what is the background of the study in research proposal

Organizing Your Social Sciences Research Assignments

• Annotated Bibliography
• Analyzing a Scholarly Journal Article
• Group Presentations
• Dealing with Nervousness
• Using Visual Aids
• Grading Someone Else's Paper
• Types of Structured Group Activities
• Group Project Survival Skills
• Leading a Class Discussion
• Multiple Book Review Essay
• Reviewing Collected Works
• Writing a Case Analysis Paper
• Writing a Case Study
• About Informed Consent
• Writing Field Notes
• Writing a Policy Memo
• Writing a Reflective Paper
• Writing a Research Proposal
• Generative AI and Writing
• Acknowledgments

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

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

How to Approach Writing a Research Proposal

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

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

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

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

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

Common Mistakes to Avoid

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

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

Structure and Writing Style

Beginning the Proposal Process

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

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

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

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

Most proposals should include the following sections:

I.  Introduction

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

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

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

II.  Background and Significance

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

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

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

III.  Literature Review

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

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

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

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

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

IV.  Research Design and Methods

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

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

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

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

V.  Preliminary Suppositions and Implications

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

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

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

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

VI.  Conclusion

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

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

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

VII.  Citations

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

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

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

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

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

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What is the Background of a Study and How Should it be Written?

• 3 minute read

Table of Contents

The background of a study is one of the most important components of a research paper. The quality of the background determines whether the reader will be interested in the rest of the study. Thus, to ensure that the audience is invested in reading the entire research paper, it is important to write an appealing and effective background. So, what constitutes the background of a study, and how must it be written?

What is the background of a study?

The background of a study is the first section of the paper and establishes the context underlying the research. It contains the rationale, the key problem statement, and a brief overview of research questions that are addressed in the rest of the paper. The background forms the crux of the study because it introduces an unaware audience to the research and its importance in a clear and logical manner. At times, the background may even explore whether the study builds on or refutes findings from previous studies. Any relevant information that the readers need to know before delving into the paper should be made available to them in the background.

How is a background different from the introduction?

The introduction of your research paper is presented before the background. Let’s find out what factors differentiate the background from the introduction.

• The introduction only contains preliminary data about the research topic and does not state the purpose of the study. On the contrary, the background clarifies the importance of the study in detail.
• The introduction provides an overview of the research topic from a broader perspective, while the background provides a detailed understanding of the topic.
• The introduction should end with the mention of the research questions, aims, and objectives of the study. In contrast, the background follows no such format and only provides essential context to the study.

How should one write the background of a research paper?

The length and detail presented in the background varies for different research papers, depending on the complexity and novelty of the research topic. At times, a simple background suffices, even if the study is complex. Before writing and adding details in the background, take a note of these additional points:

• Start with a strong beginning: Begin the background by defining the research topic and then identify the target audience.
• Cover key components: Explain all theories, concepts, terms, and ideas that may feel unfamiliar to the target audience thoroughly.
• Take note of important prerequisites: Go through the relevant literature in detail. Take notes while reading and cite the sources.
• Maintain a balance: Make sure that the background is focused on important details, but also appeals to a broader audience.
• Include historical data: Current issues largely originate from historical events or findings. If the research borrows information from a historical context, add relevant data in the background.
• Explain novelty: If the research study or methodology is unique or novel, provide an explanation that helps to understand the research better.
• Increase engagement: To make the background engaging, build a story around the central theme of the research

Avoid these mistakes while writing the background:

• Ambiguity: Don’t be ambiguous. While writing, assume that the reader does not understand any intricate detail about your research.
• Unrelated themes: Steer clear from topics that are not related to the key aspects of your research topic.
• Poor organization: Do not place information without a structure. Make sure that the background reads in a chronological manner and organize the sub-sections so that it flows well.

Writing the background for a research paper should not be a daunting task. But directions to go about it can always help. At Elsevier Author Services we provide essential insights on how to write a high quality, appealing, and logically structured paper for publication, beginning with a robust background. For further queries, contact our experts now!

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• How to Write a Research Proposal | Examples & Templates

How to Write a Research Proposal | Examples & Templates

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

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

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

Introduction

Literature review.

• Research design

Reference list

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

Table of contents

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

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

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

Research proposal length

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

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

Download our research proposal template

Prevent plagiarism, run a free check.

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

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

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

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

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

Your introduction should:

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

To guide your introduction , include information about:

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

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

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

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

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

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

For example, your results might have implications for:

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

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

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

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

Download our research schedule template

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

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

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

To determine your budget, think about:

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

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

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

I will compare …

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

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

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

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

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

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

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

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

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What Is Background in a Research Paper?

So you have carefully written your research paper  and probably ran it through your colleagues ten to fifteen times. While there are many elements to a good research article, one of the most important elements for your readers is the background of your study.

What is Background of the Study in Research

The background of your study will provide context to the information discussed throughout the research paper . Background information may include both important and relevant studies. This is particularly important if a study either supports or refutes your thesis.

Why is Background of the Study Necessary in Research?

The background of the study discusses your problem statement, rationale, and research questions. It links  introduction to your research topic  and ensures a logical flow of ideas.  Thus, it helps readers understand your reasons for conducting the study.

Providing Background Information

The reader should be able to understand your topic and its importance. The length and detail of your background also depend on the degree to which you need to demonstrate your understanding of the topic. Paying close attention to the following questions will help you in writing background information:

• Are there any theories, concepts, terms, and ideas that may be unfamiliar to the target audience and will require you to provide any additional explanation?
• Any historical data that need to be shared in order to provide context on why the current issue emerged?
• Are there any concepts that may have been borrowed from other disciplines that may be unfamiliar to the reader and need an explanation?

Related: Ready with the background and searching for more information on journal ranking? Check this infographic on the SCImago Journal Rank today!

Is the research study unique for which additional explanation is needed? For instance, you may have used a completely new method

How to Write a Background of the Study

The structure of a background study in a research paper generally follows a logical sequence to provide context, justification, and an understanding of the research problem. It includes an introduction, general background, literature review , rationale , objectives, scope and limitations , significance of the study and the research hypothesis . Following the structure can provide a comprehensive and well-organized background for your research.

Here are the steps to effectively write a background of the study.

1. Identify Your Audience:

Determine the level of expertise of your target audience. Tailor the depth and complexity of your background information accordingly.

2. Understand the Research Problem:

Define the research problem or question your study aims to address. Identify the significance of the problem within the broader context of the field.

3. Review Existing Literature:

Conduct a thorough literature review to understand what is already known in the area. Summarize key findings, theories, and concepts relevant to your research.

4. Include Historical Data:

Integrate historical data if relevant to the research, as current issues often trace back to historical events.

5. Identify Controversies and Gaps:

Note any controversies or debates within the existing literature. Identify gaps , limitations, or unanswered questions that your research can address.

6. Select Key Components:

Choose the most critical elements to include in the background based on their relevance to your research problem. Prioritize information that helps build a strong foundation for your study.

7. Craft a Logical Flow:

Organize the background information in a logical sequence. Start with general context, move to specific theories and concepts, and then focus on the specific problem.

8. Highlight the Novelty of Your Research:

Clearly explain the unique aspects or contributions of your study. Emphasize why your research is different from or builds upon existing work.

Here are some extra tips to increase the quality of your research background:

Example of a Research Background

Here is an example of a research background to help you understand better.

The above hypothetical example provides a research background, addresses the gap and highlights the potential outcome of the study; thereby aiding a better understanding of the proposed research.

What Makes the Introduction Different from the Background?

Your introduction is different from your background in a number of ways.

• The introduction contains preliminary data about your topic that  the reader will most likely read , whereas the background clarifies the importance of the paper.
• The background of your study discusses in depth about the topic, whereas the introduction only gives an overview.
• The introduction should end with your research questions, aims, and objectives, whereas your background should not (except in some cases where your background is integrated into your introduction). For instance, the C.A.R.S. ( Creating a Research Space ) model, created by John Swales is based on his analysis of journal articles. This model attempts to explain and describe the organizational pattern of writing the introduction in social sciences.

Points to Note

Your background should begin with defining a topic and audience. It is important that you identify which topic you need to review and what your audience already knows about the topic. You should proceed by searching and researching the relevant literature. In this case, it is advisable to keep track of the search terms you used and the articles that you downloaded. It is helpful to use one of the research paper management systems such as Papers, Mendeley, Evernote, or Sente. Next, it is helpful to take notes while reading. Be careful when copying quotes verbatim and make sure to put them in quotation marks and cite the sources. In addition, you should keep your background focused but balanced enough so that it is relevant to a broader audience. Aside from these, your background should be critical, consistent, and logically structured.

Writing the background of your study should not be an overly daunting task. Many guides that can help you organize your thoughts as you write the background. The background of the study is the key to introduce your audience to your research topic and should be done with strong knowledge and thoughtful writing.

The background of a research paper typically ranges from one to two paragraphs, summarizing the relevant literature and context of the study. It should be concise, providing enough information to contextualize the research problem and justify the need for the study. Journal instructions about any word count limits should be kept in mind while deciding on the length of the final content.

The background of a research paper provides the context and relevant literature to understand the research problem, while the introduction also introduces the specific research topic, states the research objectives, and outlines the scope of the study. The background focuses on the broader context, whereas the introduction focuses on the specific research project and its objectives.

When writing the background for a study, start by providing a brief overview of the research topic and its significance in the field. Then, highlight the gaps in existing knowledge or unresolved issues that the study aims to address. Finally, summarize the key findings from relevant literature to establish the context and rationale for conducting the research, emphasizing the need and importance of the study within the broader academic landscape.

The background in a research paper is crucial as it sets the stage for the study by providing essential context and rationale. It helps readers understand the significance of the research problem and its relevance in the broader field. By presenting relevant literature and highlighting gaps, the background justifies the need for the study, building a strong foundation for the research and enhancing its credibility.

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The background of the study is the key to introduce your audience to YOUR research topic.

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What (Exactly) Is A Research Proposal?

A simple explainer with examples + free template.

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

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

Overview: Research Proposal Basics

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

What is a research proposal?

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

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

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

What goes into a research proposal?

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

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

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

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

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

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

Need a helping hand?

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

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

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

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

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

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

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

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

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

How To Structure A Research Proposal

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

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

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

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

Research Proposal Examples/Samples

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

Proposal Writing FAQs

How long should a research proposal be.

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

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

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

How do I choose a topic for my research proposal?

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

How do I write a literature review for my proposal?

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

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

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

Which referencing format should I use in my research proposal?

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

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

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

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

Key Takeaways & Additional Resources

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

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

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

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

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

Psst… there’s more!

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

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51 Comments

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Bundle of thanks to you for the research proposal guide it was really good and useful if it is possible please send me the sample of research proposal

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

Cheruiyot Moses Kipyegon

Thanks alot. It was an eye opener that came timely enough before my imminent proposal defense. Thanks, again

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I am an undergraduate student (First Degree) preparing to write my project,this video and explanation had shed more light to me thanks for your efforts keep it up.

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Thank you. This is a great insight. I am a student preparing for a PhD program. I am requested to write my Research Proposal as part of what I am required to submit before my unconditional admission. I am grateful having listened to this video which will go a long way in helping me to actually choose a topic of interest and not just any topic as well as to narrow down the topic and be specific about it. I indeed need more of this especially as am trying to choose a topic suitable for a DBA am about embarking on. Thank you once more. The video is indeed helpful.

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Organizing Your Social Sciences Research Paper: Writing a Research Proposal

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

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

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

How to Approach Writing a Research Proposal

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

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

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

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

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

Common Mistakes to Avoid

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

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

Structure and Writing Style

Beginning the Proposal Process

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

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

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

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

In general your proposal should include the following sections:

I.  Introduction

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

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

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

II.  Background and Significance

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

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

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

III.  Literature Review

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

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

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

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

IV.  Research Design and Methods

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

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

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

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

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

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How to prepare a Research Proposal

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

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

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

The elements of a research proposal are highlighted below:

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

This section should include:

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

How to Write a Research Proposal: Template, Format, Tips

Learn how to write a research proposal that makes you stand out from the crowd, get the funding you need, and gain entry into your dream academic institution.

John McTale

14 minute read

You’ve put a lot of thought into that research project. You know it’s importan. The problem? Nobody else does. And no one is willing to fund it. Yet.

Research proposals are nerve-racking, notoriously difficult to write, and for good reason - they have a major impact on your academic career.

The best institutions and labs have thousands of talented researchers fighting to get in. And their most powerful weapon to get ahead of the pack is their research proposal.

So, how do you write a proposal that helps you outperform other applicants?

This guide will help you write stress-free research proposals that land the funding you deserve and launch your academic career .

What is a research proposal?

A research proposal is a formal academic document that outlines your research project and requests support for that project: either by funding or agreeing to supervise your research.

The main objective of a research proposal is to explain what you’re planning to research and why it’s worth researching. Research proposals are most commonly used in academia or across non-academic scientific organizations. Of course, no two research proposals are identical—in fact, those can vary greatly depending on the level of study you’re at, your field, or the exact nature of your project.

Still, there are some general requirements that all great proposals have to meet and must-have sections to include. This article will focus particularly on writing research proposals for academic grants at postgraduate level or PhD applications. However, even if you’re writing a thesis or a dissertation proposal, most of the same rules apply—it’s just that your proposal might not have to be as detailed and comprehensive. Speaking of which...

How long should a research proposal be?

Most research proposals in humanities and social sciences are between 10 and 25 pages long. Technical or scientific proposals might require you to include detailed specifications and more supporting documentation and can therefore be significantly longer. That said, each institution might have its own guidelines and requirements for research proposals and those often include the word count range. If that’s the case, you obviously have to play by the rules.

Try Storydoc for research proposals

If you want to add some flair to your research proposal and immediately stand out from hundreds of other, identically-looking documents, take our interactive proposal maker for a spin and create a visually stunning summary of your proposal. Storydoc is 100% free to use for verified .edu email addresses.

Alright, we covered the theoretical part. Time for some practical knowledge!

Here’s how to write a research proposal:

1. write an introduction to present the subject of your research.

“Wow, I can’t wait to see the outcome of this study!” This is the kind of response you want your research proposal introduction to receive. How to make that happen? Outline your research proposal intro around these four key issues:

• What is the research problem?
• Who is this problem relevant to (general society, fellow researchers, specialized professionals, etc.)?
• What is currently known about the problem and what key pieces are missing from the current state of knowledge?
• Why should anyone care about the potential outcomes?

The easiest way to write a captivating intro to a research proposal is to follow a four-paragraph format, where each paragraph addresses one of these questions. Let’s see a practical example. (Yes, I made it up, but it works as a convenient point of reference.)

Sample outline for a research proposal introduction

The problem Investigating the impact of remote work on new joiners to previously in-house teams. Who it’s relevant to Human resources professionals, workspace psychologists, working population, business management specialists and scholars. What’s currently known There is existing research about the impact of remote work on team morale and productivity, but no research has been centered around people joining fully-remote teams that had previously worked in-house and the implications of such a situation for new employees' mental health and sense of belonging. Why should anyone care? In the era of COVID, many offices have switched to remote-only work yet they’re still hiring new employees. The findings of this study might suggest a need to change onboarding practices and HR management techniques in order to aid employee satisfaction which, in turn, can help improve work performance, NPS scores and overall business results.

2. Explain the Context and Background

Whether or not you’ll need this section depends on how detailed your proposal is. If a research problem at hand is particularly complicated or advanced, it’s usually best to add this section. It will usually be entitled “Background and Significance,” or “Rationale.” For shorter proposals, most of the actual background will have been already included in the introduction. How to write the “Background” section of a research proposal?

• Describe the broader area of research that your project fits into.
• Focus on the gaps in existing studies and explain the need to fill these gaps. That said…
• Show how your research will build upon existing knowledge.
• Explain your hypothesis and the rationale behind it.
• Establish the limits of your study (in other words, explain what the research is not about).
• Finally, reiterate why your research is important and what benefits it can reap. In other words, provide the answer to the dreaded “So what?” question.

If your research project is complex and highly technical, describing the background in a separate section is particularly helpful: this way, you can make your introduction follow a free-flowing, “sexy” narrative, and let the “Background” part do the heavy lifting. That said— Don’t make this part too detailed either. Assume you’re dealing with a very busy reader who won’t have the time to get into your methodology and timeline but still wants some hard evidence behind the relevance of your project.

3. Provide a Detailed Literature Review

Arguably, the most important (and, yes, you guessed it, the most difficult) part of the whole document— One where you have to prove that you know *all* there is to know about the topic of interest and that your research will help advance the whole field of study. The Literature Review section is, in essence, a mini-dissertation. It has to follow a logical progression and put forward the argument for your study in relation to existing research: describe and summarize what has already been discussed and demonstrate that your research goes beyond that. In the digital era of easy access to information , it might be difficult to discuss all of the existing research on your subject in the Literature Review so be critical about what studies or papers you choose to include.

But there’s a handy set of rules to help you pick the right ones—the gold standard for academic Literature Review. It’s called “ the five Cs ” and refers to the following practices:

• Cite directly from the sources to avoid digressions and drifting away from the actual literature.
• Compare different theories or arguments (in arts and humanities), methodologies and findings (in sciences and tech).
• Contrast the approaches discussed above: highlight the main differences and areas of disagreement among scholars in the field.
• Critique the research of the past. Don’t shy away from pointing out inaccuracies, mutually exclusive findings, or controversies. At the same time, give credit where it’s due. Identify the findings you find most convincing, reliable, or accurate.
• Connect the whole of the literature reviewed to your own project. Are you basing your assumptions on any previous findings? Is your goal to confront, challenge, or even debunk certain pieces of research? Either way, you need to prove that your study will be intertwined with existing ones, not floating in an academic void.

How to structure your Literature Review?

• The easiest and most reader-friendly way to format the Literature Review section is to devote each paragraph to a separate piece of literature.
• For scientific projects, it’s best to go from the more general to the more specific studies.
• For projects in arts and humanities, a historical (or chronological) progression is the most commonly-used method as it helps develop an easy-to-follow narrative.

The hard part? DONE. (No, it really is). All of what comes next boils down to technicalities and formal requirements. If they’re sold on your vision by now, you just need to show how you’re planning to achieve what you set out to do.

4. List Your Key Aims and Objectives

This section can be called “Research Questions,” or just “Aims and Objectives.” Compared to the previous ones, it should be very succinct and to-the-point. Whether you need to write about your aims and objectives or formulate those as research questions usually depends on the formal requirements of the institution to which you’re applying. The key aspect of getting this part right is distinguishing between the three: an aim, an objective, and a research question. Here’s how:

• Aims describe what you want to achieve. An aim is usually stated in a broad term.
• Objectives are the specific, measurable outputs you need to produce in order to achieve your aim. There are usually multiple objectives associated with a single aim.
• Questions are a slightly more specific way to formulate your objectives—in essence, very similar in meaning, just slightly different in format.

Again, here’s a practical example. And again, it’s simplified and not based on actual research, just here to let you better understand the disambiguation.

Sample research aims and objectives for a research proposal

Research Aim

To understand the importance of the quality of food in school canteens on the nutritional health of children aged 6–10. Objectives:

• Investigate the weekly menus across 28 school canteens in New Jersey with a focus on key nutritional ingredients and portion sizes.
• Conduct desk-research of state policies regulating nutrition in primary schools.
• Interview the parents of children participating in the study about their children’s nutritional habits outside of school.
• Evaluate the key health-related metrics in children participating in the study.

As I mentioned, if such are the formal requirements, your objectives can easily be translated into research questions. For instance: “Conduct desk-research of state policies regulating nutrition in primary schools.” Becomes: “What state-wide policies regulating nutrition in primary schools are there in place in the state of New Jersey?”

Remember the five Cs of literature review? When it comes to your research objectives and questions, there’s another handy acronym to serve as a sanity check for you: SMART . It stands for:

• Specific: is the objective well-defined and can be achieved with a singular action?
• Measurable: will you end up with quantified, verifiable data?
• Achievable: considering your resources and capacity, is it realistic for you to reach your objective?
• Relevant: does this objective actually contribute to your research aim?
• Timebound: do you have enough time to complete this objective, in relation to the overall timeline of your project?

5. Outline the Research Methods and Design

The grant decision makers already know what you’re trying to achieve and have a general idea about how you’re planning to achieve that. This section should prove to them that you’re well equipped (both in terms of your skills and resources) to conduct the research. The main goal is to convince the reader that your methods are adequate and appropriate for the specific topic. Any idea why “specific” is in bold? Well, this is one of those parts of a research proposal that differs the most across different documents. There’s an ideal methodology for any particular academic project and no two kinds of research design are the same. Make sure your methodology matches all of your desired outcomes.

Some usual components of the Research Methods section include:

Research type:

• Qualitative or quantitative ,
• Collecting original data or basing your research on primary and secondary sources,
• Descriptive, correlational, or experimental.

Population and sample:

• The whole population of individuals or entities that meet eligibility criteria to be included in your research,
• The subset of the population that is going to be included in the particular study.

Data collection:

• What methods ( surveys , clinical analysis, biochemical analysis, interviews, experiments) will you use?
• Why are those methods optimal for achieving the desired objectives?
• How can you ensure that the chosen method eliminates bias?

Data analysis:

• How will you sort and code the data obtained?
• What tools, algorithms, or techniques will you use to analyze the data?

Operational issues:

• How much time will you need to collect the research material?
• How are you planning to gain access to the desired set of data or information?
• What obstacles might you encounter and how will you overcome them?

Now, I can’t stress that enough— This part of a research proposal will vary the most from one proposal to another. The outline above will work good for sciences (both social and exact), perhaps not equally great for arts and humanities. At the end of the day, you know your project better than anyone else. You’ll need to make the judgement call as to what methods are best.

6. (Optional) Discuss Ethical Considerations

No, this part isn’t optional because you might just disregard ethics or choose to be the evil scientist. But let’s face it— There aren’t going to be many ethical issues to consider if you’re investigating the vector shapes of tree leaves’ shadows (I kid you not, it’s a legit research issue, my friend did his PhD in Physics about it and absolutely killed it). But if your research has to do with humans, especially in fields such as medicine or psychology, it might introduce ethical problems in data collection , not often encountered by other researchers. You need to take extra care to protect your participants’ rights, get their explicit consent to process the data, as well as consult the research project with the authorities of your academic institution—for that purpose, your proposal needs to contain detailed information regarding these aspects.

7. Present Preliminary or Desired Implications and Contribution to Knowledge

This is the last argument-based part of your proposal. After that, everything will be about “boring” technicalities. This also means, it’s your last chance to convince the decision makers to back your project. Think about it this way— You already explained what exactly is going to be the scope of your project. You detailed the current state of knowledge and identified the most important gaps. You told them what you’re hoping to find out and how you’re planning to do it. Now, talk about the actual, feasible difference your finding can make. How your research can influence the future of the field, or even the very narrow niche. In other words, describe the implications of your research such as:

• How can your research challenge the current underlying assumptions on the subject matter?
• How can it inform future research and what new areas of research can it propel?
• What will the influence of your research be on policy decisions?
• What sorts of individuals, organizations, or other entities can your research benefit?
• What will be improved and optimized on the basis of your research?

All that while keeping one crucial thing in mind— Talking about the practical implications of your study shouldn’t sound like daydreaming. However “preliminary” or “desired” the said implications are, you need to base those on very clear evidence. In short, this section is about:

• Reiterating the gaps in the current state of knowledge.
• Showing how you’ll contribute to a new understanding of certain problems or even a scientific breakthrough.
• Clearly showing how your findings can be acted upon and what feasible change those actions will bring about.

And yes, it does sound lofty, but it’s true. As a researcher, you’re expanding the scope of human comprehension! Don’t shy away from highlighting the actual change you can bring to the world (or even just your narrow field, it’s just as valuable).

8. Detail Your Budget and Funding Requirements

If you do have a supervisor already, it’s best to consult this part with them. They’ve most likely submitted similar documents to the institution you’re reaching out to and will be able to provide invaluable insights on how much you can realistically expect to get paid. If you’re at a different stage of the application process, here are the key elements you should include in the funding requirements section:

• Operational costs: materials, equipment, access to labs, any software you might need, etc.
• Travel costs: including transportation, accommodation, and living costs.
• Staff: if you’ll need human assistants to help you carry out your research, you’ll most likely need to pay them. It might be the case that junior researchers or students will be able to help you to obtain necessary credits for graduation, but it’s still a cost for their institution you’ll need to include in the budget.
• Allowance: you’ll most likely have to give up on other duties that help you pay bills (be that teaching, publishing, or administrative work) but you still need those bills paid. Treat your allowance as a regular salary you need to make a living.

Note: if possible, do leave yourself some wiggle room and request for conditional extra allowance for unpredictable disasters, delays, or unexpected cost rises.

9. Provide a Timetable

Certain grant schemes come with predefined timetables (e.g. placements offered for 3, 6, or 9 months) and in such cases there’s no need for a very detailed timeline—all you need to do is convince them that the period of time for which you’ll be receiving funding is sufficient for you to complete the project. When you’re writing a proposal for a standalone project, detailing a timeline can help support your budget. The most common format is, you guessed it, a table. Divide your research into stages, list, in bullet points, what actions you’ll need to take at each stage, and list rough deadlines. I know I don’t have to tell you that but please, keep Murphy's Law in mind. Perhaps not everything that can go wrong will, but, well, expect the unexpected and be conservative with deadlines. All in all, it's easier to explain why you no longer need 3 months worth of funding than it is to ask for 6 months’ extra allowance. Don’t let delays derail your project. That’s all I have to say.

10. End with a List of Citations

This one really is self-explanatory, isn’t it. As a scholar, you need to cite the sources you’re referring to (no matter how harshly critical you are of some of those:)). Citations in research proposals can either be included in the form of references (so only the pieces of literature you actually cited) or bibliography (everything that informed your proposal). As is the case with many other elements of the proposal, the correct format depends almost exclusively on the institution you’re applying to, so make sure to check it with them or consult with your supervisor about which one is preferred. The same goes for the style of referencing. Most US universities use APA or Chicago style but each has its own set of rules and preferences. Double-check with the list of guidelines on their website. When in doubt, reach out to the head of the department you’re wishing to work with. (No, using the wrong style won’t ruin your chances but I don’t think I need to tell you how particular certain academics are so let’s not step on any toes, shall we?)

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And that’s a wrap!

To sum up, this is what a typical research proposal should include:

• Introduction
• Context and Background
• Literature Review
• Aims and Objectives or Research Questions
• Methods and Design
• Ethical Considerations
• Contributions to Knowledge or Implications

Writing a research proposal can be hard and feel like a never-ending process. It really isn’t much different from writing an actual thesis or dissertation. Yup, this is my roundabout way of saying: don’t get disheartened. Allow yourself a few months up to half a year to complete your proposal, follow the steps outlined in this guide and, whenever in doubt, remember to reach out to senior researchers for help. Keeping my fingers crossed for your proposal!

Hi, I'm John, Editor-in-chief at Storydoc. As a content marketer and digital writer specializing in B2B SaaS, my main goal is to provide you with up-to-date tips for effective business storytelling and equip you with all the right tools to enable your sales efforts.

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Home » How To Write A Research Proposal – Step-by-Step [Template]

How To Write A Research Proposal – Step-by-Step [Template]

Table of Contents

How To Write a Research Proposal

Writing a Research proposal involves several steps to ensure a well-structured and comprehensive document. Here is an explanation of each step:

1. Title and Abstract

• Choose a concise and descriptive title that reflects the essence of your research.
• Write an abstract summarizing your research question, objectives, methodology, and expected outcomes. It should provide a brief overview of your proposal.

2. Introduction:

• Provide an introduction to your research topic, highlighting its significance and relevance.
• Clearly state the research problem or question you aim to address.
• Discuss the background and context of the study, including previous research in the field.

3. Research Objectives

• Outline the specific objectives or aims of your research. These objectives should be clear, achievable, and aligned with the research problem.

4. Literature Review:

• Conduct a comprehensive review of relevant literature and studies related to your research topic.
• Summarize key findings, identify gaps, and highlight how your research will contribute to the existing knowledge.

5. Methodology:

• Describe the research design and methodology you plan to employ to address your research objectives.
• Explain the data collection methods, instruments, and analysis techniques you will use.
• Justify why the chosen methods are appropriate and suitable for your research.

6. Timeline:

• Create a timeline or schedule that outlines the major milestones and activities of your research project.
• Break down the research process into smaller tasks and estimate the time required for each task.

7. Resources:

• Identify the resources needed for your research, such as access to specific databases, equipment, or funding.
• Explain how you will acquire or utilize these resources to carry out your research effectively.

8. Ethical Considerations:

• Discuss any ethical issues that may arise during your research and explain how you plan to address them.
• If your research involves human subjects, explain how you will ensure their informed consent and privacy.

9. Expected Outcomes and Significance:

• Clearly state the expected outcomes or results of your research.
• Highlight the potential impact and significance of your research in advancing knowledge or addressing practical issues.

10. References:

• Provide a list of all the references cited in your proposal, following a consistent citation style (e.g., APA, MLA).

11. Appendices:

• Include any additional supporting materials, such as survey questionnaires, interview guides, or data analysis plans.

Research Proposal Format

The format of a research proposal may vary depending on the specific requirements of the institution or funding agency. However, the following is a commonly used format for a research proposal:

1. Title Page:

• Include the title of your research proposal, your name, your affiliation or institution, and the date.

2. Abstract:

• Provide a brief summary of your research proposal, highlighting the research problem, objectives, methodology, and expected outcomes.

3. Introduction:

• Introduce the research topic and provide background information.
• State the research problem or question you aim to address.
• Explain the significance and relevance of the research.
• Review relevant literature and studies related to your research topic.
• Summarize key findings and identify gaps in the existing knowledge.
• Explain how your research will contribute to filling those gaps.

5. Research Objectives:

• Clearly state the specific objectives or aims of your research.
• Ensure that the objectives are clear, focused, and aligned with the research problem.

6. Methodology:

• Describe the research design and methodology you plan to use.
• Explain the data collection methods, instruments, and analysis techniques.
• Justify why the chosen methods are appropriate for your research.

7. Timeline:

8. Resources:

• Explain how you will acquire or utilize these resources effectively.

9. Ethical Considerations:

• If applicable, explain how you will ensure informed consent and protect the privacy of research participants.

10. Expected Outcomes and Significance:

11. References:

12. Appendices:

Research Proposal Template

Here’s a template for a research proposal:

1. Introduction:

2. Literature Review:

3. Research Objectives:

4. Methodology:

5. Timeline:

6. Resources:

7. Ethical Considerations:

8. Expected Outcomes and Significance:

9. References:

10. Appendices:

Research Proposal Sample

Title: The Impact of Online Education on Student Learning Outcomes: A Comparative Study

1. Introduction

Online education has gained significant prominence in recent years, especially due to the COVID-19 pandemic. This research proposal aims to investigate the impact of online education on student learning outcomes by comparing them with traditional face-to-face instruction. The study will explore various aspects of online education, such as instructional methods, student engagement, and academic performance, to provide insights into the effectiveness of online learning.

2. Objectives

The main objectives of this research are as follows:

• To compare student learning outcomes between online and traditional face-to-face education.
• To examine the factors influencing student engagement in online learning environments.
• To assess the effectiveness of different instructional methods employed in online education.
• To identify challenges and opportunities associated with online education and suggest recommendations for improvement.

3. Methodology

3.1 Study Design

This research will utilize a mixed-methods approach to gather both quantitative and qualitative data. The study will include the following components:

3.2 Participants

The research will involve undergraduate students from two universities, one offering online education and the other providing face-to-face instruction. A total of 500 students (250 from each university) will be selected randomly to participate in the study.

3.3 Data Collection

The research will employ the following data collection methods:

• Quantitative: Pre- and post-assessments will be conducted to measure students’ learning outcomes. Data on student demographics and academic performance will also be collected from university records.
• Qualitative: Focus group discussions and individual interviews will be conducted with students to gather their perceptions and experiences regarding online education.

3.4 Data Analysis

Quantitative data will be analyzed using statistical software, employing descriptive statistics, t-tests, and regression analysis. Qualitative data will be transcribed, coded, and analyzed thematically to identify recurring patterns and themes.

4. Ethical Considerations

The study will adhere to ethical guidelines, ensuring the privacy and confidentiality of participants. Informed consent will be obtained, and participants will have the right to withdraw from the study at any time.

5. Significance and Expected Outcomes

This research will contribute to the existing literature by providing empirical evidence on the impact of online education on student learning outcomes. The findings will help educational institutions and policymakers make informed decisions about incorporating online learning methods and improving the quality of online education. Moreover, the study will identify potential challenges and opportunities related to online education and offer recommendations for enhancing student engagement and overall learning outcomes.

6. Timeline

The proposed research will be conducted over a period of 12 months, including data collection, analysis, and report writing.

The estimated budget for this research includes expenses related to data collection, software licenses, participant compensation, and research assistance. A detailed budget breakdown will be provided in the final research plan.

8. Conclusion

This research proposal aims to investigate the impact of online education on student learning outcomes through a comparative study with traditional face-to-face instruction. By exploring various dimensions of online education, this research will provide valuable insights into the effectiveness and challenges associated with online learning. The findings will contribute to the ongoing discourse on educational practices and help shape future strategies for maximizing student learning outcomes in online education settings.

About the author

Muhammad Hassan

Researcher, Academic Writer, Web developer

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How to Write the Background of the Study in Research (Part 1)

Background of the Study in Research: Definition and the Core Elements it Contains

Before we embark on a detailed discussion on how to write the background of the study of your proposed research or thesis, it is important to first discuss its meaning and the core elements that it should contain. This is obviously because understanding the nature of the background of the study in research and knowing exactly what to include in it allow us to have both greater control and clear direction of the writing process.

So, what really is the background of the study and what are the core elements that it should contain?

The background of the study, which usually forms the first section of the introduction to a research paper or thesis, provides the overview of the study. In other words, it is that section of the research paper or thesis that establishes the context of the study. Its main function is to explain why the proposed research is important and essential to understanding the main aspects of the study.

The background of the study, therefore, is the section of the research paper or thesis that identifies the problem or gap of the study that needs to addressed and justifies the need for conducting the study. It also articulates the main goal of the study and the thesis statement, that is, the main claim or argument of the paper.

Given this brief understanding of the background of the study, we can anticipate what readers or thesis committee members expect from it. As we can see, the background of the study should contain the following major points:

1) brief discussion on what is known about the topic under investigation; 2) An articulation of the research gap or problem that needs to be addressed; 3) What the researcher would like to do or aim to achieve in the study ( research goal); 4) The thesis statement, that is, the main argument or contention of the paper (which also serves as the reason why the researcher would want to pursue the study); 5) The major significance or contribution of the study to a particular discipline; and 6) Depending on the nature of the study, an articulation of the hypothesis of the study.

Thus, when writing the background of the study, you should plan and structure it based on the major points just mentioned. With this, you will have a clear picture of the flow of the tasks that need to be completed in writing this section of your research or thesis proposal.

Now, how do you go about writing the background of the study in your proposed research or thesis?

The next lessons will address this question.

How to Write the Opening Paragraphs of the Background of the Study?

To begin with, let us assume that you already have conducted a preliminary research on your chosen topic, that is, you already have read a lot of literature and gathered relevant information for writing the background of your study. Let us also assume that you already have identified the gap of your proposed research and have already developed the research questions and thesis statement. If you have not yet identified the gap in your proposed research, you might as well go back to our lesson on how to identify a research gap.

So, we will just put together everything that you have researched into a background of the study (assuming, again, that you already have the necessary information). But in this lesson, let’s just focus on writing the opening paragraphs.

It is important to note at this point that there are different styles of writing the background of the study. Hence, what I will be sharing with you here is not just “the” only way of writing the background of the study. As a matter of fact, there is no “one-size-fits-all” style of writing this part of the research or thesis. At the end of the day, you are free to develop your own. However, whatever style it would be, it always starts with a plan which structures the writing process into stages or steps. The steps that I will share with below are just some of the most effective ways of writing the background of the study in research.

So, let’s begin.

It is always a good idea to begin the background of your study by giving an overview of your research topic. This may include providing a definition of the key concepts of your research or highlighting the main developments of the research topic.

Let us suppose that the topic of your study is the “lived experiences of students with mathematical anxiety”.

Here, you may start the background of your study with a discussion on the meaning, nature, and dynamics of the term “mathematical anxiety”. The reason for this is too obvious: “mathematical anxiety” is a highly technical term that is specific to mathematics. Hence, this term is not readily understandable to non-specialists in this field.

So, you may write the opening paragraph of your background of the study with this:

“Mathematical anxiety refers to the individual’s unpleasant emotional mood responses when confronted with a mathematical situation.”

Since you do not invent the definition of the term “mathematical anxiety”, then you need to provide a citation to the source of the material from which you are quoting. For example, you may now say:

“Mathematical anxiety refers to the individual’s unpleasant emotional mood responses when confronted with a mathematical situation (Eliot, 2020).”

And then you may proceed with the discussion on the nature and dynamics of the term “mathematical anxiety”. You may say:

“Lou (2019) specifically identifies some of the manifestations of this type of anxiety, which include, but not limited to, depression, helplessness, nervousness and fearfulness in doing mathematical and numerical tasks.”

After explaining to your readers the meaning, nature, and dynamics (as well as some historical development if you wish to) of the term “mathematical anxiety”, you may now proceed to showing the problem or gap of the study. As you may already know, the research gap is the problem that needs to be addressed in the study. This is important because no research activity is possible without the research gap.

Let us suppose that your research problem or gap is: “Mathematical anxiety can negatively affect not just the academic achievement of the students but also their future career plans and total well-being. Also, there are no known studies that deal with the mathematical anxiety of junior high school students in New Zealand.” With this, you may say:

“If left unchecked, as Shapiro (2019) claims, this problem will expand and create a total avoidance pattern on the part of the students, which can be expressed most visibly in the form of cutting classes and habitual absenteeism. As we can see, this will negatively affect the performance of students in mathematics. In fact, the study conducted by Luttenberger and Wimmer (2018) revealed that the outcomes of mathematical anxiety do not only negatively affect the students’ performance in math-related situations but also their future career as professionals. Without a doubt, therefore, mathematical anxiety is a recurring problem for many individuals which will negatively affect the academic success and future career of the student.”

Now that you already have both explained the meaning, nature, and dynamics of the term “mathematical anxiety” and articulated the gap of your proposed research, you may now state the main goal of your study. You may say:

“Hence, it is precisely in this context that the researcher aims to determine the lived experiences of those students with mathematical anxiety. In particular, this proposed thesis aims to determine the lived experiences of the junior high school students in New Zealand and identify the factors that caused them to become disinterested in mathematics.”

Please note that you should not end the first paragraph of your background of the study with the articulation of the research goal. You also need to articulate the “thesis statement”, which usually comes after the research goal. As is well known, the thesis statement is the statement of your argument or contention in the study. It is more of a personal argument or claim of the researcher, which specifically highlights the possible contribution of the study. For example, you may say:

“The researcher argues that there is a need to determine the lived experiences of these students with mathematical anxiety because knowing and understanding the difficulties and challenges that they have encountered will put the researcher in the best position to offer some alternatives to the problem. Indeed, it is only when we have performed some kind of a ‘diagnosis’ that we can offer practicable solutions to the problem. And in the case of the junior high school students in New Zealand who are having mathematical anxiety, determining their lived experiences as well as identifying the factors that caused them to become disinterested in mathematics are the very first steps in addressing the problem.”

If we combine the bits and pieces that we have written above, we can now come up with the opening paragraphs of your background of the study, which reads:

As we can see, we can find in the first paragraph 5 essential elements that must be articulated in the background of the study, namely:

1) A brief discussion on what is known about the topic under investigation; 2) An articulation of the research gap or problem that needs to be addressed; 3) What the researcher would like to do or aim to achieve in the study (research goal); 4) The thesis statement , that is, the main argument or claim of the paper; and 5) The major significance or contribution of the study to a particular discipline. So, that’s how you write the opening paragraphs of your background of the study. The next lesson will talk about writing the body of the background of the study.

How to Write the Body of the Background of the Study?

If we liken the background of the study to a sitting cat, then the opening paragraphs that we have completed in the previous lesson would just represent the head of the cat.

This means we still have to write the body (body of the cat) and the conclusion (tail). But how do we write the body of the background of the study? What should be its content?

Truly, this is one of the most difficult challenges that fledgling scholars faced. Because they are inexperienced researchers and didn’t know what to do next, they just wrote whatever they wished to write. Fortunately, this is relatively easy if they know the technique.

One of the best ways to write the body of the background of the study is to attack it from the vantage point of the research gap. If you recall, when we articulated the research gap in the opening paragraphs, we made a bold claim there, that is, there are junior high school students in New Zealand who are experiencing mathematical anxiety. Now, you have to remember that a “statement” remains an assumption until you can provide concrete proofs to it. This is what we call the “epistemological” aspect of research. As we may already know, epistemology is a specific branch of philosophy that deals with the validity of knowledge. And to validate knowledge is to provide concrete proofs to our statements. Hence, the reason why we need to provide proofs to our claim that there are indeed junior high school students in New Zealand who are experiencing mathematical anxiety is the obvious fact that if there are none, then we cannot proceed with our study. We have no one to interview with in the first. In short, we don’t have respondents.

The body of the background of the study, therefore, should be a presentation and articulation of the proofs to our claim that indeed there are junior high school students in New Zealand who are experiencing mathematical anxiety. Please note, however, that this idea is true only if you follow the style of writing the background of the study that I introduced in this course.

So, how do we do this?

One of the best ways to do this is to look for literature on mathematical anxiety among junior high school students in New Zealand and cite them here. However, if there are not enough literature on this topic in New Zealand, then we need to conduct initial interviews with these students or make actual classroom observations and record instances of mathematical anxiety among these students. But it is always a good idea if we combine literature review with interviews and actual observations.

Assuming you already have the data, then you may now proceed with the writing of the body of your background of the study. For example, you may say:

“According to records and based on the researcher’s firsthand experience with students in some junior high schools in New Zealand, indeed, there are students who lost interest in mathematics. For one, while checking the daily attendance and monitoring of the students, it was observed that some of them are not always attending classes in mathematics but are regularly attending the rest of the required subjects.”

After this sentence, you may insert some literature that will support this position. For example, you may say:

“As a matter of fact, this phenomenon is also observed in the work of Estonanto. In his study titled ‘Impact of Math Anxiety on Academic Performance in Pre-Calculus of Senior High School’, Estonanto (2019) found out that, inter alia, students with mathematical anxiety have the tendency to intentionally prioritize other subjects and commit habitual tardiness and absences.”

Then you may proceed saying:

“With this initial knowledge in mind, the researcher conducted initial interviews with some of these students. The researcher learned that one student did not regularly attend his math subject because he believed that he is not good in math and no matter how he listens to the topic he will not learn.”

Then you may say:

“Another student also mentioned that she was influenced by her friends’ perception that mathematics is hard; hence, she avoids the subject. Indeed, these are concrete proofs that there are some junior high school students in New Zealand who have mathematical anxiety. As already hinted, “disinterest” or the loss of interest in mathematics is one of the manifestations of a mathematical anxiety.”

If we combine what we have just written above, then we can have the first two paragraphs of the body of our background of the study. It reads:

“According to records and based on the researcher’s firsthand experience with students in some junior high schools in New Zealand, indeed there are students who lost interest in mathematics. For one, while checking the daily attendance and monitoring of the students, it was observed that some of them are not always attending classes in mathematics but are regularly attending the rest of the required subjects. As a matter of fact, this phenomenon is also observed in the work of Estonanto. In his study titled ‘Impact of Math Anxiety on Academic Performance in Pre-Calculus of Senior High School’, Estonanto (2019) found out that, inter alia, students with mathematical anxiety have the tendency to intentionally prioritize other subjects and commit habitual tardiness and absences.

With this initial knowledge in mind, the researcher conducted initial interviews with some of these students. The researcher learned that one student did not regularly attend his math subject because he believed that he is not good in math and no matter how he listens to the topic he will not learn. Another student also mentioned that she was influenced by her friends’ perception that mathematics is hard; hence, she avoids the subject. Indeed, these are concrete proofs that there are some junior high school students in New Zealand who have mathematical anxiety. As already hinted, “disinterest” or the loss of interest in mathematics is one of the manifestations of a mathematical anxiety.”

And then you need validate this observation by conducting another round of interview and observation in other schools. So, you may continue writing the body of the background of the study with this:

“To validate the information gathered from the initial interviews and observations, the researcher conducted another round of interview and observation with other junior high school students in New Zealand.”

“On the one hand, the researcher found out that during mathematics time some students felt uneasy; in fact, they showed a feeling of being tensed or anxious while working with numbers and mathematical problems. Some were even afraid to seat in front, while some students at the back were secretly playing with their mobile phones. These students also show remarkable apprehension during board works like trembling hands, nervous laughter, and the like.”

Then provide some literature that will support your position. You may say:

“As Finlayson (2017) corroborates, emotional symptoms of mathematical anxiety involve feeling of helplessness, lack of confidence, and being nervous for being put on the spot. It must be noted that these occasionally extreme emotional reactions are not triggered by provocative procedures. As a matter of fact, there are no personally sensitive questions or intentional manipulations of stress. The teacher simply asked a very simple question, like identifying the parts of a circle. Certainly, this observation also conforms with the study of Ashcraft (2016) when he mentions that students with mathematical anxiety show a negative attitude towards math and hold self-perceptions about their mathematical abilities.”

And then you proceed:

“On the other hand, when the class had their other subjects, the students show a feeling of excitement. They even hurried to seat in front and attentively participating in the class discussion without hesitation and without the feeling of being tensed or anxious. For sure, this is another concrete proof that there are junior high school students in New Zealand who have mathematical anxiety.”

To further prove the point that there indeed junior high school students in New Zealand who have mathematical anxiety, you may solicit observations from other math teachers. For instance, you may say:

“The researcher further verified if the problem is also happening in other sections and whether other mathematics teachers experienced the same observation that the researcher had. This validation or verification is important in establishing credibility of the claim (Buchbinder, 2016) and ensuring reliability and validity of the assertion (Morse et al., 2002). In this regard, the researcher attempted to open up the issue of math anxiety during the Departmentalized Learning Action Cell (LAC), a group discussion of educators per quarter, with the objective of ‘Teaching Strategies to Develop Critical Thinking of the Students’. During the session, one teacher corroborates the researcher’s observation that there are indeed junior high school students in New Zealand who have mathematical anxiety. The teacher pointed out that truly there were students who showed no extra effort in mathematics class in addition to the fact that some students really avoided the subject. In addition, another math teacher expressed her frustrations about these students who have mathematical anxiety. She quipped: “How can a teacher develop the critical thinking skills or ability of the students if in the first place these students show avoidance and disinterest in the subject?’.”

Again, if we combine what we have just written above, then we can now have the remaining parts of the body of the background of the study. It reads:

So, that’s how we write the body of the background of the study in research . Of course, you may add any relevant points which you think might amplify your content. What is important at this point is that you now have a clear idea of how to write the body of the background of the study.

How to Write the Concluding Part of the Background of the Study?

Since we have already completed the body of our background of the study in the previous lesson, we may now write the concluding paragraph (the tail of the cat). This is important because one of the rules of thumb in writing is that we always put a close to what we have started.

It is important to note that the conclusion of the background of the study is just a rehashing of the research gap and main goal of the study stated in the introductory paragraph, but framed differently. The purpose of this is just to emphasize, after presenting the justifications, what the study aims to attain and why it wants to do it. The conclusion, therefore, will look just like this:

“Given the above discussion, it is evident that there are indeed junior high school students in New Zealand who are experiencing mathematical anxiety. And as we can see, mathematical anxiety can negatively affect not just the academic achievement of the students but also their future career plans and total well-being. Again, it is for this reason that the researcher attempts to determine the lived experiences of those junior high school students in New Zealand who are experiencing a mathematical anxiety.”

If we combine all that we have written from the very beginning, the entire background of the study would now read:

If we analyze the background of the study that we have just completed, we can observe that in addition to the important elements that it should contain, it has also addressed other important elements that readers or thesis committee members expect from it.

On the one hand, it provides the researcher with a clear direction in the conduct of the study. As we can see, the background of the study that we have just completed enables us to move in the right direction with a strong focus as it has set clear goals and the reasons why we want to do it. Indeed, we now exactly know what to do next and how to write the rest of the research paper or thesis.

On the other hand, most researchers start their research with scattered ideas and usually get stuck with how to proceed further. But with a well-written background of the study, just as the one above, we have decluttered and organized our thoughts. We have also become aware of what have and have not been done in our area of study, as well as what we can significantly contribute in the already existing body of knowledge in this area of study.

Please note, however, as I already mentioned previously, that the model that I have just presented is only one of the many models available in textbooks and other sources. You are, of course, free to choose your own style of writing the background of the study. You may also consult your thesis supervisor for some guidance on how to attack the writing of your background of the study.

Lastly, and as you may already know, universities around the world have their own thesis formats. Hence, you should follow your university’s rules on the format and style in writing your research or thesis. What is important is that with the lessons that you learned in this course, you can now easily write the introductory part of your thesis, such as the background of the study.

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

What is the Rationale of the Study?

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

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

Table of Contents:

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

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

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

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

When is the Rationale for Research Written?

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

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

What to Include in the Study Rationale

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

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

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

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

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

Methodological limitations

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

Contextual limitations

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

Conceptual limitations

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

Study Rationale Examples

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

Background presentation

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

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

Rationale of the study

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

Statement of the problem

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

How long is a study rationale?

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

Consider Using Professional Academic Editing Services

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

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

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Home > Conferences and Events > Research Week > 2024 > Posters > 83

The relationship between Imposter syndrome, household income, and level of education

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Miebaka Favour Roberts , Liberty University Follow

Poster - Theoretical Proposal

Description

Background: Imposter syndrome has been documented in the literature as a challenge across all professional fields, for men and women. Imposter syndrome is defined as a state of high-performing individuals attributing achievements to luck and contingency rather than skill and merit. Those experiencing imposter syndrome often live in fear of being exposed as a fraud or losing credibility. Methods: The current study applies the Literature Matrix Method by Judith Garrad to aggregate and synthesize literature for three factors: Imposter Syndrome, household income, and educational level. Further, inclusion criteria for search terms included publication year (2019-2023), document type (Peer-reviewed), and language (English). Database searches included ProQuest Central, PubMed, and Google Scholar. Results: Initial searches were screened for inclusion criteria with only full-text articles selected for review. Several articles were excluded due to insufficient relevance to the terms: imposter syndrome AND income OR educational level. The final pool of articles was added to the Literature Matrix and patterns and themes identified to identify potential correlations between factors. Conclusion: Results indicate further research is needed to understand the correlation between education, household income, and imposter syndrome. Future research can provide insight into how to provide professional development and interventions to mitigate this concerning challenge among working professionals.

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• Associations of early retirement and mortality risk: a population-based study in Taiwan
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• Tsui-Hung Wang 1 ,
• Shao-Yun Chien 2 ,
• Wan-Ju Cheng 1 , 3 ,
• Ya-Wen Huang 1 ,
• Shi-Heng Wang 1 , 4 ,
• Wei-Lieh Huang 5 , 6 ,
• Ya-Ling Tzeng 7 ,
• Chih-Cheng Hsu 8 , 9 , 10 ,
• http://orcid.org/0000-0003-2762-7295 Chi-Shin Wu 1 , 5
• 1 National Center for Geriatrics and Welfare Research , National Health Research Institutes , Zhunan , Taiwan
• 2 School of Nursing , University of Washington , Seattle , Washington , USA
• 3 Department of Public Health , China Medical University , Taichung , Taiwan
• 4 Department of Medical Research , China Medical University , Taichung , Taiwan
• 5 Department of Psychiatry , National Taiwan University Hospital , Douliou , Yunlin , Taiwan
• 6 Department of Psychiatry , National Taiwan University College of Medicine , Taipei , Taiwan
• 7 School of Nursing , China Medical University College of Medicine , Taichung , Taiwan
• 8 Department of Family Medicine , Min Sheng General Hospital , Taoyuan , Taiwan
• 9 Department of Health Services Administration , China Medical University , Taichung , Taiwan
• 10 Institute of Population Health Sciences , National Health Research Institutes , Zhunan , Taiwan
• Correspondence to Dr Chi-Shin Wu, National Center for Geriatrics and Welfare Research, National Health Research Institutes, Zhunan 350, Taiwan; chishinwu{at}ntu.edu.tw

Background Early retirement is highly prevalent in Taiwan. This study assesses the association between early retirement and all-cause and cause-specific mortality risks while exploring the modifying effect of sociodemographic factors.

Methods Using Taiwan’s National Health Insurance Research Database between 2009 and 2019, 1 762 621 early retirees aged 45–64 and an equal number of employed comparators were included. The date and cause of death were identified using the National Death Registry. Cox regression models were used to estimate HRs of early retirement for all-cause mortality and cause-specific mortality. To explore modifying effects, we conducted subgroup analyses based on age groups, sexes, occupation types and general health status (Charlson Comorbid Index score).

Results The analysis revealed that early retirees, compared with their concurrently employed counterparts, had a higher mortality risk (adjusted HR (aHR) 1.69, 95% CI (1.67 to 1.71)). Specifically, younger individuals (aged 45–54) (aHR 2.74 (95% CI 2.68 to 2.80)), males (aHR 1.78 (95% CI 1.76 to 1.81)), those in farming or fishing occupations (aHR 2.13 (95% CI 2.06 to 2.21)) or the private sector (aHR 1.92 (95% CI 1.89 to 1.96)), and those with the poorest health conditions (aHR 1.79 (95% CI 1.76 to 1.83)) had higher mortality risks of early retirement. Regarding specific causes of death, the top three highest risks were associated with gastrointestinal disorders, followed by suicide and neurological disorders.

Conclusions This study underscores the substantial mortality risk increase linked to early retirement, emphasising the importance of policy considerations, particularly regarding vulnerable populations and specific causes of death potentially linked to unhealthy lifestyles.

• OCCUPATIONAL HEALTH

Data availability statement

Data may be obtained from a third party and are not publicly available. The datasets supporting this study are available from Taiwan’s Health and Welfare Data Science Centre. Due to legal restrictions, data cannot be made publicly available. Requests for data can be sent as a formal proposal to Taiwan’s Health and Welfare Data Science Centre ( https://dep.mohw.gov.tw/dos/mp-113.html ).

https://doi.org/10.1136/jech-2024-222075

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WHAT IS ALREADY KNOWN ON THIS TOPIC

Previous research on early retirement’s health effects shows conflicting results, with some studies suggesting increased mortality risk while others find no significant correlation.

WHAT THIS STUDY ADDS

This study demonstrates that early retirees face an increased all-cause mortality risk compared with their employed counterparts, especially among younger individuals, males and those in specific occupational sectors such as farming, fishing or the private sector.

HOW THIS STUDY MIGHT AFFECT RESEARCH, PRACTICE OR POLICY

This study highlights the necessity for policy-makers to create tailored public health interventions and retirement policies to address the increased mortality risks linked to early retirement, particularly among vulnerable populations.

Introduction

With the significant impacts of an ageing population and declining birthrates on labour markets and socioeconomic systems, retirement age has become a topic of concern for many countries. In Taiwan, early retirement is a prevalent phenomenon. The average labour force participation rate among individuals aged 55–65 years in OECD countries was 64.3% in 2019. 1 However, in Taiwan, the labour force participation rate among middle-aged adults remained comparatively low. For individuals aged 55–59 and 60–64 years, it was 56.1% and 36.7% in 2019, respectively. 2 Taiwanese citizens enjoy extensive coverage under various pension systems. The majority are enrolled in either the Labour Insurance or Civil Servants’ Insurance schemes. 3 Additionally, the Welfare Allowance for Elderly Farmers supports farmers and fishers aged 65 or older. Moreover, since its launch in 2008, the National Pension Insurance has provided a safety net for all citizens. Notably, civil servants often opt for early retirement due to a high-income substitution rate compared with other occupations. 4

Numerous researchers have focused on the health impacts of early retirement, yet the conclusions have been inconsistent. 5 Some studies propose that early retirement could elevate mortality risk. 6–8 For example, a longitudinal study by Wu et al 8 on a general older population in the USA suggested a potential association between early retirement and increased mortality rates. Similar results have been reported in cohort studies from Greece and Denmark. 9 10 However, separate studies from the Netherlands 11 and Norway 12 suggest that early retirement does not necessarily correlate with an uptick in mortality rates.

Research on the relationship between early retirement and mortality risk in Asian countries remains limited. 5 Japanese studies found a correlation between retirement and increased mortality rates, particularly among men. However, these studies lacked precise retirement age determination and did not focus on early retirement’s specific impact. 13 14 Conversely, an Israeli survey found no elevated mortality risk among prematurely retired individuals compared with those retiring at the appropriate time. 15 These inconsistent findings may stem from differing socioeconomic development and lifestyle factors across countries. For instance, older Western individuals tend to engage more in physical and social activities and moderate drinking, whereas Asian seniors exhibit lower levels of physical activity and social participation. 16 These disparities underscore the importance of examining early retirement and mortality rates across different regional populations. Sociodemographic factors affect health behaviours and social resource access, impacting retirement health and well-being. Occupational histories also matter; demanding or stressful jobs can lead to lasting health concerns. 17 Different occupations may come with unique postretirement lifestyles 18 and pension benefits, affecting mortality risk. Moreover, research on cause-specific mortality post-retirement is scarce. Investigating these links could shed light on mechanisms linking early retirement to mortality, with sedentary lifestyles potentially increasing cardiovascular and metabolic risks and social isolation heightening suicide risk.

Therefore, we used the claims database from the National Health Institutes (NHI) programme to analyse the association between early retirement and both all-cause and cause-specific mortality risks. We also explored whether retirement age, gender, occupation and preretirement health status modify the association between early retirement and mortality risk.

Data source

This study used data from two primary sources in Taiwan spanning 2009 to 2019: the National Death Registry and the National Health Insurance Research Database (NHIRD). Originating from the Taiwanese government’s NHI programme in 1995, the NHIRD covers nearly the entire population of 23 million, offering comprehensive information on demographics, medical diagnoses and prescriptions. The Registry for Beneficiaries, a subset of NHIRD, consolidates crucial demographic data, including birth year, monthly income, occupation and identification of income earners. The National Death Registry provides records of dates and causes of death.

Study sample

In Taiwan, the legal retirement age is 65. The NHI Registry for Beneficiaries updates employment status monthly for accurate monitoring. Unemployment was identified when the insured person’s identification did not match the income earner’s or if the occupation category indicated unemployment. Early retirement refers to transitioning from employment to unemployment before age 65 without returning to employment during the study period. The cohort entry date was set as the first day of the retirement month.

Our study included individuals aged 45–64 years (n=9 931 744) from the Registry for NHI spanning 2009 to 2019. Among them, 2 311 396 individuals who were either never employed or had missing employment information (less than 1%) during the study period were excluded. Among the included cohort (n=7 620 348), we identified 1 770 681 individuals who retired early. Using the incidence density sampling method, we randomly selected an employed individual (matched by sex, birth year and income level) from the included cohort for each early retiree. Comparisons were eligible to become early retirees and could be selected more than once during the follow-up period if death did not occur. After removing early retirees with missing data on sex or birth date, errors in the date of death, and those who could not be matched (n=8060), our final sample comprised 1 762 621 early retired individuals and an equal number of employed comparators (see online supplemental figure 1 ). The cohort entry date for the comparators was aligned with that of their corresponding retired individual.

Supplemental material

Outcome measures.

Using the National Death Registry, we identified the date of death of the study subjects. Causes of death were identified using the International Classification of Diseases, 9th (ICD-9) and 10th (ICD-10) Revisions, codes and categorised into infections, cancers, endocrine diseases, neurological diseases, cardiovascular diseases, respiratory diseases, gastrointestinal diseases, urogenital diseases, musculoskeletal and connective tissue; symptoms, signs and ill-defined conditions; suicide, accident and other causes not listed above (see online supplemental table 1 ). The accuracy of cause-of-death coding in Taiwan is deemed acceptable; one study found that the overall agreement rates between reviewers and coders were 80.9%. Notably, excellent agreement was observed for malignant neoplasms and injuries/poisoning. Despite relatively poorer agreement for nephrotic diseases, hypertension-related diseases and cerebral infarction, the kappa value was still greater than 0.7. 19

The study investigated several confounders that could potentially influence the early retirement and mortality of the subjects. These factors encompassed age, gender, monthly income, occupational types (such as employer, civil servant, private sector employee, freelancers and farmers or fishers), as well as health status, which was evaluated based on 26 comorbid conditions, including dementia, sleep disorders, adjustment disorders, schizophrenia, depression, anxiety, bipolar disorder, substance use disorder, myocardial infarction, congestive heart failure, peripheral vascular disease, cerebrovascular disease, chronic pulmonary disease, rheumatoid arthritis, peptic ulcer disease, mild chronic liver disease, severe chronic liver disease, diabetes mellitus without complications, diabetes mellites with complications, hemiplegia, chronic kidney disease, cancer, metastatic cancer, aids, hypertension and hyperlipidaemia. Additionally, the study used the Charlson Comorbidity Indexes (CCIs) and the number of psychiatric disorders to provide a comprehensive summary of the overall physical and mental health condition of the subjects.

Statistical analysis

Propensity score weighting was used to mitigate disparities in baseline characteristics between early retirees and the employed group. Baseline characteristics for early retired individuals and the comparison group were presented as both raw and weighted data, using case numbers and percentages. To assess differences in these characteristics, we used the standardised mean difference (SMD), with an SMD of <0.1 indicating a negligible distinction between the two groups.

Cox regression models were used to estimate HRs of early retirement for mortality. All participants were tracked from the cohort entry date until the death or the end of 2019, whichever came first. While it is possible for comparison subjects to transition to retirement during the follow-up period, we used an intention-to-treat analysis, indicating that we did not censor person-time after the transition to obtain a conservative estimate. Moreover, we used the retirement age preceding 65 (65—retirement age) as a continuous variable to evaluate the mortality risk associated with retirement age per year before 65.

Subgroup analyses explored the modifying effects of age groups (45–54 and 55–64 years), gender, monthly income, occupational types, CCI scores and the number of psychiatric illnesses. We examined their potential modification effects by including interaction terms in the models and conducting the likelihood ratio test for the interaction terms. In addition, we performed a cause-specific mortality analysis, treating cause-specific mortality as a competing risk. For this purpose, a competing risk survival analysis based on Fine and Gray’s (1999) method was conducted to calculate HRs. 20 All statistical analyses were carried out using SAS V.9.4 (SAS Institute), and statistical significance was determined by examining the 95% CIs or p values less than 0.05.

Table 1 presents the basic characteristics of the study sample. The retirement age between 55 and 64 years accounted for 67.5% of the sample. Females (51.6%) were slightly more prevalent than males. Compared with the employed group, early retirees were more frequently civil servants, private sector employees or freelancers. Additionally, early retirees had slightly elevated CCI scores and a higher prevalence of mental disorders, although the differences were minimal, with SMDs of less than 0.1. After adjustment through propensity score weighting, the SMDs of baseline characteristics in both groups were nearly 0.

• View inline

Baseline characteristics of early retired individuals and those employed

Table 2 reports the findings over an average follow-up period of 4.73 years, showing that the weighted all-cause mortality rate for early retirees and those employed was 10.55 and 6.24 per 1000 person-years, respectively. Overall, the all-cause mortality risk for early retirees was increased (adjusted HR (aHR) 1.69, 95% CI (1.67 to 1.71)). The mortality risk associated with retirement age per 1 year before 65 was around 7% (aHR 1.07 (95% CI 1. 05 to 1.09)).

All-cause mortality incidence rates and cox regression HRs: overall and subgroup analysis using propensity score weighted data

In subgroup analysis, we observed significant interactions of early retirement with age groups (χ 2 =4154.8, df=1, p<0.001), sex (χ 2 =177.0, df=1, p<0.001), income level (χ 2 =154.6, df=3, p<0.001), occupational type (χ 2 =863.5, df=4, p<0.001) and CCI groups (χ 2 =177.2, df=3, p<0.001). However, no significant interaction was found with the number of psychiatric disorders (χ 2 =1.3, df=2, p=0.52). The mortality risk for early retirees aged 45–54 (aHR 2.74 (95% CI 2.68 to 2.80)) was higher than for those aged 55–64 (aHR 1.43 (95% CI 1.42 to 1.45)). The mortality risk of early retirement among men was higher than that among women (aHR 1.78 (95% CI 1.76 to 1.81) and aHR 1.52 (95% CI 1.49 to 1.55), respectively). Working as farmers or fishers and private sector employees exhibited elevated mortality risks. The mortality risk associated with early retirement was found to be higher among individuals with lower incomes or higher CCI scores. Interestingly, the number of mental disorders did not significantly moderate the mortality risk associated with early retirement.

As shown in table 3 , early retirement is linked to elevated risks of mortality across all specific causes, with the most pronounced increases observed for gastrointestinal disorders (aHR 2.33 (95% CI 2.23 to 2.43)), followed by neurological disorders (aHR 2.08 (95% CI 1.90 to 2.29)) and suicide (aHR 2.14 (95% CI 2.01 to 2.28)). Crude results are shown in online supplemental tables 2 and 3 .

Incidence rates and Cox regression HRs for cause-specific mortality using crude and propensity score weighted data

The analysis of the association between early retirement and all-cause and cause-specific mortality risks in this nationally representative study found that, compared with those concurrently employed, early retirees have a higher mortality risk. Specifically, the mortality risk of early retirement was higher among younger individuals (aged 45–54), males, those working as farmers or fishermen or in private sectors, those with lower incomes and those with poor medical conditions. In terms of specific causes of death, the top three highest risks were gastrointestinal disorders, followed by neurological disorders and suicide.

Our findings align with the results of several other longitudinal studies, all of which have reported similar outcomes. These collective findings strongly indicate that early retirement may constitute a risk factor for all-cause mortality within a healthy population. 6 8 9 21 22 Furthermore, our results demonstrate a correlation between retiring earlier and an increased mortality risk, consistent with one study that found retiring 1-year earlier increases the mortality rate by 6.8%. 22 Our estimates for the mortality risk associated with early retirement were higher than those reported in meta-analyses. 5 This difference may be attributed to the fact that the Taiwanese population in our study retired at a younger age than participants in other studies. Additionally, surveys targeting middle-aged and older adults in Taiwan indicate that most workers lack active involvement in retirement preparation, 23 which could negatively affect physical and mental health after retirement. 24

However, there are other studies whose findings differ from ours. A Norwegian study employing instrumental variable analysis discovered that early retirement does not significantly impact mortality rates. 12 Conversely, a study from the Netherlands showed a negative correlation between early retirement and mortality rates. 11 The inconsistency may be due to differences in the comprehensiveness of insurance systems, which provide individuals with disabilities with better capability to manage their health, thereby mitigating the mortality risks associated with early retirement. On the other hand, sample characteristics might also contribute to the varying results. Compared with the control group, the early retirement group in the study by Hernaes et al 12 predominantly consisted of women with a higher level of education, and most were employed in the public sector. In the study by Bloemen et al , 11 the early retirement subjects were restricted to civil servants. Different types of occupations and socioeconomics may have varying impacts of early retirement on health.

Modifying effect of sociodemographic characteristics

Sociodemographic characteristics significantly influence mortality risk in early retirement. Men face higher mortality risk on early retirement, possibly due to women adopting healthier lifestyles with less smoking, alcohol consumption and fatty foods. 25 Retired women also tend to better self-regulate stress 26 while older men often experience social isolation and lack of support. 27

Furthermore, lower-income early retirees have elevated mortality risks, likely due to limited healthcare access and higher disease susceptibility among disadvantaged groups. 28 Despite medical advice, lower-educated individuals might forego necessary medical treatment postretirement. 29 Lower income and education levels also correlate with unhealthy behaviours such as smoking, excessive alcohol consumption, poor diet and lack of physical activity, increasing death risk from related diseases. 28 30

Occupation plays a crucial role in the associations between early retirement and mortality. Agriculture and fishing workers who retire early face the highest mortality risk, potentially linked to occupational hazards such as heavy labour, machinery use and exposure to hazardous chemicals such as pesticides and fertilisers. 31 The absence of comprehensive retirement plans for farmers until 2021 in Taiwan 32 may contribute to this heightened risk. Reduced income sources postretirement can exacerbate mortality rates, 33 underscoring health disparities among vulnerable populations.

The general physical status prior to retirement emerges as a confounding and modifying factor in the relationship between early retirement and mortality. Even among those with a healthy status, we observed an association between early retirement and increased mortality risk. However, this risk was relatively minor compared with individuals with poor health conditions, which was consistent with other studies. 6 34 Poor health precipitates early retirement and escalates mortality risk, potentially due to persistent limitations on health-related lifestyles postretirement.

Notably, the number of such disorders did not modify the association between early retirement and mortality risk. Some studies suggest that mental health may improve after retirement, possibly due to alleviating work-related stress. 35 This observation could explain why preretirement psychiatric illness did not significantly influence mortality risk.

Cause-specific mortality associated with early retirement

Our study shows gastrointestinal disorders are the most significant factor leading to higher mortality rates in early retirees. In Taiwan, the most common causes of death from digestive diseases are severe liver disease and peptic ulcer disease. One possible explanation is that retirees might consume excessive alcohol, 28 30 adopt less healthy diets and opt for cheaper food choices, 36 potentially resulting in higher mortality rates from gastrointestinal diseases. Furthermore, our data indicate that suicide is another significant cause of death among early retirees. One possible explanation for this might be related to social isolation following retirement, a significant source of stress that can lead to various diseases, thereby increasing the risk of mortality. 37 We have also identified a positive association between early retirement and mortality related to neurological diseases. A cohort study conducted in Taiwan revealed that early retirees had a higher incidence of hypertension and stroke compared with those who had not retired. 38 Moreover, other studies have shown that retiring at an earlier age is associated with an increased risk of cognitive decline and dementia. 39 40 These findings suggest that early retirement may contribute to elevated mortality rates from neurological diseases, such as stroke and dementia.

Notably, our study revealed that early retirement was linked to heightened risks of various cause-specific mortality, spanning infections, cancer and more. This association could stem from early retirement, prompting unhealthy behaviours such as sedentary lifestyles, alcohol consumption and poor dietary habits. The influence of these factors may vary depending on the specific cause of death.

Limitations

This study has several limitations. First, we identify early retirement based on the last transition from employment to unemployment; however, it is possible that some of these subjects temporarily experienced job loss rather than retirement. Second, we did not measure the specific reasons for retirement, which could include factors such as physical function decline, family issues or pension status. Despite controlling numerous comorbid conditions that might lead to retiring early, the physical health status may still confound our results. Additionally, several confounding variables, such as lifestyle factors, marital status, education level and socioeconomic status, were not taken into account. These unmeasured factors could have influenced or modified the study’s findings, potentially resulting in an overestimation or underestimation of the association between early retirement and mortality. Despite these limitations, it is worth noting that this study pioneered using a nationwide representative sample and a longitudinal design in Asia. Furthermore, exploring the modifying effects of age, gender, occupational types and physical condition on the relationship between early retirement and mortality represents a novel contribution to the field.

In summary, this large-scale study supports the finding that early retirement was associated with increased mortality risks, particularly among men, younger, those with lower incomes, farmers or fishers and individuals with poor physical health. Early retirement correlates with increased mortality across various causes, including gastrointestinal disorders, suicide and neurological disorders. Policy-makers should heed these findings, particularly regarding the heightened mortality risks among vulnerable groups and their susceptibility to specific causes of death. Prioritising public health interventions in these areas and designing retirement policies to bolster overall health are crucial steps forward.

Ethics statements

Patient consent for publication.

Not applicable.

Ethics approval

This is an observational study. This study was approved by the Research Ethics Committee of the National Health Research Institutes (EC1101103-E).

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Supplementary materials

Supplementary data.

This web only file has been produced by the BMJ Publishing Group from an electronic file supplied by the author(s) and has not been edited for content.

• Data supplement 1

Contributors All authors contributed to the study’s conception and design. Y-WH and C-SW performed data management and analysis. T-HW and S-YC wrote the first draft of the manuscript. C-SW is the guarantor for the study. All authors commented on previous versions and approved the final manuscript. During the preparation of this work, the authors used ChatGPT 3.5 and Grammarly to correct grammar and improve writing. After using these services, the authors reviewed and edited the content as needed and took full responsibility for the publication’s content.

Funding This work was supported by the National Health Research Institutes, Taiwan (CG-111-GP-01, CG-112-GP-01, received by C-SW).

Competing interests None declared.

Provenance and peer review Not commissioned; externally peer reviewed.

Supplemental material This content has been supplied by the author(s). It has not been vetted by BMJ Publishing Group Limited (BMJ) and may not have been peer-reviewed. Any opinions or recommendations discussed are solely those of the author(s) and are not endorsed by BMJ. BMJ disclaims all liability and responsibility arising from any reliance placed on the content. Where the content includes any translated material, BMJ does not warrant the accuracy and reliability of the translations (including but not limited to local regulations, clinical guidelines, terminology, drug names and drug dosages), and is not responsible for any error and/or omissions arising from translation and adaptation or otherwise.

Enhancing research accessibility and reuse: new study outlines strategic measures

Today, the European Commission published a study aimed at improving access to and reuse of research results, including publications and data for scientific purposes. This marks a significant step under the European Research Area Policy Agenda 2022-2024 on an EU copyright and data legislative and regulatory framework fit for research. 

The study has identified barriers and challenges to access and reuse of publicly funded research results, evaluated effects of the EU copyright framework on research, and identified relevant provisions for research in EU data and digital legislation. On this basis, it presents options for legislative and non-legislative measures to strengthen the free circulation of knowledge and thereby contribute to reinforce the  European Research Area .

Iliana Ivanova , Commissioner for Innovation, Research, Culture, Education and Youth, said: 

“The European Union has been pioneering open science policies and actions for over a decade. At the heart of our ambitious open science policy lies a simple but powerful belief: Publicly funded research should be a public resource. In our ongoing efforts under the European Research Area and its Policy Agenda, we collaborate closely with Member States, Associated Countries and stakeholders to create an environment where knowledge flows freely to benefit the society”.

The most common barriers encountered by researchers include lack of subscriptions by their organisations, inability to get permissions from the copyright owner, and fear of copyright infringement. Research performing organisations report challenges emerging from copyright law, not only in accessing and re-using publicly funded research results, but also in making results available in open access. 

Special focus has been placed in investigating the situation in EU Member States that had introduced a Secondary Publication Right (SPR), including Germany, France, Netherlands, Belgium and Austria. SPR grants authors the right to freely share their published articles under certain conditions, alongside the initial publication in scientific journals. The study found that most research performing organisations in these Member States consider SPR to have at least a moderate impact on their research activities, including the share of research publications in open access. However, the study indicates that many researchers remain unaware of this right and a majority of research performing organisations consider certain provisions of national SPR legislation to be limiting factors. For example, the need to respect embargo periods and the fact that SPR is applicable only to the author-accepted manuscript, not the version of record, for publication. 

The study presents options for legislative and non-legislative measures. It also outlines a diversity of stakeholders’ perspectives on the options proposed, indicating the need for further analysis and discussions. Measures explored encompass the introduction of an EU-wide Secondary Publication Right and provisions that could be included in such legislation, spanning from the type of scientific output to the embargo period to be allowed. Other proposed measures focus on strengthening open-ended and flexible research exceptions. This could be achieved by introducing a fully harmonised, mandatory, and general exemption for scientific research, by clarifying lawful forms of access, and by removing excessive barriers posed by technological protection measures. Lastly, options explored also include giving guidance on current text and data mining provisions, to raise awareness and facilitate implementation by the research community. 

Finally, the study provides an analysis of provisions relevant to researchers and research organisations in EU data and digital legislation, examine the interplay against different legislative instruments, and present the main opportunities and challenges. The findings identify a growing entanglement of provisions relating to research activities and put forward recommendations. 

The study was commissioned as part of Action 2 of the  ERA Policy Agenda 2022-2024 . It has been carried out by a consortium led by PPMI Group, and including as partners the Institute for Information Law of the University of Amsterdam, the Centre for IT & IP Law at KU Leuven, and the Sant'Anna School of Advanced Studies.

It also responds to the  Council Conclusions of May 2023 on ‘High-quality, transparent, open, trustworthy and equitable scholarly publishing’, which encouraged the Commission to examine and propose measures at EU level.

More information  

Study: Improving access to and reuse of research results, publications and data for scientific purposes

Executive Summary 

European Research Area Platform

EU open science policy

Press contact:

EC Spokesperson for Research, Science and Innovation

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May 21, 2024

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Nighttime heat significantly increases the risk of stroke, study shows

by Verena Coscia, Helmholtz Association of German Research Centres

In a recent study, researchers from Helmholtz Munich and the Augsburg University Hospital led by Dr. Alexandra Schneider show that nocturnal heat significantly increases the risk of stroke. The findings can contribute to the development of preventive measures: With them, the population can better protect themselves against the risks of climate change with increasingly frequent hot nights. In addition, knowledge of the consequences of hot nights can improve patient care.

"We wanted to understand the extent to which high nighttime temperatures pose a health risk," says the head of the working group Environmental Risks at Helmholtz Munich. "This is important because climate change is causing nighttime temperatures to rise much faster than daytime temperatures."

Data on 11,000 strokes from 15 years

In their study , published in the European Heart Journal , the researchers analyzed data from Augsburg University Hospital. Its Department of Neurology has collected data on about 11,000 strokes over 15 years. The analysis shows that extreme heat at night increases the risk of stroke by 7%.

"Elderly people and women are particularly at risk, and it is mainly strokes with mild symptoms that are diagnosed in clinics after hot nights," says the study's lead author, Dr. Cheng He. "Our results make it clear that adjustments in urban planning and the health care system are extremely important to reduce the risks posed by rising night-time temperatures."

"We were able to show that the risk of stroke associated with high nighttime temperatures increased significantly in the period 2013 to 2020 compared to the period 2006 to 2012," as Prof. Michael Ertl, head of the Stroke Unit and the neurovascular working group at Augsburg University Hospital, emphasizes. From 2006 to 2012, hot nights resulted in two additional strokes per year in the study area; from 2013 to 2020, there were 33 additional cases per year.

Recommendations for adaptation strategies and urban planning

The researchers plan to make their findings applicable in practical settings. To this end, they are working on recommendations for public adaptation strategies and urban planning, such as reducing the intensity of urban heat islands. The aim is to better protect the population from the effects of nighttime heat.

The study will also serve as a basis for further research to develop targeted preventive measures against stroke-promoting factors. "The earlier these preventive measures are implemented, the better," says Schneider.

The results of the study are also of great importance for hospitals. They will be able to better adapt to the frequency of strokes in the future: If the weather forecast predicts a hot night, it can be expected that more cases will come to the clinics. This allows clinics to provide more staff to care for patients as a precaution, explains Prof. Markus Naumann, Director of the Neurological University Hospital in Augsburg.

Background: What are tropical nights?

"Tropical nights" are defined using the so-called "Hot Night Excess Index" (HNE). It measures how much temperatures rise above a certain threshold value at night. The threshold value is the temperature that is only exceeded on the 5% warmest nights during the entire study period.

In this study, this value is 14.6°C. If temperatures rise above this value at night, this is categorized as a tropical night. The HNE index adds up how many degrees the temperatures are above this threshold during the night hours to determine the intensity of the heat.

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Russian Offensive Campaign Assessment, May 11, 2024

Riley Bailey, Angelica Evans, Nicole Wolkov, Christina Harward, and Frederick W. Kagan

May 11, 2024, 8:20pm ET  

Click here to see ISW’s interactive map of the Russian invasion of Ukraine. This map is updated daily alongside the static maps present in this report.

Click here to see ISW’s 3D control of terrain topographic map of Ukraine. Use of a computer (not a mobile device) is strongly recommended for using this data-heavy tool.

Click here to access ISW’s archive of interactive time-lapse maps of the Russian invasion of Ukraine. These maps complement the static control-of-terrain map that ISW produces daily by showing a dynamic frontline. ISW will update this time-lapse map archive monthly.

Note: The data cut-off for this product was 1:15pm ET on May 11 (excluding certain evidence of Russian gains in northern Kharkiv Oblast). ISW will cover subsequent reports in the May 12 Russian Offensive Campaign Assessment.

Russian forces are conducting relatively limited offensive operations along the Russian-Ukrainian border in northern Kharkiv Oblast and continued to make tactically significant gains in likely less defended areas. The reported sizes of the Russian elements committed to these limited operations and of the Russian force grouping deployed along the border in northeastern Ukraine indicate that Russian forces are not pursuing a large-scale operation to envelop, encircle, or seize Kharkiv City at this time.  Ukrainska Pravda  reported that Russian forces resumed offensive operations north of Lyptsi (north of Kharkiv City) on the morning of May 11 and focused on Hlyboke (immediately north of Lyptsi), where Russian milbloggers claimed that Russian forces advanced to the outskirts of the settlement and later seized and cleared the settlement.[1] NASA Fire Information for Resource Management (FIRMS) data captured on May 10 indicates that there has likely been heavy fighting near Hlyboke, and ISW assesses that Russian forces have advanced up to the outskirts of the settlement.[2] Geolocated footage published on May 11 indicates that Russian forces have seized Morokhovets and Oliinykove (both northeast of Lypsti), and Russian milbloggers claimed that Russian forces seized these settlements.[3] Ukrainian officials reported that Ukrainian forces repelled Russian assaults west of Vovchansk (northeast of Kharkiv City) near Ohirtseve and Hatyshche, two settlements that the Russian Ministry of Defense (MoD) and Russian sources claimed that Russian forces seized as of May 11.[4] ISW assesses that Russian forces have advanced at least to the outskirts of Ohirtseve and Hatyshche. The Russian MoD claimed that Russian forces also seized Strilecha, Pylna, and Borsivika (north to northwest of Lypsti), claims that ISW assesses to be accurate, as well as Pletenivka (north of Vovchansk).[5] Russian sources also claimed that Russian forces seized Hoptivka and Kudiivka (both northwest of Lyptsi and southeast of Kozacha Lopan).[6] Russian milbloggers claimed that Russian forces advanced further towards Lukyantsi (northeast of Lyptsi), to the northern outskirts of Neskuchne (northeast of Lyptsi), and to the western outskirts of Staritsa and Izbytske (west of Vovchansk and east of Lyptsi).[7] Russian milbloggers claimed that Russian forces advanced from Hatyshche to the northwestern outskirts of Vovchansk, south from Pletenivka, and towards Tykhe (on Vovchansk's northeastern outskirts).[8] Russian milbloggers claimed that Russian forces seized Tykhe and are currently trying to advance east of the settlement into Vovchansk.[9] ISW has not observed evidence that would support an assessment that these Russian claims correspond with Russian advances at this time.

Ukrainian Khortytsia Group of Forces Spokesperson Lieutenant Colonel Nazar Voloshyn stated that Russian forces are trying to advance in areas that were already contested "grey zones," suggesting that Ukrainian forces did not maintain enduring positions in many of the small border settlements that Russian forces have seized or have reportedly seized.[10] It is unlikely that Ukrainian forces would have established serious strongholds and fortifications along a contested grey zone or enduring positions in small border settlements that Russian forces have long subjected to routine indirect fire. Russian forces will likely face more intense resistance when trying to advance near settlements further south of the border and into larger border settlements like Lyptsi and Vovchansk. The proximity of Kharkiv City to the border magnifies the significance of limited Russian tactical gains, however, as Russian forces do not have to advance much further to begin threatening Kharkiv City with routine shelling.[11]

Russian forces reportedly launched offensive operations along the Russian-Ukrainian border in northern Kharkiv Oblast before they had completed bringing the Northern Grouping of Forces up to its reported planned end strength and have so far only committed a limited amount of combat power to offensive operations in the area.  Ukrainian military observer Kostyantyn Mashovets stated on May 11 that Russian forces have committed up to two companies of the 7th Motorized Rifle Regiment (11th Army Corps [AC], Leningrad Military District [LMD]) and up to two battalions of the 18th Motorized Rifle Brigade (11th AC, LMD) to the ongoing operations in the Lyptsi and Vovchansk directions.[12] Ukrainian military observer Alexander Kovalenko stated on May 11 that elements of the 30th Motorized Rifle Regiment (72nd Motorized Rifle Division, 44th AC, LMD) and the 128th Motorized Rifle Brigade (44th AC, LMD) are also operating in the area.[13] Kovalenko stated that Russian forces have committed 2,000 personnel to the frontline along the border and have 1,500 to 2,000 personnel in immediate reserve.[14] Kovalenko stated that elements of the 44th AC are currently redeploying to Belgorod Oblast and that 3,750 additional Russian personnel from the 44th AC may arrive in the area within the next week.[15] Kovalenko stated that the Russian Northern Grouping of Forces has 30,000 to 35,000 personnel deployed along the entire border with Ukraine in Kursk, Bryansk, and Belgorod oblasts, a figure consistent with Ukrainian Main Military Intelligence Directorate (GUR) Deputy Chief Major General Vadym Skibitskyi's May 2 report that Russian forces had roughly 35,000 personnel deployed to the international border area.[16] Skibitskyi stated that Russian forces intend to establish a grouping in the area that is between 50,000 and 75,000 personnel in size.[17] Ukrainian sources stated that Ukrainian forces have destroyed at least 20 Russian armored vehicles since Russian forces began offensive operations in the area on the morning of May 10, but Russian and Ukrainian sources continue to characterize Russian offensive operations along the border as consisting primarily of heavy infantry assaults.[18]  Russian forces will likely introduce reserves to intensify ongoing offensive operations in the area in the coming days, however, the Russian forces lack the necessary manpower required to attempt a large-scale offensive operation to envelop, encircle, or seize Kharkiv City according to all available reports.

ISW continues to assess that the Russian offensive operations in northern Kharkiv Oblast likely aim to draw Ukrainian forces from other sectors of the front while allowing Russian forces to advance to within tube artillery range of Kharkiv City. [19]   Russian forces are maintaining the tempo of their offensive operations along the Kupyansk-Svatove-Kreminna line, near Chasiv Yar, and west of Avdiivka, and the Russian military command likely hopes that operations in northern Kharkiv Oblast could cause the Ukrainian military command to dedicate manpower and materiel to the defense north of Kharkiv City that it could otherwise dedicate to defending in these other directions. A Russian advance towards Kharkiv City that would allow Russian forces to conduct effective and routine indirect fire would give Russian forces the capability to inflict significant damage to Kharkiv City in order to prompt mass migration from the city and set conditions for a larger offensive operation at a later date.[20] US National Security Council Spokesperson John Kirby stated on May 10 that Russian forces are preparing to use long-range fire capabilities within the radius of Kharkiv City and that this indicates that the Russian military is considering a larger offensive operation against Kharkiv City.[21] Russian long-range fire may similarly intend to set conditions for a subsequent offensive operation against Kharkiv City, and Kirby did not indicate that the White House believes that the Russian military is considering an immediate effort to seize Kharkiv City.  The seizure of Kharkiv City most certainly is a desired operational objective for Russian forces, but not one that the Russian military appears to be pursuing in the near term.

Russian President Vladimir Putin and the Russian military command may be evaluating the risks, prospects, and timeline of offensive operations in northern Kharkiv Oblast based on the assumption that Ukraine cannot and will not be able to liberate territory seized by Russian forces. Putin's and the Russian military command's calculus about the threat of Ukrainian territorial gains is likely shaping Russia's overall operational approach to seizing territory in Ukraine.  The US Office of the Director of National Intelligence's (ODNI) 2024 Annual Threat Assessment reported that Russian President Vladimir Putin "probably believes" that Russian forces have blunted Ukrainian efforts to retake significant territory and that US and Western support for Ukraine is "finite."[22] Russia's intended timeline for its ongoing offensive operations in northern Kharkiv Oblast remains unclear, but Russian forces may intend for their offensive operations in northern and northeastern Kharkiv Oblast to achieve their operational objectives long after summer 2024. The Russian military command may assume that Russian forces will be able to hold any limited gains they make in northern Kharkiv Oblast and other oblasts in perpetuity because they think that Ukrainian forces will be unable to launch successful counteroffensive efforts at any point in the future. Russian forces have made a series of tactically significant advances in Donetsk Oblast, particularly near Avdiivka, in recent months without Ukrainian counterattacks even momentarily pushing back Russian forces, and these recent unchallenged gains may be contributing to Putin's and the Russian military command's calculus.[23] Putin may believe that Russian forces can continue to make opportunistic and unchallenged advances throughout the frontline over the next months, or even years, and ultimately force Ukraine to submit to total Russian subjugation. Ukrainian materiel constraints due to delays in Western security assistance have prevented Ukrainian forces from launching significant counterattacks against Russian offensive operations, but the arrival of US security assistance to the front at scale will likely allow Ukrainian forces to resume counterattacks that threaten Russian forces' ability to hold tactical gains.[24]

The limited Russian offensive operations in northern Kharkiv Oblast suggest that the resumption of US security assistance has not changed Putin's calculus or that he launched the Kharkiv effort without reassessing the operation's fundamental assumptions about Ukrainian capabilities in light of the resumption of aid.  Russian forces are currently attacking with a force grouping well below its reported intended end strength, a risky decision if Putin and the Russian military command believed that there was a threat for Ukrainian forces to roll back any tactical gains that this understrength force could make before Russian forces staffed it to end strength. Russian forces are currently advancing in several areas that do not provide immediate avenues of advance toward Kharkiv City or other immediate operationally significant objectives. Russian forces may be advancing in these areas because they believe that they can hold any seized ground indefinitely and use that ground to launch subsequent operations to more operationally significant goals. Russian forces may also believe that they can pursue gradual creeping advances across a wide swath of territory in northern and northeastern Kharkiv Oblast for an extended period of time without achieving relatively rapid operationally significant advances but in a way that would disadvantage any future Ukrainian counteroffensive operations in the area.

It is imperative for Ukrainian forces to disrupt any such Russian calculations as soon as possible through both limited and large-scale counteroffensive operations that liberate Russian-occupied territory as soon as conditions permit. ISW has routinely argued that Ukrainian forces should contest the theater-wide initiative as soon as possible because ceding the theater-wide initiative to Russia into 2025 affords Russian forces the ability to determine the timing, location, and intensity of Russian attacks and control the resources that Ukrainian forces expend during this protracted period.[25] Ukrainian forces will not have a chance to liberate territory if they remain on the defensive for the foreseeable future, and remaining entirely on the defensive will only encourage Putin to continue grinding offensive operations indefinitely seeking complete victory over time. ISW has repeatedly assessed that the consistent provision of key Western systems to Ukraine will play a critical role in Russia's prospects in 2024 and Ukraine's ability to conduct future counteroffensive operations and liberate Ukrainian territory from Russian occupation.[26] The West must proactively and preemptively provide Ukrainian forces with the necessary equipment and weapons for their future counteroffensive operations if Ukrainian forces are to liberate significant swaths of occupied Ukraine and challenge Putin's belief that Ukraine is and will remain unable to do so.

The directions of Russian offensive operations in the international border area suggest that Russia may be attempting to create a "buffer zone" to protect Belgorod City, as Russian and Ukrainian officials have recently stated.  Russian officials, including Russian Vladimir Putin, have recently called for the creation of a "buffer zone" to protect Russia's claimed and actual territories from Ukrainian strikes.[27] Although this stated goal is actually unachievable as long as an independent Ukraine with any strike capabilities and will to fight remains, Kremlin officials have explicitly listed Kharkiv City as a part of a hypothesized limited demilitarized zone aimed at protecting Belgorod City.[28] Western and Ukrainian media reported on May 10 that Ukrainian military sources stated that Russian forces intend to establish a 10-kilometer deep buffer zone along the northern border in Kharkiv Oblast.[29] This objective likely is intended not only to push Ukrainian tube artillery out of range of Russian military logistics in Belgorod Oblast, but also to bring Russian tube artillery within striking distance of Kharkiv City. Russian forces are currently conducting offensive operations near Hoptivka (northwest of Lyptsi), and it is notable that Russian forces are also attempting to advance in areas that are separate from the area north of Lyptsi where Russian forces have already made tactically significant advances. Russian forces are also notably conducting offensive operations north and west of Vovchansk on both sides of the Siverskyi Donetsk River, which would pose a significant obstacle to Russian forces on the east side of the river should they attempt to advance southwestward to Kharkiv City. These various directions of Russian offensive operations further suggest that Russian offensive operations in northern Kharkiv Oblast are not aimed at an immediate large-scale offensive operation to envelop, encircle, or seize Kharkiv City. Russian forces may, however, be aiming to seize a wide swath of Ukrainian territory in the area immediately south of the border with Belgorod Oblast, likely including Vovchansk, to create a "buffer zone." Russian attempts to advance in an area that is relatively wide and not very deep along the border, especially in the area north of Hoptivka towards Kozacha Lopan, would further indicate that this is the Russian operational objective in the international border area.

Russian forces appear to be attempting to quickly isolate the battlespace east of the Siverskyi Donets River and seize Vovchansk, a direction of advance that Russian forces may believe could threaten the Ukrainian grouping defending in the Kupyansk direction.  Geolocated footage published on May 11 shows a Russian strike destroying the Siverskyi Donets Dam bridge in Stary Saltiv (southwest of Vovchansk).[30] Footage published on May 11 purportedly shows Russian forces striking a bridge over the Vovcha River connecting Tykhe and Vovchanski Khutory (both west of Vovchansk).[31] Russian forces likely destroyed the bridges in an effort to isolate the Ukrainian forces operating on either side of the water features to prevent them from supporting Ukrainian forces defending against ongoing Russian attacks near Vovchansk. Russian attempts to destroy Ukrainian ground lines of communications (GLOCs) southwest and east of Vovchansk indicate that Russian forces will likely focus on seizing Vovchansk instead of attempting to bypass the settlement or expanding the front further east along the international border between Russia and Ukraine. Russian forces reportedly conducted at least 20 glide bomb strikes against Vovchansk on May 11 and are heavily focusing artillery, MLRS, and drone strikes on the settlement.[32] Russian forces may also intend to use offensive operations near Vovchansk to pressure the operational rear of Ukrainian forces defending against Russian attacks in the Kupyansk direction and draw away Ukrainian units defending in the Kupyansk area. A Russian foothold in Vovchansk does little to support a Russian effort to advance towards Kharkiv City, although Russian forces may imagine that a foothold in the settlement could allow Russian forces to launch offensive operations in the direction of Velykyi Burluk, a notable settlement in the rear of the Ukrainian grouping in the Kupyansk direction. Russian advances further south of Vovchansk would require long drives across open terrain, a capability that Russian forces have not shown in the past year and a half of fighting in Ukraine even during the period of most acute Ukrainian resource shortages.[33]

Donetsk People's Republic (DNR) Head Denis Pushilin reiterated a series of Kremlin narratives intended to justify Russia's invasion of Ukraine and attempted to flatter Russian President Vladimir Putin and the Russian military during an interview in honor of the 10th anniversary of the DNR's founding, likely in an attempt to curry favor in the Kremlin.  Pushilin claimed during an interview with Kremlin newswire  TASS  on May 11 that Russia must seize Kharkiv, Odesa, Dnipro, Sumy, and a number of other unspecified cities during its invasion of Ukraine   and "liberate" all of the "Russian people" who live in these supposedly "Russian" cities.[34] Pushilin strangely claimed that his list of cities encompasses more than "real historical Russian cities." Pushilin claimed that Russian President Vladimir Putin ordered Russian forces to not conduct strikes against Ukraine's energy grid this past winter due to Putin's great concern for Ukrainian civilians but also claimed that Russian forces should intensify their strikes against bridges and transportation hubs in Ukraine.[35] Pushilin claimed that Putin is the "main curator" of Donbas and Novorossiya and is "immersed" in the details of everything happening in occupied Ukraine and that the pace of Russian forces operation to seize the remainder of Donetsk Oblast is "adequate" and is not "too fast or too slow."[36]

Ukrainian forces reportedly conducted successful drone strikes against a Russian oil refinery in Volgograd Oblast on the night of May 10 to 11.  Sources in Ukrainian special services told Ukrainian outlet  Suspilne  that Ukraine's Main Military Intelligence Directorate (GUR) conducted drone strikes against a Lukoil refinery in Volgograd Oblast and damaged the AVT-1 and AVT-6 oil processing facilities and control cables for the facility's air coolers.[37] Volgograd Oblast Governor Andrei Bocharov claimed on May 11 that Russian forces intercepted a drone over Volgograd Oblast and that it did not damage any infrastructure.[38] Ukraine's Security Service (SBU) reportedly conducted a drone strike against the same oil refinery on February 3.[39]

Russian Prime Minister Mikhail Mishustin submitted proposals on the composition of the new Russian government to the State Duma on May 11. [40] Mishustin proposed that current Minister of Agriculture Dmitry Patrushev become a Deputy Prime Minister and that current Kursk Oblast Governor Roman Starovoit become the Minister of Transport.[41] Mishustin also proposed that current Deputy Prime Minister and Minister of Industry and Trade Denis Manturov leave his position as Minister of Industry and Trade and become First Deputy Prime Minister. Mishustin nominated current Kaliningrad Oblast Governor Anton Alikhanov to replace Manturov as Minister of Industry and Trade. Dmitry Patrushev is notably the son of Russian Security Council Secretary Nikolai Patrushev, and this is the second recent case of nominations to high ranking positions for children of people in Russian President Vladimir Putin's inner circle after Russian Federation Council Chairperson Valentina Matvienko nominated Boris Kovalchuk – the son of Putin's "personal banker" Yuri Kovalchuk – as a candidate for the head of the Federation Council Accounts Chamber on May 10.[42]

Key Takeaways:

• Russian forces are conducting relatively limited offensive operations along the Russian-Ukrainian border in northern Kharkiv Oblast and continued to make tactically significant gains in likely less defended areas. The reported sizes of the Russian elements committed to these limited operations and of the Russian force grouping deployed along the border in northeastern Ukraine indicate that Russian forces are not pursuing a large-scale operation to envelop, encircle, or seize Kharkiv City at this time.
• Russian forces reportedly launched offensive operations along the Russian-Ukrainian border in northern Kharkiv Oblast before they had completed bringing the Northern Grouping of Forces up to its reported planned end strength and have so far only committed a limited amount of combat power to offensive operations in the area.
• ISW continues to assess that the Russian offensive operations in northern Kharkiv Oblast likely aim to draw Ukrainian forces from other sectors of the front while allowing Russian forces to advance to within tube artillery range of Kharkiv City.
• Russian President Vladimir Putin and the Russian military command may be evaluating the risks, prospects, and timeline of offensive operations in northern Kharkiv Oblast based on the assumption that Ukraine cannot and will not be able to liberate territory seized by Russian forces. Putin's and the Russian military command's calculus about the threat of Ukrainian territorial gains is likely shaping Russia's overall operational approach to seizing territory in Ukraine.
• The limited Russian offensive operations in northern Kharkiv Oblast suggest that the resumption of US security assistance has not changed Putin's calculus or that he launched the Kharkiv effort without reassessing the operation's fundamental assumptions about Ukrainian capabilities in light of the resumption of aid.
• The directions of Russian offensive operations in the international border area suggest that Russia may be attempting to create a "buffer zone" to protect Belgorod City, as Russian and Ukrainian officials have recently stated.
• Russian forces appear to be attempting to quickly isolate the battlespace east of the Siverskyi Donets River and seize Vovchansk, a direction of advance that Russian forces may believe could threaten the Ukrainian grouping defending in the Kupyansk direction.
• Donetsk People's Republic (DNR) Head Denis Pushilin reiterated a series of Kremlin narratives intended to justify Russia's invasion of Ukraine and attempted to flatter Russian President Vladimir Putin and the Russian military during an interview in honor of the 10th anniversary of the DNR's founding, likely in an attempt to curry favor in the Kremlin.
• Ukrainian forces reportedly conducted successful drone strikes against a Russian oil refinery in Volgograd Oblast on the night of May 10 to 11.
• Russian Prime Minister Mikhail Mishustin submitted proposals on the composition of the new Russian government to the State Duma on May 11.
• Russian forces recently made confirmed advances in northern Kharkiv Oblast; near Svatove, Chasiv Yar, Avdiivka, and Donetsk City; in western Zaporizhia Oblast; and in east (left) bank Kherson Oblast.
• The Russian Ministry of Defense (MoD) continues to highlight frontline Russian units fighting in Ukraine.

We do not report in detail on Russian war crimes because these activities are well-covered in Western media and do not directly affect the military operations we are assessing and forecasting. We will continue to evaluate and report on the effects of these criminal activities on the Ukrainian military and the Ukrainian population and specifically on combat in Ukrainian urban areas. We utterly condemn Russian violations of the laws of armed conflict and the Geneva Conventions and crimes against humanity even though we do not describe them in these reports.

• Russian Main Effort – Eastern Ukraine (comprised of two subordinate main efforts)
• Russian Subordinate Main Effort #1 – Push Ukrainian forces back from the international border with Belgorod Oblast and approach to within tube artillery range of Kharkiv City
• Russian Subordinate Main Effort #2 – Capture the remainder of Luhansk Oblast and push westward into eastern Kharkiv Oblast and encircle northern Donetsk Oblast
• Russian Subordinate Main Effort #3 – Capture the entirety of Donetsk Oblast
• Russian Supporting Effort – Southern Axis
• Russian Air, Missile, and Drone Campaign
• Russian Mobilization and Force Generation Efforts
• Russian Technological Adaptations
• Activities in Russian-occupied areas
• Ukrainian Defense Industrial Base Efforts

Russian Information Operations and Narratives

• Significant Activity in Belarus

Russian Main Effort – Eastern Ukraine

Russian Subordinate Main Effort #1 – Kharkiv Oblast   ( Russian objective: Push Ukrainian forces back from the international border with Belgorod Oblast and approach to within tube artillery range of Kharkiv City)

NOTE: ISW is adding a section to cover Russian offensive operations along the Belgorod-Kharkiv axis as these offensive operations comprise an operational effort separate from Russian offensive operations along the Kupyansk-Svatove-Kreminna line. ISW may enlarge the scope of this section should Russian forces expand offensive operations along the Russian-Ukrainian international border in northeastern Ukraine.

See topline text.

Russian Subordinate Main Effort #2 – Luhansk Oblast  (Russian objective: Capture the remainder of Luhansk Oblast and push westward into eastern Kharkiv Oblast and northern Donetsk Oblast)

Russian forces recently made a confirmed advance along the Kupyansk-Svatove-Kreminna line amid continued Russian offensive operations in the area on May 11. Geolocated footage published on May 11 indicates that Russian forces recently advanced west of Kolomyichykha (west of Svatove).[43] A Russian milblogger claimed that Russian forces also advanced one kilometer in depth towards Pishchane (southeast of Kupyansk), but ISW has not observed visual confirmation of this claim.[44] Fighting continued northeast of Kupyansk near Synkivka and Vilshana; northwest of Svatove near Ivanivka, Stelmakhivka, and Berestove; southwest of Svatove near Novoyehorivka and Makiivka; northwest of Kreminna near Nevske; west of Kreminna near Terny and Torske; southwest of Kreminna near the Serebryanske forest area; and south of Kreminna near Bilohorivka.[45]

Ukrainian forces struck an oil depot in occupied Rovenky, Luhansk Oblast on May 10. Geolocated footage published on May 10 shows a strike against an oil depot in Rovenky. [46]  Russian Luhansk People's Republic (LNR) Head Leonid Pasechnik and Ukrainian Mariupol Mayoral Advisor Petro Andryushchenko stated that Ukrainian forces likely used an ATACMS missile in the strike.[47] Ukrainian Luhansk Oblast Head Artem Lysohor stated that the Ukrainian strike caused "considerable" damage and that there are no fuel reserves left at the depot.[48]

Russian Subordinate Main Effort #3 – Donetsk Oblast  (Russian objective: Capture the entirety of Donetsk Oblast, the claimed territory of Russia’s proxies in Donbas)

The Ukrainian General Staff reported on May 11 that Ukrainian forces repelled Russian assaults in the Siversk direction (northeast of Bakhmut) near Rozdolivka (south of Siversk), Verkhnokamyanske (southwest of Siversk), and near Spirne and Vyimka (southeast of Siversk).[49]

Russian forces recently made confirmed advances near Chasiv Yar amid continued Russian offensive operations in the area on May 11. Geolocated footage published on May 10 indicates that Russian forces recently advanced north of the Kanal Microraion (easternmost Chasiv Yar) and south of Chasiv Yar near the T0504 (Bakhmut-Kostyantynivka) highway.[50] Fighting continued northeast of Chasiv Yar near Hryhorivka and Bohdanivka, near the Novyi and Kanal microraions in eastern Chasiv Yar, east of Chasiv Yar near Ivanivske, and southeast of Chasiv Yar near Andriivka.[51] Elements of the Russian 58th Spetsnaz Battalion (1st Donetsk People's Republic [DNR] Army Corps [AC]), 17th Artillery Brigade (3rd Army Corps [AC]), and the “Sarmat” Battalion of the DNR's “Pyatnashka” International Volunteer Brigade are reportedly operating near Chasiv Yar.[52] Elements of Chechen “Shustry” Detachment of “Akhmat” Spetsnaz along with elements of the Russian 4th Motorized Rifle Brigade (2nd LNR AC) reportedly continue operating near Klishchiivka (southeast of Chasiv Yar), and elements of the 27th Artillery Regiment (6th Motorized Rifle Division, 3rd AC) are reportedly operating in the direction of Stupochky (south of Chasiv Yar).[53]

Russian forces recently made confirmed advances west of Avdiivka amid continued Russian offensive operations in the area on May 11. Geolocated footage published on May 10 indicates that Russian forces recently advanced within central Netaylove (southwest of Avdiivka) and south of the settlement.[54] Russian milbloggers claimed that Russian forces advanced west of Netaylove and south of Pervomaiske in an area up to 1.5 kilometers wide and 750 meters deep, although ISW has not observed visual evidence of these claims.[55] Fighting also continued northwest of Avdiivka near Kalynove, Novooleksandrivka, Yevhenivka, Novopokrovske, Ocheretyne, Semenivka, Novoselivka Persha, and Sokil; and west of Avdiivka near Umanske, and Netaylove.[56]

Russian forces recently made confirmed advances west of Donetsk City amid continued Russian offensive operations in the area on May 11. Geolocated footage published on May 10 indicates that Russian forces recently advanced in southern Krasnohorivka (west of Donetsk City).[57] Fighting also continued west of Donetsk City near Heorhiivka and south of Donetsk City near Pobieda, Kostyantynivka, Novomykhailivka, Paraskoviivka, Solodke, and Vodyane.[58] Elements of the Russian 1472nd Motorized Rifle Regiment (68th AC, Eastern Military District [EMD]) are reportedly operating near Vodyane; elements of the 5th and 110th motorized rifle brigades (1st DNR AC) are reportedly operating near Krasnohorivka; and elements of the 103rd Motorized Rifle Regiment (150th Motorized Rifle Division, 8th CAA, Southern Military District [SMD]) are reportedly operating in the direction of Kurakhove.[59]

The Ukrainian General Staff reported on May 11 that Ukrainian forces repelled Russian ground attacks in the Donetsk-Zaporizhia Oblast border area south of Velyka Novosilka near Staromayorske and Urozhaine.[60] Elements of the Russian 57th Motorized Rifle Brigade (5th CAA, EMD) reportedly continue operating near Vuhledar.[61]

Russian Supporting Effort – Southern Axis  (Russian objective: Maintain frontline positions and secure rear areas against Ukrainian strikes)

Russian forces recently marginally advanced in western Zaporizhia Oblast amid continued fighting in the area on May 11. Geolocated footage published on May 11 indicates that Russian forces recently marginally advanced southwest of Novopokrovka (northeast of Robotyne).[62] A Russian milblogger claimed that unspecified Russian airborne (VDV) forces also seized two unspecified positions northwest of Verbove (east of Robotyne).[63] Russian forces continued assaults near Robotyne.[64] Elements of the Russian 292nd Self-Propelled Artillery Regiment (19th Motorized Rifle Division, Southern Military District [SMD]) are reportedly operating in the Zaporizhia direction.[65]

Russian forces recently marginally advanced in the east (left) bank of Kherson Oblast amid continued fighting in the area on May 11. Geolocated footage published on May 9 indicates that Russian forces recently marginally advanced within Krynky.[66] A Russian milblogger claimed that elements of the Russian 61st Naval Infantry Brigade (Leningrad Military District [LMD], formerly Northern Fleet) recaptured Nestryha Island (southwest of Kherson City), although ISW has not observed confirmation of this claim.[67] Ukrainian Southern Operational Command and Navy Spokesperson Captain Third Rank Dmytro Pletenchuk reported on May 10 that Russian forces periodically attempt to land on Nestryha Island but that Ukrainian forces continue to repel Russian forces from the island.[68]

Russian Air, Missile, and Drone Campaign  (Russian Objective: Target Ukrainian military and civilian infrastructure in the rear and on the frontline)

Russian forces conducted individual missile strikes against targets in Ukraine on May 11. Ukrainian officials reported that Ukrainian air defense shot down a Russian Kh-59/69 cruise missile near Kryvyi Rih, Dnipropetrovsk Oblast, and that Russian forces struck civilian infrastructure in Sumy City with an unspecified missile.[69] Russian sources amplified footage on May 11 purporting to show Russian forces striking a Ukrainian airfield near Manvelivka, Dnipropetrovsk Oblast with an Iskander ballistic missile.[70]

Russian Mobilization and Force Generation Efforts  (Russian objective: Expand combat power without conducting general mobilization)

The Russian MoD continues to highlight Russian units fighting in Ukraine. Russian Defense Minister Sergei Shoigu congratulated the 26th Tank Regiment (47th Tank Division, 1st Guards Tank Army [GTA], Moscow Military District [MMD]) for its role in the seizure of Kuzmenivka, Kyslivka and Krokhmalne in Kharkiv Oblast and the 132nd Motorized Rifle Brigade (1st Donetsk People's Republic [DNR] Army Corps [AC]) for its role in the seizure of Novokalynove in Donetsk Oblast.[71]

The Russian MoD continues to delay issuing veteran certificates to former Wagner Group servicemen and convict recruits who have returned home after serving in Ukraine. Russian opposition outlet  Astra  amplified an appeal by several Wagner and Storm-Z convict recruits from Oryol Oblast to Russian President Vladimir Putin on May 11.[72] The men claimed that they have been waiting to receive their veteran certificates for over a year, but that Russian military registration and enlistment officials are unwilling to approve their applications because they do not have official military service documents from the Russian MoD. The men claimed that they know over 200 men who are not receiving the benefits that the Russian MoD promised them.  Astra  noted that the Russian government has so far failed to expunge the criminal records of many Storm-Z veterans.

Russian Technological Adaptations  (Russian objective: Introduce technological innovations to optimize systems for use in Ukraine)

Nothing significant to report.

Ukrainian Defense Industrial Efforts  (Ukrainian objective: Develop its defense industrial base to become more self-sufficient in cooperation with US, European, and international partners)

ISW is not publishing coverage of Ukrainian defense industrial efforts today.

Activities in Russian-occupied areas  (Russian objective: Consolidate administrative control of annexed areas; forcibly integrate Ukrainian citizens into Russian sociocultural, economic, military, and governance systems)

ISW is not publishing coverage of activities in Russian-occupied areas today.

The Russian Ministry of Foreign Affairs (MFA) is conducting a highly coordinated effort to promote information operations targeting the Baltic States that aim to justify future Russian aggression abroad. Director of the Russian MFA Second European Department Sergei Belyaev gave an interview with Kremlin newswire  TASS  published on May 11 in which he repeated Russian MFA Spokesperson Maria Zakharova's May 5 statements about the Baltic states almost identically.[73] Belyaev and Zakharova both claimed that Russia must not forget its "compatriots" in Estonia, Latvia, and Lithuania who are allegedly facing persecution and are subject to police brutality, and that Russian diplomatic missions in the Baltic states are operating under "siege conditions."

Significant activity in Belarus  (Russian efforts to increase its military presence in Belarus and further integrate Belarus into Russian-favorable frameworks and Wagner Group activity in Belarus)

Note: ISW does not receive any classified material from any source, uses only publicly available information, and draws extensively on Russian, Ukrainian, and Western reporting and social media as well as commercially available satellite imagery and other geospatial data as the basis for these reports. References to all sources used are provided in the endnotes of each update.

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[2]  https://firms.modaps.eosdis.nasa.gov/map/#t:tsd;d:2024-05-10; @36.45,50.23,12.17z

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[4]  https://t.me/mod_russia/38680 ; https://www.understandingwar.org/backg...

[5]  https://t.me/mod_russia/38680

[6]  https://t.me/rybar/59945 ; https://t.me/RVvoenkor/67926 ; https://t.me/warriorofnorth/308 ;  https://t.me/dva_majors/42257 ; https://t.me/DnevnikDesantnika/10528 ;

[7]  https://t.me/rybar/59972 ; https://t.me/warriorofnorth/308 ; https://t.me/dva_majors/42257

[8]  https://t.me/rybar/59972 ; https://t.me/motopatriot/22728 ; https://...

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[11]  https://www.understandingwar.org/backgrounder/russian-offensive-campaign...

[12]  https://t.me/zvizdecmanhustu/1853 ; https://www.facebook.com/pashtetof/posts/pfbid029JCw9iMDUPK1Xh238DzfhWBT...

[13]  https://t.me/zloyodessit/21676

[14]  https://suspilne dot media/kharkiv/743333-golovni-novini-harkova-ta-oblasti-11-travna-situacia-na-harkivsini-sogodni/

[15]  https://suspilne dot media/kharkiv/743333-golovni-novini-harkova-ta-oblasti-11-travna-situacia-na-harkivsini-sogodni/

[16]  https://t.me/zloyodessit/21676 ; https://isw.pub/UkrWar051024 ; https://www.understandingwar.org/backgrounder/russian-offensive-campaign...

[17]  https://t.me/zloyodessit/21676 ; https://isw.pub/UkrWar051024 ; https://www.understandingwar.org/backgrounder/russian-offensive-campaign...

[18]  https://t.me/negumanitarnaya_pomosch_Z/17598 ; https://t.me/ButusovPlus/10187 ;  https://www.facebook.com/butusov.yuriy/posts/pfbid0iReeFSR4oNMfmvGszC2JT... https://t.me/Sladkov_plus/10433 ; https://t.me/Sladkov_plus/10434 ;  https://t.me/Sladkov_plus/10435 ; https://www.facebook.com/mvs.gov.ua/...

[19]  https://isw.pub/UkrWar051024

[20]  https://isw.pub/UkrWar051024

[21]  https://www.reuters.com/world/us/us-bolstering-ukraine-russia-sets-sight... ;

[22]  https://www.understandingwar.org/backgrounder/russian-offensive-campaign...

[23]  https://isw.pub/UkrWar021524 ; https://isw.pub/UkrWar021624 ; https:...

[24]  https://isw.pub/UkrWar042024

[25]  https://www.understandingwar.org/backgrounder/russian-offensive-campaign...

[26]  https://www.understandingwar.org/backgrounder/russian-offensive-campaign...

[27]  https://isw.pub/UkrWar013124 ; https://isw.pub/UkrWar042224 ; https://isw.pub/UkrWar031824

[28]  https://isw.pub/UkrWar013124 ; https://isw.pub/UkrWar042224 ; https://isw.pub/UkrWar031824

[29]  https://understandingwar.org/backgrounder/russian-offensive-campaign-ass...

[30]  https://x.com/AMK_Mapping_/status/1789190225945821455 ;  https://t.me/RVvoenkor/67888 ; https://t.me/frontbird/9133

[31]  https://t.me/warriorofnorth/310 ; https://t.me/dva_majors/42265 ; ht...

[32]  https://suspilne dot media/kharkiv/743333-golovni-novini-harkova-ta-oblasti-11-travna-situacia-na-harkivsini-sogodni/

[33]  https://isw.pub/UkrWar122623 ; https://www.understandingwar.org/backgrounder/russian-offensive-campaign...

[34]  https://tass dot ru/armiya-i-opk/20766621

[35]  https://tass dot ru/armiya-i-opk/20766829 ;  https://t.me/tass_agency/248090

[36]  https://tass dot ru/armiya-i-opk/20766667 ; https://tass dot ru/politika/20767147

[37]  https://suspilne dot media/743625-droni-gur-urazili-naftopererobnij-zavod-lukojla-u-volgogradskij-oblasti-rf-dzerela/

[38]  https://tass dot ru/proisshestviya/20766251

[39]  https://isw.pub/UkrWar020324

[40]  http://government dot ru/news/51571/

[41]  http://government dot ru/news/51571/

[42]  https://understandingwar.org/backgrounder/russian-offensive-campaign-ass...

[43]  https://x.com/EjShahid/status/1789232961667113004; https://t.me/oaembr7...

[44]  https://t.me/notes_veterans/17045

[45]  https://www.facebook.com/GeneralStaff.ua/posts/pfbid02pFDZ2fQGxXJZJmRNmR... https://www.facebook.com/GeneralStaff.ua/posts/pfbid0w99RmHnDvBAtLrjJnqd... ; https://www.facebook.com/GeneralStaff.ua/posts/pfbid031GeDMHNiZWJRYNDrrZ... https://t.me/luhanskaVTSA/18773

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[62]  https://t.me/creamy_caprice/5471; https://t.me/russian_airborne/5608

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[66]  https://t.me/WarArchive_ua/14727; https://t.me/ze_bg1920/4372

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[68]  https://www.understandingwar.org/backgrounder/russian-offensive-campaign...

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[70]  https://t.me/rybar/59976 ; https://t.me/RVvoenkor/67920 ;  https://t.me/nm_dnr/12195 ; https://t.me/z_arhiv/26769 ; https://t.me/The_Wrong_Side/15957

[71]  https://t.me/mod_russia/38669

[72]  https://t.me/astrapress/55165

[73]  https://mid dot ru/ru/foreign_policy/news/1948065/ ;  https://mid dot ru/ru/foreign_policy/news/1949465/

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Can pink noise enhance sleep and memory? Early research drives a color noise buzz

White noise is frequently used to mask background sounds and it now has competition. There’s a growing buzz around pink, brown and green noise and their theoretical effects on sleep and concentration. (AP Video: Laura Bargfeld; production: Shelby Lum)

CAPTION CORRECTS TITLE Dr. Roneil Malkani shows an example of pink noise being used to enhance slow brainwaves during deep sleep at the Center for Circadian & Sleep Medicine at Northwestern Medicine in Chicago on May 16, 2024. Pink noise has a frequency profile “very similar to the distribution of brain wave frequencies we see in slow-wave sleep because these are large, slow waves,” said Malkani, associate professor of neurology at Northwestern University Feinberg School of Medicine. (AP Photo/Laura Bargfeld)

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CAPTION CORRECTS TITLE Dr. Roneil Malkani points to a recording of pink noise being played at brief intervals to enhance slow brain waves during deep sleep at the Center for Circadian & Sleep Medicine at Northwestern Medicine in Chicago on May 16, 2024. Pink noise has a frequency profile “very similar to the distribution of brain wave frequencies we see in slow-wave sleep because these are large, slow waves,” said Malkani, associate professor of neurology at Northwestern University Feinberg School of Medicine. (AP Photo/Laura Bargfeld)

CAPTION CORRECTS TITLE Dr. Roneil Malkani demonstrates the set up for a sleep study at the Center for Circadian & Sleep Medicine at Northwestern Medicine in Chicago on May 16, 2024. Pink noise has a frequency profile “very similar to the distribution of brain wave frequencies we see in slow-wave sleep because these are large, slow waves,” said Malkani, associate professor of neurology at Northwestern University Feinberg School of Medicine. (AP Photo/Laura Bargfeld)

You may have heard of white noise used to mask background sounds. Now, it has colorful competition.

There’s a growing buzz around pink noise, brown noise, green noise — a rainbow of soothing sounds — and their theoretical effects on sleep, concentration and the relaxation response.

The science is new with only a few small studies behind it, but that hasn’t stopped thousands of people from listening to hours of these noises on YouTube and on meditation apps that provide a palette of color noises with paid subscriptions.

WHAT IS PINK NOISE?

To understand pink noise, start with white, the most familiar of the color noises.

White noise is similar to static on a radio or TV. Sound engineers define it as having equal volume across all the frequencies audible to the human ear. It gets its name from white light, which contains all the visible color wavelengths.

But the high frequencies of white noise can sound harsh. Pink noise turns down the volume on those higher frequencies, so it sounds lower in pitch and more like the natural sound of rain or the ocean.

Brown noise sounds even lower in pitch, giving it a pleasing, soothing rumble.

Pink and brown, like white, have standard definitions to audio experts. Other color noises are more recent creations with very flexible definitions.

WHAT’S THE SCIENCE BEHIND COLOR NOISES?

White noise and pink noise may provide small benefits for people with attention-deficit/hyperactivity disorder, according to a recent review of limited ADHD studies . In theory, it wakes up the brain, said ADHD researcher and co-author Joel Nigg of Oregon Health & Science University in Portland.

“The noise provides stimulation to the brain without providing information, and so it doesn’t distract,” Nigg said.

White noise has been used to treat ringing or buzzing in the ear, called tinnitus.

Scientists at Northwestern University are studying how short pulses of pink noise can enhance the slow brain waves of deep sleep. In small studies, these pink-noise pulses have shown promise in improving memory and the relaxation response.

Pink noise has a frequency profile “very similar to the distribution of brain wave frequencies we see in slow-wave sleep because these are large, slow waves,” said Dr. Roneil Malkani, associate professor of neurology at Northwestern University Feinberg School of Medicine.

If Northwestern’s research pans out, it could lead to a medical device to improve sleep or memory through personalized pulses of pink noise. But many scientific questions remain unanswered, Malkani said. “There’s still a lot of work we have to do.”

IS THERE ANY HARM IN TRYING COLOR NOISES?

If color noises feel calming and help you drown out distractions, it makes sense to use them. Keep them at a quiet level, of course, to prevent hearing loss and take “plenty of breaks for the ears to rest,” Nigg said.

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• Open access
• Published: 16 May 2024

Procrastination, depression and anxiety symptoms in university students: a three-wave longitudinal study on the mediating role of perceived stress

• Anna Jochmann 1 ,
• Burkhard Gusy 1 ,
• Tino Lesener 1 &
• Christine Wolter 1  

BMC Psychology volume  12 , Article number:  276 ( 2024 ) Cite this article

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It is generally assumed that procrastination leads to negative consequences. However, evidence for negative consequences of procrastination is still limited and it is also unclear by which mechanisms they are mediated. Therefore, the aim of our study was to examine the harmful consequences of procrastination on students’ stress and mental health. We selected the procrastination-health model as our theoretical foundation and tried to evaluate the model’s assumption that trait procrastination leads to (chronic) disease via (chronic) stress in a temporal perspective. We chose depression and anxiety symptoms as indicators for (chronic) disease and hypothesized that procrastination leads to perceived stress over time, that perceived stress leads to depression and anxiety symptoms over time, and that procrastination leads to depression and anxiety symptoms over time, mediated by perceived stress.

To examine these relationships properly, we collected longitudinal data from 392 university students at three occasions over a one-year period and analyzed the data using autoregressive time-lagged panel models.

Procrastination did lead to depression and anxiety symptoms over time. However, perceived stress was not a mediator of this effect. Procrastination did not lead to perceived stress over time, nor did perceived stress lead to depression and anxiety symptoms over time.

Conclusions

We could not confirm that trait procrastination leads to (chronic) disease via (chronic) stress, as assumed in the procrastination-health model. Nonetheless, our study demonstrated that procrastination can have a detrimental effect on mental health. Further health outcomes and possible mediators should be explored in future studies.

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Introduction

“Due tomorrow? Do tomorrow.”, might be said by someone who has a tendency to postpone tasks until the last minute. But can we enjoy today knowing about the unfinished task and tomorrow’s deadline? Or do we feel guilty for postponing a task yet again? Do we get stressed out because we have little time left to complete it? Almost everyone has procrastinated at some point when it came to completing unpleasant tasks, such as mowing the lawn, doing the taxes, or preparing for exams. Some tend to procrastinate more frequently and in all areas of life, while others are less inclined to do so. Procrastination is common across a wide range of nationalities, as well as socioeconomic and educational backgrounds [ 1 ]. Over the last fifteen years, there has been a massive increase in research on procrastination [ 2 ]. Oftentimes, research focuses on better understanding the phenomenon of procrastination and finding out why someone procrastinates in order to be able to intervene. Similarly, the internet is filled with self-help guides that promise a way to overcome procrastination. But why do people seek help for their procrastination? Until now, not much research has been conducted on the negative consequences procrastination could have on health and well-being. Therefore, in the following article we examine the effect of procrastination on mental health over time and stress as a possible facilitator of this relationship on the basis of the procrastination-health model by Sirois et al. [ 3 ].

Procrastination and its negative consequences

Procrastination can be defined as the tendency to voluntarily and irrationally delay intended activities despite expecting negative consequences as a result of the delay [ 4 , 5 ]. It has been observed in a variety of groups across the lifespan, such as students, teachers, and workers [ 1 ]. For example, some students tend to regularly delay preparing for exams and writing essays until the last minute, even if this results in time pressure or lower grades. Procrastination must be distinguished from strategic delay [ 4 , 6 ]. Delaying a task is considered strategic when other tasks are more important or when more resources are needed before the task can be completed. While strategic delay is viewed as functional and adaptive, procrastination is classified as dysfunctional. Procrastination is predominantly viewed as the result of a self-regulatory failure [ 7 ]. It can be understood as a trait, that is, as a cross-situational and time-stable behavioral disposition [ 8 ]. Thus, it is assumed that procrastinators chronically delay tasks that they experience as unpleasant or difficult [ 9 ]. Approximately 20 to 30% of adults have been found to procrastinate chronically [ 10 , 11 , 12 ]. Prevalence estimates for students are similar [ 13 ]. It is believed that students do not procrastinate more often than other groups. However, it is easy to examine procrastination in students because working on study tasks requires a high degree of self-organization and time management [ 14 ].

It is generally assumed that procrastination leads to negative consequences [ 4 ]. Negative consequences are even part of the definition of procrastination. Research indicates that procrastination is linked to lower academic performance [ 15 ], health impairment (e.g., stress [ 16 ], physical symptoms [ 17 ], depression and anxiety symptoms [ 18 ]), and poor health-related behavior (e.g., heavier alcohol consumption [ 19 ]). However, most studies targeting consequences of procrastination are cross-sectional [ 4 ]. For that reason, it often remains unclear whether an examined outcome is a consequence or an antecedent of procrastination, or whether a reciprocal relationship between procrastination and the examined outcome can be assumed. Additionally, regarding negative consequences of procrastination on health, it is still largely unknown by which mechanisms they are mediated. Uncovering such mediators would be helpful in developing interventions that can prevent negative health consequences of procrastination.

The procrastination-health model

The first and only model that exclusively focuses on the effect of procrastination on health and the mediators of this effect is the procrastination-health model [ 3 , 9 , 17 ]. Sirois [ 9 ] postulates three pathways: An immediate effect of trait procrastination on (chronic) disease and two mediated pathways (see Fig.  1 ).

Adopted from the procrastination-health model by Sirois [ 9 ]

The immediate effect is not further explained. Research suggests that procrastination creates negative feelings, such as shame, guilt, regret, and anger [ 20 , 21 , 22 ]. The described feelings could have a detrimental effect on mental health [ 23 , 24 , 25 ].

The first mediated pathway leads from trait procrastination to (chronic) disease via (chronic) stress. Sirois [ 9 ] assumes that procrastination creates stress because procrastinators are constantly aware of the fact that they still have many tasks to complete. Stress activates the hypothalamic-pituitary-adrenocortical (HPA) system, increases autonomic nervous system arousal, and weakens the immune system, which in turn contributes to the development of diseases. Sirois [ 9 ] distinguishes between short-term and long-term effects of procrastination on health mediated by stress. She believes that, in the short term, single incidents of procrastination cause acute stress, which leads to acute health problems, such as infections or headaches. In the long term, chronic procrastination, as you would expect with trait procrastination, causes chronic stress, which leads to chronic diseases over time. There is some evidence in support of the stress-related pathway, particularly regarding short-term effects [ 3 , 17 , 26 , 27 , 28 ]. However, as we mentioned above, most of these studies are cross-sectional. Therefore, the causal direction of these effects remains unclear. To our knowledge, long-term effects of trait procrastination on (chronic) disease mediated by (chronic) stress have not yet been investigated.

The second mediated pathway leads from trait procrastination to (chronic) disease via poor health-related behavior. According to Sirois [ 9 ], procrastinators form lower intentions to carry out health-promoting behavior or to refrain from health-damaging behavior because they have a low self-efficacy of being able to care for their own health. In addition, they lack the far-sighted view that the effects of health-related behavior only become apparent in the long term. For the same reason, Sirois [ 9 ] believes that there are no short-term, but only long-term effects of procrastination on health mediated by poor health-related behavior. For example, an unhealthy diet leads to diabetes over time. The findings of studies examining the behavioral pathway are inconclusive [ 3 , 17 , 26 , 28 ]. Furthermore, since most of these studies are cross-sectional, they are not suitable for uncovering long-term effects of trait procrastination on (chronic) disease mediated by poor health-related behavior.

In summary, previous research on the two mediated pathways of the procrastination-health model mainly found support for the role of (chronic) stress in the relationship between trait procrastination and (chronic) disease. However, only short-term effects have been investigated so far. Moreover, longitudinal studies are needed to be able to assess the causal direction of the relationship between trait procrastination, (chronic) stress, and (chronic) disease. Consequently, our study is the first to examine long-term effects of trait procrastination on (chronic) disease mediated by (chronic) stress, using a longitudinal design. (Chronic) disease could be measured by a variety of different indicators (e.g., physical symptoms, diabetes, or coronary heart disease). We choose depression and anxiety symptoms as indicators for (chronic) disease because they signal mental health complaints before they manifest as (chronic) diseases. Additionally, depression and anxiety symptoms are two of the most common mental health complaints among students [ 29 , 30 ] and procrastination has been shown to be a significant predictor of depression and anxiety symptoms [ 18 , 31 , 32 , 33 , 34 ]. Until now, the stress-related pathway of the procrastination-health model with depression and anxiety symptoms as the health outcome has only been analyzed in one cross-sectional study that confirmed the predictions of the model [ 35 ].

The aim of our study is to evaluate some of the key assumptions of the procrastination-health model, particularly the relationships between trait procrastination, (chronic) stress, and (chronic) disease over time, surveyed in the following analysis using depression and anxiety symptoms.

In line with the key assumptions of the procrastination-health model, we postulate (see Fig.  2 ):

Procrastination leads to perceived stress over time.

Perceived stress leads to depression and anxiety symptoms over time.

Procrastination leads to depression and anxiety symptoms over time, mediated by perceived stress.

The section of the procrastination-health model we examined

Materials and methods

Our study was part of a health monitoring at a large German university Footnote 1 . Ethical approval for our study was granted by the Ethics Committee of the university’s Department of Education and Psychology. We collected the initial data in 2019. Two occasions followed, each at an interval of six months. In January 2019, we sent out 33,267 invitations to student e-mail addresses. Before beginning the survey, students provided their written informed consent to participate in our study. 3,420 students took part at the first occasion (T1; 10% response rate). Of these, 862 participated at the second (T2) and 392 at the third occasion (T3). In order to test whether dropout was selective, we compared sociodemographic and study specific characteristics (age, gender, academic semester, number of assessments/exams) as well as behavior and health-related variables (procrastination, perceived stress, depression and anxiety symptoms) between the participants of the first wave ( n  = 3,420) and those who participated three times ( n  = 392). Results from independent-samples t-tests and chi-square analysis showed no significant differences regarding sociodemographic and study specific characteristics (see Additional file 1: Table S1 and S2 ). Regarding behavior and health-related variables, independent-samples t-tests revealed a significant difference in procrastination between the two groups ( t (3,409) = 2.08, p  < .05). The mean score of procrastination was lower in the group that participated in all three waves.

The mean age of the longitudinal respondents was 24.1 years ( SD  = 5.5 years), the youngest participants were 17 years old, the oldest one was 59 years old. The majority of participants was female (74.0%), 7 participants identified neither as male nor as female (1.8%). The respondents were on average enrolled in the third year of studying ( M  = 3.9; SD  = 2.3). On average, the students worked about 31.2 h ( SD  = 14.1) per week for their studies, and an additional 8.5 h ( SD  = 8.5) for their (part-time) jobs. The average income was €851 ( SD  = 406), and 4.9% of the students had at least one child. The students were mostly enrolled in philosophy and humanities (16.5%), education and psychology (15.8%), biology, chemistry, and pharmacy (12.5%), political and social sciences (10.6%), veterinary medicine (8.9%), and mathematics and computer science (7.7%).

We only used established and well evaluated instruments for our analyses.

• Procrastination

We adopted the short form of the Procrastination Questionnaire for Students (PFS-4) [ 36 ] to measure procrastination. The PFS-4 assesses procrastination at university as a largely stable behavioral disposition across situations, that is, as a trait. The questionnaire consists of four items (e.g., I put off starting tasks until the last moment.). Each item was rated on a 5-point scale ((almost) never = 1 to (almost) always = 5) for the last two weeks. All items were averaged, with higher scores indicating a greater tendency to procrastinate. The PFS-4 has been proven to be reliable and valid, showing very high correlations with other established trait procrastination scales, for example, with the German short form of the General Procrastination Scale [ 37 , 38 ]. We also proved the scale to be one-dimensional in a factor analysis, with a Cronbach’s alpha of 0.90.

Perceived stress

The Heidelberger Stress Index (HEI-STRESS) [ 39 ] is a three-item measure of current perceived stress due to studying as well as in life in general. For the first item, respondents enter a number between 0 (not stressed at all) and 100 (completely stressed) to indicate how stressed their studies have made them feel over the last four weeks. For the second and third item, respondents rate on a 5-point scale how often they feel “stressed and tense” and as how stressful they would describe their life at the moment. We transformed the second and third item to match the range of the first item before we averaged all items into a single score with higher values indicating greater perceived stress. We proved the scale to be one-dimensional and Cronbach’s alpha for our study was 0.86.

Depression and anxiety symptoms

We used the Patient Health Questionnaire-4 (PHQ-4) [ 40 ], a short form of the Patient Health Questionnaire [ 41 ] with four items, to measure depression and anxiety symptoms. The PHQ-4 contains two items from the Patient Health Questionnaire-2 (PHQ-2) [ 42 ] and the Generalized Anxiety Disorder Scale-2 (GAD-2) [ 43 ], respectively. It is a well-established screening scale designed to assess the core criteria of major depressive disorder (PHQ-2) and generalized anxiety disorder (GAD-2) according to the Diagnostic and Statistical Manual of Mental Disorders, Fifth Edition (DSM-5). However, it was shown that the GAD-2 is also appropriate for screening other anxiety disorders. According to Kroenke et al. [ 40 ], the PHQ-4 can be used to assess a person’s symptom burden and impairment. We asked the participants to rate how often they have been bothered over the last two weeks by problems, such as “Little interest or pleasure in doing things”. Response options were 0 = not at all, 1 = several days, 2 = more than half the days, and 3 = nearly every day. Calculated as the sum of the four items, the total scores range from 0 to 12 with higher scores indicating more frequent depression and anxiety symptoms. The total scores can be categorized as none-to-minimal (0–2), mild (3–5), moderate (6–8), and severe (9–12) depression and anxiety symptoms. The PHQ-4 was shown to be reliable and valid [ 40 , 44 , 45 ]. We also proved the scale to be one-dimensional in a factor analysis, with a Cronbach’s alpha of 0.86.

Data analysis

To test our hypotheses, we performed structural equation modelling (SEM) using R (Version 4.1.1) with the package lavaan. All items were standardized ( M  = 0, SD  = 1). Due to the non-normality of some study variables and a sufficiently large sample size of N near to 400 [ 46 ], we used robust maximum likelihood estimation (MLR) for all model estimations. As recommended by Hu and Bentler [ 47 ], we assessed the models’ goodness of fit by chi-square test statistic, root mean square error of approximation (RMSEA), standardized root mean square residual (SRMR), Tucker-Lewis index (TLI), and comparative fit index (CFI). A non-significant chi-square indicates good model fit. Since chi-square is sensitive to sample size, we also evaluated fit indices less sensitive to the number of observations. RMSEA and SRMR values of 0.05 or lower as well as TLI and CFI values of 0.97 or higher indicate good model fit. RMSEA values of 0.08 or lower, SRMR values of 0.10 or lower, as well as TLI and CFI values of 0.95 or higher indicate acceptable model fit [ 48 , 49 ]. First, we conducted confirmatory factor analysis for the first occasion, defining three factors that correspond to the measures of procrastination, perceived stress, and depression and anxiety symptoms. Next, we tested for measurements invariance over time and specified the measurement model, before testing our hypotheses.

Measurement invariance over time

To test for measurement invariance over time, we defined one latent variable for each of the three occasions, corresponding to the measures of procrastination, perceived stress, and depression and anxiety symptoms, respectively. As recommended by Geiser and colleagues [ 50 ], the links between indicators and factors (i.e., factor loadings and intercepts) should be equal over measurement occasions; therefore, we added indicator specific factors. A first and least stringent step of testing measurement invariance is configural invariance (M CI ). It was examined whether the included constructs (procrastination, perceived stress, depression and anxiety symptoms) have the same pattern of free and fixed loadings over time. This means that the assignment of the indicators to the three latent factors over time is supported by the underlying data. If configural invariance was supported, restrictions for the next step of testing measurement invariance (metric or weak invariance; M MI ) were added. This means that each item contributes to the latent construct to a similar degree over time. Metric invariance was tested by constraining the factor loadings of the constructs over time. The next step of testing measurement invariance (scalar or strong invariance; M SI ) consisted of checking whether mean differences in the latent construct capture all mean differences in the shared variance of the items. Scalar invariance was tested by constraining the item intercepts over time. The constraints applied in the metric invariance model were retained [ 51 ]. For the last step of testing measurement invariance (residual or strict invariance; M RI ), the residual variables were also set equal over time. If residual invariance is supported, differences in the observed variables can exclusively be attributed to differences in the variances of the latent variables.

We used the Satorra-Bentler chi-square difference test to evaluate the superiority of a more stringent model [ 52 ]. We assumed the model with the largest number of invariance restrictions – which still has an acceptable fit and no substantial deterioration of the chi-square value – to be the final model [ 53 ]. Following previous recommendations, we considered a decrease in CFI of 0.01 and an increase in RMSEA of 0.015 as unacceptable to establish measurement invariance [ 54 ]. If a more stringent model had a significant worse chi-square value, but the model fit was still acceptable and the deterioration in model fit fell within the change criteria recommended for CFI and RMSEA values, we still considered the more stringent model to be superior.

Hypotheses testing

As recommended by Dormann et al. [ 55 ], we applied autoregressive time-lagged panel models to test our hypotheses. In the first step, we specified a model (M 0 ) that only included the stabilities of the three variables (procrastination, perceived stress, depression and anxiety symptoms) over time. In the next step (M 1 ), we added the time-lagged effects from procrastination (T1) to perceived stress (T2) and from procrastination (T2) to perceived stress (T3) as well as from perceived stress (T1) to depression and anxiety symptoms (T2) and from perceived stress (T2) to depression and anxiety symptoms (T3). Additionally, we included a direct path from procrastination (T1) to depression and anxiety symptoms (T3). If this path becomes significant, we can assume a partial mediation [ 55 ]. Otherwise, we can assume a full mediation. We compared these nested models using the Satorra-Bentler chi-square difference test and the Akaike information criterion (AIC). The chi-square difference value should either be non-significant, indicating that the proposed model including our hypotheses (M 1 ) does not have a significant worse model fit than the model including only stabilities (M 0 ), or, if significant, it should be in the direction that M 1 fits the data better than M 0 . Regarding the AIC, M 1 should have a lower value than M 0 .

Table  1 displays the means, standard deviations, internal consistencies (Cronbach’s alpha), and stabilities (correlations) of all study variables. The alpha values of procrastination, perceived stress, and depression and anxiety symptoms are classified as good (> 0.80) [ 56 ]. The correlation matrix of the manifest variables used for the analyses can be found in the Additional file 1: Table  S3 .

We observed the highest test-retest reliabilities for procrastination ( r  ≥ .74). The test-retest reliabilities for depression and anxiety symptoms ( r  ≥ .64) and for perceived stress ( r  ≥ .54) were a bit lower (see Table  1 ). The pattern of correlations shows a medium to large but positive relationship between procrastination and depression and anxiety symptoms [ 57 , 58 ]. The association between procrastination and perceived stress was small, the one between perceived stress and depression and anxiety symptoms very large (see Table  1 ).

Confirmatory factor analysis showed an acceptable to good fit (x 2 (41) = 118.618, p  < .001; SRMR = 0.042; RMSEA = 0.071; TLI = 0.95; CFI = 0.97). When testing for measurement invariance over time for each construct, the residual invariance models with indicator specific factors provided good fit to the data (M RI ; see Table  2 ), suggesting that differences in the observed variables can exclusively be attributed to differences of the latent variables. We then specified and tested the measurement model of the latent constructs prior to model testing based on the items of procrastination, perceived stress, and depression and anxiety symptoms. The measurement model fitted the data well (M M ; see Table  3 ). All items loaded solidly on their respective factors (0.791 ≤ β ≤ 0.987; p  < .001).

To test our hypotheses, we analyzed the two models described in the methods section.

The fit of the stability model (M 0 ) was acceptable (see Table  3 ). Procrastination was stable over time, with stabilities above 0.82. The stabilities of perceived stress as well as depression and anxiety symptoms were somewhat lower, ranging from 0.559 (T1 -> T2) to 0.696 (T2 -> T3) for perceived stress and from 0.713 (T2 -> T3) to 0.770 (T1 -> T2) for depression and anxiety symptoms, respectively.

The autoregressive mediation model (M 1 ) fitted the data significantly better than M 0 . The direct path from procrastination (T1) to depression and anxiety symptoms (T3) was significant (β = 0.16; p  < .001), however, none of the mediated paths (from procrastination (T1) to perceived stress (T2) and from perceived stress (T2) to depression and anxiety symptoms (T3)) proved to be substantial. Also, the time-lagged paths from perceived stress (T1) to depression and anxiety symptoms (T2) and from procrastination (T2) to perceived stress (T3) were not substantial either (see Fig.  3 ).

To examine whether the hypothesized effects would occur over a one-year period rather than a six-months period, we specified an additional model with paths from procrastination (T1) to perceived stress (T3) and from perceived stress (T1) to depression and anxiety symptoms (T3), also including the stabilities of the three constructs as in the stability model M 0 . The model showed an acceptable fit (χ 2 (486) = 831.281, p  < .001; RMSEA = 0.048; SRMR = 0.091; TLI = 0.95; CFI = 0.95), but neither of the two paths were significant.

Therefore, our hypotheses, that procrastination leads to perceived stress over time (H1) and that perceived stress leads to depression and anxiety symptoms over time (H2) must be rejected. We could only partially confirm our third hypothesis, that procrastination leads to depression and anxiety over time, mediated by perceived stress (H3), since procrastination did lead to depression and anxiety symptoms over time. However, this effect was not mediated by perceived stress.

Results of the estimated model including all hypotheses (M 1 ). Note Non-significant paths are dotted. T1 = time 1; T2 = time 2; T3 = time 3. *** p  < .001

To sum up, we tried to examine the harmful consequences of procrastination on students’ stress and mental health. Hence, we selected the procrastination-health model by Sirois [ 9 ] as a theoretical foundation and tried to evaluate some of its key assumptions in a temporal perspective. The author assumes that trait procrastination leads to (chronic) disease via (chronic) stress. We chose depression and anxiety symptoms as indicators for (chronic) disease and postulated, in line with the key assumptions of the procrastination-health model, that procrastination leads to perceived stress over time (H1), that perceived stress leads to depression and anxiety symptoms over time (H2), and that procrastination leads to depression and anxiety symptoms over time, mediated by perceived stress (H3). To examine these relationships properly, we collected longitudinal data from students at three occasions over a one-year period and analyzed the data using autoregressive time-lagged panel models. Our first and second hypotheses had to be rejected: Procrastination did not lead to perceived stress over time, and perceived stress did not lead to depression and anxiety symptoms over time. However, procrastination did lead to depression and anxiety symptoms over time – which is in line with our third hypothesis – but perceived stress was not a mediator of this effect. Therefore, we could only partially confirm our third hypothesis.

Our results contradict previous studies on the stress-related pathway of the procrastination-health model, which consistently found support for the role of (chronic) stress in the relationship between trait procrastination and (chronic) disease. Since most of these studies were cross-sectional, though, the causal direction of these effects remained uncertain. There are two longitudinal studies that confirm the stress-related pathway of the procrastination-health model [ 27 , 28 ], but both studies examined short-term effects (≤ 3 months), whereas we focused on more long-term effects. Therefore, the divergent findings may indicate that there are short-term, but no long-term effects of trait procrastination on (chronic) disease mediated by (chronic) stress.

Our results especially raise the question whether trait procrastination leads to (chronic) stress in the long term. Looking at previous longitudinal studies on the effect of procrastination on stress, the following stands out: At shorter study periods of two weeks [ 27 ] and four weeks [ 28 ], the effect of procrastination on stress appears to be present. At longer study periods of seven weeks [ 59 ], three months [ 28 ], six months, and twelve months, as in our study, the effect of procrastination on stress does not appear to be present. There is one longitudinal study in which procrastination was a significant predictor of stress symptoms nine months later [ 34 ]. The results of this study should be interpreted with caution, though, because the outbreak of the COVID-19 pandemic fell within the study period, which could have contributed to increased stress symptoms [ 60 ]. Unfortunately, Johansson et al. [ 34 ] did not report whether average stress symptoms increased during their study. In one of the two studies conducted by Fincham and May [ 59 ], the COVID-19 pandemic outbreak also fell within their seven-week study period. However, they reported that in their study, average stress symptoms did not increase from baseline to follow-up. Taken together, the findings suggest that procrastination can cause acute stress in the short term, for example during times when many tasks need to be completed, such as at the end of a semester, but that procrastination does not lead to chronic stress over time. It seems possible that students are able to recover during the semester from the stress their procrastination caused at the end of the previous semester. Because of their procrastination, they may also have more time to engage in relaxing activities, which could further mitigate the effect of procrastination on stress. Our conclusions are supported by an early and well-known longitudinal study by Tice and Baumeister [ 61 ], which compared procrastinating and non-procrastinating students with regard to their health. They found that procrastinators experienced less stress than their non-procrastinating peers at the beginning of the semester, but more at the end of the semester. Additionally, our conclusions are in line with an interview study in which university students were asked about the consequences of their procrastination [ 62 ]. The students reported that, due to their procrastination, they experience high levels of stress during periods with heavy workloads (e.g., before deadlines or exams). However, the stress does not last, instead, it is relieved immediately after these periods.

Even though research indicates, in line with the assumptions of the procrastination-health model, that stress is a risk factor for physical and mental disorders [ 63 , 64 , 65 , 66 ], perceived stress did not have a significant effect on depression and anxiety symptoms in our study. The relationship between stress and mental health is complex, as people respond to stress in many different ways. While some develop stress-related mental disorders, others experience mild psychological symptoms or no symptoms at all [ 67 ]. This can be explained with the help of vulnerability-stress models. According to vulnerability-stress models, mental illnesses emerge from an interaction of vulnerabilities (e.g., genetic factors, difficult family backgrounds, or weak coping abilities) and stress (e.g., minor or major life events or daily hassles) [ 68 , 69 ]. The stress perceived by the students in our sample may not be sufficient enough on its own, without the presence of other risk factors, to cause depression and anxiety symptoms. However, since we did not assess individual vulnerability and stress factors in our study, these considerations are mere speculation.

In our study, procrastination led to depression and anxiety symptoms over time, which is consistent with the procrastination-health model as well as previous cross-sectional and longitudinal evidence [ 18 , 21 , 31 , 32 , 33 , 34 ]. However, it is still unclear by which mechanisms this effect is mediated, as perceived stress did not prove to be a substantial mediator in our study. One possible mechanism would be that procrastination impairs affective well-being [ 70 ] and creates negative feelings, such as shame, guilt, regret, and anger [ 20 , 21 , 22 , 62 , 71 ], which in turn could lead to depression and anxiety symptoms [ 23 , 24 , 25 ]. Other potential mediators of the relationship between procrastination and depression and anxiety symptoms emerge from the behavioral pathway of the procrastination-health model, suggesting that poor health-related behaviors mediate the effect of trait procrastination on (chronic) disease. Although evidence for this is still scarce, the results of one cross-sectional study, for example, indicate that poor sleep quality might mediate the effect of procrastination on depression and anxiety symptoms [ 35 ].

In summary, we found that procrastination leads to depression and anxiety symptoms over time and that perceived stress is not a mediator of this effect. We could not show that procrastination leads to perceived stress over time, nor that perceived stress leads to depression and anxiety symptoms over time. For the most part, the relationships between procrastination, perceived stress, and depression and anxiety symptoms did not match the relationships between trait procrastination, (chronic) stress, and (chronic) disease as assumed in the procrastination-health model. Explanations for this could be that procrastination might only lead to perceived stress in the short term, for example, during preparations for end-of-semester exams, and that perceived stress may not be sufficient enough on its own, without the presence of other risk factors, to cause depression and anxiety symptoms. In conclusion, we could not confirm long-term effects of trait procrastination on (chronic) disease mediated by (chronic) stress, as assumed for the stress-related pathway of the procrastination-health model.

Limitations and suggestions for future research

In our study, we tried to draw causal conclusions about the harmful consequences of procrastination on students’ stress and mental health. However, since procrastination is a trait that cannot be manipulated experimentally, we have conducted an observational rather than an experimental study, which makes causal inferences more difficult. Nonetheless, a major strength of our study is that we used a longitudinal design with three waves. This made it possible to draw conclusions about the causal direction of the effects, as in hardly any other study targeting consequences of procrastination on health before [ 4 , 28 , 55 ]. Therefore, we strongly recommend using a similar longitudinal design in future studies on the procrastination-health model or on consequences of procrastination on health in general.

We chose a time lag of six months between each of the three measurement occasions to examine long-term effects of procrastination on depression and anxiety symptoms mediated by perceived stress. However, more than six months may be necessary for the hypothesized effects to occur [ 72 ]. The fact that the temporal stabilities of the examined constructs were moderate or high (0.559 ≤ β ≤ 0.854) [ 73 , 74 ] also suggests that the time lags may have been too short. The larger the time lag, the lower the temporal stabilities, as shown for depression and anxiety symptoms, for example [ 75 ]. High temporal stabilities make it more difficult to detect an effect that actually exists [ 76 ]. Nonetheless, Dormann and Griffin [ 77 ] recommend using shorter time lags of less than one year, even with high stabilities, because of other influential factors, such as unmeasured third variables. Therefore, our time lags of six months seem appropriate.

It should be discussed, though, whether it is possible to detect long-term effects of the stress-related pathway of the procrastination-health model within a total study period of one year. Sirois [ 9 ] distinguishes between short-term and long-term effects of procrastination on health mediated by stress, but does not address how long it might take for long-term effects to occur or when effects can be considered long-term instead of short-term. The fact that an effect of procrastination on stress is evident at shorter study periods of four weeks or less but in most cases not at longer study periods of seven weeks or more, as we mentioned earlier, could indicate that short-term effects occur within the time frame of one to three months, considering the entire stress-related pathway. Hence, it seems appropriate to assume that we have examined rather long-term effects, given our study period of six and twelve months. Nevertheless, it would be beneficial to use varying study periods in future studies, in order to be able to determine when effects can be considered long-term.

Concerning long-term effects of the stress-related pathway, Sirois [ 9 ] assumes that chronic procrastination causes chronic stress, which leads to chronic diseases over time. The term “chronic stress” refers to prolonged stress episodes associated with permanent tension. The instrument we used captures perceived stress over the last four weeks. Even though the perceived stress of the students in our sample was relatively stable (0.559 ≤ β ≤ 0.696), we do not know how much fluctuation occurred between each of the three occasions. However, there is some evidence suggesting that perceived stress is strongly associated with chronic stress [ 78 ]. Thus, it seems acceptable that we used perceived stress as an indicator for chronic stress in our study. For future studies, we still suggest the use of an instrument that can more accurately reflect chronic stress, for example, the Trier Inventory for Chronic Stress (TICS) [ 79 ].

It is also possible that the occasions were inconveniently chosen, as they all took place in a critical academic period near the end of the semester, just before the examination period began. We chose a similar period in the semester for each occasion for the sake of comparability. However, it is possible that, during this preparation periods, stress levels peaked and procrastinators procrastinated less because they had to catch up after delaying their work. This could have introduced bias to the data. Therefore, in future studies, investigation periods should be chosen that are closer to the beginning or in the middle of a semester.

Furthermore, Sirois [ 9 ] did not really explain her understanding of “chronic disease”. However, it seems clear that physical illnesses, such as diabetes or cardiovascular diseases, are meant. Depression and anxiety symptoms, which we chose as indicators for chronic disease, represent mental health complaints that do not have to be at the level of a major depressive disorder or an anxiety disorder, in terms of their quantity, intensity, or duration [ 40 ]. But they can be viewed as precursors to a major depressive disorder or an anxiety disorder. Therefore, given our study period of one year, it seems appropriate to use depression and anxiety symptoms as indicators for chronic disease. At longer study periods, we would expect these mental health complaints to manifest as mental disorders. Moreover, the procrastination-health model was originally designed to be applied to physical diseases [ 3 ]. Perhaps, the model assumptions are more applicable to physical diseases than to mental disorders. By applying parts of the model to mental health complaints, we have taken an important step towards finding out whether the model is applicable to mental disorders as well. Future studies should examine additional long-term health outcomes, both physical and psychological. This would help to determine whether trait procrastination has varying effects on different diseases over time. Furthermore, we suggest including individual vulnerability and stress factors in future studies in order to be able to analyze the effect of (chronic) stress on (chronic) diseases in a more differentiated way.

Regarding our sample, 3,420 students took part at the first occasion, but only 392 participated three times, which results in a dropout rate of 88.5%. At the second and third occasion, invitation e-mails were only sent to participants who had indicated at the previous occasion that they would be willing to participate in a repeat survey and provided their e-mail address. This is probably one of the main reasons for our high dropout rate. Other reasons could be that the students did not receive any incentives for participating in our study and that some may have graduated between the occasions. Selective dropout analysis revealed that the mean score of procrastination was lower in the group that participated in all three waves ( n  = 392) compared to the group that participated in the first wave ( n  = 3,420). One reason for this could be that those who have a higher tendency to procrastinate were more likely to procrastinate on filling out our survey at the second and third occasion. The findings of our dropout analysis should be kept in mind when interpreting our results, as lower levels of procrastination may have eliminated an effect on perceived stress or on depression and anxiety symptoms. Additionally, across all age groups in population-representative samples, the student age group reports having the best subjective health [ 80 ]. Therefore, it is possible that they are more resilient to stress and experience less impairment of well-being than other age groups. Hence, we recommend that future studies focus on other age groups as well.

It is generally assumed that procrastination leads to lower academic performance, health impairment, and poor health-related behavior. However, evidence for negative consequences of procrastination is still limited and it is also unclear by which mechanisms they are mediated. In consequence, the aim of our study was to examine the effect of procrastination on mental health over time and stress as a possible facilitator of this relationship. We selected the procrastination-health model as a theoretical foundation and used the stress-related pathway of the model, assuming that trait procrastination leads to (chronic) disease via (chronic) stress. We chose depression and anxiety symptoms as indicators for (chronic) disease and collected longitudinal data from students at three occasions over a one-year period. This allowed us to draw conclusions about the causal direction of the effects, as in hardly any other study examining consequences of procrastination on (mental) health before. Our results indicate that procrastination leads to depression and anxiety symptoms over time and that perceived stress is not a mediator of this effect. We could not show that procrastination leads to perceived stress over time, nor that perceived stress leads to depression and anxiety symptoms over time. Explanations for this could be that procrastination might only lead to perceived stress in the short term, for example, during preparations for end-of-semester exams, and that perceived stress may not be sufficient on its own, that is, without the presence of other risk factors, to cause depression and anxiety symptoms. Overall, we could not confirm long-term effects of trait procrastination on (chronic) disease mediated by (chronic) stress, as assumed for the stress-related pathway of the procrastination-health model. Our study emphasizes the importance of identifying the consequences procrastination can have on health and well-being and determining by which mechanisms they are mediated. Only then will it be possible to develop interventions that can prevent negative health consequences of procrastination. Further health outcomes and possible mediators should be explored in future studies, using a similar longitudinal design.

Data availability

The datasets used and/or analysed during the current study are available from the corresponding author on reasonable request.

University Health Report at Freie Universität Berlin.

Abbreviations

Comparative fit index

Diagnostic and Statistical Manual of Mental Disorders, Fifth Edition

Generalized Anxiety Disorder Scale-2

Heidelberger Stress Index

Hypothalamic-pituitary-adrenocortical

Robust maximum likelihood estimation

Short form of the Procrastination Questionnaire for Students

Patient Health Questionnaire-2

Patient Health Questionnaire-4

Root mean square error of approximation

Structural equation modeling

Standardized root mean square residual

Tucker-Lewis index

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Conceptualization: A.J., B.G., T.L.; methodology: B.G., A.J.; validation: B.G.; formal analysis: A.J., B.G.; investigation: C.W., T.L., B.G.; data curation: C.W., T.L., B.G.; writing–original draft preparation: A.J., B.G.; writing–review and editing: A.J., T.L., B.G., C.W.; visualization: A.J., B.G.; supervision: B.G., T.L.; project administration: C.W., T.L., B.G.; All authors contributed to the article and approved the submitted version.

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Correspondence to Anna Jochmann or Burkhard Gusy .

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Selective dropout analysis and correlation matrix of the manifest variables

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Jochmann, A., Gusy, B., Lesener, T. et al. Procrastination, depression and anxiety symptoms in university students: a three-wave longitudinal study on the mediating role of perceived stress. BMC Psychol 12 , 276 (2024). https://doi.org/10.1186/s40359-024-01761-2

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Received : 25 May 2023

Accepted : 02 May 2024

Published : 16 May 2024

DOI : https://doi.org/10.1186/s40359-024-01761-2

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