rationale for the research project

How to Write the Rationale for a Research Paper

• Research Process
• Peer Review

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

Updated on September 19, 2022

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

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

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

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

What is a research rationale?

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

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

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

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

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

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

Elements of a research rationale

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

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

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

A well-written introduction covers three key elements:

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

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

1. This study complements scientific knowledge and understanding

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

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

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

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

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

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

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

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

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

2. This study can help solve a specific problem

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

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

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

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

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

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

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

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

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

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

When is the research rationale written?

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

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

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

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

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

How long should a research rationale be?

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

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

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

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

Which verb tenses to use in the research rationale?

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

Example of a research rationale

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

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

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

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

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

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

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

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

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

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

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How do you Write the Rationale for Research?

• By DiscoverPhDs
• October 21, 2020

What is the Rationale of Research?

The term rationale of research means the reason for performing the research study in question. In writing your rational you should able to convey why there was a need for your study to be carried out. It’s an important part of your research paper that should explain how your research was novel and explain why it was significant; this helps the reader understand why your research question needed to be addressed in your research paper, term paper or other research report.

The rationale for research is also sometimes referred to as the justification for the study. When writing your rational, first begin by introducing and explaining what other researchers have published on within your research field.

Having explained the work of previous literature and prior research, include discussion about where the gaps in knowledge are in your field. Use these to define potential research questions that need answering and explain the importance of addressing these unanswered questions.

The rationale conveys to the reader of your publication exactly why your research topic was needed and why it was significant . Having defined your research rationale, you would then go on to define your hypothesis and your research objectives.

Final Comments

Defining the rationale research, is a key part of the research process and academic writing in any research project. You use this in your research paper to firstly explain the research problem within your dissertation topic. This gives you the research justification you need to define your research question and what the expected outcomes may be.

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How to Write a Rationale: A Guide for Research and Beyond

Ever found yourself scratching your head, wondering how to justify your choice of a research topic or project? You’re not alone! Writing a rationale, which essentially means explaining the ‘why’ behind your decisions, is crucial to any research process. It’s like the secret sauce that adds flavour to your research recipe. So, the only thing you need to know is how to write a rationale.

What is a Rationale?

A rationale in research is essentially the foundation of your study. It serves as the justification for undertaking a particular research project. At its core, the rationale explains why the research was conducted or needs to be conducted, thus addressing a specific knowledge gap or research question.

Here’s a breakdown of the key elements involved in crafting a rationale:

Linking Background to Research Question: 

The rationale should connect the background of the study to your specific research question. It involves presenting and discussing existing data on your topic, identifying gaps or issues in the current understanding, and explaining why addressing them is important​.

Objectives and Significance: 

Your rationale should clearly outline your research objectives – what you hope to discover or achieve through the study. It should also emphasize the subject’s significance in your field and explain why more or better research is needed​.

Methodological Approach: 

The rationale should briefly describe your proposed research method , whether qualitative (descriptive) or quantitative (experimental), and justify this choice​.

Justifying the Need for Research: 

The rationale isn’t just about what you’re doing and why it’s necessary. It can involve highlighting methodological, contextual, or conceptual limitations in previous studies and explaining how your research aims to overcome these limitations. Essentially, you’re making a case for why your research fills a crucial gap in existing knowledge​​.

Presenting Before and After Research: 

Interestingly, the rationale can be presented before and after the research. Before the research, it forms a central part of the research proposal, setting out the plan for the work. After the research, it’s presented in a research article or dissertation to explain the focus on a specific research question and link it to the study’s aims and outcomes​.

Elements to Include: 

A good rationale should include a summary of conclusions from your literature review, identify what is currently unknown, discuss inconclusive or contested results from previous studies, and emphasize the necessity to improve or build on previous research​.

Creating a rationale is a vital part of the research process, as it not only sets the stage for your study but also convinces readers of the value and necessity of your work.

How to Write a Rationale:

Writing a rationale for your research is crucial in conducting and presenting your study. It involves explaining why your research is necessary and important. Here’s a guide to help you craft a compelling rationale:

Identify the Problem or Knowledge Gap: 

Begin by clearly stating the issue or gap in knowledge that your research aims to address. Explain why this problem is important and merits investigation. It is the foundation of your rationale and sets the stage for the need for your research.​

Review the Literature: 

Conduct a thorough review of existing literature on your topic. It helps you understand what research has already been done and what gaps or open questions exist. Your rationale should build on this background by highlighting these gaps and emphasizing the importance of addressing them​​​​.

Define Your Research Questions/Hypotheses: 

Based on your understanding of the problem and literature review, clearly state the research questions or hypotheses that your study aims to explore. These should logically stem from the identified gaps or issues.

Explain Your Research Approach: 

Describe the methods you will use for your research, including data collection and analysis techniques. Justify why these methods are appropriate for addressing your research questions or hypotheses​​.

Discuss the Potential Impact of Your Research:  Explain the significance of your study. Consider both theoretical contributions and practical implications. For instance, how does your research advance existing knowledge? Does it have real-world applications? Is it relevant to a specific field or community?​

Consider Ethical Considerations: 

If your research involves human or animal subjects, discuss the ethical aspects and how you plan to conduct your study responsibly​.

Contextualise Your Study: 

Justify the relevance of your research by explaining how it fits into the broader context. Connect your study to current trends, societal needs, or academic discussions​​.

Support with Evidence: 

Provide evidence or examples that underscore the need for your research. It could include citing relevant studies, statistics, or scenarios that illustrate the problem or gap your research addresses​.

Methodological, Contextual, and Conceptual Limitations: 

Address any limitations of previous research and how your study aims to overcome them. It can include methodological flaws in previous studies, changes in external factors that make past research less relevant, or the need to study a phenomenon within a new conceptual framework​.

Placement in Your Paper: 

Typically, the rationale is written toward the end of the introduction section of your paper, providing a logical lead-in to your research questions and methodology​​.

By following these steps and considering your audience’s perspective, you can write a strong and compelling rationale that clearly communicates the significance and necessity of your research project.

Frequently Asked Questions:

What makes a good research rationale.

A good rationale clearly identifies a gap in existing knowledge, builds on previous research, and outlines why your study is necessary and significant.

How detailed should my literature review be in the rationale?

Your literature review should be comprehensive enough to highlight the gaps your research aims to fill, but it should not overshadow the rationale itself.

Conclusion: 

A well-crafted rationale is your ticket to making your research stand out. It’s about bridging gaps, challenging norms, and paving the way for new discoveries. So go ahead, make your rationale the cornerstone of your research narrative!

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Setting Rationale in Research: Cracking the code for excelling at research

Knowledge and curiosity lays the foundation of scientific progress. The quest for knowledge has always been a timeless endeavor. Scholars seek reasons to explain the phenomena they observe, paving way for development of research. Every investigation should offer clarity and a well-defined rationale in research is a cornerstone upon which the entire study can be built.

Research rationale is the heartbeat of every academic pursuit as it guides the researchers to unlock the untouched areas of their field. Additionally, it illuminates the gaps in the existing knowledge, and identifies the potential contributions that the study aims to make.

Table of Contents

What Is Research Rationale and When Is It Written

Research rationale is the “why” behind every academic research. It not only frames the study but also outlines its objectives , questions, and expected outcomes. Additionally, it helps to identify the potential limitations of the study . It serves as a lighthouse for researchers that guides through data collection and analysis, ensuring their efforts remain focused and purposeful. Typically, a rationale is written at the beginning of the research proposal or research paper . It is an essential component of the introduction section and provides the foundation for the entire study. Furthermore, it provides a clear understanding of the purpose and significance of the research to the readers before delving into the specific details of the study. In some cases, the rationale is written before the methodology, data analysis, and other sections. Also, it serves as the justification for the research, and how it contributes to the field. Defining a research rationale can help a researcher in following ways:

1. Justification of a Research Problem

• Research rationale helps to understand the essence of a research problem.
• It designs the right approach to solve a problem. This aspect is particularly important for applied research, where the outcomes can have real-world relevance and impact.
• Also, it explains why the study is worth conducting and why resources should be allocated to pursue it.
• Additionally, it guides a researcher to highlight the benefits and implications of a strategy.

2. Elimination of Literature Gap

• Research rationale helps to ideate new topics which are less addressed.
• Additionally, it offers fresh perspectives on existing research and discusses the shortcomings in previous studies.
• It shows that your study aims to contribute to filling these gaps and advancing the field’s understanding.

3. Originality and Novelty

• The rationale highlights the unique aspects of your research and how it differs from previous studies.
• Furthermore, it explains why your research adds something new to the field and how it expands upon existing knowledge.
• It highlights how your findings might contribute to a better understanding of a particular issue or problem and potentially lead to positive changes.
• Besides these benefits, it provides a personal motivation to the researchers. In some cases, researchers might have personal experiences or interests that drive their desire to investigate a particular topic.

4. An Increase in Chances of Funding

• It is essential to convince funding agencies , supervisors, or reviewers, that a research is worth pursuing.
• Therefore, a good rationale can get your research approved for funding and increases your chances of getting published in journals; as it addresses the potential knowledge gap in existing research.

Overall, research rationale is essential for providing a clear and convincing argument for the value and importance of your research study, setting the stage for the rest of the research proposal or manuscript. Furthermore, it helps establish the context for your work and enables others to understand the purpose and potential impact of your research.

5 Key Elements of a Research Rationale

Research rationale must include certain components which make it more impactful. Here are the key elements of a research rationale:

By incorporating these elements, you provide a strong and convincing case for the legitimacy of your research, which is essential for gaining support and approval from academic institutions, funding agencies, or other stakeholders.

How to Write a Rationale in Research

Writing a rationale requires careful consideration of the reasons for conducting the study. It is usually written in the present tense.

Here are some steps to guide you through the process of writing a research rationale:

After writing the initial draft, it is essential to review and revise the research rationale to ensure that it effectively communicates the purpose of your research. The research rationale should be persuasive and compelling, convincing readers that your study is worthwhile and deserves their attention.

How Long Should a Research Rationale be?

Although there is no pre-defined length for a rationale in research, its length may vary depending on the specific requirements of the research project. It also depends on the academic institution or organization, and the guidelines set by the research advisor or funding agency. In general, a research rationale is usually a concise and focused document.

Typically, it ranges from a few paragraphs to a few pages, but it is usually recommended to keep it as crisp as possible while ensuring all the essential elements are adequately covered. The length of a research rationale can be roughly as follows:

1. For Research Proposal:

A. Around 1 to 3 pages

B. Ensure clear and comprehensive explanation of the research question, its significance, literature review , and methodological approach.

2. Thesis or Dissertation:

A. Around 3 to 5 pages

B. Ensure an extensive coverage of the literature review, theoretical framework, and research objectives to provide a robust justification for the study.

3. Journal Article:

A. Usually concise. Ranges from few paragraphs to one page

B. The research rationale is typically included as part of the introduction section

However, remember that the quality and content of the research rationale are more important than its length. The reasons for conducting the research should be well-structured, clear, and persuasive when presented. Always adhere to the specific institution or publication guidelines.

Example of a Research Rationale

In conclusion, the research rationale serves as the cornerstone of a well-designed and successful research project. It ensures that research efforts are focused, meaningful, and ethically sound. Additionally, it provides a comprehensive and logical justification for embarking on a specific investigation. Therefore, by identifying research gaps, defining clear objectives, emphasizing significance, explaining the chosen methodology, addressing ethical considerations, and recognizing potential limitations, researchers can lay the groundwork for impactful and valuable contributions to the scientific community.

So, are you ready to delve deeper into the world of research and hone your academic writing skills? Explore Enago Academy ‘s comprehensive resources and courses to elevate your research and make a lasting impact in your field. Also, share your thoughts and experiences in the form of an article or a thought piece on Enago Academy’s Open Platform .

Join us on a journey of scholarly excellence today!

Frequently Asked Questions

A rationale of the study can be written by including the following points: 1. Background of the Research/ Study 2. Identifying the Knowledge Gap 3. An Overview of the Goals and Objectives of the Study 4. Methodology and its Significance 5. Relevance of the Research

Start writing a research rationale by defining the research problem and discussing the literature gap associated with it.

A research rationale can be ended by discussing the expected results and summarizing the need of the study.

A rationale for thesis can be made by covering the following points: 1. Extensive coverage of the existing literature 2. Explaining the knowledge gap 3. Provide the framework and objectives of the study 4. Provide a robust justification for the study/ research 5. Highlight the potential of the research and the expected outcomes

A rationale for dissertation can be made by covering the following points: 1. Highlight the existing reference 2. Bridge the gap and establish the context of your research 3. Describe the problem and the objectives 4. Give an overview of the methodology

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Rationale for the Study

It is important for you to be able to explain the importance of the research you are conducting by providing valid arguments. Rationale for the study, also referred to as justification for the study, is reason why you have conducted your study in the first place. This part in your paper needs to explain uniqueness and importance of your research. Rationale for the study needs to be specific and ideally, it should relate to the following points:

1. The research needs to contribute to the elimination of a gap in the literature. Elimination of gap in the present literature is one of the compulsory requirements for your study. In other words, you don’t need to ‘re-invent the wheel’ and your research aims and objectives need to focus on new topics. For example, you can choose to conduct an empirical study to assess the implications of COVID-19 pandemic on the numbers of tourists visitors in your city. This might be previously undressed topic, taking into account that COVID-19 pandemic is a relatively recent phenomenon.

Alternatively, if you cannot find a new topic to research, you can attempt to offer fresh perspectives on existing management, business or economic issues. For example, while thousands of studies have been previously conducted to study various aspects of leadership, this topic as far from being exhausted as a research area. Specifically, new studies can be conducted in the area of leadership to analyze the impacts of new communication mediums such as TikTok, and other social networking sites on leadership practices.

You can also discuss the shortcomings of previous works devoted to your research area. Shortcomings in previous studies can be divided into three groups:

a) Methodological limitations . Methodology employed in previous study may be flawed in terms of research design, research approach or sampling.

b) Contextual limitations . Relevance of previous works may be non-existent for the present because external factors have changed.

c) Conceptual limitations . Previous studies may be unjustifiably bound up to a particular model or an ideology.

While discussing the shortcomings of previous studies you should explain how you are going to correct them. This principle is true to almost all areas in business studies i.e. gaps or shortcomings in the literature can be found in relation to almost all areas of business and economics.

2. The research can be conducted to solve a specific problem. It helps if you can explain why you are the right person and in the right position to solve the problem. You have to explain the essence of the problem in a detailed manner and highlight practical benefits associated with the solution of the problem. Suppose, your dissertation topic is “a study into advantages and disadvantages of various entry strategies into Chinese market”. In this case, you can say that practical implications of your research relates to assisting businesses aiming to enter Chinese market to do more informed decision making.

Alternatively, if your research is devoted to the analysis of impacts of CSR programs and initiatives on brand image, practical contributions of your study would relate to contributing to the level of effectiveness of CSR programs of businesses.

Additional examples of studies that can assist to address specific practical problems may include the following:

• A study into the reasons of high employee turnover at Hanson Brick
• A critical analysis of employee motivation problems at Esporta, Finchley Road, London
• A research into effective succession planning at Microsoft
• A study into major differences between private and public primary education in the USA and implications of these differences on the quality of education

However, it is important to note that it is not an obligatory for a dissertation   to be associated with the solution of a specific problem. Dissertations can be purely theory-based as well. Examples of such studies include the following:

• Born or bred: revising The Great Man theory of leadership in the 21 st century
• A critical analysis of the relevance of McClelland’s Achievement theory to the US information technology industry
• Neoliberalism as a major reason behind the emergence of the global financial and economic crisis of 2007-2009
• Analysis of Lewin’s Model of Change and its relevance to pharmaceutical sector of France

3. Your study has to contribute to the level of professional development of the researcher . That is you. You have to explain in a detailed manner in what ways your research contributes to the achievement of your long-term career aspirations.

For example, you have selected a research topic of “ A critical analysis of the relevance of McClelland’s Achievement theory in the US information technology industry ”.  You may state that you associate your career aspirations with becoming an IT executive in the US, and accordingly, in-depth knowledge of employee motivation in this industry is going to contribute your chances of success in your chosen career path.

Therefore, you are in a better position if you have already identified your career objectives, so that during the research process you can get detailed knowledge about various aspects of your chosen industry.

My e-book, The Ultimate Guide to Writing a Dissertation in Business Studies: a step by step assistance offers practical assistance to complete a dissertation with minimum or no stress. The e-book covers all stages of writing a dissertation starting from the selection to the research area to submitting the completed version of the work within the deadline.

John Dudovskiy

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

When is the rationale for research written?

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

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

Basis for writing the research rationale

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

Length of the research rationale

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

Basic elements of the research rationale

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

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

Example of a research rationale

Note: This uses a fictional study.

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

In conclusion

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

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• Before you start

Rationale and potential impact of your research

Before you start - Rationale and potential impact of your research

Perhaps the most important consideration prior to embarking on a piece of research is of what the overall rationale for – and purpose of – it will be. Given the time, resources and practical considerations involved in planning and carrying out research, the justification for these efforts needs to be made explicit from the outset: as does the anticipated impact or benefits that the research will ultimately bring.  

Key things to think about

Issues that should be addressed in outlining the overall aims and rationale for your research include:

• the problem, need or issue that has given rise to the research idea
• how the existing literature (or lack thereof) has highlighted the need for it
• who wants the research - and why
• what the general purposes and priorities of the research are
• who are the potential beneficiaries of and audiences for the research
• the intended outcomes of the research, its deliverables and what it will 'do'

Further reading

Cohen, L., Manion, L. & Morrison, K. (2018), Chapter 9 – “Choosing a research project” in Cohen, L., Manion, L. & Morrison, K. (eds), Research Methods in Education (Abingdon, Routledge, 8th edn, pp. 153-164

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• Writing effectively

Writing a rationale

How to write a rationale.

What is a rationale?

A rationale is when you are asked to give the reasoning or justification for an action or a choice you make.

There is a focus on the ‘ why ’ in a rationale: why you chose to do something, study or focus on something. It is a set of statements of purpose and significance and often addresses a gap or a need.

A rationale in Australian academic writing is rarely a whole task by itself.  It is often a part of a bigger task. For example, a part of a lesson plan might be to provide a rationale for why you chose to teach particular content or use a certain resource or activity, or you may be asked to provide a rationale as to why you chose a particular theory to apply or a concept to support.

You may be called upon to provide a rationale:

prior to an action or decision; why you plan to do something and how, or

• after you have acted or decided something; reflecting, looking back, why you did something and how it worked or not.

You can use language to signal you are clearly providing a rationale in your writing. You can link your rationale to learning outcomes or aims for a lesson, activity or assessment task.

A model: problem-solution-rationale

A rationale can be provided by offering longer essay-based support for why it is important to do something in a certain way – in that sense, a whole paper can be a rationale.

However, a more specific or focused way of thinking about a rationale is how we can overtly show we are justifying our choices with the language we use.

One way of doing this is to consider the problem or issue requiring attention, the solution and then the rationale or justification for the solution (the ‘why’). This sets the rationale (the reason) within a context.

A diagnostic assessment determined that the students required more attention to addition and subtraction of mixed fractions. This activity intends to address this problem by having the children engage with the task with blocks before it is done with figures. The reason I chose to do this is because students have higher comprehension levels when presented with visual or tangible representations of abstract problems (Benson, 2016). I also did this as I wanted to allow the children to ‘play’ with maths, to see that it can be a fun activity and in doing so, to breakdown some of the ‘anti-mathematics prejudices’ that Gaines (2017, p. 4) talks about.

The important thing here is the language used to signal the rationale , in this case:

The reason I chose to do this is because … and I also did this as …

Another problem / solution / rationale example:

Scaffolding is the support provided by the teacher or a significant other, such as a classmate, which helps students in learning (Gibbons, 2015). Some students were having difficulty with the language at entry while others, particularly those who had completed the pre-tasks, had few problems. Therefore, in order to address this disparity in level and understanding, mixed-ability pairs were created where the more competent student helped the other. On reflection, this was an effective way to run the activity for two reasons : it allowed peer-to-peer teaching which solidified both students’ understanding; and it scaffolded the support in a way that allowed me to roam the room lending advice to pairs as needed.

The language used to signal our rationale in this example:

in order to and for two reasons …

Language to signal rationale

in order to

the reason this was done/chosen …

for the following reason(s) …

for two/three reasons …

Language for further justification - showing importance

This was important / significant because …

This meant that I could…

This enabled me to …

… which enabled / allowed me to…

… which pointed to / highlighted that / showed me that …

The key thing to remember about rationale writing is to stand back from the writing, look at it in a big picture sense and ask yourself, ‘ Have I explained why? ’ If that is clearly articulated, you have provided a rationale.

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How to Write the Rationale for a Research Proposal

Table of Contents

Writing a research proposal can be intimidating, especially when you are expected to explain the rationale behind your project. This article will help you learn how to write the rationale for a research proposal to provide justification for why it should be pursued. A good rationale should give readers an understanding of why your project is worth undertaking and how it will contribute to existing knowledge. It should outline any practical implications that could come from your work. By thoroughly preparing this section of your proposal , you will increase the chances of having your research approved.

What Is a Rationale in Research?

A research rationale provides a detailed explanation of why a study is necessary and should be carried out. It convinces the reader or examiner of the importance of the research by outlining its relevance, significance, and potential contribution to existing knowledge. Additionally, it helps transition from the research problem to the methods used in the study, connecting both elements into one comprehensive argument. The research rationale justifies why the researcher chose to conduct this particular study over any other possible alternative studies.

Why Is a Research Rationale Important?

A well-written rationale can help demonstrate your commitment to the project. It can convince reviewers that you have put thought into developing a high-quality research plan. When composing this section, focus on the scientific merit of your proposed study by providing clear and concise reasons for conducting the research. Your goal is to communicate the potential benefits of your project and show that you understand its limitations. Include sufficient detail about the methods you plan to use, any ethical considerations to consider, and how you will evaluate your results. Explaining why your research is important and necessary is essential for getting approval from funding bodies or academic institutions. Your rationale should provide a convincing argument for why the project needs to be conducted. The rationale must make it clear that there are potential benefits that justify its costs. Consider the broader impact of your work and describe how it could contribute to furthering knowledge in the field.

The rationale for research is also known as the justification of the study. Make a mention of the following points while writing the rationale for a research proposal:

Background on All Previous Research on the Subject of Your Study

It is important to include background information on what research has already been done on the study topic. This will help to build a foundation for understanding the current knowledge, open questions, and gaps.

The Open Questions of the Study

Highlighting the open questions related to the study topic helps to identify potential areas for further exploration. It gives readers an understanding of where new research could be helpful. It is essential to state these questions to have clear objectives and goals for the research proposal.

Identify the Gaps in Literature

Identifying literature gaps helps highlight areas that have not yet been studied. This provides the opportunity to add new information and understanding to the field. By including these points in the rationale, the writer can showcase how his work will contribute to existing research.

Highlight the Significance of Addressing These Gaps

Emphasizing why it is important to address those gaps is vital in any research proposal. It allows readers to understand why this particular project needs to be undertaken. By clearly outlining why addressing these gaps is crucial, the writer can successfully argue why his proposed project should be given consideration.

A rationale for a research proposal can help convince the reader of the importance and relevance of your study. This article explains the importance of a rationale and discusses the key elements to learn how to write the rationale for a research proposal . Following these tips will let you create a powerful research rationale that will help convince others of the value of your project.

Abir Ghenaiet

Abir is a data analyst and researcher. Among her interests are artificial intelligence, machine learning, and natural language processing. As a humanitarian and educator, she actively supports women in tech and promotes diversity.

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How to Write a Rationale for a Project Proposal

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When it comes to creating a project proposal, a well-written rationale is one of the most critical components. A project rationale serves as the foundation for the proposal, providing the reader with an understanding of the why and how of the intended project. A strong rationale is not only persuasive but also ensures that the project objectives are met and the project runs smoothly. In this article, we will explore the importance of a project rationale, its key components and provide tips for writing a persuasive rationale.

Understanding the Importance of a Project Rationale

Before we dive into how to write an effective rationale, it is crucial to understand why having one is so important. A good project rationale serves a variety of purposes, ultimately setting the stage for what the rest of the proposal will entail.

One of the primary reasons a project rationale is important is that it helps to ensure that everyone involved in the project is on the same page. By clearly defining the purpose and goals of the project, you can ensure that everyone understands what is expected of them and what they need to accomplish. This can help to prevent misunderstandings and confusion down the line, which can be costly and time-consuming to correct.

Defining the Purpose of a Project Rationale

The primary purpose of a project rationale is to define why a particular project is necessary. In this section of the proposal, the problem or opportunity that the project aims to address should be identified and explained. This is where you will answer the question: what issue or need is the project attempting to solve?

For example, if you are proposing a project to improve the efficiency of a manufacturing process, you might explain that the current process is slow and inefficient, leading to delays, increased costs, and reduced productivity. You might then explain how your proposed project will address these issues, by introducing new equipment, streamlining procedures, and providing additional training to employees.

The Role of a Rationale in the Proposal Process

Not only does the project rationale explain why a particular project is necessary, but it also helps in obtaining funding and support. The rationale should provide the reader with enough information to understand the project's purpose, scope, and expected outcomes. By doing so, it helps build the case for why the project is well worth the resources – whether that be time, money, or manpower – required to undertake it.

In addition, a well-crafted project rationale can help to demonstrate your organization's expertise and credibility. By explaining the problem or opportunity in detail, and providing a clear plan for addressing it, you can show potential funders and partners that you have a deep understanding of the issues at hand, and that you are well-positioned to make a meaningful impact.

Overall, a strong project rationale is essential to the success of any proposal. By clearly defining the purpose and goals of the project, and explaining why it is necessary, you can help to ensure that everyone involved is aligned and committed to achieving success.

Key Components of an Effective Rationale

Now that we understand the importance of a project rationale, let's explore the key components that make one effective.

Clearly Stating the Problem or Opportunity

One of the most crucial components of an effective rationale is clearly stating the problem or opportunity that the project aims to address. This is where you will provide a concise overview of the issue or need that the project aims to solve.

Identifying the Target Audience or Stakeholders

It is essential to identify the target audience or stakeholders who are impacted by the problem or opportunity that the project addresses. This will help ensure that the project's goals and objectives align with the needs and interests of those affected.

Outlining the Project Objectives and Goals

The project objectives and goals should be specific, realistic, and achievable. It is helpful to break down objectives into smaller, more manageable goals, making it easier to track progress and adjust the project plan if necessary.

Demonstrating the Feasibility of the Project

Demonstrating the feasibility of the project is critical in ensuring its success. A feasibility study should be conducted to assess the project's viability and potential for success.

Addressing Potential Challenges and Risks

No project is without its challenges and risks. It is important to address these potential obstacles in the rationale to show that they have been considered, and that contingency plans have been developed to minimize their impact on the project.

Tips for Writing a Persuasive Rationale

Writing a persuasive rationale can be a challenging task. Here are some tips to help ensure that your rationale is compelling.

Conduct Thorough Research

Thorough research is essential to writing an effective rationale. Be sure to use reliable sources and gather as much information as possible to provide evidence supporting the need for the project.

Use Clear and Concise Language

To keep your reader engaged, it is important to use clear and concise language. Avoid using technical jargon or complicated language that may be difficult for the reader to understand.

Provide Evidence and Examples

To further support the need for the project, provide evidence and examples of similar projects that have been successful. This will help build the case for why your project is necessary and potentially beneficial.

Highlight the Benefits and Impact of the Project

Make sure to highlight the benefits and impact of the project. This will help the reader understand why the project is worth investing time, resources, and funding into.

Keep the Tone Professional and Objective

Lastly, keep the tone of your rationale professional and objective. Avoid using emotional language or making assumptions. Stick to the facts and avoid being overly persuasive.

Final Thoughts

Writing a rationale is a critical part of creating a successful project proposal. A well-written rationale should provide the reader with a clear understanding of the problem or opportunity being addressed, outline the project's objectives, and demonstrate feasibility. By following the key components outlined in this article and using the tips provided, you can write a persuasive and effective rationale that will ultimately help ensure the success of your project.

ChatGPT Prompt for Writing a Rationale for a Project Proposal

Use the following prompt in an AI chatbot . Below each prompt, be sure to provide additional details about your situation. These could be scratch notes, what you'd like to say or anything else that guides the AI model to write a certain way.

Please compose a thorough and well-articulated explanation that justifies the need for a proposed project, outlining its objectives, potential benefits, and the resources required for its successful implementation.

[ADD ADDITIONAL CONTEXT. CAN USE BULLET POINTS.]

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Writing a Research Proposal

• First Online: 10 April 2022

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• Fahimeh Tabatabaei 3 &
• Lobat Tayebi 3  

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A research proposal is a roadmap that brings the researcher closer to the objectives, takes the research topic from a purely subjective mind, and manifests an objective plan. It shows us what steps we need to take to reach the objective, what questions we should answer, and how much time we need. It is a framework based on which you can perform your research in a well-organized and timely manner. In other words, by writing a research proposal, you get a map that shows the direction to the destination (answering the research question). If the proposal is poorly prepared, after spending a lot of energy and money, you may realize that the result of the research has nothing to do with the initial objective, and the study may end up nowhere. Therefore, writing the proposal shows that the researcher is aware of the proper research and can justify the significance of his/her idea.

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Additional Resources

https://grants.nih.gov

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https://www.ninr.nih.gov

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Rating Action Commentary

Fitch Assigns 'B(EXP)' Rating to Brightline East LLC; Outlook Stable

Mon 22 Apr, 2024 - 4:05 PM ET

Fitch Ratings - Austin - 22 Apr 2024: Fitch Ratings has assigned a 'B(EXP)' rating to Brightline East LLC's (BLE) $1.25 billion senior secured taxable notes. The Rating Outlook is Stable.

The assignment of final ratings is contingent on the receipt of final documents conforming to information already received.

RATING RATIONALE

The 'B' rating for Brightline East LLC (BLE) reflects its weak financial metrics and structural subordination to Brightline Trains Florida LLC (OpCo) and its reliance on OpCo residual cashflows to provide dividends to cover its debt service requirements as well as the presence of weaker structural features, which include refinance risks inherent to the single bullet maturity.

Financial metrics are weak, as exhibited by Fitch rating case consolidated DSCRs averaging 1.2x through the refinance date in 2030, and draws on the BLE ramp up reserve account (RURA) required to meet debt service. DSCRs average 1.6x post refinancing through debt maturity (excluding outliers), which includes a 150-basis point interest rate stress. Consolidated leverage is high at 14.2x at the time of refinancing in 2030 and the minimum consolidated loan life coverage ratio (LLCR) is adequate at 1.4x.

KEY RATING DRIVERS

Revenue Risk - Volume - Weaker

Favorable Market, Limited History

Brightline rail service offers an alternative inter-city transportation mode in the increasingly congested but economically diverse and expanding south/central Florida markets. While Brightline compares favorably in terms of travel speed, comfort, and reliability, competition from driving and existing low-cost rail alternatives will likely limit its market capture. As a result, ramp-up is expected to be comparatively longer for Brightline than for other new transportation development projects.

Ridership data to Orlando is limited, complicating the validation of consultants' long-term forecasts, and initial fares are high relative to competing alternatives particularly to Orlando. Positively, Brightline benefits from some market diversity, drawing from southern and mid-Florida markets and targeting a mix of business and leisure travelers. Ancillary services such as parking, concessions, and corporate sponsorships provide diversification of revenue sources.

Revenue Risk - Price - Stronger

Independent Pricing Control

Brightline has unencumbered ability to set and adjust rates, independent of legislative or political interference. Current rail fares are dynamic with the goal of achieving high ridership levels, varying depending on travel date, time, distance and utilization.

Infrastructure Dev. & Renewal - Midrange

New Facilities, Expansion Likely

Infrastructure renewal risk is low for facilities currently in service, reflecting Brightline's recent completion. Long-term maintenance agreements with Florida East Coast Rail (FECR) for rail infrastructure as well as a 30-year fixed price agreement for rolling stock with Siemens Mobility support upkeep and reinvestment. Brightline plans to budget annually from cashflow to cover added rolling stock and other capex requirements.

Brightline is currently evaluating expansion of service in the Orlando and Tampa regions. While such a project will require additional capital to fund construction and operational costs, this future project will be fully separate from a security and pledge standpoint under a separate affiliate of parent company Brightline Florida Holdings LLC.

Debt Structure - Weaker

Structurally Subordinate; Refinance Risk (BLE):

The BLE debt is interest-only with a bullet maturity in 2030, exposing the debt to refinance risk. The debt is structurally subordinate to OpCo, since repayment of the BLE debt is dependent on ongoing cash flow distributions from OpCo to BLE subject to a 1.3x senior and 1.1x total debt service coverage ratio (DSCR) distribution test at OpCo. OpCo retains the ability to issue future debt obligations, which could further dilute BLE's financial position. A dedicated BLE debt service reserve equal to three months of interest will be funded at closing, along with a ramp-up reserve account equal to over two years of interest. Additional OpCo debt is subject to a rating affirmation by the agencies rating the original transaction at the BLE level as long as BLE debt is outstanding. OpCo does not guarantee BLE's debt, and a BLE default does not cross default to OpCo.

Financial Profile

Under Fitch's rating case, consolidated financial metrics are weak, as exhibited by reliance on liquidity draws to support debt service prior to the bullet maturity. When including draws on the BLE RURA, consolidated DSCR averages just 1.2x from 2024 to 2030, a thin level indicative of the 'B' rating. Additionally, consolidated leverage is high at 14.2x at the time of the refinancing in 2030. Positively, the minimum distance to lock up ratio of 1.6x and the minimum LLCR of 1.4x under rating case conditions are considered adequate.

Fitch does not publicly rate any rail services project peers relevant to Brightline. Other rated rail service peers within Fitch's global portfolio lack the ramp-up risk inherent to Brightline's profile, and their higher ratings reflect their long operating histories, tested demand and stable ridership. Publicly rated European rail lines include the High-Speed Rail Finance (1) PLC (HS1; A-/Stable) and Channel Link Enterprise Finance plc (CLEF; BBB/Stable). Both HS1 and CLEF share exposure to Eurostar and have been operational for nearly three decades with stabilized passenger levels and established volume and market share leading to higher investment grade ratings.

RATING SENSITIVITIES

Factors that could, individually or collectively, lead to negative rating action/downgrade.

-- Delayed long-distance ramp-up and/or higher than expected operating cost and lower revenues resulting in rapidly declining cash balances and a shortened project runway to reach stabilized ridership;

-- Regearing and/or additional system debt leading to financial metrics weaker than Fitch's rating case for a sustained period of time.

Factors that Could, Individually or Collectively, Lead to Positive Rating Action/Upgrade

-- Given the early operational phase of Brightline's rail operations, a positive rating action for either the OpCo or BLE debt is unlikely in the near term. Over time, significant ridership and revenue outperformance which translates to credit metrics well exceeding Fitch's base case expectations could support a positive rating action.

TRANSACTION SUMMARY

BLE is expected to issue approximately $1.25 billion in senior secured notes that are structurally subordinate to the OpCo senior debt. Proceeds of the BLE debt will refinance existing OpCo debt, fund certain reserve accounts, and pay costs of issuance. Florida Development Finance Corporation is expected to issue $2 billion in tax-exempt debt on behalf of OpCo to refinance existing debt, fund certain reserve accounts, and pay certain issuance fees and expenses.

FINANCIAL ANALYSIS

Fitch's analysis included adjustments to assumed short-distance and long-distance ridership levels and ramp-up duration given heightened forecast uncertainties and the project's short operational history. The sponsor case assumes a three-year ramp-up period on the short distance segment, with ridership reaching stabilized levels of 3.6 million in 2025. The long-distance segment also follows a three-year ramp-up period and reaches a stabilized ridership of 4.5 million in 2026. Ancillary revenues account for approximately 14% of total revenues when ridership stabilizes.

The Fitch base case adopts the sponsor's projections for short distance and long-distance ramp-up and haircuts stabilized ridership by 10% and 20% for short distance and long distance, respectively. The average fare for the long-distance segment is 10% below sponsor projections and short-distance average fares match sponsor assumptions. An additional stress is applied to ancillary revenues to reduce the total revenue per passenger. Growth in operating costs is stressed by 25 basis points (bps) annually above the sponsor forecasts. Fitch applies a 100-basis point stress to the sponsor-assumed BLE refinancing rate of 10% beginning in 2030. Under this scenario, the restricted payment test at OpCo is satisfied and distributions flow continuously to BLE to service the BLE level debt. Consolidated DSCR averages 2.1x (excluding outliers) until the refinancing in 2030, and 2.6x post-refinancing through debt maturity.

The rating case applies additional stresses to long distance fares, operating costs for all segments, ancillary revenues, and ridership levels. Fitch haircuts stabilized ridership levels by 25% and 40% for short distance and long distance, respectively. Average short-distance fares are 15% below sponsor expectations and long-distance fares are haircut by 15% from 2024 to 2025 and 10% thereafter. Additionally, long distance ramp-up is delayed by one year and reaches stabilized levels in 2027 and then grows at a CAGR of 1.8% thereafter. The interest rate stress at the time of refinancing is increased to 150 basis points above sponsor assumptions.

Under this case, distributions from OpCo to BLE continue to flow and consolidated DSCR prior to the bullet maturity in 2030 averages a narrow 1.2x (inclusive of reserve draws), with draws on the BLE RURA required to meet debt service requirements. Consolidated DSCR then averages a more adequate 1.6x from the refinancing in 2030 through debt maturity in 2053. While the pre-funded reserves are beneficial, coverages remain narrow following the final release of the RURA in 2030. Though the minimum distance to lock up ratio of 1.6x and the minimum LLCR of 1.4x under rating case conditions are considered adequate, consolidated net leverage is elevated at 14.2x at the time of refinancing and coverages are indicative of a 'B' category rating.

Security for the notes will consist of a pledge of the membership interests in BLTF Holdings LLC, the direct owner of OpCo and all other assets of BLE including (a) substantially all personal property of BLE and (b) reserve accounts once funded from distributions received from the OpCo.

Date of Relevant Committee

16 April 2024

REFERENCES FOR SUBSTANTIALLY MATERIAL SOURCE CITED AS KEY DRIVER OF RATING

The principal sources of information used in the analysis are described in the Applicable Criteria.

• Brightline Trains Florida LLC/Senior Secured Notes/1 LT

VIEW ADDITIONAL RATING DETAILS

Additional information is available on www.fitchratings.com

PARTICIPATION STATUS

The rated entity (and/or its agents) or, in the case of structured finance, one or more of the transaction parties participated in the rating process except that the following issuer(s), if any, did not participate in the rating process, or provide additional information, beyond the issuer’s available public disclosure.

APPLICABLE CRITERIA

• Infrastructure & Project Finance Rating Criteria (pub. 17 May 2023) (including rating assumption sensitivity)
• Transportation Infrastructure Rating Criteria (pub. 18 Dec 2023) (including rating assumption sensitivity)

APPLICABLE MODELS

Numbers in parentheses accompanying applicable model(s) contain hyperlinks to criteria providing description of model(s).

• Third-party Model ( 1 )

ADDITIONAL DISCLOSURES

• Dodd-Frank Rating Information Disclosure Form
• Solicitation Status
• Endorsement Policy

ENDORSEMENT STATUS

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Dear Colleague Letter: IUCRC Proposals for Research and Thought Leadership on Insurance Risk Modeling and Underwriting Related to Terrorism and Catastrophic Cyber Risks: A Joint NSF and U.S. Department of the Treasury Federal Insurance Office Call

April 24, 2024

Dear Colleagues:

This Dear Colleague Letter (DCL) invites submission of proposals to the U.S. National Science Foundation's (NSF) Industry-University Cooperative Research Center (IUCRC) program to provide use-inspired research analysis and thought leadership on issues affecting the insurance sector's modeling and underwriting of terrorism and catastrophic cyber risks. The goal of this DCL is to stimulate research in areas that support the effective provision of insurance against terrorism and catastrophic cyber risks. Such research will, in turn, develop best practices and tools; assess policy reforms or solutions that could provide insurers, governments, and other stakeholders with new data; and develop improved modeling and underwriting tools, methodologies, and practices. The DCL is jointly sponsored by the U.S. Department of Treasury Federal Insurance Office (FIO) and the NSF's Directorates for Technology, Innovation and Partnerships (TIP), Computer and Information Science and Engineering (CISE), and Social, Behavioral and Economic Sciences (SBE).

In this partnership, NSF and FIO support their respective missions. NSF has a mission to promote the progress of science; advance the national health, prosperity, and welfare; and secure the national defense. FIO has the authority to monitor all aspects of the insurance sector and administers the Terrorism Risk Insurance Program which provides a system of shared public and private compensation for insured losses resulting from acts of terrorism and ensures continued widespread availability and affordability of terrorism risk insurance. Further, as directed by the 2023 National Cybersecurity Strategy Implementation Plan and at the recommendation of the Government Accountability Office, FIO assesses the need for and possible structures of a federal insurance response to catastrophic cyber incidents. In support of these missions, this NSF/FIO partnership fosters collaboration between industry, academic teams, and the United States government to better predict and insure against the impacts of terrorism and catastrophic cyber risks. Achieving success will depend on cutting-edge scientific research, innovations in financial resilience, and the development of related tools, analytics, and other technologies.

Both terrorism events and catastrophic cyber incidents (whether terrorism related or not) present serious risks that share many common modeling and underwriting challenges. Challenges include the paucity of data for such events due to their historically low frequency of occurrence. The lack of historic event data limits the ability of insurers to predict future risk based upon past loss experience. In addition, both terrorism and catastrophic cyber risk present the potential for high losses because such events are commonly intentional and designed to maximize damage, resulting in significant potential insurer liability with impacts that can spread far beyond the initial target including cascading losses across broad geographic areas and business sectors.

These challenges hinder insurers' capabilities to adequately estimate financial exposure to terrorism and catastrophic cyber risk. The lack of accurate estimates, in turn, impedes insurers from fully underwriting these risks on a commercial basis (i.e., without a government backstop or other support).

NSF and FIO have an interest in supporting an IUCRC project that will focus on developing and refining terrorism and catastrophic cyber insurance modeling and underwriting with a view to strengthening the resilience of the United States' financial system. The objectives of the new IUCRC include: (1) helping insurers to estimate risk with greater certainty, thereby improving insurance pricing, coverage, and policyholder uptake; (2) contributing to the potential expansion of reinsurance and capital markets to help support these risks; and (3) informing the treatment of terrorism and catastrophic cyber risks in government programs.

PROJECT INFORMATION

IUCRC proposals in response to this DCL should be designed to bring together the insurance sector, academic teams, government, and other stakeholders to innovate and advance current terrorism and catastrophic cyber risk modeling and underwriting in support of the goals stated above. Teams responding to this call should conduct research on practice and policy reforms and/or solutions that provide insurers and other insurance industry stakeholders with improved or additional tools, data, and methodologies to increase their assumption of terrorism and cyber risk. Proposals should include plans to bolster the insurance sector's understanding of terrorism and catastrophic cyber risks by evaluating current modeling and underwriting practices and identifying data and issues that affect terrorism and catastrophic cyber risk perception and risk exposure within the United States.

IUCRC PROGRAM OVERVIEW

IUCRCs are powerful vehicles, developed by NSF, through which university faculty and students work with an industry consortium to carry out cutting-edge, use-inspired research focused on the collective needs of a sector of the U.S. economy. Information on IUCRCs, how they work, and other relevant information about them can be found on the IUCRC website: https://iucrc.nsf.gov/about/ and the IUCRC program solicitation: https://iucrc.nsf.gov/universities/solicitation/ .

To initiate an IUCRC, interested faculty teams at one or more universities should interview members of a targeted sector to: (1) identify the most important and high priority challenges facing the sector; (2) converge on a theme of high sector and university faculty interest; and (3) identify companies and other entities willing to participate in a center on the proposed topic.

The first formal step to forming an IUCRC is submitting an IUCRC Planning Grant proposal that demonstrates the interest of the private sector and other stakeholders in the proposed center. Planning Grant proposals or waivers of the planning grant process require submission of a preliminary proposal. If awarded, the proposal team receives funding to carry out industry sector discovery to refine their center research agenda and identifies potential center members willing to pay membership fees and join an industry advisory board for the center.

Investigators responding to this DCL with a Planning Grant proposal should use the following title format: "IUCRC: NSF/FIO: (title)."

A successful planning phase is followed by submission of a proposal for a Phase I IUCRC that has the potential to run for five years. After successful completion of Phase I, the center can compete for another 5 years (Phase II). During this time, center leadership and faculty continue to recruit dues paying members for their advisory board with the goal that, by the end of Phase II, the center is self-supporting without further federal investment.

SUBMISSION and AWARD INFORMATION

Planning Grant proposals or waivers of the planning grant process require submission of a preliminary proposal. Target dates for Planning Grant preliminary proposals are the second Wednesdays in September and March. Full proposal target dates are the second Wednesdays of December and June. See the NSF IUCRC solicitation for more details.

The review of submitted proposals to this DCL and any subsequent awards will be managed by NSF. NSF may share the identities of the Principal Investigator(s) (PI and Co-PI(s)) and the universities and industrial partners as well as the Project Summary of the proposed project and the unattributed reviews with FIO in order for the agencies to discuss and coordinate award funding. No other proposal documentation will be shared. As a funding partner of the IUCRC, FIO may also request access to data, software artifacts, and information provided by the PI if their proposal is awarded. Providing such access is at the sole discretion of the PI and is not a condition of an award.

FIO will be invited to post award meetings and discussions with recipients, as appropriate. FIO understands and acknowledges that the information about PIs, their proposal, and reviewers of such proposals is protected by the Privacy Act of 1974, and is to be treated as confidential.

POINTS OF CONTACT

Jeffrey Stanton - NSF/Directorate for Technology, Innovation and Partnerships (TIP), ( [email protected] )

Mohan Kumar - NSF/Directorate for Computer and Information Science and Engineering ( [email protected] )

Andy DeSoto - NSF/Directorate for Social, Behavioral, and Economic Sciences ( [email protected] )

Dr. Erwin Gianchandani Assistant Director for Technology, Innovation and Partnerships (TIP) NSF

Dr. Dilma Da Silva Acting Assistant Director for Computer Information Science and Engineering (CISE) NSF

Dr. Kaye Husbands Fealing Assistant Director for Social, Behavioral and Economic Sciences (SBE) NSF

Steven Seitz Director FIO