industry, normally anything in the range from 75 to 85 would be considered good. Of course, a number higher than 85 would be considered exceptional. 19

Customer Acquisition Cost (CAC) and Customer Effort Score (CES)

Other metrics often used are a customer acquisition cost (CAC) and customer effort score (CES). How much does it cost a company to gain customers? That’s the purpose of calculating the customer acquisition cost. To calculate the customer acquisition cost , a company would need to total all expenses that were accrued to gain new customers. This would include any advertising, public relations, social media postings, etc. When a total cost is determined, it is divided by the number of new customers gained through this campaign.

The final score to discuss is the customer effort score , also known as a CES. The CES is a “survey used to measure the ease of service experience with an organization.” 20 Companies that are easy to work with have a better CES than a company that is notorious for being difficult. An example would be to ask a consumer about the ease of making a purchase online by incorporating a one-question survey after a purchase is confirmed. If a number of responses come back negative or slightly negative, the company will realize that it needs to investigate and develop a more user-friendly process.

Knowledge Check

It’s time to check your knowledge on the concepts presented in this section. Refer to the Answer Key at the end of the book for feedback.

• Defining the problem
• Developing the research plan
• Selecting a data collection method
• Designing the sample
• you are able to send it to all households in an area
• it is inexpensive
• responses are automatically loaded into the software
• the data comes in quickly
• Primary data
• Secondary data
• Secondary and primary data
• Professional data
• It shows how respondents answered two variables in relation to each other and can help determine patterns by different groups of respondents.
• By presenting the data in the form of a picture, the information is easier for the reader to understand.
• It is an easy way to see how often one answer is selected by the respondents.
• This analysis can used to present interview or focus group data.

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Access for free at https://openstax.org/books/principles-marketing/pages/1-unit-introduction

• Authors: Dr. Maria Gomez Albrecht, Dr. Mark Green, Linda Hoffman
• Publisher/website: OpenStax
• Book title: Principles of Marketing
• Publication date: Jan 25, 2023
• Location: Houston, Texas
• Book URL: https://openstax.org/books/principles-marketing/pages/1-unit-introduction
• Section URL: https://openstax.org/books/principles-marketing/pages/6-3-steps-in-a-successful-marketing-research-plan

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Part 1. Overview Information

National Institutes of Health ( NIH )

National Heart, Lung, and Blood Institute ( NHLBI )

National Institute on Aging ( NIA )

National Institute on Alcohol Abuse and Alcoholism ( NIAAA )

National Institute of Allergy and Infectious Diseases ( NIAID )

National Institute of Arthritis and Musculoskeletal and Skin Diseases ( NIAMS )

February 14, 2024 - Participation Added ( N0T-HD-24-007 ) Eunice Kennedy Shriver National Institute of Child and Human Development ( NICHD )

National Institute on Deafness and Other Communication Disorders ( NIDCD )

National Institute of Dental and Craniofacial Research ( NIDCR )

National Institute on Drug Abuse ( NIDA )

National Institute of Environmental Health Sciences ( NIEHS )

National Institute of General Medical Sciences ( NIGMS )

National Institute of Mental Health ( NIMH )

National Institute of Nursing Research ( NINR )

National Center for Advancing Translational Sciences ( NCATS )

National Center of Complementary and Integrative Health ( NCCIH )

All applications to this funding opportunity announcement should fall within the mission of the Institutes/Centers. The following NIH Offices may co-fund applications assigned to those Institutes/Centers.

Division of Program Coordination, Planning and Strategic Initiatives, Office of Disease Prevention ( ODP )

Office of Research on Women's Health ( ORWH )

UC2 High Impact Research and Research Infrastructure Cooperative Agreement Programs

• March 20, 2024 - Notice of Informational Webinar for PAR-23-144, STrengthening Research Opportunities for NIH Grants (STRONG): Structured Institutional Needs Assessment and Action Plan Development for Resource Limited Institutions (RLIs) (UC2 - Clinical Trial Not Allowed). See Notice NOT-MD-24-011
• February 14, 2024 - Notice of NICHD Participation in PAR-23-144 "Strengthening Research Opportunities for NIH Grants (STRONG): Structured Institutional Needs Assessment and Action Plan Development for Resource Limited Institutions"). See Notice NOT-HD-24-007
• August 31, 2023 - Notice of Correction to Eligibility Criteria of PAR-23-144, STrengthening Research Opportunities for NIH Grants (STRONG): Structured Institutional Needs Assessment and Action Plan Development for Resource Limited Institutions (RLIs) (UC2). See Notice NOT-MD-23-018
• May 12, 2023 - Notice of Participation of the NIAAA in PAR-23-144. See Notice NOT-AA-23-012 .
• April 25, 2023 - Notice of NCCIH Participation in PAR-23-144, "STrengthening Research Opportunities for NIH Grants (STRONG): Structured Institutional Needs Assessment and Action Plan Development for Resource Limited Institutions (RLIs) (UC2 - Clinical Trial Not Allowed). See Notice NOT-AT-24-004
• August 5, 2022 - Implementation Details for the NIH Data Management and Sharing Policy - see Notice NOT-OD-22-189 .
• August 8, 2022 - New NIH "FORMS-H" Grant Application Forms and Instructions Coming for Due Dates on or after January 25, 2023 - See Notice NOT-OD-22-195 .
• August 31, 2022 - Implementation Changes for Genomic Data Sharing Plans Included with Applications Due on or after January 25, 2023 - See Notice NOT-OD-22-198 .

See Section III. 3. Additional Information on Eligibility .

The STrengthening Research Opportunities for NIH Grants (STRONG): The STRONG-RLI program will support research capacity needs assessments by eligible Resource-Limited Institutions (RLIs). The program will also support the recipient institutions to use the results of the assessments to develop action plans for how to meet the identified needs.

RLIs are defined as institutions with a mission to serve historically underrepresented populations in biomedical research that award degrees in the health professions (and in STEM fields and social and behavioral sciences) and have received an average of $0 to $25 million per year (total costs) of NIH Research Project Grant (RPG) support for the past three fiscal years.

August 18, 2023

All applications are due by 5:00 PM local time of applicant organization.

Applicants are encouraged to apply early to allow adequate time to make any corrections to errors found in the application during the submission process by the due date.

Not Applicable

It is critical that applicants follow the instructions in the Research (R) Instructions in the SF424 (R&R) Application Guide , except where instructed to do otherwise (in this NOFO or in a Notice from NIH Guide for Grants and Contracts).

Conformance to all requirements (both in the Application Guide and the NOFO) is required and strictly enforced. Applicants must read and follow all application instructions in the Application Guide as well as any program-specific instructions noted in Section IV . When the program-specific instructions deviate from those in the Application Guide, follow the program-specific instructions.

Applications that do not comply with these instructions may be delayed or not accepted for review.

There are several options available to submit your application through Grants.gov to NIH and Department of Health and Human Services partners. You must use one of these submission options to access the application forms for this opportunity.

• Use the NIH ASSIST system to prepare, submit and track your application online.
• Use an institutional system-to-system (S2S) solution to prepare and submit your application to Grants.gov and eRA Commons to track your application. Check with your institutional officials regarding availability.
• Use Grants.gov Workspace to prepare and submit your application and eRA Commons to track your application.

Part 2. Full Text of Announcement

Section i. notice of funding opportunity description.

Purpose: The purpose of the STRONG-RLI Notice of Funding Opportunity (NOFO) is to invite applications to conduct biomedical research capacity needs assessments by Resource-Limited Institutions (RLIs) and then to use the results of the assessments to create action plans for meeting identified needs. The program’s goal is to increase competitiveness in the biomedical research enterprise and foster institutional environments conducive to research career development. Awards are intended to support RLIs in analyzing their institutional research capacity needs and strengths. Resource-Limited Institutions (RLIs) are defined for this NOFO as institutions with a mission to serve historically underrepresented populations in biomedical research that award degrees in the health professions or the sciences related to health, in STEM fields including social and behavioral sciences, and have received an average of $0 to $25 million (total costs) per year of NIH research project grant (RPG) support for the past three fiscal years (as defined in Section III -Eligibility).

Background:

NIH’s ability to help ensure that the nation remains a global leader in scientific discovery and innovation is dependent upon a pool of highly talented scientists from diverse backgrounds who will help to further NIH's mission (see NOT-OD-20-031 ). NIH recognizes the importance of diversity in biomedical, clinical, behavioral, and social sciences (collectively termed "biomedical") research. This includes the diversification of NIH-funded institutions, where researchers with a wide range of skill sets and viewpoints can bring different perspectives, creativity, and individual enterprise to address complex scientific problems.

RLIs, as defined below, play an important role in supporting scientific research, particularly on diseases or conditions that disproportionately impact racial ethnic minority groups and other U.S. populations that experience health disparities. Although these institutions are uniquely positioned to engage underserved populations in research and in the translation of research advances into culturally competent, measurable and sustained improvements in health outcomes, they may benefit from enhancing their capacity to conduct and sustain cutting-edge health-related research.

NIH is committed to assisting RLIs in building institutional research capacity. Scientists at RLIs are critical to advancing knowledge in the biomedical research enterprise. NIH has many programs designed to support researchers at RLIs and broaden the participation of researchers through inclusive excellence across regions, institutions, and demographic groups. The role of RLIs in the nation’s overall competitiveness in research is integrally related to current resources, departmental and disciplinary strengths and capabilities, and campus research support systems and infrastructure. It is critical that RLIs recognize and utilize their research and organizational capabilities so they can leverage existing strengths and develop strategic approaches in areas that require additional attention. Structured needs assessments to examine research and organizational capabilities can offer metrics for short-term/long-term action plans. These assessments will enable institutions to develop benchmarks and action items to increase their competitiveness for NIH, Federal, and other funding opportunities.

RLIs face unique challenges depending on the institution type, resources, infrastructure, and policies as they seek to acquire NIH or other federal agency funding. The areas at RLIs that need to be identified and addressed to reduce the barriers to scientific advancement and increase independent research funding can best be determined by the institution itself. A fundamental principle for organizational development and change is the use of a structured assessment to understand these barriers.

This Funding Opportunity will provide resources to the institutions to 1) conduct the assessment of research infrastructure and other requirements that will enhance administrative and research resources, institutional policies, and expanded opportunities for faculty and students in the biomedical research enterprise; and 2) Use the results of these institutional assessments to develop action plans that will support the conduct of high-quality biomedical research.

Program Objectives:

The purpose of this NIH-wide initiative, STRONG-RLI, is to support research active RLIs to;1. conduct rigorous research capacity needs assessments.2. use the results of the assessments to develop action plans for how to meet the identified needs.

Because of the significant variability in the types of RLIs, two separate categories have been created for this initiative. Please refer to Section III for eligibility criteria for RLIs.

The two categories of research active RLIs are defined in Section III of the NOFO:

1) Low Research Active (LRA) : An RLI that is an undergraduate or graduate degree granting institution and has had less than six million dollars (total costs) in NIH research project grant (RPG) support per year in three of the last five years. In addition, undergraduate granting institutions must have at least 35% of undergraduate students supported by Pell grants.

2) High Research Active (HRA) : An RLI that grants doctoral degrees and has had between six million and 25 million dollars (total costs) in NIH RPG support per year in three of the last five years.

Both LRA and HRA RLIs must have a historical mission to support underrepresented groups in biomedical sciences. Each institution should describe the specific category into which they fit and provide documentation to verify those requirements.

Each RLI will provide details on how they plan to conduct their needs assessments and create/use/adapt/ instruments to study research capacity at the institution. Please note that institutional climate or culture assessment is not a priority for this funding announcement.

As part of the funding announcement , the recipient institutions are expected to use the results of needs assessments to develop action plans for short term and long term goals, to meet the identified needs . Applicants are encouraged to provide detailed approaches for conducting the needs assessment and action plan development. The action plan should include identification of possible sources of funding for increasing research capacity. The implementation of the action plan is beyond the scope of this funding opportunity.

A. Institutional Needs-Assessment for research capacity

NIH recognizes and values the heterogeneity in institutional settings and the students they serve. Applicants must describe their distinctive biomedical research and research training environment and the current services to support them.

Applicants for this needs assessment can use any available tools, or adapt existing tools, to fit their context and needs.

B. Development of Institutional Action Plans

• After completion of the needs assessment, the recipient institutions are expected to develop an action plan. The Institutional Action Plan for research capacity is intended to serve as a roadmap for enhancing the infrastructure and capacity at the applicant institution.
• The outcomes of the needs assessment should determine the capacity building interventions that the institution can undertake to strengthen the institutional framework and research capacity. The Institutional Action Plan that will be developed is expected to be supported by an institutional leader, e.g., the Provost or President (see Letters of Support).

C. Needs assessment topics may include (but are not limited to):

The institution will determine the needs assessment foci but may include broad categories such as administrative/research/student/faculty.

Administrative topics may include -

• Establishing or enhancing the Office of Sponsored Programs (OSP), examining efficiencies and staffing requirements and personnel needs for administrative support
• Available resources for effective business practices, automation, information dissemination, documentation and tracking progress for research activities,
• Process management and process improvement for grant application, grant award, and grant administration.

Research topics may include-

• Research infrastructure may include physical research facilities, lab equipment, and computing resources, core facility for technology, support staff, professional development, laboratories. Appropriate physical research facilities and skilled research support to enable competitiveness.
• Research readiness in areas, such as basic, behavioral or clinical research, grantsmanship support, seminars and workshops for grant writing, for sharing research ideas to enhance knowledge in the field. Potential and current scientific research areas of interest.
• Capacity to conduct Human Subjects Research
• Capacity for Community Engagement research
• Partnerships/ collaboration with other academic institutions, the public sector, and community-based organizations that are sustainable and equitable

Student and faculty topics may include-

• Training needs, Mentoring/Sponsorship, faculty development.
• Student resources for research, support for research experiences, and for post-bac and graduate career progression in biomedical research and in STEM topics
• Research staff recruitment and benefits packages, retention bonuses,
• Faculty teaching workloads that allow time for research pursuits, and department/college-based research staff and administrative support
• Institutional policies for assessment of teaching versus research assignments and support
• Tenure evaluations of faculty services for research, committee, community engagement, etc., protected time for research program development

Technical Assistance Webinar:

NIH will conduct a Technical Assistance Webinar for prospective applicants on July 21st from 2-3.30pm EST. Please join the webinar using the link below:

Join Zoom Meeting https://nih.zoomgov.com/j/1614627302?pwd=RmVXc0RjWjV2WTZsUzd1WmFSWU1NZz09&from=addon Meeting ID: 161 462 7302 Passcode: 919936 One tap mobile +16692545252,,1614627302#,,,,*919936# US (San Jose) +16468287666,,1614627302#,,,,*919936# US (New York)

See Section VIII. Other Information for award authorities and regulations.

Section II. Award Information

Cooperative Agreement: A support mechanism used when there will be substantial Federal scientific or programmatic involvement. Substantial involvement means that, after award, NIH scientific or program staff will assist, guide, coordinate, or participate in project activities. See Section VI.2 for additional information about the substantial involvement for this FOA.

The OER Glossary and the SF424 (R&R) Application Guide provide details on these application types. Only those application types listed here are allowed for this NOFO.

Not Allowed: Only accepting applications that do not propose clinical trials.

Need help determining whether you are doing a clinical trial?

The number of awards is contingent upon NIH appropriations and the submission of a sufficient number of meritorious applications.

Application budgets for direct costs should not exceed $250,000/year.

The scope of the proposed project should determine the project period. The maximum project period is three years

NIH grants policies as described in the NIH Grants Policy Statement will apply to the applications submitted and awards made from this NOFO.

Section III. Eligibility Information

1. Eligible Applicants

Higher Education Institutions

• Public/State Controlled Institutions of Higher Education
• Private Institutions of Higher Education

The following types of Higher Education Institutions are always encouraged to apply for NIH support as Public or Private Institutions of Higher Education:

• Hispanic-serving Institutions
• Historically Black Colleges and Universities (HBCUs)
• Tribally Controlled Colleges and Universities (TCCUs)
• Alaska Native and Native Hawaiian Serving Institutions
• Asian American Native American Pacific Islander Serving Institutions (AANAPISIs)

For this funding opportunity, an applicant must be a Resource-Limited Institution (RLI), defined as an institution with a mission to serve historically underrepresented populations that awards degrees in the health professions (and related sciences) and has received an average of $0 to $25 million per year (total costs) of NIH Research Project Grants (RPG) support for the past three fiscal years.

A mission to serve historically underrepresented populations may be demonstrated by a documented historical and current mission to educate students from any of the populations that have been identified as underrepresented in biomedical research as defined by the National Science Foundation NSF, see http://www.nsf.gov/statistics/wmpd/ ) (i.e., African Americans or Blacks, Hispanic or Latino Americans, American Indians, Alaska Natives, Native Hawaiians, U.S. Pacific Islanders, and persons with disabilities) or by a documented record of recruiting, training and/or educating, and graduating underrepresented students as defined by NSF (see above), which has resulted in increasing the institution's contribution to the national pool of graduates from underrepresented backgrounds who pursue biomedical research careers.

RLIs, as defined above, are classified into the following two categories for this opportunity:

Institutional letters will attest to the category of the institution whether they are LRA or HRA and provide information to verify which can be included as an attachment.

Non-domestic (non-U.S.) Entities (Foreign Institutions) are not eligible to apply.

Non-domestic (non-U.S.) components of U.S. Organizations are not eligible to apply.

Foreign components, as defined in the NIH Grants Policy Statement , are not allowed.

Applicant Organizations

Applicant organizations must complete and maintain the following registrations as described in the SF 424 (R&R) Application Guide to be eligible to apply for or receive an award. All registrations must be completed prior to the application being submitted. Registration can take 6 weeks or more, so applicants should begin the registration process as soon as possible. The NIH Policy on Late Submission of Grant Applications states that failure to complete registrations in advance of a due date is not a valid reason for a late submission.

• NATO Commercial and Government Entity (NCAGE) Code Foreign organizations must obtain an NCAGE code (in lieu of a CAGE code) in order to register in SAM.
• Unique Entity Identifier (UEI)- A UEI is issued as part of the SAM.gov registration process. The same UEI must be used for all registrations, as well as on the grant application.
• eRA Commons - Once the unique organization identifier is established, organizations can register with eRA Commons in tandem with completing their Grants.gov registrations; all registrations must be in place by time of submission. eRA Commons requires organizations to identify at least one Signing Official (SO) and at least one Program Director/Principal Investigator (PD/PI) account in order to submit an application.
• Grants.gov Applicants must have an active SAM registration in order to complete the Grants.gov registration.

Program Directors/Principal Investigators (PD(s)/PI(s))

All PD(s)/PI(s) must have an eRA Commons account. PD(s)/PI(s) should work with their organizational officials to either create a new account or to affiliate their existing account with the applicant organization in eRA Commons. If the PD/PI is also the organizational Signing Official, they must have two distinct eRA Commons accounts, one for each role. Obtaining an eRA Commons account can take up to 2 weeks.

Any individual(s) with the skills, knowledge, and resources necessary to carry out the proposed research as the Program Director(s)/Principal Investigator(s) (PD(s)/PI(s)) is invited to work with their organization to develop an application for support. Individuals from diverse backgrounds, including underrepresented racial and ethnic groups, individuals with disabilities, and women are always encouraged to apply for NIH support. See, Reminder: Notice of NIH's Encouragement of Applications Supporting Individuals from Underrepresented Ethnic and Racial Groups as well as Individuals with Disabilities , NOT-OD-22-019 .

For institutions/organizations proposing multiple PDs/PIs, visit the Multiple Program Director/Principal Investigator Policy and submission details in the Senior/Key Person Profile (Expanded) Component of the SF424 (R&R) Application Guide.

2. Cost Sharing

This NOFO does not require cost sharing as defined in the NIH Grants Policy Statement.

3. Additional Information on Eligibility

Number of Applications

Only one application per institution (normally identified by having a unique UEI or NIH IPF number) is allowed

The NIH will not accept duplicate or highly overlapping applications under review at the same time, per 2.3.7.4 Submission of Resubmission Application . This means that the NIH will not accept:

• A new (A0) application that is submitted before issuance of the summary statement from the review of an overlapping new (A0) or resubmission (A1) application.
• A resubmission (A1) application that is submitted before issuance of the summary statement from the review of the previous new (A0) application.
• An application that has substantial overlap with another application pending appeal of initial peer review (see 2.3.9.4 Similar, Essentially Identical, or Identical Applications ).

Only one application per institution (normally identified by having a unique UEI number or NIH IPF number) is allowed.

Section IV. Application and Submission Information

1. Requesting an Application Package

The application forms package specific to this opportunity must be accessed through ASSIST, Grants.gov Workspace or an institutional system-to-system solution. Links to apply using ASSIST or Grants.gov Workspace are available in Part 1 of this NOFO. See your administrative office for instructions if you plan to use an institutional system-to-system solution.

2. Content and Form of Application Submission

It is critical that applicants follow the instructions in the Research (R) Instructions in the SF424 (R&R) Application Guide except where instructed in this notice of funding opportunity to do otherwise. Conformance to the requirements in the Application Guide is required and strictly enforced. Applications that are out of compliance with these instructions may be delayed or not accepted for review.

Letter of Intent

Although a letter of intent is not required, is not binding, and does not enter into the review of a subsequent application, the information that it contains allows IC staff to estimate the potential review workload and plan the review.

By the date listed in Part 1. Overview Information , prospective applicants are asked to submit a letter of intent that includes the following information:

• Descriptive title of proposed activity
• Name(s), address(es), and telephone number(s) of the PD(s)/PI(s)
• Names of other key personnel
• Participating institution(s)
• Number and title of this funding opportunity

The letter of intent should be sent to:

Yujing Liu, MD, PhD National Institute on Minority Health and Health Disparities (NIMHD) Telephone: 301-827-7815 Email: [email protected]

Page Limitations

All page limitations described in the SF424 Application Guide and the Table of Page Limits must be followed.

The following section supplements the instructions found in the SF424 (R&R) Application Guide and should be used for preparing an application to this NOFO.

SF424(R&R) Cover

All instructions in the SF424 (R&R) Application Guide must be followed.

SF424(R&R) Project/Performance Site Locations

SF424(R&R) Other Project Information

SF424(R&R) Senior/Key Person Profile

All instructions in the SF424 (R&R) Application Guide must be followed, with the following additional instructions:

Travel costs for attending any in-person meetings and STRONG Executive Steering Committee (SESC) meetings must be included.

Funds may not be used for:

• Research infrastructure (such as laboratory supplies, laboratory equipment)
• Alterations or renovations
• Research projects or pilot projects

R&R Subaward Budget

PHS 398 Cover Page Supplement

PHS 398 Research Plan

Research Strategy:

Significance

Explain the needs for institutional research capacity and importance of the problem or critical barrier to progress that the proposed project addresses. Describe the benefits if the proposed aims are achieved with respect to enhanced biomedical research capacity.

Applicants should address the innovative aspects of the proposed needs assessment plans for research capacity. For this program, innovation is considered the use of existing products, tools or processes or creating or adapting evidence-based tools to fit the context and needs of the institutions.

A. Institutional Needs-Assessment for research capacity section describe:

• Physical research facility, research faculty support from institution, faculty teaching workload, human resources, Sponsored program
• Applicant must describe current methods of measuring student/faculty outcomes to take into consideration institutional missions, faculty investment, student populations, student needs, and institutional resource constraints.
• Tools and instruments for needs assessment, monitoring and evaluation of health research capacity development activities at the individual and organizational level
• The types of research facilities available for biomedical research and research training.
• The needs for research infrastructure to conduct biomedical, behavioral or clinical research, potential and current scientific research areas of interest.
• List and describe the outcomes of any capacity-building or infrastructure grants the institution has received over the past ten years, including the source and total costs of each award.
• The investigative team and their relevant expertise in conducting a needs assessment
• Student enrollment in the biomedical areas, including the number and percentage of undergraduate and graduate students, and the enrollment of students who are Pell-grant eligible (for LRA applications); and
• The current level of student and faculty participation in research.
• Describe the sponsored programs administration and how it will inform the needs assessment. The types of services provided by the existing sponsored projects administration (or similar entity). Current levels of sponsored programs productivity (e.g., number of applications submitted, number of applications funded, number of subcontracts).

Describe the approaches for developing an Institutional Action Plan after completing needs assessment for research capacity. The Institutional Action Plan for research capacity is intended to serve as a roadmap for enhancing the infrastructure and capacity at the applicant institution. This section of the application should describe steps that will be undertaken to ensure identified needs assessment activities lead to action plans for the long-term strengthening of research capacity. It must include an institutional commitment to achieving the goals and objectives of the proposed project and activities signed by institutional leadership (e.g., President, Provost, and Deans (see Letters of Support).

C. Governance and structure of steering committees

The Steering Committee (SC) will serve as the primary governing and oversight board for the cooperative agreement funded under this NOFO.

• Describe the composition and the activities of the steering committee. Describe the desired expertise of its members. Include the frequency of meetings and any other relevant information.
• The membership of the SC consists of the PD(s)/PI(s), the NIH Project Coordinator, and any additional stake holders deemed necessary.

Timeline and Milestones:

Describe the timeline for the needs assessment and action plan activities. The timeline should be realistic given the time needed to develop the approaches/tools and collect the proposed data. Describe how the program goals/aims will be aligned with milestones and metrics.

Letters of Support: Provide letters of support for the proposed needs assessment activities following instructions in the SF424 Application Guide.

A. Institutional Eligibility Letter (1-page maximum). S ubmit a letter from the Provost or similar official with institution-wide responsibility that certify that the applicant organization qualifies as one of the following two categories of research active RLI specified in this NOFO:

A mission to serve historically underrepresented populations may be demonstrated by a documented historical and current mission to educate students from underrepresented populations in biomedical research.

The two categories of research active RLIs are:

1) Low Research Active (LRA): An RLI that is an undergraduate or graduate degree granting institution, with at least 35% of undergraduate students supported by Pell grants, and that has had less than six million dollars in NIH research project grant (RPG) support per year in three of the last five years.

2) High Research Active (HRA): An RLI that grants doctoral degrees and has had less than 25 million dollars in NIH RPG support in three of the last five years.

B. Institutional Commitment Letter. The application must include an Institutional Commitment Letter from the President or designated high-ranking official such as the Provost, Vice President or Dean. Describe how the proposed project aligns with the broad institutional vision for enhancing biomedical research. The letter should include a commitment to achieving the goals and objectives of the proposed project and activities.

The letters of support must be included with the application. Applications which lack this letter will be considered incomplete and will be withdrawn and will not be reviewed.

Resource Sharing Plan : Individuals are required to comply with the instructions for the Resource Sharing Plans as provided in the SF424 (R&R) Application Guide.

The following modifications also apply:

Generally, Resource Sharing Plans are expected, but they are not applicable for this FOA.

• A Data Management and Sharing Plan is not applicable for this NOFO.

Appendix: Only limited Appendix materials are allowed. Follow all instructions for the Appendix as described in the SF424 (R&R) Application Guide.

• No publications or other material, with the exception of blank questionnaires or blank surveys, may be included in the Appendix.

PHS Human Subjects and Clinical Trials Information

When involving human subjects research, clinical research, and/or NIH-defined clinical trials (and when applicable, clinical trials research experience) follow all instructions for the PHS Human Subjects and Clinical Trials Information form in the SF424 (R&R) Application Guide, with the following additional instructions:

If you answered Yes to the question Are Human Subjects Involved? on the R&R Other Project Information form, you must include at least one human subjects study record using the Study Record: PHS Human Subjects and Clinical Trials Information form or Delayed Onset Study record.

Study Record: PHS Human Subjects and Clinical Trials Information

Delayed Onset Study

Note: Delayed onset does NOT apply to a study that can be described but will not start immediately (i.e., delayed start).All instructions in the SF424 (R&R) Application Guide must be followed.

PHS Assignment Request Form

3. Unique Entity Identifier and System for Award Management (SAM)

See Part 1. Section III.1 for information regarding the requirement for obtaining a unique entity identifier and for completing and maintaining active registrations in System for Award Management (SAM), NATO Commercial and Government Entity (NCAGE) Code (if applicable), eRA Commons, and Grants.gov

4. Submission Dates and Times

Part I. Overview Information contains information about Key Dates and times. Applicants are encouraged to submit applications before the due date to ensure they have time to make any application corrections that might be necessary for successful submission. When a submission date falls on a weekend or Federal holiday , the application deadline is automatically extended to the next business day.

Organizations must submit applications to Grants.gov (the online portal to find and apply for grants across all Federal agencies). Applicants must then complete the submission process by tracking the status of the application in the eRA Commons , NIH’s electronic system for grants administration. NIH and Grants.gov systems check the application against many of the application instructions upon submission. Errors must be corrected and a changed/corrected application must be submitted to Grants.gov on or before the application due date and time. If a Changed/Corrected application is submitted after the deadline, the application will be considered late. Applications that miss the due date and time are subjected to the NIH Policy on Late Application Submission.

Applicants are responsible for viewing their application before the due date in the eRA Commons to ensure accurate and successful submission.

Information on the submission process and a definition of on-time submission are provided in the SF424 (R&R) Application Guide.

5. Intergovernmental Review (E.O. 12372)

This initiative is not subject to intergovernmental review.

6. Funding Restrictions

All NIH awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement .

Pre-award costs are allowable only as described in the NIH Grants Policy Statement .

7. Other Submission Requirements and Information

Applications must be submitted electronically following the instructions described in the SF424 (R&R) Application Guide. Paper applications will not be accepted.

Applicants must complete all required registrations before the application due date. Section III. Eligibility Information contains information about registration.

For assistance with your electronic application or for more information on the electronic submission process, visit How to Apply Application Guide . If you encounter a system issue beyond your control that threatens your ability to complete the submission process on-time, you must follow the Dealing with System Issues guidance. For assistance with application submission, contact the Application Submission Contacts in Section VII.

Important reminders:

All PD(s)/PI(s) must include their eRA Commons ID in the Credential field of the Senior/Key Person Profile form . Failure to register in the Commons and to include a valid PD/PI Commons ID in the credential field will prevent the successful submission of an electronic application to NIH. See Section III of this NOFO for information on registration requirements.

The applicant organization must ensure that the unique entity identifier provided on the application is the same identifier used in the organization’s profile in the eRA Commons and for the System for Award Management. Additional information may be found in the SF424 (R&R) Application Guide.

See more tips for avoiding common errors.

Upon receipt, applications will be evaluated for completeness and compliance with application instructions by the Center for Scientific Review, NIH. Applications that are incomplete or non-compliant will not be reviewed.

In order to expedite review, applicants are requested to notify the NIMHD Referral Office by email at [email protected] when the application has been submitted. Please include the NOFO number and title, PD/PI name, and title of the application.

Post Submission Materials

Applicants are required to follow the instructions for post-submission materials, as described in the policy

Section V. Application Review Information

1. Criteria

Only the review criteria described below will be considered in the review process. Applications submitted to the NIH in support of the NIH mission are evaluated for scientific and technical merit through the NIH peer review system.

Reviewers will provide an overall impact score to reflect their assessment of the likelihood for the project to exert a sustained, powerful influence on the research field(s) involved, in consideration of the following review criteria and additional review criteria (as applicable for the project proposed).

Reviewers will consider each of the review criteria below in the determination of scientific merit and give a separate score for each. An application does not need to be strong in all categories to be judged likely to have major scientific impact. For example, a project that by its nature is not innovative may be essential to advance a field.

Does the project address an important problem or a critical barrier to progress in the field? Is the prior research that serves as the key support for the proposed project rigorous? If the aims of the project are achieved, how will scientific knowledge, technical capability, and/or clinical practice be improved? How will successful completion of the aims change the concepts, methods, technologies, treatments, services, or preventative interventions that drive this field?

In addition, specific to this NOFO:

How well does the application provide a vision for how the project will serve as a foundation for future research capacity building? To what degree the application describes clear pathways between the need assessment and action plan development research activities and future research efforts? To what extent is the proposed project likely to enhance institutional research capacity to conduct biomedical research?

Are the PD(s)/PI(s), collaborators, and other researchers well suited to the project? If Early Stage Investigators or those in the early stages of independent careers, do they have appropriate experience and training? If established, have they demonstrated an ongoing record of accomplishments that have advanced their field(s)? If the project is collaborative or multi-PD/PI, do the investigators have complementary and integrated expertise; are their leadership approach, governance, and organizational structure appropriate for the project?

To what extent do the PDs/PIs have the appropriate expertise to conduct the needs assessment, implement the proposed project, analyze the outcomes, and develop action plans?

Does the application challenge and seek to shift current research or clinical practice paradigms by utilizing novel theoretical concepts, approaches or methodologies, instrumentation, or interventions? Are the concepts, approaches or methodologies, instrumentation, or interventions novel to one field of research or novel in a broad sense? Is a refinement, improvement, or new application of theoretical concepts, approaches or methodologies, instrumentation, or interventions proposed?

How well does the applicant create approaches to fit their context and needs? Does the application employ novel approaches or methods to fulfill its purpose?

Are the overall strategy, methodology, and analyses well-reasoned and appropriate to accomplish the specific aims of the project? Have the investigators included plans to address weaknesses in the rigor of prior research that serves as the key support for the proposed project? Have the investigators presented strategies to ensure a robust and unbiased approach, as appropriate for the work proposed? Are potential problems, alternative strategies, and benchmarks for success presented? If the project is in the early stages of development, will the strategy establish feasibility and will particularly risky aspects be managed? Have the investigators presented adequate plans to address relevant biological variables, such as sex, for studies in vertebrate animals or human subjects?

If the project involves human subjects and/or NIH-defined clinical research, are the plans to address 1) the protection of human subjects from research risks, and 2) inclusion (or exclusion) of individuals on the basis of sex/gender, race, and ethnicity, as well as the inclusion or exclusion of individuals of all ages (including children and older adults), justified in terms of the scientific goals and research strategy proposed?

To what extent does the applicant describe the tools and instruments for needs assessment, monitoring and evaluation of research capacity development activities? To what degree does the applicant identify metrics and indicators of success that will be used to assess the anticipated outcomes? Is the duration of the initial needs assessment stage adequate to develop action plans for short-term goals? To what degree isthe structure and governance plan likely to lead to implementation of the proposed plan? Are these goals feasible and well developed on the timeline of the award? How well are the program goals/aims aligned with yearly milestones and are the details provided adequate?

Will the scientific environment in which the work will be done contribute to the probability of success? Are the institutional support, equipment, and other physical resources available to the investigators adequate for the project proposed? Will the project benefit from unique features of the scientific environment, subject populations, or collaborative arrangements?

How strong is the level of institutional commitment to the project, including administrative and scientific support, to ensure the success of the project?

How well do the letters of support demonstrate a strong commitment to the proposed activities?

As applicable for the project proposed, reviewers will evaluate the following additional items while determining scientific and technical merit, and in providing an overall impact score, but will not give separate scores for these items.

For research that involves human subjects but does not involve one of the categories of research that are exempt under 45 CFR Part 46, the committee will evaluate the justification for involvement of human subjects and the proposed protections from research risk relating to their participation according to the following five review criteria: 1) risk to subjects, 2) adequacy of protection against risks, 3) potential benefits to the subjects and others, 4) importance of the knowledge to be gained, and 5) data and safety monitoring for clinical trials.

For research that involves human subjects and meets the criteria for one or more of the categories of research that are exempt under 45 CFR Part 46, the committee will evaluate: 1) the justification for the exemption, 2) human subjects involvement and characteristics, and 3) sources of materials. For additional information on review of the Human Subjects section, please refer to the Guidelines for the Review of Human Subjects .

When the proposed project involves human subjects and/or NIH-defined clinical research, the committee will evaluate the proposed plans for the inclusion (or exclusion) of individuals on the basis of sex/gender, race, and ethnicity, as well as the inclusion (or exclusion) of individuals of all ages (including children and older adults) to determine if it is justified in terms of the scientific goals and research strategy proposed. For additional information on review of the Inclusion section, please refer to the Guidelines for the Review of Inclusion in Clinical Research .

The committee will evaluate the involvement of live vertebrate animals as part of the scientific assessment according to the following criteria: (1) description of proposed procedures involving animals, including species, strains, ages, sex, and total number to be used; (2) justifications for the use of animals versus alternative models and for the appropriateness of the species proposed; (3) interventions to minimize discomfort, distress, pain and injury; and (4) justification for euthanasia method if NOT consistent with the AVMA Guidelines for the Euthanasia of Animals. Reviewers will assess the use of chimpanzees as they would any other application proposing the use of vertebrate animals. For additional information on review of the Vertebrate Animals section, please refer to the Worksheet for Review of the Vertebrate Animals Section .

Reviewers will assess whether materials or procedures proposed are potentially hazardous to research personnel and/or the environment, and if needed, determine whether adequate protection is proposed.

For Resubmissions, the committee will evaluate the application as now presented, taking into consideration the responses to comments from the previous scientific review group and changes made to the project.

Not applicable

As applicable for the project proposed, reviewers will consider each of the following items, but will not give scores for these items, and should not consider them in providing an overall impact score.

Reviewers will assess whether the project presents special opportunities for furthering research programs through the use of unusual talent, resources, populations, or environmental conditions that exist in other countries and either are not readily available in the United States or augment existing U.S. resources.

Reviewers will assess the information provided in this section of the application, including 1) the Select Agent(s) to be used in the proposed research, 2) the registration status of all entities where Select Agent(s) will be used, 3) the procedures that will be used to monitor possession use and transfer of Select Agent(s), and 4) plans for appropriate biosafety, biocontainment, and security of the Select Agent(s).

Reviewers will comment on whether the Resource Sharing Plan(s) (e.g., Sharing Model Organisms ) or the rationale for not sharing the resources, is reasonable.

For projects involving key biological and/or chemical resources, reviewers will comment on the brief plans proposed for identifying and ensuring the validity of those resources.

Reviewers will consider whether the budget and the requested period of support are fully justified and reasonable in relation to the proposed research.

2. Review and Selection Process

Applications will be evaluated for scientific and technical merit by (an) appropriate Scientific Review Group(s) convened by NIMHD, in accordance with NIH peer review policy and procedures , using the stated review criteria . Assignment to a Scientific Review Group will be shown in the eRA Commons.

As part of the scientific peer review, all applications will receive a written critique.

Applications may undergo a selection process in which only those applications deemed to have the highest scientific and technical merit (generally the top half of applications under review) will be discussed and assigned an overall impact score.

Applications will be assigned on the basis of established PHS referral guidelines to the appropriate NIH Institute or Center. Applications will compete for available funds with all other recommended applications . Following initial peer review, recommended applications will receive a second level of review by the appropriate national Advisory Council or Board. The following will be considered in making funding decisions:

• Scientific and technical merit of the proposed project as determined by scientific peer review.
• Availability of funds.
• Relevance of the proposed project to program priorities.
• Geographical distribution of the portfolio
• Balance between HRA and LRA awards

3. Anticipated Announcement and Award Dates

After the peer review of the application is completed, the PD/PI will be able to access his or her Summary Statement (written critique) via the eRA Commons . Refer to Part 1 for dates for peer review, advisory council review, and earliest start date.

Information regarding the disposition of applications is available in the NIH Grants Policy Statement .

Section VI. Award Administration Information

1. Award Notices

If the application is under consideration for funding, NIH will request "just-in-time" information from the applicant as described in the NIH Grants Policy Statement .

A formal notification in the form of a Notice of Award (NoA) will be provided to the applicant organization for successful applications. The NoA signed by the grants management officer is the authorizing document and will be sent via email to the recipient's business official.

Recipients must comply with any funding restrictions described in Section IV.6. Funding Restrictions. Selection of an application for award is not an authorization to begin performance. Any costs incurred before receipt of the NoA are at the recipient's risk. These costs may be reimbursed only to the extent considered allowable pre-award costs.

Any application awarded in response to this NOFO will be subject to terms and conditions found on the Award Conditions and Information for NIH Grants website. This includes any recent legislation and policy applicable to awards that is highlighted on this website.

Institutional Review Board or Independent Ethics Committee Approval: Recipient institutions must ensure that protocols are reviewed by their IRB or IEC. To help ensure the safety of participants enrolled in NIH-funded studies, the recipient must provide NIH copies of documents related to all major changes in the status of ongoing protocols.

2. Administrative and National Policy Requirements

All NIH grant and cooperative agreement awards include the NIH Grants Policy Statement as part of the NoA. For these terms of award, see the NIH Grants Policy Statement Part II: Terms and Conditions of NIH Grant Awards, Subpart A: General and Part II: Terms and Conditions of NIH Grant Awards, Subpart B: Terms and Conditions for Specific Types of Grants, Recipients, and Activities , including of note, but not limited to:

• Federal wide Research Terms and Conditions
• Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment
• Acknowledgment of Federal Funding

If a recipient is successful and receives a Notice of Award, in accepting the award, the recipient agrees that any activities under the award are subject to all provisions currently in effect or implemented during the period of the award, other Department regulations and policies in effect at the time of the award, and applicable statutory provisions.

Should the applicant organization successfully compete for an award, recipients of federal financial assistance (FFA) from HHS will be required to complete an HHS Assurance of Compliance form (HHS 690) in which the recipient agrees, as a term and condition of receiving the grant, to administer their programs in compliance with federal civil rights laws that prohibit discrimination on the basis of race, color, national origin, age, sex and disability, and agreeing to comply with federal conscience laws, where applicable. This includes ensuring that entities take meaningful steps to provide meaningful access to persons with limited English proficiency; and ensuring effective communication with persons with disabilities. Where applicable, Title XI and Section 1557 prohibit discrimination on the basis of sexual orientation, and gender identity. The HHS Office for Civil Rights provides guidance on complying with civil rights laws enforced by HHS. Please see https://www.hhs.gov/civil-rights/for-providers/provider-obligations/index.html and https://www.hhs.gov/civil-rights/for-individuals/nondiscrimination/index.html

HHS recognizes that research projects are often limited in scope for many reasons that are nondiscriminatory, such as the principal investigator’s scientific interest, funding limitations, recruitment requirements, and other considerations. Thus, criteria in research protocols that target or exclude certain populations are warranted where nondiscriminatory justifications establish that such criteria are appropriate with respect to the health or safety of the subjects, the scientific study design, or the purpose of the research. For additional guidance regarding how the provisions apply to NIH grant programs, please contact the Scientific/Research Contact that is identified in Section VII under Agency Contacts of this NOFO.

• Recipients of FFA must ensure that their programs are accessible to persons with limited English proficiency. For guidance on meeting the legal obligation to take reasonable steps to ensure meaningful access to programs or activities by limited English proficient individuals see https://www.hhs.gov/civil-rights/for-individuals/special-topics/limited-english-proficiency/fact-sheet-guidance/index.html and https://www.lep.gov .
• For information on an institution’s specific legal obligations for serving qualified individuals with disabilities, including providing program access, reasonable modifications, and to provide effective communication, see https://www.hhs.gov/civil-rights/for-individuals/disability/index.html .
• HHS funded health and education programs must be administered in an environment free of sexual harassment, see https://www.hhs.gov/civil-rights/for-individuals/sex-discrimination/index.html . For information about NIH's commitment to supporting a safe and respectful work environment, who to contact with questions or concerns, and what NIH's expectations are for institutions and the individuals supported on NIH-funded awards, please see https://grants.nih.gov/grants/policy/harassment.htm .
• For guidance on administering programs in compliance with applicable federal religious nondiscrimination laws and applicable federal conscience protection and associated anti-discrimination laws see https://www.hhs.gov/conscience/conscience-protections/index.html and https://www.hhs.gov/conscience/religious-freedom/index.html .

Please contact the HHS Office for Civil Rights for more information about obligations and prohibitions under federal civil rights laws at https://www.hhs.gov/ocr/about-us/contact-us/index.html or call 1-800-368-1019 or TDD 1-800-537-7697.

In accordance with the statutory provisions contained in Section 872 of the Duncan Hunter National Defense Authorization Act of Fiscal Year 2009 (Public Law 110-417), NIH awards will be subject to the Federal Awardee Performance and Integrity Information System (FAPIIS) requirements. FAPIIS requires Federal award making officials to review and consider information about an applicant in the designated integrity and performance system (currently FAPIIS) prior to making an award. An applicant, at its option, may review information in the designated integrity and performance systems accessible through FAPIIS and comment on any information about itself that a federal agency previously entered and is currently in FAPIIS. The Federal awarding agency will consider any comments by the applicant, in addition to other information in FAPIIS, in making a judgement about the applicant’s integrity, business ethics, and record of performance under Federal awards when completing the review of risk posed by applicants as described in 45 CFR Part 75.205 and 2 CFR Part 200.206 Federal awarding agency review of risk posed by applicants. This provision will apply to all NIH grants and cooperative agreements except fellowships.

The following special terms of award are in addition to, and not in lieu of, otherwise applicable U.S. Office of Management and Budget (OMB) administrative guidelines, U.S. Department of Health and Human Services (DHHS) grant administration regulations at 45 CFR Part 75 and 2 CFR Part 200, and other HHS, PHS, and NIH grant administration policies. The administrative and funding instrument used for this program will continue as a cooperative agreement, an "assistance" mechanism (rather than an "acquisition" mechanism), in which substantial NIH programmatic involvement with the recipients is anticipated during the performance of the activities. Under the cooperative agreement, the NIH purpose is to support and stimulate the recipients' activities by involvement in and otherwise working jointly with the award recipients in a partnership role; it is not to assume direction, prime responsibility, or a dominant role in the activities. Consistent with this concept, the dominant role and prime responsibility resides with the recipients for the project as a whole, although specific tasks and activities may be shared among the recipients and the NIH as defined below.

The individual STRONG-RLI recipients will establish steering committees at their institutions with defined roles.

In addition, the PIs of the STRONG-RLI awards and involved NIH staff, and others as needed (ex-officio), will form a STRONG-RLI Executive Steering Committee (SESC) which will oversee the activities of the STRONG-RLI program recipients. There will be a yearly rotating chair of the SESC who will be nominated and selected from the PIs of the awards.

The PDs/PIs will have the primary responsibility for:

• Plan, organize, coordinate, and administer the described activities of the program, including setting project milestones with specific timelines and criteria for Institutional needs assessment and developing action plans.
• Establish Steering Committee, organize, and coordinate SESC meetings
• Ensure compliance with the applicable mandatory NIH regulations and policies
• Participate in the STRONG SESC meetings is a requirement for the PI/PDs.The purpose of the meeting is to share progress, best practices, and address common challenges.
• Work closely with the NIH Program Official and Project Coordinator (see below) in project coordination and management.
• Establish a separate site specific steering committee that will comprise of PI, institute leadership and NIH staff
• Evaluate progress using defined milestones and metrics. Recipients will provide NIH with progress reports at regular intervals as requested.
• Share needs assessment and action plan with the NIH during the award period.
• Recipients will retain custody of and have primary rights to the data and software developed under these awards, subject to Government rights of access consistent with current DHHS, PHS, and NIH policies.

NIH staff will have substantial programmatic involvement that is above and beyond the normal stewardship role in awards, as described below:

The NIH Project Coordinator will :

Work closely with individual PIs and NIH program officials (POs) to facilitate collaborations.

• Interact with each recipient, help coordinate approaches, and contribute to the adjustment of projects/programs or approaches as warranted.
• Advise the recipient in performing project activities (e.g., coordination among RLI recipients for needs assessments; provide access to NIH supported resources; identify other resources for the project);
• Facilitate, not direct, activities.
• Participate on the Steering Committee (see below) or in other functions to help guide the course of the program (e.g., Annual Program Meeting and other Program related meetings).
• Ensure that the directions taken are consistent with the NIH missions and goals.

The Project Coordinator will not participate in the oversight of the funding opportunity announcement, application review, or programmatic and budgetary stewardship of the award.

The Program Official will be responsible for the normal programmatic stewardship of the award, including funding decisions, and will be named in the award notice. The Program Official will not serve as a voting member of the Steering Committee or partake of the duties of the Project Coordinator.

Areas of joint responsibility

The SECS is the governing and oversight body for the Program. Members, who are appointed by the PDs/PIs of the award, will be comprised of the following:

• The PI of each award will serve as the SESC member.
• NIH Project Coordinators.
• Additional members from the NIH may be appointed, but the total number of NIH votes may not exceed 1/3 of the Executive Steering Committee voting membership. Other government staff may attend the Steering Committee meetings, if their expertise is required for specific discussions.
• Each recipient must plan regular meetings (no less frequently than monthly) to discuss the progress and direction of its activities and to ensure that the necessary interactions are taking place. Recipients will be expected to participate in STRONG RLI program-wide meetings. These meetings may be in the form of phone teleconferencing, videoconferencing, and/or web conferencing, as well as face-to-face meetings. Unwillingness or a consistent inability of a PD/PI to attend may be the basis for administrative action including termination of the award.

The SESC will:

• Serve as the primary steering and oversight board for the awards funded under this NOFO.
• Decide on the schedule of regular and annual meetings. The Executive Steering Committee may also call meetings to address urgent needs and will participate in network meetings and teleconferences as needed.
• Contribute to the development of a cohesive and sustainable program.
• Provide advice on key issues such as needs assessment administration, approaches, and tools for research capacity, and opportunities for growth.
• Ensure that the implementation of the Institutional Needs Assessments and Development of Sustainable Action Plan is occurring on schedule and continues to align with the applicant institution's strategic vision for biomedical research and/or research training.
• Alert NIH to emerging needs and impediments.
• Prepare concise (1-2 page) summaries of the Executive Steering Committee recommendations, which will be delivered to the PDs/PIs and members of the group within 30 days after each meeting.

Dispute Resolution:

Any disagreements that may arise in scientific or programmatic matters (within the scope of the award) between award recipients and the NIH may be brought to dispute resolution. A Dispute Resolution Panel composed of three members will be convened. The three members will be a designee of the STRONG Executive Steering Committee chosen without NIH staff voting, one NIH designee, and a third designee with expertise in the relevant area who is chosen by the other two. In the case of individual disagreement, the first member may be chosen by the individual recipient. This special dispute resolution procedure does not alter the recipient's right to appeal an adverse action that is otherwise appealable in accordance with PHS regulation 42 CFR Part 50, Subpart D and DHHS regulation 45 CFR Part 16.

The NIH reserves the right to withhold funding or curtail the program (of an individual award) in accordance with NIH policy.

3. Data Management and Sharing

Note: The NIH Policy for Data Management and Sharing is effective for due dates on or after January 25, 2023.

Consistent with the NIH Policy for Data Management and Sharing, when data management and sharing is applicable to the award, recipients will be required to adhere to the Data Management and Sharing requirements as outlined in the NIH Grants Policy Statement . Upon the approval of a Data Management and Sharing Plan, it is required for recipients to implement the plan as described.

4. Reporting

When multiple years are involved, recipients will be required to submit the Research Performance Progress Report (RPPR) annually and financial statements as required in the NIH Grants Policy Statement.

A final RPPR, invention statement, and the expenditure data portion of the Federal Financial Report are required for closeout of an award, as described in the NIH Grants Policy Statement . NIH NOFOs outline intended research goals and objectives. Post award, NIH will review and measure performance based on the details and outcomes that are shared within the RPPR, as described at 45 CFR Part 75.301 and 2 CFR Part 200.301.

The Federal Funding Accountability and Transparency Act of 2006 (Transparency Act), includes a requirement for recipients of Federal grants to report information about first-tier subawards and executive compensation under Federal assistance awards issued in FY2011 or later. All recipients of applicable NIH grants and cooperative agreements are required to report to the Federal Subaward Reporting System (FSRS) available at www.fsrs.gov on all subawards over the threshold. See the NIH Grants Policy Statement for additional information on this reporting requirement.

In accordance with the regulatory requirements provided at 45 CFR 75.113 and 2 CFR Part 200.113 and Appendix XII to 45 CFR Part 75 and 2 CFR Part 200, recipients that have currently active Federal grants, cooperative agreements, and procurement contracts from all Federal awarding agencies with a cumulative total value greater than $10,000,000 for any period of time during the period of performance of a Federal award, must report and maintain the currency of information reported in the System for Award Management (SAM) about civil, criminal, and administrative proceedings in connection with the award or performance of a Federal award that reached final disposition within the most recent five-year period. The recipient must also make semiannual disclosures regarding such proceedings. Proceedings information will be made publicly available in the designated integrity and performance system (currently FAPIIS). This is a statutory requirement under section 872 of Public Law 110-417, as amended (41 U.S.C. 2313). As required by section 3010 of Public Law 111-212, all information posted in the designated integrity and performance system on or after April 15, 2011, except past performance reviews required for Federal procurement contracts, will be publicly available. Full reporting requirements and procedures are found in Appendix XII to 45 CFR Part 75 and 2 CFR Part 200 Award Term and Condition for Recipient Integrity and Performance Matters.

Section VII. Agency Contacts

We encourage inquiries concerning this funding opportunity and welcome the opportunity to answer questions from potential applicants.

eRA Service Desk (Questions regarding ASSIST, eRA Commons, application errors and warnings, documenting system problems that threaten submission by the due date, and post-submission issues)

Finding Help Online: https://www.era.nih.gov/need-help (preferred method of contact) Telephone: 301-402-7469 or 866-504-9552 (Toll Free)

General Grants Information (Questions regarding application instructions, application processes, and NIH grant resources) Email: [email protected] (preferred method of contact) Telephone: 301-480-7075

Grants.gov Customer Support (Questions regarding Grants.gov registration and Workspace) Contact Center Telephone: 800-518-4726 Email: [email protected]

Brett Miller, PhD Eunice Kennedy Shriver National Institute of Child Health and Human Development (NICHD) Telephone: 301-496-9849 Email: [email protected]

Rina Das, PhD. National Institute on Minority Health and Health Disparities (NIMHD) Telephone: 301-496-3996 Email: [email protected]

Behrous Davani, PhD. National Cancer Institute (NCI) Telephone: 240-276-6170 Email: [email protected]

Olga Kovbasnjuk, Ph.D. National Institutes of General Medical Sciences (NIGMS) E-mail: [email protected]

Kristopher Bough, PhD National Institute of Nursing Research (NINR) Telephone: 301-337-1372 Email: [email protected]

Anissa F Brown, PhD NIDCR - NATIONAL INSTITUTE OF DENTAL & CRANIOFACIAL RESEARCH Phone: 301-594-5006 E-mail: [email protected]

Melissa C. Green Parker, Ph.D. Office of Disease Prevention (ODP) Phone: 301-480-1161 E-mail: [email protected]

Erica K Rosemond NCATS - NATIONAL CENTER FOR ADVANCING TRANSLATIONAL SCIENCES Phone: (301) 594-8927 E-mail: [email protected]

Kristy M. Nicks, PhD National Institute of Arthritis and Musculoskeletal and Skin Diseases Tel: 301-594-5055 Email: [email protected]

Carol Shreffler, PhD National Institute of Environmental Health Sciences (NIEHS) Phone: 984-287-3322 E-mail: s [email protected]

Aria Crump NIDA - NATIONAL INSTITUTE ON DRUG ABUSE Phone: 301-443-6504 E-mail: [email protected]

Diane Adger-Johnson, MPH Office of Research Training and Special Programs (ORTSP) National Institute of Allergy and Infectious Diseases (NIAID) Telephone: 301-594-5945 Email: [email protected]

Damiya Eve Whitaker, PsyD, MA ORWH - Office of Research on Women's Health Phone: 301-451-8206 E-mail: [email protected]

Damali Martin, Ph.D., MPH NATIONAL INSTITUTE ON AGING (NIA) Division of Neuroscience (DN) Phone: 301-402-8310 E-mail: [email protected]

Judith Cooper NIDCD - NATIONAL INSTITUTE ON DEAFNESS AND OTHER COMMUNICATION DISORDERS Phone: (301) 496-5061 E-mail: [email protected]

Xinzhi Zhang, M.D. National Heart, Lung, and Blood Institute Phone: 301-435-6865 Email: [email protected]

Brittany Haynes, Ph.D. National Institute of Mental Health (NIMH) Telephone: 301-496-2767 Email: [email protected]

Beda Jean-Francois, Ph.D. National Center for Complementary & Integrative Health (NCCIH) Phone: 202-313-2144 Email: [email protected]

Elizabeth Powell, PhD National Institute on Alcoholism and Alcohol Abuse ( NIAAA ) Telephone: 301-443-0786 Email: [email protected]

Margaret Young Eunice Kennedy Shriver National Institute of Child Health and Human Development (NICHD) Telephone: 301-642-4552 Email: [email protected]

Priscilla Grant, JD National Institute on Minority Health and Health Disparities (NIMHD) Telephone: 301-594-8412 Email: [email protected]

Alania Foster NIGMS - NATIONAL INSTITUTE OF GENERAL MEDICAL SCIENCES E-mail: [email protected]

Randi Freundlich National Institute of Nursing Research (NINR) Telephone: 301-594-5974 Email: [email protected]

Gabriel Hidalgo, MBA NIDCR - NATIONAL INSTITUTE OF DENTAL & CRANIOFACIAL RESEARCH Phone: 301-827-4630 E-mail: [email protected]

Leslie Le NCATS - NATIONAL CENTER FOR ADVANCING TRANSLATIONAL SCIENCES Phone: (301) 435-0856 E-mail: [email protected]

Jenny L Greer NIEHS - NATIONAL INSTITUTE OF ENVIRONMENTAL HEALTH SCIENCES Phone: 984.287.3332 E-mail: [email protected]

Pamela G Fleming NIDA - NATIONAL INSTITUTE ON DRUG ABUSE Phone: 301-480-1159 E-mail: [email protected]

Samuel Ashe National Institute of Allergy and Infectious Diseases ( NIAID ) Telephone: 301-435-4799 Email: [email protected]

Jeni Smits NATIONAL INSTITUTE ON AGING (NIA) E-mail: [email protected]

Anthony Agresti NHLBI - NATIONAL HEART, LUNG, AND BLOOD INSTITUTE Phone: 301-827-8014 E-mail: [email protected]

Tamara Kees National Institute of Mental Health (NIMH) Telephone: 301-443-8811 Email: [email protected]

Debbie Chen, Ph.D. National Center for Complementary and Integrative Health (NCCIH) Telephone: 301-594-3788 Email: [email protected]

Judy Fox National Institute on Alcoholism and Alcohol Abuse (NIAAA) Telephone: 301-443-4704 Email: [email protected]

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Report calls for urgent action to boost children’s mental health support through schools

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Posted on 26 April 2024

A new report sets out an evidence-based plan to improve the mental health of the one in five children in England with a probable mental health condition.

The report highlights the scale of the mental health crisis among young people by revealing new preliminary data gathered from 5,000 children and young people in Bradford. The findings suggest one in five Year 9 pupils in the area have a probable eating disorder, and one in six 12-to-15-year-olds have self-harmed in the last 12 months, with a higher prevalence in girls (20%) compared to boys (13%).

The study also highlights problems with lack of sleep and loneliness as priority issues raised by children and young people in Bradford as detrimental to their mental health. 

Opportunity

The report calls on the Government to expand the mental health support offered through schools and educational settings from primary school onwards, without placing extra burdens on teachers. 

With children spending more time in school than in any other formal institutional structure, educational settings provide the ideal opportunity to reach large numbers of children simultaneously and can also facilitate intervention with pupils displaying early mental health or behavioural symptoms, the researchers say.

Step-up efforts

Dr Ruth Wadman, Research Fellow in the Department of Health Sciences at the University of York and for the Age of Wonder Adolescent Mental Health Collaboratory, said: “Our children and young people need good mental health and wellbeing to develop and flourish. There is an urgent need to step-up our efforts to prevent mental health conditions and to intervene early when they emerge. The report shows that schools can play a key role in promoting good mental health and wellbeing, both by harnessing the power of data and by listening to children and young people.”

The report is the third in a series by Child of the North/Centre for Young Lives to be published during 2024, focusing on how both the Government and Opposition can reset their vision for children to put the life chances of young people at the heart of policy making and delivery.

Failing children

Anne Longfield, Executive Chair of the Centre for Young Lives, said: “At the next election, the parties will put forward their proposals for improving children’s mental health. Labour has already pledged to recruit more staff, introduce specialist mental health support for children in every school, and deliver an open access children and young people’s mental health hub for every community. But there should be a cross-party ambition to reduce the prevalence of children’s mental health conditions by half over the next 10 years, and all politicians should agree that the current system is failing too many children and needs urgent attention.”

The report comes amid a national epidemic of children’s mental health problems. In 2022, 18% of children aged 7-to-16-years-old and 22% of young people aged 17-to-24 had a probable mental health condition. 

Despite some extra investment in recent years, the children’s mental health system is blighted by chronic waiting lists and a postcode lottery of provision, and thousands of children and young people continue to struggle without support. Over 32,000 children had been waiting over two years for help at the end of 2022/3. 

The report’s recommendations include:

• Expanding the mental health support offered through schools and educational settings, starting in the primary school years, to all schools . Mental Health Support Teams (MHSTs) are known to provide effective help to schools, but most schools still do not have access to them. The Government’s current plans mean that from 2025 half of England’s 8 million school age children will still not have access to a MHST in their school, should they need it. 
• Supporting the creation of a network of ‘one stop shop’ local online NHS information hubs, based on NHS Healthier Together, to signpost children and families to appropriate local mental health support where it is available.
• Harnessing the power of digital technology in a way that benefits the mental health of children by rolling out school-based research surveys nationally. This would gather local information about children’s mental health and wellbeing, identify geographical hotspots and determine when the ‘emotional temperature’ of the school is in the danger zone, so that schools can offer early support.
• Tackling the upstream determinants of poor mental health , including early support for neurodivergent children. The evidence shows that pre-school and primary school experience can increase the risk for mental health conditions. Government’s strategy to improve the social and emotional wellbeing of young people should include a focus on the pre-school and primary school years. 
• Addressing the workforce crisis in educational psychology provision t o encourage a larger number of graduate psychologists to support schools, alongside teacher training and career development that equips teaching staff to create classroom and school environments that promote pupil wellbeing and support the mental health needs of pupils. 

Crucial window

Dr Camilla Kingdon, former President of the Royal College of Paediatrics and Child Health said:“There is a huge evidence base for the importance of good mental health in childhood. However, sadly nearly 50% of lifetime mental health conditions are established by 14 years. We have a crucial window of opportunity to intervene to support children with mental health problems. We cannot let these children slip through the system without help.  

“The UK needs to prioritise mental health and wellbeing of children for the sake of our children - and all our futures. There are solutions at our fingertips - we just need the political will to make it happen.”  

Professor Mark Mon Williams, Child of The North report series editor, added: “There is no better measure of the health of a nation than the mental wellbeing of its children and young people. The statistics on mental health in children are heartbreaking and demand immediate action. The UK must prioritise the mental health and wellbeing of its children and young people if it wants to enjoy long term prosperity. This report shows how the next Government could and should invest in the UK’s future wellbeing.”

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The report, Improving mental health and wellbeing with and through educational settings can be accessed in full via the following link: https://www.n8research.org.uk/media/CoTN_Mental-health_Report_3.pdf  

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• Published: 26 April 2024

Serious game for radiotherapy training

• Jessika El Kayed 1   na1 ,
• Tony Akl 1   na1 ,
• Chadi Massoud 1 , 2 ,
• Christelle Margossian 1 ,
• Hadi Fayad 3 ,
• Georges Fares 4 , 5 ,
• Tony Felefly 4 , 5 &
• Sandy Rihana 1  

BMC Medical Education volume  24 , Article number:  463 ( 2024 ) Cite this article

Metrics details

Cancer patients are often treated with radiation, therefore increasing their exposure to high energy emissions. In such cases, medical errors may be threatening or fatal, inducing the need to innovate new methods for maximum reduction of irreversible events. Training is an efficient and methodical tool to subject professionals to the real world and heavily educate them on how to perform with minimal errors. An evolving technique for this is Serious Gaming that can fulfill this purpose, especially with the rise of COVID-19 and the shift to the online world, by realistic and visual simulations built to present engaging scenarios. This paper presents the first Serious Game for Lung Cancer Radiotherapy training that embodies Biomedical Engineering principles and clinical experience to create a realistic and precise platform for coherent training.

To develop the game, thorough 3D modeling, animation, and gaming fundamentals were utilized to represent the whole clinical process of treatment, along with the scores and progress of every player. The model’s goal is to output coherency and organization for students’ ease of use and progress tracking, and to provide a beneficial educational experience supplementary to the users’ training. It aims to also expand their knowledge and use of skills in critical cases where they must perform crucial decision-making and procedures on patients of different cases.

At the end of this research, one of the accomplished goals consists of building a realistic model of the different equipment and tools accompanied with the radiotherapy process received by the patient on Maya 2018, including the true beam table, gantry, X-ray tube, CT Scanner, and so on. The serious game itself was then implemented on Unity Scenes with the built models to create a gamified authentic environment that incorporates the 5 main series of steps; Screening, Contouring, External Beam Planning, Plan Evaluation, Treatment, to simulate the practical workflow of an actual Oncology treatment delivery for lung cancer patients.

This serious game provides an educational and empirical space for training and practice that can be used by students, trainees, and professionals to expand their knowledge and skills in the aim of reducing potential errors.

Peer Review reports

Serious Gaming, as its name suggests, is the implementation of game principles and ideologies for serious matters in the real world such as education, engineering, or healthcare purposes. This idea first came to life in the 1970’s and was later defined by Stokes to be “games that are designed to entertain players as they educate, train, or change behavior.” In simple terms, they are video games mimicking real-life scenarios that take the user through different steps, activities, and testing to achieve an end goal or outcome, depending on the target of the game. Therefore, we can deduce that they are virtual platforms providing a realistic environment for users to benefit from by fulfilling the purpose of creating an entertaining learning experience [ 1 ]. Serious Games have been around for decades effectuating numerous objectives such as education, healthcare, defense, training, and many more [ 2 , 3 , 4 , 5 , 6 ]. Distinctively for healthcare, they are categorized into health monitoring, anomaly detection, therapy, education, and rehabilitation [ 7 ]. Even though its serious gaming domain is booming, it is still not as extensive as needed, noting its wide range of benefits highlighted throughout this paper which can potentially elevate the level of training in medicine. Regardless, they have a multitude of current applications; surgical procedures such as knee replacements and blood management, odontology for dentistry risk management, nursing training for patient pain regulation, cardiology for stroke rehabilitation assistance, first aid training, and the list goes on [ 3 , 4 , 5 , 6 , 8 ]. There currently exists games including EMSAVE, OLIVE, PULSE!!, VIRTUAL PAIN MANAGER, and VIRTUAL ECG, that target, respectively, urgent medical procedures for the disabled, hospital training, clinical skills enhancement with patients of trauma [ 7 ], patient pain regulation for nurses, and ECG recordings precision for cardiology professionals [ 8 ].

With the current Covid-19 pandemic consuming today’s world, it established global challenges and induced the need to adopt new routines, habits, and measures as precautionary elements. We observed the rise of telemetry and e-Health to cut contacts with the virus, as well as e-Learning. Students suffered internationally from these limitations and drove them to avoid contamination by finding new methods of education and training. The pandemic therefore accelerated the world of digital education, specifically in the medical field, which is where the role of innovating computer-based platforms comes into play. In many areas, the radiology and oncology department adapted to this concept as well and began performing their radiotherapy planning in distance. However, the sudden shift to working remotely presented risks that could potentially affect the medical errors and their frequency [ 9 ]. It is important to note that on-site work is considerably different than standard theory in medicine since the presence of patients and first-hand examinations highlight the diversity of solutions and personalization, even for two patients of the same case. Consequently, Serious Games issue fundamental potential for this matter. Even when then need for isolation is no longer needed, the shift to the remote world is observably dominating that Serious Games can remain a powerful in the domain of learning and training, which can be utilized as an additional tool for students and professionals rather than be the sole source of knowledge.

Serious Games present a major tool for additional e-Learning purposes and encourage education and knowledge delivery by providing the sense of enjoyment and reward, with the added benefit of retaining information [ 10 ]. When effective, these games play a vital role in influencing players’ mood and expand their interest to proceed with the game and accomplish its goals. They are also proven to ameliorate the player’s cognitive skills and enrich their multidisciplinary endeavors and motivation [ 11 ]. When it comes to healthcare, training is a crucial part for professionals to go through and must be continuous over the years. However, training has evolved to keep up with medicine over time until Serious Gaming.

Our target in this project is to develop an educational tool for medical physicists, radiologists, and students to immerse them into the radiology process steps, and precisely related to Lung Cancer patients. In such treatments, patients are exposed to emission energies ranging from 6 to 16 MV and radiation of 54–74 Gy thus inducing a limited margin of error [ 12 ]. Therefore, this paper covers our project presenting the first Serious Game for Radiotherapy Training including the entire clinical process, testing the player’s knowledge and decision-making skills, and reducing the alarming and life-threatening errors that may occur through a series of carefully studied and practical steps.

Materials and methods

To design a serious game that illustrates the real world of radiotherapy treatment, a tangible exploration of a radiotherapy department is necessary. This project has been done in collaboration with LaTIM laboratory in Brest, France, and Mount-Lebanon Hospital in Beirut, Lebanon, who provided the required clinical information to build and validate the game.

Educational framework and objectives

The serious game is structured around key stages of radiotherapy, each designed to target specific educational objectives aligned with essential competencies in radiotherapy. The aim is to provide a holistic and interactive learning experience, blending clinical accuracy with engaging, scenario-based tasks.

Clinical radiotherapy procedure, game stages and learning outcomes

The radiotherapy treatment plan consists of the different steps: Screening, Contouring, External Beam Planning, Plan Evaluation, and Treatment Delivery.

Screening stage

To enhance understanding of patient consultation and tumor visualization techniques.

Interactive methods

This stage includes scenario-based learning where users make decisions on patient data and imaging techniques. Feedback is provided to reinforce correct practices and explain errors.

The procedure first begins with the consultation of the lung cancer patient with a radio-oncologist who will select the treatment. He/she undergoes a CT scan to visualize and study the tumor, its size, and position. Besides, imaging is also used to locate and calculate its iso-center relative to that of the radiotherapy system. The oncologist will use this information and mark the contour of the tumor for the mobile laser beams to use as a center and mark as tattoos. The patient must be stable during the imaging using stabilizers that hold the arms and legs to reduce mobility and attenuation caused by the bones. In this case, the Maximum Intensity Projection (MIP) treatment method can be applied which takes at least 3 scans in different breathing states to obtain the average intensity of the images and compute the persisting location of the tumor. There is also the Respiratory Gating treatment method that incorporates a Varian Real-time Position Management system to perceive the breathing of the patient during continuous CT acquiring. However, this method is more irradiating, therefore used the least [ 13 ].

The previous data is utilized to plan the treatment of the patient using a Treatment Planning System, which is the Eclipse model created by Varian at LaTIM made strictly for research.

Contouring stage

To develop skills in delimiting target volumes and organs at risk.

Users engage in drag-and-drop contouring exercises, with immediate feedback on accuracy. This stage is crucial for understanding spatial relationships in radiotherapy planning.

Contouring is performed to delimit, and reconstruct the organs at risk and the target volumes that consist of Gross Target Volume (GTV) which must acquire all the prescribed dose, the Clinical Target Volume (CTV) which considers the tumor extensions, and the Planning Target Volume which considers internal tumor mobility of the cancer. It is rather crucial to avoid the organs at risk and compute the radiation received by them, and with lung cancer being our study, the OAR are the heart, lungs, esophagus, and spinal cord. Note that it is not enough to contour these specific areas, but this must also be computed for the whole body and the scanner table to measure the attenuation of the beam. This is possible within the software due to the contouring tools used by the radiologists [ 13 ].

External Beam Planning

To impart knowledge on selecting and creating appropriate radiation treatment plans.

The game presents various patient scenarios, challenging the user to choose and customize treatment plans using interactive tools, followed by quizzes to test their understanding.

After the calculations have been completed and contouring is made, beam planning can begin. This step is the process of creating and selecting the best program depending on the patient’s case and his/her specific medical needs. There exist three main types of programs being Three-dimensional conformal radiation therapy (3D-CRT), Intensity-Modulated Radiation Therapy (IMRT), and Volumetric-Modulated Arc Therapy (VMAT) [ 13 ]. These treatment plans can be compared, and the one that fits the patient best is chosen to be evaluated and validated.

Plan evaluation stage

To train users in assessing and validating treatment plans.

This stage utilizes case studies and comparative analysis exercises, enabling users to evaluate different treatment plans based on dosimetric and clinical criteria.

3D-CRT Planning procedure

This conformal planning utilizes 6 beams of photon radiation penetrated at multiple angles to reduce its exposure to the organs at risk and affect healthy tissue. We can form this plan in the planning software where we input the CTV, required dose, and aim of treatment. Additionally, we manually alter the angle of rotation, add the beams with an energy of 6x, and add a Multi-Leaf Collimator (MLC) at every beam. The dose must be carefully selected as the maximum value per fraction and the number of fractions to be undergone, and the computational algorithms are to be selected as the calculation model. It is also feasible to regulate the Dose-Volume Histogram (DVH) which designates the percentage of radiation each volume is exposed to. It can also be a guide for plan evaluation and comparison. Afterwards, the plan undergoes an evaluation to obtain a validation and it is simulated on a Phantom to verify the ability of the system to deliver the same treatment [ 13 ].

IMRT Planning procedure

This radiation therapy follows the same steps as the conformal planning, but the major difference is that at the MLC addition step, they are added automatically rather than manually. It’s important to note that this automation of MLC is not exclusive to Intensity-Modulated Radiation Therapy (IMRT) but is also a feature of other techniques such as Dynamic Conformal Arcs (DCA), which, despite utilizing automated MLC, do not fall under the category of IMRT.

The system will generate the optimum solution overcomes the dosimetrist’s constraints and simulates the opening of the MLC to deliver the ideal dose to the tumor while minimizing it to the adjacent tissues [ 13 ].

VMAT Planning procedure

VMAT is established on the same planning type as IMRT. However, the treatment is based on an arc and the Multi-Leaf Collimator is set to switch positions at each of its rotations. We can optimize it by picking the number of isocenters and half rotations, being 1 isocenter and 2 half rotations in our case, meaning two treatment arcs rotating at 180˚ deliver the radiation [ 13 ]. The system will spread the dose of radiation over the whole volume as see in Fig.  1 .

We can also compare between the two planned treatments (IMRT and VMAT for example) to choose the best option for the patient. Thus, the best choice will be validated and simulated to be delivered to the patient Fig.  2 .

Comparison of Plans (VMAT et IMRT)

Treatment delivery stage

To simulate the process of administering radiation therapy accurately and safely.

The game incorporates a virtual radiotherapy suite where users position patients and deliver prescribed treatments, receiving real-time feedback on their precision and adherence to safety protocols.

The patient will now undergo a carefully calculated and personalized treatment of 66 Gy in 33 fractions of 2 Gy each in the Radiotherapy room to limit the amount of radiation exposure per session. Note that the dose and fractionation numbers may vary depending on several factors such as the computations, the case of the patient, the length of treatment, the tissue response to radiation, and the tumor radiosensitivity [ 14 ]. The patient lays based on the tattoos resulting of the CT scan and the isocenter of the machine detected by a laser system. X-rays must be captured to compare with the CT scan to guarantee correct positioning of the patient with respect to the CT markings as seen in Fig.  3 ; this is then when irradiation begins. One CBCT image is taken every week for reference.

The mannequin’s placement is crucial to adjust the corresponding CT markings and ensure the the exact positioning before irradiation begins

Game Design and Development

The game was developed in collaboration with clinical experts to ensure clinical relevance and accuracy. State-of-the-art 3D modeling [ 15 ] and animation techniques were used to create realistic and immersive game environments.

Real case shadowing

A real-life case of a Stage III NSCLC male patient who was given a VMAT treatment with a dose of 60 Gy separated over 30 fractions has been shadowed at the Mount Lebanon Hospital in Lebanon. The steps taken consisted of delineating the areas of the CT scan, performing contouring of the multiple volumes and organs at risk, and executing the external beam planning, the 3D-CRT in specific. This plan was then compared with the original VMAT plan. After plan evaluation, the treatment resulted with a well-distributed radiation and no hot spots. It then undergoes a plan validation through a verification plan as a Quality Assurance tool to be then delivered to the patient.

Gamification

Integrating the radiotherapy procedure within a game can be challenging; this is due to trying to transform a critical procedure into a set of interactive game elements with the use of different software [ 16 ]. These elements formed based on the “Octalysis Gamification Framework” [ 17 ] that relies on multiple cores which focus on merging the player’s emotions and motivation to succeed in the game in an iterative manner while learning. It is designed to stimulate different parts of the brain for optimum results.

Implementation of interactive methods

Throughout the game, interactive methods such as multiple-choice quizzes, drag-and-drop activities, and scenario-based decision-making are employed to ensure active learning and retention of information. These methods are designed not only to test knowledge but also to provide immediate feedback, thereby reinforcing learning and correcting misconceptions.

Tools and platforms

Unity game engine.

Unity is a game engine platform that includes multiple features to establish a realistic medical environment for radiotherapy [ 18 ]. It includes the physical calculations and graphical modeling of the 3D objects we want to create [ 19 , 20 , 21 ].

Scripting is a crucial part of every game object that is useful to control and manipulate them, enabling and disabling features, playing animations, etc. They are coded using an appropriate language, being C# in this project.

Autodesk Maya 2018

To bring our model into existence in the game, Autodesk Maya 2018 is a useful software to create the models and make them more realistic by customizing the materials and textures, rigging, and animating them in a controllable manner. After completion, we should export our work to our game engine and finally design the game.

Modeling and Animation

To accomplish our project, the animated models were merged into realistic scenes. Figure  4 (a) illustrates a standard radiotherapy model, with materials and textures integrated onto it where a control curve is created for the kV source and detector movement.

( a ) The animation of the Truebeam kV Control Curve altering the detector positioning of the beams. ( b ) The animation of the Thorax Immobilizer was designed on Maya 2018 Render with a smoothened headrest and a T shape consisting of 2 cylinders for the patient to hold on to. ( c ) The 120-leaves Multi-Leaf Collimator shown was modeled on Maya 2018 Render and rigged to simulate the three types of treatment; one attribute for 3D-CRT and another for IMRT and VMAT

Figure  4 (b) portrays the thorax immobilizer that was modeled along with a headrest for the patient. Furthermore, the 120-leaves Muti-Leaf Collimator has been modeled as seen in Fig.  4 (c) with a rough metallic material for a more realistic look. Most importantly, the model was rigged by forming an attribute for the 3D-CRT, and one of the IMRT and VMAT treatments.

Unity scenes

To accomplish the formation of a training tool, we created our Serious Game to test the player’s skills and knowledge. It goes through the different steps of the radiotherapy procedure and a respective scene for each of 5 steps. Figure  5 represents the flowchart of the game from start to finish. The player must exceed a certain set score to move to the next step. Quizzes consisting of multiple choice, True/False, and Drop and picture selection questions are also incorporated into the flowchart to test the player’s information and provide additional facts and comments within. Continuous assessment is crucial in the learning process of the player and provides a chance to apply the content in practice. Additionally, including a variety of testing methods is more engaging and entertaining to the player, especially since each method can induce a new way of thinking for the player’s analytical and decision-making skills. This can also enhance memory, aid in recall, and improve recognition [ 22 ].

This is the Serious Game Flowchart from Start to End. The player inserts his data, then goes through the different clinical steps of radiotherapy treatment through which he/she can navigate if the score is above a certain number. The results are then displayed and the game ends

Our game consists of 10 scenes, going from player data collection to scene selection and a results scene. It also simulates the five main phases of a radiotherapy treatment: Screening, Contouring, External Beam Planning, Plan Evaluation and Treatment Delivery. In addition, it tests the players’ knowledge using interactive quizzes, providing them and people in charge of their training with small analytics.

The first scene of the game displays input fields to insert the player’s information. It is then followed by a Menu Scene seen in Fig.  6 that includes the different steps of the radiotherapy procedure; the player can begin from the phase they desire and move on to the next.

This is the Menu Scene displayed after the uses enter their data. İt shows all the radiotherapy treatment steps for the user to choose from, complete, and continue the game

Each scene has its medical environment for every step, and its respective flowchart to guide the player. Figure  7 represents an example of the realistic screening simulation scene, which is the first step of the radiotherapy clinical process in the game. Two additional figures related to this scene can be found in additional file 1.

Screening Simulation Scene - Patient Positioning - The player can explore how the patient is positioned and why this position should be reproduced

According to the game flowchart, this is then followed by the Screening Quiz. The following image (Fig.  8 ) illustrate a screenshot example from this scene. One additional figure related to this scene can be found in additional file 2.

Screening Quiz Scene - Message Boxes - After each answered question, the player is given a message box showing whether he answered correctly or not, with additional information in some cases

Then the Contouring Scene to test the player’s skills on delineating the patient’s target volumes and organs at risk, and knowledge through multiple choice, True/False, and Drop and picture selection questions. Figure  9 displays the flowchart of this scene and an example of our aim’s implementation into this game.

This is the flowchart of the Contouring Scene Questions made to test the player. As seen in the figure, whether the user answers correctly or not, additional information will be given to expand their knowledge and guide them

Figure  10 illustrates a screenshot example from this scene. Three additional figures related to this scene can be found in additional file 3.

Contouring Scene - Clinical Images - Here, the player can explore loaded image datasets of a real patient, visualize different delineated structures such as target volumes and organs at risk, differentiate between windows. The player may use the sliders to scroll the dataset and select the structure to visualize on the left

As for external beam planning scene, it incorporates a thorough explanation of the different types of planning and continues to test the player and his decision-making skills. Figure  11 illustrates a screenshot example from this scene. Two additional figures related to this scene can be found in additional file 4.

External Beam Planning Scene - Common Planning Steps - The common steps of the treatment planning are presented to the player with additional information explaining each step. Field properties include Energy and Dose Rate. Field energy is chosen based on the depth of the tumor. If it is superficial the field energy used is 6x while for deeper tumor, 10x and 15x are used. Dose rate is the radiation dose absorbed per unit of time

Subsequently, the Plan Evaluation scene appears, providing a comparison tool for the player to assess the treatment plan according to iso-dose distribution and the DVH computed for each one. Figure  12 illustrates a screenshot example from this scene. One additional figure related to this scene can be found in additional file 5.

Plan Evaluation Scene - DVH Comparison - For the player to take the decision, the standards used are explained concerning the DVH and the iso-dose. Based on the “National Comprehensive Cancer Network” Guidelines for Non-Small Cell Lung Cancer, the heart constraints are V40 < 80%, meaning that 80% of the organ volume can receive up to 40 Gy, V45 < 60% and V60 < 30%. Two DVH results are presented, both respect the constraint, but the first one (on the left side) shows the lowest dose being delivered to the heart and by that it is the correct decision to make

Finally, for the treatment delivery simulation scene, it begins with the correct positioning of the patient and delivering the respective treatment. As seen in Fig.  13 , this flowchart describes the phases taken for the administration of the steps. Figure  14 illustrates one screenshot example from this scene. Knowingly, this scene is then followed by a final quiz. Figure  15 illustrates a screenshot example from this quiz scene. One additional figure related to this scene can be found in additional file 6.

This is the flowchart for the Radiotherapy Treatment Delivery Scene the displays the steps embedded within the game to administer the treatment to the patient

Treatment Delivery Simulation Scene - CBCT - The patient undergoes a CBCT on the first treatment, and once a week to validate the positioning of his tumor in the center of our Radiotherapy plan. Here, you may see the extended kV source (above the patient) and detector (under the table), taking images between 0˚ and 180˚ for CT reconstruction

Treatment Delivery Quiz Scene - Questions - The first treatment session is not the same as the rest of the sessions. During this one, called J0, the patient position is adjusted and marked in order to be reproduced during the whole treatment

The final scene in the game is evidently the Results Scene as represented in Fig.  16 for the players and supervisors to review and is also proof of progress and time taken which are all stored within the game.

After the user completes all the steps, the Results Scene appears showing the summary of the player’s performance throughout the game

Main Findings

Medicine is evolving at an expeditious pace, compelling humans to discover new ways to adapt to this rate. In addition to that, the rise of inevitable epidemics and pandemics taking over the world or parts of it, learning how to cope and protect ourselves is consequently essential. One of the biggest examples is the Covid-19 virus that overtook the population and disrupted our lifestyle and routine, and the best way to reduce contracting it is through social distancing and limiting excess interactions with others. Accordingly, professionals and students in the medical field had limitations concerning education, internships, and especially on-site training. Being knowledgeable is almost never enough to perform a role in medicine since no case is like the other, and human bodies are unpredictable. Therefore, errors, no matter how minimal, should be avoided or reduced, and this is what is accomplished through training [ 5 ].

Our serious game designed for Lung Cancer Radiotherapy training provides a realistic and practical platform for medical professionals and students. This game enables players to navigate through the entire clinical radiotherapy process, from initial consultations and CT scans to the final treatment stages. It is structured into ten scenes, each corresponding to a critical phase of the treatment process, thereby ensuring comprehensive coverage of all necessary skills and decision-making processes.

A Serious Game like the one we created provides a realistic medical environment with practical examples to perform on. It provides a digital platform for training where the players can fulfill the clinical radiotherapy procedure for lung cancer patients from the minute, they get a CT scan all the way to treatment for the purpose of minimizing potentially fatal errors. Our game consists of 10 scenes in total and assimilates the main 5 stages of delivering treatment to a patient.We seek to improve our project to a more advanced level and expand its use to different professionals in the field, as well as integrate more types of cancer to train on. Furthermore, our Serious Game could also be associated with a Learning Management System to record a player’s progress over the course of time.

Expanding to Different Anatomical Sites

When considering the adaptation of our serious game model to other anatomical sites such as Head & Neck (H&N), Breast, or Pelvis, it is crucial to integrate site-specific clinical scenarios and treatment protocols. Each site presents unique challenges and requires specific knowledge and skills. For example, in designing a game for H&N, attention must be paid to the complexity of structures and the high risk of morbidity associated with treatment errors. We recommend collaborating with specialists in each field to ensure accuracy and relevance. Including common site-specific errors in the game is essential. This approach not only enhances realism but also prepares practitioners to recognize and avoid such errors in clinical practice. By simulating real-world scenarios, including common pitfalls, the game can serve as a valuable tool in improving treatment outcomes and patient safety.

Comparison with Other Medical Serious Games

Our game enhances the educational experiences of the users by providing.

Interactive Learning: The game’s immersive nature fosters critical thinking and decision-making skills crucial in the radiotherapy field. It mimics the real-life scenarios whithin the radiology department that medical professionals might face, enhancing thus knowledge rentention and engagement significantly [ 23 ] in their study underscore the effectiveness of such technologies in medical education, demonstrating how virtual environments can significantly enhance the educational experience by providing interactive and personalized learning interventions. This aligns perfectly with our project’s objective to utilize serious games in radiotherapy training, thereby ensuring that learners not only engage deeply with the content but also apply their learned skills effectively in real-world scenario.

Skill Transfer and Performance: VR simulations within the game, such as those for practicing tumor contouring or radiation planning, effectively transfer skills from virtual to real-world settings, thereby improving procedural accuracy and confidence. They provide a safe environment where students can practice skills without the risk of harming a patient, essential in high-stakes fields such as surgery [ 24 ].

Practical Applications: Specifically, in radiotherapy training, the game integrates content, simulations, and elements of gamification to provide a holistic educational experience. This is particularly useful in emergency procedures and complex treatment planning, where precision is paramount [ 25 ].

Educational Efficacy: The game excels in rapidly disseminating complex procedural knowledge and enhancing the cognitive skills necessary for effective radiotherapy planning. This is crucial in environments where traditional training may fall short, such as during pandemics when in-person training is limited. Montalbano et al.‘s work underscores that serious games can facilitate a quicker and broader understanding of necessary safety and medical procedures than traditional educational methods, making them particularly valuable in urgent and evolving health crises like the COVID-19 pandemic [ 26 ]. This adaptability and immediacy in teaching complex procedures exemplify serious games’ potential in enhancing educational efficacy under constrained conditions.

It significantly improves immediate knowledge acquisition as seen in domains such as oral diagnosis and treatment planning. The game’s design allows for immediate feedback and iterative learning, essential for retaining complex procedural knowledge over time. Studies like those conducted by Buajeeb et al. and Fran Valenzuela-Pascual et al. demonstrate that serious games enhance learning efficiency through dynamic feedback mechanisms that adjust to the learner’s needs, facilitating not just the acquisition but also the long-term retention of knowledge. This effectiveness is critical in healthcare education, where mastering intricate procedures and protocols can significantly impact patient outcomes [ 27 , 28 ]. The integration of serious games into healthcare curricula thus supports a robust educational framework that not only improves immediate understanding but also ensures sustained knowledge retention, a vital component in healthcare training.

Serious games in radiation therapy differ from those in other medical areas primarily due to the technical nature and precision required in radiation planning and delivery. While games in other medical fields might focus on diagnostic skills or surgical techniques, radiation therapy games need to emphasize spatial reasoning, dose calculation, and a deep understanding of radiation physics [ 29 , 30 ]. This distinction necessitates a unique approach to game design, focusing on these specialized skills.

Limitations

There are many limitations that prevented this research from reaching its full potential, firstly including the length of time associated with the actual radiotherapy training process that can take months of on-field practice, thus not attaining a relatively advanced level when it comes to the serious game. Second was the independency of the game and the lack of tools available to allow the players to track their progress throughout their journey besides the results page they obtain after finishing their current game, thus depriving us from collecting an organized set of data.

The integration of serious games in radiotherapy presents a promising avenue for enhancing the educational experience of new practitioners. This approach aligns with current trends in medical education, which emphasize interactive and engaging learning methods. Our review of the literature and analysis of case studies indicate that serious games can potentially shorten the learning curve for novices in radiotherapy. This effect is attributed to the immersive and interactive nature of serious games, which allows learners to acquire and apply knowledge in a safe, controlled environment.

To further validate this hypothesis, we recommend conducting empirical studies that compare the learning curves of novices trained with traditional methods versus those using serious games. Specific elements that warrant close examination include the complexity and realism of the game scenarios, the integration of real-world clinical data, and the efficacy of feedback mechanisms within these games. Such elements are crucial for ensuring the educational effectiveness of serious games in this field.

Future research should also focus on identifying the key features of serious games that most significantly impact learning outcomes in radiotherapy. This could involve qualitative studies, such as interviews or focus groups with users, to gain insights into their experiences and perceptions. Additionally, quantitative measures, like performance metrics and time-to-competency, should be employed to objectively assess the impact of these games on learning efficiency [ 5 ].

In light of these considerations, serious games emerge not only as a tool for enhancing educational engagement but also as a potential catalyst for more rapid skill acquisition in the complex field of radiotherapy [ 31 , 32 ]. Our findings underscore the need for a thoughtful design and implementation of such tools, ensuring they are tailored to meet the specific learning objectives and challenges of radiotherapy training.

As future perspectives, this project needs to be benchmarked with specialists in the field of Radiotherapy, as well as medical and physics students, and technologists.

There is a lot of room to improve such a project, by creating or linking this game to a Learning Management System (e.g. e-learning system), to monitor how much the player accesses the game and how he has progressed since the first attempt.

We believe that this game is the solid base for a series of games in the radiotherapy field. It could be improved by incorporating more types of cancer. At this point, it can provide training for Healthcare Professionals entering the field of Radiotherapy. On the longer term, it is the backbone for advanced, extensive professional training.

Finally, we understand the critical importance of accuracy in medical training tools and are committed to maintaining the highest standards of clinical fidelity in our serious game. Surely, this game is first proof of concept that can be continuously validated within the medical community and the clinical information can be easily updated accordingly.

Data availability

The datasets used and/or analyzed during the current study are available from the corresponding author on reasonable request.

Abbreviations

3D-Conformal Radiotherapy

Cone Beam Computed Tomography

Computed Tomography

Clinical Target Volume

Dose-Volume Histogram

Gross Target Volume

Intensity Modulated Radiotherapy

Laboratoire de Traitement de l’Information Médicale

Maximum Intensity Projection

Multi-Leaf Collimator

Organs At Risk

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Acknowledgements

We want to thank Marlène Gilles, Researcher at LaTIM for sharing their experience and knowledge with us, and for their support during this project.

This research was funded by PHC-CEDRES grant.

Author information

Jessika El Kayed and Tony Akl contributed equally to this project.

Authors and Affiliations

Biomedical Engineering Department, Holy Spirit University of Kaslik, USEK, Jounieh, Lebanon

Jessika El Kayed, Tony Akl, Chadi Massoud, Christelle Margossian & Sandy Rihana

Faculty of Public Health, Université La Sagesse, Furn-El-Chebak, Lebanon

Chadi Massoud

LATIM, UBO, Bretagne, France

Radiation Oncology Department, Hôtel Dieu de France Hospital, Saint Joseph University, Beirut, Lebanon

Georges Fares & Tony Felefly

Radiation Oncology Department, Mount Lebanon Hospital, Hazmieh, Lebanon

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Contributions

SR and CMass developed the initial idea and designed the research approach. They also contributed to the conceptualization and methodology of this research project. JK and TA developed the software and prepared the original draft of the paper. CMass, SR and CMar reviewed and edited the original draft. SR and CMass su-pervised the research project. SR, CM, GF and TF validated the results. HF made the first investigation and contributed with SR on the findings. All authors have read and agreed to the published version of the manuscript.

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Correspondence to Chadi Massoud or Sandy Rihana .

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The authors declare no conflict of interest. The funders had no role in the design of the study; in the collection, analyses, or interpretation of data; in the writing of the manuscript; or in the decision to publish the results.

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Kayed, J.E., Akl, T., Massoud, C. et al. Serious game for radiotherapy training. BMC Med Educ 24 , 463 (2024). https://doi.org/10.1186/s12909-024-05430-1

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Received : 01 December 2023

Accepted : 15 April 2024

Published : 26 April 2024

DOI : https://doi.org/10.1186/s12909-024-05430-1

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