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Research Design | Step-by-Step Guide with Examples

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

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

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

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

Table of contents

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

• Introduction

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

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

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

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

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

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

Practical and ethical considerations when designing research

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

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

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

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

Types of quantitative research designs

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

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

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

Types of qualitative research designs

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

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

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

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

Defining the population

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

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

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

Sampling methods

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

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

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

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

Case selection in qualitative research

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

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

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

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

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

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

Survey methods

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

Observation methods

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

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

Other methods of data collection

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

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

Secondary data

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

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

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

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

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

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

Operationalisation

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

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

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

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

Reliability and validity

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

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

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

Sampling procedures

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

That means making decisions about things like:

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

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

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

Data management

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

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

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

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

Quantitative data analysis

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

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

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

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

Using inferential statistics , you can:

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

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

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

Qualitative data analysis

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

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

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

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

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

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

Operationalisation means turning abstract conceptual ideas into measurable observations.

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

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

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

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

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• Indian J Anaesth
• v.60(9); 2016 Sep

Methodology for research II

S bala bhaskar.

Department of Anaesthesiology, Vijayanagar Institute Medical Sciences, Bellary, Karnataka, India

M Manjuladevi

1 Department of Anaesthesiology, St. John's Medical College, Bengaluru, Karnataka, India

Research is a systematic process, which uses scientific methods to generate new knowledge that can be used to solve a query or improve on the existing system. Any research on human subjects is associated with varying degree of risk to the participating individual and it is important to safeguard the welfare and rights of the participants. This review focuses on various steps involved in methodology (in continuation with the previous section) before the data are submitted for publication.

INTRODUCTION

Research uses a systematic approach to generate new knowledge to answer questions based on needs of patient health and practice. The investigator identifies research question, examines the ethical implications, describes the research design and collects appropriate data[ 1 , 2 , 3 ] which is evaluated by statistical tests before it can be published.[ 4 ] Before putting this to use in clinical practice, the relevant data are critically appraised for validity and reliability.[ 1 ] This review covers these aspects of the research methodology, in continuation with the first part by Garg et al . published in this issue of Indian Journal of Anaesthesia (IJA).[ 5 ]

REGULATORY AND ETHICAL CONSIDERATIONS

The Indian Council of Medical Research (ICMR) is the apex body in India responsible for the formulation, coordination and promotion of biomedical research. The International Committee of Medical Journal Editors (ICMJE) makes it mandatory for clinical trials to be included in a clinical trials registry for acceptance for publication. Clinical Trials.gov, run by the United States National Library of Medicine, was the first online registry established in 2005 and is widely used today. All trials to be conducted in India should have mandatory prospective registration with the Clinical Trial Registry of India (CTRI- www.ctri.in ). Good clinical practice (GCP) guidelines is a set of guidelines for biomedical studies which encompasses the design, conduct, termination, audit, analysis, reporting and documentation of the studies involving human subjects. It protects rights of human subjects and the authenticity of biomedical data. ( www.cdsco.nic.in/html/GCP1.html ). Table 1 lists the type of the research involved and their regulatory bodies.[ 6 ]

Research involved and their regulatory bodies

The International Standard Randomised Controlled Trial Number (ISRCTN) registry is a primary clinical trial registry recognised by the World Health Organization. The ICMJE provides content validation of all submitted studies (proposed, ongoing or completed). The study is assigned a unique identification number, and records of the study in the database can be easily accessed ( www.isrctn.com ).

To conduct a clinical trial in India, Institution Ethics Committee (IEC) approval is mandatory, and it must be registered with CTRI- www.ctri.nic.in .[ 2 , 6 ] When ‘off-label’ use of a drug (drug being used for a new indication/new dose/formulation/route) is tested for purely academic purposes and not for commercial use, currently there is no requirement of regulator approval.[ 2 , 6 ] However, the IEC has to consider the risks-benefits and ethical basis for approval of the research.

Drugs Controller General of India (DCGI) in India insists on registration and approval of clinical trials through CTRI and ensures scientific and safe conduct of the study. Most of the academic medical centres have Institutional Review Board (IRB) or IEC. They (‘internal’ Ethics Committees) can assess research proposals first and approve before submitting to national bodies. The approval may also go in parallel with DCGI approval. It is responsible for the supervision and protection of rights, safety and welfare of human subjects. During the progress of the trial, the IEC reviews safety reports, any significant violation/deviations in the protocol and for any amendments in the study protocol or informed consent.[ 2 , 7 ]

If IEC is not available in the institution, proposals can be sent independent ethics committee outside the institution (‘external’ Ethics Committees).[ 2 ] The ICMR suggests the establishment of registered Independent Ethics Committees (I nd EC) without institutional affiliation, functioning as per national guidelines. Proposals can also be sent to another institution, following established protocol, including providing a ‘no objection certificate’ and allow the external IEC necessary access.[ 2 ] When there is a large load of research, multiple ECs can function in the same institution as also subcommittees (e.g., subcommittees on adverse event, data safety monitoring, expedited review, etc.,).

The IRB consists of 7–15 members and at least five members are required to form the quorum to make a decision on the research [ Table 2 ].[ 2 ]

Composition of Institution Ethics Committee

All the research involving human participants should follow four basic ethical principles;[ 2 ] (a) Respect for persons autonomy, (b) beneficence (balance the risks against benefits bearing in mind the welfare of the research participant[s]), (c) nonmaleficence (no harm or reduce exposure to greater harm) and (d) Justice (distribution of research subjects equitably in all groups, for example, social, economic demographic, etc).

Informed consent is a process by which a subject confirms his/her willingness to participate in a clinical study.[ 4 ] It protects the individual's freedom of choice and respect for individual's autonomy. It ensures proper regulations in clinical trials and assures patient safety by dealing with both legal and ethical basis.[ 7 ] The process of informed consent consists of providing relevant information, its comprehension and voluntariness.[ 2 ] The details of the clinical study are explained to the subject in a simple and easily understandable language. The ‘subject/participant information sheet’ should include research aspect of the study, sponsor of the study, purpose and procedure, side effects, risks and discomforts, benefits, compensation for any study-related injury, alternatives to participation, right to withdraw, confidentiality of records and contact information of the investigators and IRB.[ 2 , 6 ] The informed and written consent form is duly signed by the subject in a document called ‘informed consent form’.[ 1 , 2 , 3 ] The documents consisting of patient/participant information sheet and informed consent form should be reviewed and approved by the IEC before enrolment of the participants.

A legal authorised representative (LAR) should be involved in the decision-making of vulnerable subjects who lack the ability to consent. The consent is taken from parent/LAR (in kids <7 years) and consent of parent/LAR along with assent form (oral/written) in children aged 7–18 years.[ 2 ] Audio/audio-visual recording of the informed consent process may be required in case of certain regulatory, clinical trials.[ 2 ] After the completion/termination of the study, all records within the IEC must be archived for at least 3 years; those related to regulatory, clinical trials must be archived for 5 years as per CDSCO regulation. Longer preservation may be needed as required by the sponsors/regulatory bodies.

Many finer aspects of the legal and ethical issues in research are discussed by Yip et al in this issue of IJA.[ 8 ]

The ethical duty of confidentiality refers to the obligation of an individual or organisation to safeguard entrusted information of the research data. It is essential for the integrity of the research project and protects information from unauthorised access, use, disclosure, modification, loss or theft.[ 6 , 7 ]

Data related to any of the studies of individual participant can be disclosed only under the following circumstances:

(a) Threat to a person's life, (b) Communication with drug registration authority in cases of severe adverse reaction, (c) Communication to health authority whenever there is risk to public health, (d) In a court of law under the orders of the presiding judge and (e) As a requirement for government agencies or regulatory authorities.[ 2 ]

DATA COLLECTION

‘Data’ includes the information that is systematically collected by the investigator during the study. The primary data are those which are originally done for the first time. The secondary data are a compilation of information done by someone else and have already been passed through the statistical process. A Data Monitoring Committee or Data and Safety Monitoring Board may be appointed, independent of IEC for interim analysis; their report forms the basis for early termination of planned study when there is compelling evidence of beneficial effectiveness or harmful side effects or for major flaws in the study.

The two main types of data are qualitative and quantitative, and most studies will have a combination of both. While quantitative data are easy to analyse and fairly reliable, qualitative data provide more depth in the description of the sample.[ 9 ]

Data collection methods [ Figure 1 ]:

Methods of data collection

• Interview: This method allows face to face contact with respondents, exploring the topic in depth. It allows the interviewer to explain or help to clarify questions increasing the usefulness of a response. It can be of different types-structured, unstructured (informal, conversational approach), semi-structured, focused and standardised.[ 9 , 10 , 11 ] There can be disadvantages-interviewer clarifications can lead to inconsistencies and influence the responses; the subject may distort information through recall error, selective perceptions and in the desire to please the interviewer.[ 10 ] Sometimes, the data may be too voluminous to record or reduce it
• Observation: This method provides direct information about the behaviour of individuals and groups. It allows the investigator to understand the situation and context. It could be ‘Participant’ observation: The observer takes part in the situation he or she observes or ‘Nonparticipant’ observation: The observer watches the situation, openly or concealed, but does not participate[ 9 , 10 , 11 ]
• Questionnaire: It is a simple and inexpensive method not even requiring any research assistants. More honest responses may be available when anonymity is provided. Written questions are presented that are to be answered by the respondents. A written questionnaire can be administered in different ways, such as by sending questionnaires by mail with clear instructions on how to answer the questions and asking for mailed responses; gathering all or part of the respondents in one place at one time, giving oral or written instructions, and letting the respondents fill out the questionnaires; or hand-delivering questionnaires to respondents and collecting them later.[ 10 , 11 ] The disadvantage of this method are observer bias and breach in confidentiality; also, this cannot be used on illiterate subjects. As with other types of outcome measurements, questionnaires and interviews are to be assessed for validity (accuracy) and for reproducibility (precision)-using ‘face validity, content validity and construct validity’
• Documents: It is an inexpensive and unobtrusive method of data collection from locally available records or documents (existing research, hospital records, databases, videotapes, etc.).[ 9 , 10 , 11 ] There is disadvantage of accuracy, authenticity and availability (missing data/omission of needed data). Anaesthesia information management systems used in modern practice have the ability to collect data automatically, in large volumes, which can be converted for specific, focused outcome assessments for research purposes.

Compilation of data includes systematic arrangement of data to facilitate the presentation and analysis.[ 12 ] The data collected are entered in a database where the information about subjects and variables are stored. Simple study database can be maintained in a spreadsheet (MS Excel © ) or statistical software (e.g., Statistical Analysis System (SAS ® ) (NC, USA), IBM SPSS (Statistical Package for the Social Sciences) Statistics ® (IBM Inc., NY, USA). More complex database require integrated database management software (e.g., Access © (Windows) and Filemaker © Pro (Apple Inc.,).[ 13 ] Database ‘queries’ sort and filter the data as well as calculate values based on the raw data fields.[ 12 , 13 ] Queries are used to monitor data entry, report on study progress and format the results for analysis. Data must be stored in ‘secure servers’ so that confidentiality is maintained.[ 13 ] Backup files and off-site storage may be necessary to prevent any data loss. Common methods of summarising and presenting data are tables, pie charts, bar charts, histograms, frequency and cumulative frequency curves, dot plots and x-y scatterplots.[ 13 , 14 , 15 ]

RESEARCH TOOLS: DEVELOPMENT AND VALIDATION

‘Research tool’ is the means of collecting information for the purpose of a study. Observation forms, interview schedules, questionnaires are all classified as research tools. The first practical step in doing a research process is to construct a research tool. Four stage process is involved in developing a research tool.[ 9 , 10 , 11 , 12 ]

• Concept development: The researcher should understand the basic knowledge pertaining to the study
• Specification of concept dimensions: The researcher should be able to build in a dimension based on the concept of the study
• Selection of indicators: Once the concept and its dimensions are developed, each concept element is measured by indicators (respondent's knowledge, opinion, expectation, etc., are measured with scales, devices). More than one indicator increases the score and validity of the study
• Formation of index: Dimension of a concept or different measurements of a dimension are then put into an overall index.

The error may occur at any stage of research, i.e., from selection to interpretation of data to conclusion. Two types of error can occur – random and systematic error. The random error must be reduced as far as possible, and the systemic error should be eliminated. Errors can occur from three sources:[ 16 , 17 , 18 , 19 ]

• Investigator: Due to ignorance, incompetence and bias
• Instrument: Due to variability, calibration, problems and malfunctioning
• Subject: Due to bias, noncompliance and biological variation in response.

Any research can be affected by factors that can invalidate the findings. A good research tool should meet the tests of validity, reliability and practicality.

Validity refers to the extent to which a test measures what we actually wish to measure. Reliability refers to accuracy and precision of a measurement procedure.

The practicality characteristic of a measuring instrument can be judged in terms of economy, convenience and interpretability.

Determining validity can be viewed as constructing an evidence-based argument regarding how well a tool measures what it is supposed to do.

USES OF VALIDITY IN SCIENTIFIC METHODS

External validity refers to generalising the study results to other population groups with similar risk factors, settings, measurement and treatment variables.

Internal validity implies that the differences observed between the treatment groups, apart from random error, are only due to the treatments under investigation.[ 9 ]

Validity assessment can be performed in three ways:

• Content validity is the extent to which a measuring tool provides adequate coverage of all the aspects of the topic under study. (e.g., quality of pain relief to include measurement of analgesia, haemodynamics, sedation, etc.). ‘Face validity’ assesses whether the measurements appear reasonable; a measure of how representative a research project is ‘at face value’, and whether it appears to be a good project
• Construct validity refers to the degree to which a measurement conforms to theoretical constructs. Convergent validity tests whether and how well those ‘constructs’ that are expected to be related are, in fact, related. Discriminant validity or divergent validity tests those ‘constructs’ that should have no relationship do, in fact, not have any relationship
• Criterion validity assesses the degree to which a new measurement correlates with well-accepted existing measures. Predictive validity is a strong variety of criterion validity, representing the ability of the measurement to predict an outcome.

Other Types: Concurrent validity refers to the degree of correlation of two measures of the same concept administered at the same time. Consensual validity is a process by which a panel of experts judge the validity.[ 1 , 16 , 17 , 18 , 19 ]

A measuring instrument is reliable if it provides consistent results.[ 1 , 11 ]

The stability aspect refers to securing consistent results with repeated measurements of the same person and with the same instrument. Determination of the degree of stability by comparing the results of repeated measurements.

The equivalence aspect considers how much error may get introduced by different investigators or different samples of the items being studied.

PRACTICALITY

Measuring instrument practicality is tested in terms of economy, convenience and interpretability.

Economy consideration suggests that some trade-off is needed between the ideal research project and that which the budget can afford.

Convenience test suggests that the measuring instrument should be easy to administer. Interpretability consideration is especially important when persons other than the designers of the test are to interpret the results.

ANALYSIS PLAN: QUALITY AND APPROPRIATENESS OF ANALYSIS

The statistics in research functions as a tool in designing research, analysing its data and drawing conclusions from it.[ 20 , 21 ] Descriptive statistics are the development of certain indices from the raw data, summarised in tables, charts or numerical forms. The inferential analysis is undertaken to apply various tests of significance to test hypotheses of a research question so as to validate conclusions. An essential part of presenting any type of inferential data is by probability ( P value) which reassures the reader that the outcome was secondary to the effect of the studied variable and has not occurred purely by chance.[ 22 ] P < 5% is considered statistically significant. Statistical tests are used for testing the significance. Various parametric tests (variable normally distributed) and nonparametric tests (variables are not normally distributed) are used to meet the objective of the study [ Table 3 ].[ 19 , 20 ] ‘Basic Statistical Tools in Research and Data analysis’ in this issue of IJA by Zulfiqar Ali describe these tests in detail.[ 23 ]

Tests of significance

The ‘methodology’ in a research strategy outlines the steps involved in research process. The research problem is identified, aims and objectives are formulated, sample size is calculated; Ethics Committee approval and informed consent from the subject are taken; data collected are summarised. The research design is planned, and the collected data are then analysed using appropriate statistical tests. The derived evidence is put into clinical practice once the reader is convinced that the clinical study is valid and reliable.

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Conflicts of interest.

There are no conflicts of interest.

What Is Research Methodology? A Plain-Language Explanation & Definition (With Examples)

By Derek Jansen (MBA)  and Kerryn Warren (PhD) | June 2020 (Last updated April 2023)

If you’re new to formal academic research, it’s quite likely that you’re feeling a little overwhelmed by all the technical lingo that gets thrown around. And who could blame you – “research methodology”, “research methods”, “sampling strategies”… it all seems never-ending!

In this post, we’ll demystify the landscape with plain-language explanations and loads of examples (including easy-to-follow videos), so that you can approach your dissertation, thesis or research project with confidence. Let’s get started.

Research Methodology 101

• What exactly research methodology means
• What qualitative , quantitative and mixed methods are
• What sampling strategy is
• What data collection methods are
• What data analysis methods are
• How to choose your research methodology
• Example of a research methodology

What is research methodology?

Research methodology simply refers to the practical “how” of a research study. More specifically, it’s about how  a researcher  systematically designs a study  to ensure valid and reliable results that address the research aims, objectives and research questions . Specifically, how the researcher went about deciding:

• What type of data to collect (e.g., qualitative or quantitative data )
• Who  to collect it from (i.e., the sampling strategy )
• How to  collect  it (i.e., the data collection method )
• How to  analyse  it (i.e., the data analysis methods )

Within any formal piece of academic research (be it a dissertation, thesis or journal article), you’ll find a research methodology chapter or section which covers the aspects mentioned above. Importantly, a good methodology chapter explains not just   what methodological choices were made, but also explains  why they were made. In other words, the methodology chapter should justify  the design choices, by showing that the chosen methods and techniques are the best fit for the research aims, objectives and research questions. 

So, it’s the same as research design?

Not quite. As we mentioned, research methodology refers to the collection of practical decisions regarding what data you’ll collect, from who, how you’ll collect it and how you’ll analyse it. Research design, on the other hand, is more about the overall strategy you’ll adopt in your study. For example, whether you’ll use an experimental design in which you manipulate one variable while controlling others. You can learn more about research design and the various design types here .

Need a helping hand?

What are qualitative, quantitative and mixed-methods?

Qualitative, quantitative and mixed-methods are different types of methodological approaches, distinguished by their focus on words , numbers or both . This is a bit of an oversimplification, but its a good starting point for understanding.

Let’s take a closer look.

Qualitative research refers to research which focuses on collecting and analysing words (written or spoken) and textual or visual data, whereas quantitative research focuses on measurement and testing using numerical data . Qualitative analysis can also focus on other “softer” data points, such as body language or visual elements.

It’s quite common for a qualitative methodology to be used when the research aims and research questions are exploratory  in nature. For example, a qualitative methodology might be used to understand peoples’ perceptions about an event that took place, or a political candidate running for president. 

Contrasted to this, a quantitative methodology is typically used when the research aims and research questions are confirmatory  in nature. For example, a quantitative methodology might be used to measure the relationship between two variables (e.g. personality type and likelihood to commit a crime) or to test a set of hypotheses .

As you’ve probably guessed, the mixed-method methodology attempts to combine the best of both qualitative and quantitative methodologies to integrate perspectives and create a rich picture. If you’d like to learn more about these three methodological approaches, be sure to watch our explainer video below.

What is sampling strategy?

Simply put, sampling is about deciding who (or where) you’re going to collect your data from . Why does this matter? Well, generally it’s not possible to collect data from every single person in your group of interest (this is called the “population”), so you’ll need to engage a smaller portion of that group that’s accessible and manageable (this is called the “sample”).

How you go about selecting the sample (i.e., your sampling strategy) will have a major impact on your study.  There are many different sampling methods  you can choose from, but the two overarching categories are probability   sampling and  non-probability   sampling .

Probability sampling  involves using a completely random sample from the group of people you’re interested in. This is comparable to throwing the names all potential participants into a hat, shaking it up, and picking out the “winners”. By using a completely random sample, you’ll minimise the risk of selection bias and the results of your study will be more generalisable  to the entire population. 

Non-probability sampling , on the other hand,  doesn’t use a random sample . For example, it might involve using a convenience sample, which means you’d only interview or survey people that you have access to (perhaps your friends, family or work colleagues), rather than a truly random sample. With non-probability sampling, the results are typically not generalisable .

To learn more about sampling methods, be sure to check out the video below.

What are data collection methods?

As the name suggests, data collection methods simply refers to the way in which you go about collecting the data for your study. Some of the most common data collection methods include:

• Interviews (which can be unstructured, semi-structured or structured)
• Focus groups and group interviews
• Surveys (online or physical surveys)
• Observations (watching and recording activities)
• Biophysical measurements (e.g., blood pressure, heart rate, etc.)
• Documents and records (e.g., financial reports, court records, etc.)

The choice of which data collection method to use depends on your overall research aims and research questions , as well as practicalities and resource constraints. For example, if your research is exploratory in nature, qualitative methods such as interviews and focus groups would likely be a good fit. Conversely, if your research aims to measure specific variables or test hypotheses, large-scale surveys that produce large volumes of numerical data would likely be a better fit.

What are data analysis methods?

Data analysis methods refer to the methods and techniques that you’ll use to make sense of your data. These can be grouped according to whether the research is qualitative  (words-based) or quantitative (numbers-based).

Popular data analysis methods in qualitative research include:

• Qualitative content analysis
• Thematic analysis
• Discourse analysis
• Narrative analysis
• Interpretative phenomenological analysis (IPA)
• Visual analysis (of photographs, videos, art, etc.)

Qualitative data analysis all begins with data coding , after which an analysis method is applied. In some cases, more than one analysis method is used, depending on the research aims and research questions . In the video below, we explore some  common qualitative analysis methods, along with practical examples.  

Moving on to the quantitative side of things, popular data analysis methods in this type of research include:

• Descriptive statistics (e.g. means, medians, modes )
• Inferential statistics (e.g. correlation, regression, structural equation modelling)

Again, the choice of which data collection method to use depends on your overall research aims and objectives , as well as practicalities and resource constraints. In the video below, we explain some core concepts central to quantitative analysis.

How do I choose a research methodology?

As you’ve probably picked up by now, your research aims and objectives have a major influence on the research methodology . So, the starting point for developing your research methodology is to take a step back and look at the big picture of your research, before you make methodology decisions. The first question you need to ask yourself is whether your research is exploratory or confirmatory in nature.

If your research aims and objectives are primarily exploratory in nature, your research will likely be qualitative and therefore you might consider qualitative data collection methods (e.g. interviews) and analysis methods (e.g. qualitative content analysis). 

Conversely, if your research aims and objective are looking to measure or test something (i.e. they’re confirmatory), then your research will quite likely be quantitative in nature, and you might consider quantitative data collection methods (e.g. surveys) and analyses (e.g. statistical analysis).

Designing your research and working out your methodology is a large topic, which we cover extensively on the blog . For now, however, the key takeaway is that you should always start with your research aims, objectives and research questions (the golden thread). Every methodological choice you make needs align with those three components. 

Example of a research methodology chapter

In the video below, we provide a detailed walkthrough of a research methodology from an actual dissertation, as well as an overview of our free methodology template .

Psst... there’s more!

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

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199 Comments

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I am writing a APA Format paper . I using questionnaire with 120 STDs teacher for my participant. Can you write me mthology for this research. Send it through email sent. Just need a sample as an example please. My topic is ” impacts of overcrowding on students learning

Thanks for your comment.

We can’t write your methodology for you. If you’re looking for samples, you should be able to find some sample methodologies on Google. Alternatively, you can download some previous dissertations from a dissertation directory and have a look at the methodology chapters therein.

All the best with your research.

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Thanks for the kind words, Edward. Good luck with your research!

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Great to hear that, Ngwisa. Good luck with your research methodology!

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Sure. You’re welcome to book an initial consultation with one of our Research Coaches to discuss how we can assist – https://gradcoach.com/book/new/ .

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how do i reference this?

MLA Jansen, Derek, and Kerryn Warren. “What (Exactly) Is Research Methodology?” Grad Coach, June 2021, gradcoach.com/what-is-research-methodology/.

APA Jansen, D., & Warren, K. (2021, June). What (Exactly) Is Research Methodology? Grad Coach. https://gradcoach.com/what-is-research-methodology/

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Research Paper Examples

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Psychology Research Paper Examples

These examples delve into the study of the mind and behavior, covering a broad range of topics in clinical, cognitive, developmental, and social psychology.

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Sociology Research Paper Examples

The sociology research paper examples examine societal structures, relationships, and processes. These papers provide insights into social phenomena, inequality, and change.

• Family Research Paper
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Technology Research Paper Examples

Our technology research paper examples address the impact of technological advancements on society, exploring issues related to digital communication, cybersecurity, and innovation.

• Computer Forensics Research Paper
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Other Research Paper Examples

• Abortion Research Paper
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Each category of research paper examples provided by iResearchNet serves as a valuable resource for students and researchers seeking to deepen their understanding of a specific field. By offering a comprehensive collection of well-researched and thoughtfully written papers, iResearchNet aims to support academic growth and encourage scholarly inquiry across diverse disciplines.

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A research paper is an academic piece of writing, so you need to follow all the requirements and standards. Otherwise, it will be impossible to get the high results. To make it easier for you, we have analyzed the structure and peculiarities of a sample research paper on the topic ‘Child Abuse’.

The paper includes 7300+ words, a detailed outline, citations are in APA formatting style, and bibliography with 28 sources.

To write any paper you need to write a great outline. This is the key to a perfect paper. When you organize your paper, it is easier for you to present the ideas logically, without jumping from one thought to another.

In the outline, you need to name all the parts of your paper. That is to say, an introduction, main body, conclusion, bibliography, some papers require abstract and proposal as well.

A good outline will serve as a guide through your paper making it easier for the reader to follow your ideas.

I. Introduction

Ii. estimates of child abuse: methodological limitations, iii. child abuse and neglect: the legalities, iv. corporal punishment versus child abuse, v. child abuse victims: the patterns, vi. child abuse perpetrators: the patterns, vii. explanations for child abuse, viii. consequences of child abuse and neglect, ix. determining abuse: how to tell whether a child is abused or neglected, x. determining abuse: interviewing children, xi. how can society help abused children and abusive families, introduction.

An introduction should include a thesis statement and the main points that you will discuss in the paper.

A thesis statement is one sentence in which you need to show your point of view. You will then develop this point of view through the whole piece of work:

‘The impact of child abuse affects more than one’s childhood, as the psychological and physical injuries often extend well into adulthood.’

Child abuse is a very real and prominent social problem today. The impact of child abuse affects more than one’s childhood, as the psychological and physical injuries often extend well into adulthood. Most children are defenseless against abuse, are dependent on their caretakers, and are unable to protect themselves from these acts.

Childhood serves as the basis for growth, development, and socialization. Throughout adolescence, children are taught how to become productive and positive, functioning members of society. Much of the socializing of children, particularly in their very earliest years, comes at the hands of family members. Unfortunately, the messages conveyed to and the actions against children by their families are not always the positive building blocks for which one would hope.

In 2008, the Children’s Defense Fund reported that each day in America, 2,421 children are confirmed as abused or neglected, 4 children are killed by abuse or neglect, and 78 babies die before their first birthday. These daily estimates translate into tremendous national figures. In 2006, caseworkers substantiated an estimated 905,000 reports of child abuse or neglect. Of these, 64% suffered neglect, 16% were physically abused, 9% were sexually abused, 7% were emotionally or psychologically maltreated, and 2% were medically neglected. In addition, 15% of the victims experienced “other” types of maltreatment such as abandonment, threats of harm to the child, and congenital drug addiction (National Child Abuse and Neglect Data System, 2006). Obviously, this problem is a substantial one.

In the main body, you dwell upon the topic of your paper. You provide your ideas and support them with evidence. The evidence include all the data and material you have found, analyzed and systematized. You can support your point of view with different statistical data, with surveys, and the results of different experiments. Your task is to show that your idea is right, and make the reader interested in the topic.

In this example, a writer analyzes the issue of child abuse: different statistical data, controversies regarding the topic, examples of the problem and the consequences.

Several issues arise when considering the amount of child abuse that occurs annually in the United States. Child abuse is very hard to estimate because much (or most) of it is not reported. Children who are abused are unlikely to report their victimization because they may not know any better, they still love their abusers and do not want to see them taken away (or do not themselves want to be taken away from their abusers), they have been threatened into not reporting, or they do not know to whom they should report their victimizations. Still further, children may report their abuse only to find the person to whom they report does not believe them or take any action on their behalf. Continuing to muddy the waters, child abuse can be disguised as legitimate injury, particularly because young children are often somewhat uncoordinated and are still learning to accomplish physical tasks, may not know their physical limitations, and are often legitimately injured during regular play. In the end, children rarely report child abuse; most often it is an adult who makes a report based on suspicion (e.g., teacher, counselor, doctor, etc.).

Even when child abuse is reported, social service agents and investigators may not follow up or substantiate reports for a variety of reasons. Parents can pretend, lie, or cover up injuries or stories of how injuries occurred when social service agents come to investigate. Further, there is not always agreement about what should be counted as abuse by service providers and researchers. In addition, social service agencies/agents have huge caseloads and may only be able to deal with the most serious forms of child abuse, leaving the more “minor” forms of abuse unsupervised and unmanaged (and uncounted in the statistical totals).

While most laws about child abuse and neglect fall at the state levels, federal legislation provides a foundation for states by identifying a minimum set of acts and behaviors that define child abuse and neglect. The Federal Child Abuse Prevention and Treatment Act (CAPTA), which stems from the Keeping Children and Families Safe Act of 2003, defines child abuse and neglect as, at minimum, “(1) any recent act or failure to act on the part of a parent or caretaker which results in death, serious physical or emotional harm, sexual abuse, or exploitation; or (2) an act or failure to act which presents an imminent risk or serious harm.”

Using these minimum standards, each state is responsible for providing its own definition of maltreatment within civil and criminal statutes. When defining types of child abuse, many states incorporate similar elements and definitions into their legal statutes. For example, neglect is often defined as failure to provide for a child’s basic needs. Neglect can encompass physical elements (e.g., failure to provide necessary food or shelter, or lack of appropriate supervision), medical elements (e.g., failure to provide necessary medical or mental health treatment), educational elements (e.g., failure to educate a child or attend to special educational needs), and emotional elements (e.g., inattention to a child’s emotional needs, failure to provide psychological care, or permitting the child to use alcohol or other drugs). Failure to meet needs does not always mean a child is neglected, as situations such as poverty, cultural values, and community standards can influence the application of legal statutes. In addition, several states distinguish between failure to provide based on financial inability and failure to provide for no apparent financial reason.

Statutes on physical abuse typically include elements of physical injury (ranging from minor bruises to severe fractures or death) as a result of punching, beating, kicking, biting, shaking, throwing, stabbing, choking, hitting (with a hand, stick, strap, or other object), burning, or otherwise harming a child. Such injury is considered abuse regardless of the intention of the caretaker. In addition, many state statutes include allowing or encouraging another person to physically harm a child (such as noted above) as another form of physical abuse in and of itself. Sexual abuse usually includes activities by a parent or caretaker such as fondling a child’s genitals, penetration, incest, rape, sodomy, indecent exposure, and exploitation through prostitution or the production of pornographic materials.

Finally, emotional or psychological abuse typically is defined as a pattern of behavior that impairs a child’s emotional development or sense of self-worth. This may include constant criticism, threats, or rejection, as well as withholding love, support, or guidance. Emotional abuse is often the most difficult to prove and, therefore, child protective services may not be able to intervene without evidence of harm to the child. Some states suggest that harm may be evidenced by an observable or substantial change in behavior, emotional response, or cognition, or by anxiety, depression, withdrawal, or aggressive behavior. At a practical level, emotional abuse is almost always present when other types of abuse are identified.

Some states include an element of substance abuse in their statutes on child abuse. Circumstances that can be considered substance abuse include (a) the manufacture of a controlled substance in the presence of a child or on the premises occupied by a child (Colorado, Indiana, Iowa, Montana, South Dakota, Tennessee, and Virginia); (b) allowing a child to be present where the chemicals or equipment for the manufacture of controlled substances are used (Arizona, New Mexico); (c) selling, distributing, or giving drugs or alcohol to a child (Florida, Hawaii, Illinois, Minnesota, and Texas); (d) use of a controlled substance by a caregiver that impairs the caregiver’s ability to adequately care for the child (Kentucky, New York, Rhode Island, and Texas); and (e) exposure of the child to drug paraphernalia (North Dakota), the criminal sale or distribution of drugs (Montana, Virginia), or drug-related activity (District of Columbia).

One of the most difficult issues with which the U.S. legal system must contend is that of allowing parents the right to use corporal punishment when disciplining a child, while not letting them cross over the line into the realm of child abuse. Some parents may abuse their children under the guise of discipline, and many instances of child abuse arise from angry parents who go too far when disciplining their children with physical punishment. Generally, state statutes use terms such as “reasonable discipline of a minor,” “causes only temporary, short-term pain,” and may cause “the potential for bruising” but not “permanent damage, disability, disfigurement or injury” to the child as ways of indicating the types of discipline behaviors that are legal. However, corporal punishment that is “excessive,” “malicious,” “endangers the bodily safety of,” or is “an intentional infliction of injury” is not allowed under most state statutes (e.g., state of Florida child abuse statute).

Most research finds that the use of physical punishment (most often spanking) is not an effective method of discipline. The literature on this issue tends to find that spanking stops misbehavior, but no more effectively than other firm measures. Further, it seems to hinder rather than improve general compliance/obedience (particularly when the child is not in the presence of the punisher). Researchers have also explained why physical punishment is not any more effective at gaining child compliance than nonviolent forms of discipline. Some of the problems that arise when parents use spanking or other forms of physical punishment include the fact that spanking does not teach what children should do, nor does it provide them with alternative behavior options should the circumstance arise again. Spanking also undermines reasoning, explanation, or other forms of parental instruction because children cannot learn, reason, or problem solve well while experiencing threat, pain, fear, or anger. Further, the use of physical punishment is inconsistent with nonviolent principles, or parental modeling. In addition, the use of spanking chips away at the bonds of affection between parents and children, and tends to induce resentment and fear. Finally, it hinders the development of empathy and compassion in children, and they do not learn to take responsibility for their own behavior (Pitzer, 1997).

One of the biggest problems with the use of corporal punishment is that it can escalate into much more severe forms of violence. Usually, parents spank because they are angry (and somewhat out of control) and they can’t think of other ways to discipline. When parents are acting as a result of emotional triggers, the notion of discipline is lost while punishment and pain become the foci.

In 2006, of the children who were found to be victims of child abuse, nearly 75% of them were first-time victims (or had not come to the attention of authorities prior). A slight majority of child abuse victims were girls—51.5%, compared to 48% of abuse victims being boys. The younger the child, the more at risk he or she is for child abuse and neglect victimization. Specifically, the rate for infants (birth to 1 year old) was approximately 24 per 1,000 children of the same age group. The victimization rate for children 1–3 years old was 14 per 1,000 children of the same age group. The abuse rate for children aged 4– 7 years old declined further to 13 per 1,000 children of the same age group. African American, American Indian, and Alaska Native children, as well as children of multiple races, had the highest rates of victimization. White and Latino children had lower rates, and Asian children had the lowest rates of child abuse and neglect victimization. Regarding living arrangements, nearly 27% of victims were living with a single mother, 20% were living with married parents, while 22% were living with both parents but the marital status was unknown. (This reporting element had nearly 40% missing data, however.) Regarding disability, nearly 8% of child abuse victims had some degree of mental retardation, emotional disturbance, visual or hearing impairment, learning disability, physical disability, behavioral problems, or other medical problems. Unfortunately, data indicate that for many victims, the efforts of the child protection services system were not successful in preventing subsequent victimization. Children who had been prior victims of maltreatment were 96% more likely to experience another occurrence than those who were not prior victims. Further, child victims who were reported to have a disability were 52% more likely to experience recurrence than children without a disability. Finally, the oldest victims (16–21 years of age) were the least likely to experience a recurrence, and were 51% less likely to be victimized again than were infants (younger than age 1) (National Child Abuse and Neglect Data System, 2006).

Child fatalities are the most tragic consequence of maltreatment. Yet, each year, children die from abuse and neglect. In 2006, an estimated 1,530 children in the United States died due to abuse or neglect. The overall rate of child fatalities was 2 deaths per 100,000 children. More than 40% of child fatalities were attributed to neglect, but physical abuse also was a major contributor. Approximately 78% of the children who died due to child abuse and neglect were younger than 4 years old, and infant boys (younger than 1) had the highest rate of fatalities at 18.5 deaths per 100,000 boys of the same age in the national population. Infant girls had a rate of 14.7 deaths per 100,000 girls of the same age (National Child Abuse and Neglect Data System, 2006).

One question to be addressed regarding child fatalities is why infants have such a high rate of death when compared to toddlers and adolescents. Children under 1 year old pose an immense amount of responsibility for their caretakers: they are completely dependent and need constant attention. Children this age are needy, impulsive, and not amenable to verbal control or effective communication. This can easily overwhelm vulnerable parents. Another difficulty associated with infants is that they are physically weak and small. Injuries to infants can be fatal, while similar injuries to older children might not be. The most common cause of death in children less than 1 year is cerebral trauma (often the result of shaken-baby syndrome). Exasperated parents can deliver shakes or blows without realizing how little it takes to cause irreparable or fatal damage to an infant. Research informs us that two of the most common triggers for fatal child abuse are crying that will not cease and toileting accidents. Both of these circumstances are common in infants and toddlers whose only means of communication often is crying, and who are limited in mobility and cannot use the toilet. Finally, very young children cannot assist in injury diagnoses. Children who have been injured due to abuse or neglect often cannot communicate to medical professionals about where it hurts, how it hurts, and so forth. Also, nonfatal injuries can turn fatal in the absence of care by neglectful parents or parents who do not want medical professionals to possibly identify an injury as being the result of abuse.

Estimates reveal that nearly 80% of perpetrators of child abuse were parents of the victim. Other relatives accounted for nearly 7%, and unmarried partners of parents made up 4% of perpetrators. Of those perpetrators that were parents, over 90% were biological parents, 4% were stepparents, and 0.7% were adoptive parents. Of this group, approximately 58% of perpetrators were women and 42% were men. Women perpetrators are typically younger than men. The average age for women abusers was 31 years old, while for men the average was 34 years old. Forty percent of women who abused were younger than 30 years of age, compared with 33% of men being under 30. The racial distribution of perpetrators is similar to that of victims. Fifty-four percent were white, 21% were African American, and 20% were Hispanic/Latino (National Child Abuse and Neglect Data System, 2006).

There are many factors that are associated with child abuse. Some of the more common/well-accepted explanations are individual pathology, parent–child interaction, past abuse in the family (or social learning), situational factors, and cultural support for physical punishment along with a lack of cultural support for helping parents here in the United States.

The first explanation centers on the individual pathology of a parent or caretaker who is abusive. This theory focuses on the idea that people who abuse their children have something wrong with their individual personality or biological makeup. Such psychological pathologies may include having anger control problems; being depressed or having post-partum depression; having a low tolerance for frustration (e.g., children can be extremely frustrating: they don’t always listen; they constantly push the line of how far they can go; and once the line has been established, they are constantly treading on it to make sure it hasn’t moved. They are dependent and self-centered, so caretakers have very little privacy or time to themselves); being rigid (e.g., having no tolerance for differences—for example, what if your son wanted to play with dolls? A rigid father would not let him, laugh at him for wanting to, punish him when he does, etc.); having deficits in empathy (parents who cannot put themselves in the shoes of their children cannot fully understand what their children need emotionally); or being disorganized, inefficient, and ineffectual. (Parents who are unable to manage their own lives are unlikely to be successful at managing the lives of their children, and since many children want and need limits, these parents are unable to set them or adhere to them.)

Biological pathologies that may increase the likelihood of someone becoming a child abuser include having substance abuse or dependence problems, or having persistent or reoccurring physical health problems (especially health problems that can be extremely painful and can cause a person to become more self-absorbed, both qualities that can give rise to a lack of patience, lower frustration tolerance, and increased stress).

The second explanation for child abuse centers on the interaction between the parent and the child, noting that certain types of parents are more likely to abuse, and certain types of children are more likely to be abused, and when these less-skilled parents are coupled with these more difficult children, child abuse is the most likely to occur. Discussion here focuses on what makes a parent less skilled, and what makes a child more difficult. Characteristics of unskilled parents are likely to include such traits as only pointing out what children do wrong and never giving any encouragement for good behavior, and failing to be sensitive to the emotional needs of children. Less skilled parents tend to have unrealistic expectations of children. They may engage in role reversal— where the parents make the child take care of them—and view the parent’s happiness and well-being as the responsibility of the child. Some parents view the parental role as extremely stressful and experience little enjoyment from being a parent. Finally, less-skilled parents tend to have more negative perceptions regarding their child(ren). For example, perhaps the child has a different shade of skin than they expected and this may disappoint or anger them, they may feel the child is being manipulative (long before children have this capability), or they may view the child as the scapegoat for all the parents’ or family’s problems. Theoretically, parents with these characteristics would be more likely to abuse their children, but if they are coupled with having a difficult child, they would be especially likely to be abusive. So, what makes a child more difficult? Certainly, through no fault of their own, children may have characteristics that are associated with child care that is more demanding and difficult than in the “normal” or “average” situation. Such characteristics can include having physical and mental disabilities (autism, attention deficit hyperactivity disorder [ADHD], hyperactivity, etc.); the child may be colicky, frequently sick, be particularly needy, or cry more often. In addition, some babies are simply unhappier than other babies for reasons that cannot be known. Further, infants are difficult even in the best of circumstances. They are unable to communicate effectively, and they are completely dependent on their caretakers for everything, including eating, diaper changing, moving around, entertainment, and emotional bonding. Again, these types of children, being more difficult, are more likely to be victims of child abuse.

Nonetheless, each of these types of parents and children alone cannot explain the abuse of children, but it is the interaction between them that becomes the key. Unskilled parents may produce children that are happy and not as needy, and even though they are unskilled, they do not abuse because the child takes less effort. At the same time, children who are more difficult may have parents who are skilled and are able to handle and manage the extra effort these children take with aplomb. However, risks for child abuse increase when unskilled parents must contend with difficult children.

Social learning or past abuse in the family is a third common explanation for child abuse. Here, the theory concentrates not only on what children learn when they see or experience violence in their homes, but additionally on what they do not learn as a result of these experiences. Social learning theory in the context of family violence stresses that if children are abused or see abuse (toward siblings or a parent), those interactions and violent family members become the representations and role models for their future familial interactions. In this way, what children learn is just as important as what they do not learn. Children who witness or experience violence may learn that this is the way parents deal with children, or that violence is an acceptable method of child rearing and discipline. They may think when they become parents that “violence worked on me when I was a child, and I turned out fine.” They may learn unhealthy relationship interaction patterns; children may witness the negative interactions of parents and they may learn the maladaptive or violent methods of expressing anger, reacting to stress, or coping with conflict.

What is equally as important, though, is that they are unlikely to learn more acceptable and nonviolent ways of rearing children, interacting with family members, and working out conflict. Here it may happen that an adult who was abused as a child would like to be nonviolent toward his or her own children, but when the chips are down and the child is misbehaving, this abused-child-turned-adult does not have a repertoire of nonviolent strategies to try. This parent is more likely to fall back on what he or she knows as methods of discipline.

Something important to note here is that not all abused children grow up to become abusive adults. Children who break the cycle were often able to establish and maintain one healthy emotional relationship with someone during their childhoods (or period of young adulthood). For instance, they may have received emotional support from a nonabusing parent, or they received social support and had a positive relationship with another adult during their childhood (e.g., teacher, coach, minister, neighbor, etc.). Abused children who participate in therapy during some period of their lives can often break the cycle of violence. In addition, adults who were abused but are able to form an emotionally supportive and satisfying relationship with a mate can make the transition to being nonviolent in their family interactions.

Moving on to a fourth familiar explanation for child abuse, there are some common situational factors that influence families and parents and increase the risks for child abuse. Typically, these are factors that increase family stress or social isolation. Specifically, such factors may include receiving public assistance or having low socioeconomic status (a combination of low income and low education). Other factors include having family members who are unemployed, underemployed (working in a job that requires lower qualifications than an individual possesses), or employed only part time. These financial difficulties cause great stress for families in meeting the needs of the individual members. Other stress-inducing familial characteristics are single-parent households and larger family size. Finally, social isolation can be devastating for families and family members. Having friends to talk to, who can be relied upon, and with whom kids can be dropped off occasionally is tremendously important for personal growth and satisfaction in life. In addition, social isolation and stress can cause individuals to be quick to lose their tempers, as well as cause people to be less rational in their decision making and to make mountains out of mole hills. These situations can lead families to be at greater risk for child abuse.

Finally, cultural views and supports (or lack thereof) can lead to greater amounts of child abuse in a society such as the United States. One such cultural view is that of societal support for physical punishment. This is problematic because there are similarities between the way criminals are dealt with and the way errant children are handled. The use of capital punishment is advocated for seriously violent criminals, and people are quick to use such idioms as “spare the rod and spoil the child” when it comes to the discipline or punishment of children. In fact, it was not until quite recently that parenting books began to encourage parents to use other strategies than spanking or other forms of corporal punishment in the discipline of their children. Only recently, the American Academy of Pediatrics has come out and recommended that parents do not spank or use other forms of violence on their children because of the deleterious effects such methods have on youngsters and their bonds with their parents. Nevertheless, regardless of recommendations, the culture of corporal punishment persists.

Another cultural view in the United States that can give rise to greater incidents of child abuse is the belief that after getting married, couples of course should want and have children. Culturally, Americans consider that children are a blessing, raising kids is the most wonderful thing a person can do, and everyone should have children. Along with this notion is the idea that motherhood is always wonderful; it is the most fulfilling thing a woman can do; and the bond between a mother and her child is strong, glorious, and automatic—all women love being mothers. Thus, culturally (and theoretically), society nearly insists that married couples have children and that they will love having children. But, after children are born, there is not much support for couples who have trouble adjusting to parenthood, or who do not absolutely love their new roles as parents. People look askance at parents who need help, and cannot believe parents who say anything negative about parenthood. As such, theoretically, society has set up a situation where couples are strongly encouraged to have kids, are told they will love kids, but then society turns a blind or disdainful eye when these same parents need emotional, financial, or other forms of help or support. It is these types of cultural viewpoints that increase the risks for child abuse in society.

The consequences of child abuse are tremendous and long lasting. Research has shown that the traumatic experience of childhood abuse is life changing. These costs may surface during adolescence, or they may not become evident until abused children have grown up and become abusing parents or abused spouses. Early identification and treatment is important to minimize these potential long-term effects. Whenever children say they have been abused, it is imperative that they be taken seriously and their abuse be reported. Suspicions of child abuse must be reported as well. If there is a possibility that a child is or has been abused, an investigation must be conducted.

Children who have been abused may exhibit traits such as the inability to love or have faith in others. This often translates into adults who are unable to establish lasting and stable personal relationships. These individuals have trouble with physical closeness and touching as well as emotional intimacy and trust. Further, these qualities tend to cause a fear of entering into new relationships, as well as the sabotaging of any current ones.

Psychologically, children who have been abused tend to have poor self-images or are passive, withdrawn, or clingy. They may be angry individuals who are filled with rage, anxiety, and a variety of fears. They are often aggressive, disruptive, and depressed. Many abused children have flashbacks and nightmares about the abuse they have experienced, and this may cause sleep problems as well as drug and alcohol problems. Posttraumatic stress disorder (PTSD) and antisocial personality disorder are both typical among maltreated children. Research has also shown that most abused children fail to reach “successful psychosocial functioning,” and are thus not resilient and do not resume a “normal life” after the abuse has ended.

Socially (and likely because of these psychological injuries), abused children have trouble in school, will have difficulty getting and remaining employed, and may commit a variety of illegal or socially inappropriate behaviors. Many studies have shown that victims of child abuse are likely to participate in high-risk behaviors such as alcohol or drug abuse, the use of tobacco, and high-risk sexual behaviors (e.g., unprotected sex, large numbers of sexual partners). Later in life, abused children are more likely to have been arrested and homeless. They are also less able to defend themselves in conflict situations and guard themselves against repeated victimizations.

Medically, abused children likely will experience health problems due to the high frequency of physical injuries they receive. In addition, abused children experience a great deal of emotional turmoil and stress, which can also have a significant impact on their physical condition. These health problems are likely to continue occurring into adulthood. Some of these longer-lasting health problems include headaches; eating problems; problems with toileting; and chronic pain in the back, stomach, chest, and genital areas. Some researchers have noted that abused children may experience neurological impairment and problems with intellectual functioning, while others have found a correlation between abuse and heart, lung, and liver disease, as well as cancer (Thomas, 2004).

Victims of sexual abuse show an alarming number of disturbances as adults. Some dislike and avoid sex, or experience sexual problems or disorders, while other victims appear to enjoy sexual activities that are self-defeating or maladaptive—normally called “dysfunctional sexual behavior”—and have many sexual partners.

Abused children also experience a wide variety of developmental delays. Many do not reach physical, cognitive, or emotional developmental milestones at the typical time, and some never accomplish what they are supposed to during childhood socialization. In the next section, these developmental delays are discussed as a means of identifying children who may be abused.

There are two primary ways of identifying children who are abused: spotting and evaluating physical injuries, and detecting and appraising developmental delays. Distinguishing physical injuries due to abuse can be difficult, particularly among younger children who are likely to get hurt or receive injuries while they are playing and learning to become ambulatory. Nonetheless, there are several types of wounds that children are unlikely to give themselves during their normal course of play and exploration. These less likely injuries may signal instances of child abuse.

While it is true that children are likely to get bruises, particularly when they are learning to walk or crawl, bruises on infants are not normal. Also, the back of the legs, upper arms, or on the chest, neck, head, or genitals are also locations where bruises are unlikely to occur during normal childhood activity. Further, bruises with clean patterns, like hand prints, buckle prints, or hangers (to name a few), are good examples of the types of bruises children do not give themselves.

Another area of physical injury where the source of the injury can be difficult to detect is fractures. Again, children fall out of trees, or crash their bikes, and can break limbs. These can be normal parts of growing up. However, fractures in infants less than 12 months old are particularly suspect, as infants are unlikely to be able to accomplish the types of movement necessary to actually break a leg or an arm. Further, multiple fractures, particularly more than one on a bone, should be examined more closely. Spiral or torsion fractures (when the bone is broken by twisting) are suspect because when children break their bones due to play injuries, the fractures are usually some other type (e.g., linear, oblique, compacted). In addition, when parents don’t know about the fracture(s) or how it occurred, abuse should be considered, because when children get these types of injuries, they need comfort and attention.

Head and internal injuries are also those that may signal abuse. Serious blows to the head cause internal head injuries, and this is very different from the injuries that result from bumping into things. Abused children are also likely to experience internal injuries like those to the abdomen, liver, kidney, and bladder. They may suffer a ruptured spleen, or intestinal perforation. These types of damages rarely happen by accident.

Burns are another type of physical injury that can happen by accident or by abuse. Nevertheless, there are ways to tell these types of burn injuries apart. The types of burns that should be examined and investigated are those where the burns are in particular locations. Burns to the bottom of the feet, genitals, abdomen, or other inaccessible spots should be closely considered. Burns of the whole hand or those to the buttocks are also unlikely to happen as a result of an accident.

Turning to the detection and appraisal of developmental delays, one can more readily assess possible abuse by considering what children of various ages should be able to accomplish, than by noting when children are delayed and how many milestones on which they are behind schedule. Importantly, a few delays in reaching milestones can be expected, since children develop individually and not always according to the norm. Nonetheless, when children are abused, their development is likely to be delayed in numerous areas and across many milestones.

As children develop and grow, they should be able to crawl, walk, run, talk, control going to the bathroom, write, set priorities, plan ahead, trust others, make friends, develop a good self-image, differentiate between feeling and behavior, and get their needs met in appropriate ways. As such, when children do not accomplish these feats, their circumstances should be examined.

Infants who are abused or neglected typically develop what is termed failure to thrive syndrome. This syndrome is characterized by slow, inadequate growth, or not “filling out” physically. They have a pale, colorless complexion and dull eyes. They are not likely to spend much time looking around, and nothing catches their eyes. They may show other signs of lack of nutrition such as cuts, bruises that do not heal in a timely way, and discolored fingernails. They are also not trusting and may not cry much, as they are not expecting to have their needs met. Older infants may not have developed any language skills, or these developments are quite slow. This includes both verbal and nonverbal means of communication.

Toddlers who are abused often become hypervigilant about their environments and others’ moods. They are more outwardly focused than a typical toddler (who is quite self-centered) and may be unable to separate themselves as individuals, or consider themselves as distinct beings. In this way, abused toddlers cannot focus on tasks at hand because they are too concerned about others’ reactions. They don’t play with toys, have no interest in exploration, and seem unable to enjoy life. They are likely to accept losses with little reaction, and may have age-inappropriate knowledge of sex and sexual relations. Finally, toddlers, whether they are abused or not, begin to mirror their parents’ behaviors. Thus, toddlers who are abused may mimic the abuse when they are playing with dolls or “playing house.”

Developmental delays can also be detected among abused young adolescents. Some signs include the failure to learn cause and effect, since their parents are so inconsistent. They have no energy for learning and have not developed beyond one- or two-word commands. They probably cannot follow complicated directions (such as two to three tasks per instruction), and they are unlikely to be able to think for themselves. Typically, they have learned that failure is totally unacceptable, but they are more concerned with the teacher’s mood than with learning and listening to instruction. Finally, they are apt to have been inadequately toilet trained and thus may be unable to control their bladders.

Older adolescents, because they are likely to have been abused for a longer period of time, continue to get further and further behind in their developmental achievements. Abused children this age become family nurturers. They take care of their parents and cater to their parents’ needs, rather than the other way around. In addition, they probably take care of any younger siblings and do the household chores. Because of these default responsibilities, they usually do not participate in school activities; they frequently miss days at school; and they have few, if any, friends. Because they have become so hypervigilant and have increasingly delayed development, they lose interest in and become disillusioned with education. They develop low self-esteem and little confidence, but seem old for their years. Children this age who are abused are still likely to be unable to control their bladders and may have frequent toileting accidents.

Other developmental delays can occur and be observed in abused and neglected children of any age. For example, malnutrition and withdrawal can be noticed in infants through teenagers. Maltreated children frequently have persistent or untreated illnesses, and these can become permanent disabilities if medical conditions go untreated for a long enough time. Another example can be the consequences of neurological damage. Beyond being a medical issue, this type of damage can cause problems with social behavior and impulse control, which, again, can be discerned in various ages of children.

Once child abuse is suspected, law enforcement officers, child protection workers, or various other practitioners may need to interview the child about the abuse or neglect he or she may have suffered. Interviewing children can be extremely difficult because children at various stages of development can remember only certain parts or aspects of the events in their lives. Also, interviewers must be careful that they do not put ideas or answers into the heads of the children they are interviewing. There are several general recommendations when interviewing children about the abuse they may have experienced. First, interviewers must acknowledge that even when children are abused, they likely still love their parents. They do not want to be taken away from their parents, nor do they want to see their parents get into trouble. Interviewers must not blame the parents or be judgmental about them or the child’s family. Beyond that, interviews should take place in a safe, neutral location. Interviewers can use dolls and role-play to help children express the types of abuse of which they may be victims.

Finally, interviewers must ask age-appropriate questions. For example, 3-year-olds can probably only answer questions about what happened and who was involved. Four- to five-year-olds can also discuss where the incidents occurred. Along with what, who, and where, 6- to 8-year-olds can talk about the element of time, or when the abuse occurred. Nine- to 10-year-olds are able to add commentary about the number of times the abuse occurred. Finally, 11-year-olds and older children can additionally inform interviewers about the circumstances of abusive instances.

A conclusion is not a summary of what a writer has already mentioned. On the contrary, it is the last point made. Taking every detail of the investigation, the researcher makes the concluding point. In this part of a paper, you need to put a full stop in your research. You need to persuade the reader in your opinion.

Never add any new information in the conclusion. You can present solutions to the problem and you dwell upon the results, but only if this information has been already mentioned in the main body.

Child advocates recommend a variety of strategies to aid families and children experiencing abuse. These recommendations tend to focus on societal efforts as well as more individual efforts. One common strategy advocated is the use of public service announcements that encourage individuals to report any suspected child abuse. Currently, many mandatory reporters (those required by law to report abuse such as teachers, doctors, and social service agency employees) and members of communities feel that child abuse should not be reported unless there is substantial evidence that abuse is indeed occurring. Child advocates stress that this notion should be changed, and that people should report child abuse even if it is only suspected. Public service announcements should stress that if people report suspected child abuse, the worst that can happen is that they might be wrong, but in the grander scheme of things that is really not so bad.

Child advocates also stress that greater interagency cooperation is needed. This cooperation should be evident between women’s shelters, child protection agencies, programs for at-risk children, medical agencies, and law enforcement officers. These agencies typically do not share information, and if they did, more instances of child abuse would come to the attention of various authorities and could be investigated and managed. Along these lines, child protection agencies and programs should receive more funding. When budgets are cut, social services are often the first things to go or to get less financial support. Child advocates insist that with more resources, child protection agencies could hire more workers, handle more cases, conduct more investigations, and follow up with more children and families.

Continuing, more educational efforts must be initiated about issues such as punishment and discipline styles and strategies; having greater respect for children; as well as informing the community about what child abuse is, and how to recognize it. In addition, Americans must alter the cultural orientation about child bearing and child rearing. Couples who wish to remain child-free must be allowed to do so without disdain. And, it must be acknowledged that raising children is very difficult, is not always gloriously wonderful, and that parents who seek help should be lauded and not criticized. These kinds of efforts can help more children to be raised in nonviolent, emotionally satisfying families, and thus become better adults.

Bibliography

When you write a paper, make sure you are aware of all the formatting requirements. Incorrect formatting can lower your mark, so do not underestimate the importance of this part.

Organizing your bibliography is quite a tedious and time-consuming task. Still, you need to do it flawlessly. For this reason, analyze all the standards you need to meet or ask professionals to help you with it. All the comas, colons, brackets etc. matter. They truly do.

Bibliography:

• American Academy of Pediatrics: https://www.aap.org/
• Bancroft, L., & Silverman, J. G. (2002). The batterer as parent. Thousand Oaks, CA: Sage.
• Child Abuse Prevention and Treatment Act, 42 U.S.C.A. § 5106g (1998).
• Childhelp: Child Abuse Statistics: https://www.childhelp.org/child-abuse-statistics/
• Children’s Defense Fund: https://www.childrensdefense.org/
• Child Stats.gov: https://www.childstats.gov/
• Child Welfare League of America: https://www.cwla.org/
• Crosson-Tower, C. (2008). Understanding child abuse and neglect (7th ed.). Boston: Allyn & Bacon.
• DeBecker, G. (1999). Protecting the gift: Keeping children and teenagers safe (and parents sane). New York: Bantam Dell.
• Family Research Laboratory at the University of New Hampshire: https://cola.unh.edu/family-research-laboratory
• Guterman, N. B. (2001). Stopping child maltreatment before it starts: Emerging horizons in early home visitation services. Thousand Oaks, CA: Sage.
• Herman, J. L. (2000). Father-daughter incest. Cambridge, MA: Harvard University Press.
• Medline Plus, Child Abuse: https://medlineplus.gov/childabuse.html
• Myers, J. E. B. (Ed.). (1994). The backlash: Child protection under fire. Newbury Park, CA: Sage.
• National Center for Missing and Exploited Children: https://www.missingkids.org/home
• National Child Abuse and Neglect Data System. (2006). Child maltreatment 2006: Reports from the states to the National Child Abuse and Neglect Data System. Washington, DC: U.S. Department of Health and Human Services, Administration for Children and Families.
• New York University Silver School of Social Work: https://socialwork.nyu.edu/
• Pitzer, R. L. (1997). Corporal punishment in the discipline of children in the home: Research update for practitioners. Paper presented at the National Council on Family Relations Annual Conference, Washington, DC.
• RAND, Child Abuse and Neglect: https://www.rand.org/topics/child-abuse-and-neglect.html
• Richards, C. E. (2001). The loss of innocents: Child killers and their victims. Wilmington, DE: Scholarly Resources.
• Straus, M. A. (2001). Beating the devil out of them: Corporal punishment in American families and its effects on children. Edison, NJ: Transaction.
• Thomas, P. M. (2004). Protection, dissociation, and internal roles: Modeling and treating the effects of child abuse. Review of General Psychology, 7(15).
• U.S. Department of Health and Human Services, Administration for Children and Families: https://www.acf.hhs.gov/

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How to Write a Research Question: Types and Examples 

The first step in any research project is framing the research question. It can be considered the core of any systematic investigation as the research outcomes are tied to asking the right questions. Thus, this primary interrogation point sets the pace for your research as it helps collect relevant and insightful information that ultimately influences your work.   

Typically, the research question guides the stages of inquiry, analysis, and reporting. Depending on the use of quantifiable or quantitative data, research questions are broadly categorized into quantitative or qualitative research questions. Both types of research questions can be used independently or together, considering the overall focus and objectives of your research.  

What is a research question?

A research question is a clear, focused, concise, and arguable question on which your research and writing are centered. 1 It states various aspects of the study, including the population and variables to be studied and the problem the study addresses. These questions also set the boundaries of the study, ensuring cohesion. 

Designing the research question is a dynamic process where the researcher can change or refine the research question as they review related literature and develop a framework for the study. Depending on the scale of your research, the study can include single or multiple research questions. 

A good research question has the following features: 

• It is relevant to the chosen field of study. 
• The question posed is arguable and open for debate, requiring synthesizing and analysis of ideas. 
• It is focused and concisely framed. 
• A feasible solution is possible within the given practical constraint and timeframe. 

A poorly formulated research question poses several risks. 1   

• Researchers can adopt an erroneous design. 
• It can create confusion and hinder the thought process, including developing a clear protocol.  
• It can jeopardize publication efforts.  
• It causes difficulty in determining the relevance of the study findings.  
• It causes difficulty in whether the study fulfils the inclusion criteria for systematic review and meta-analysis. This creates challenges in determining whether additional studies or data collection is needed to answer the question.  
• Readers may fail to understand the objective of the study. This reduces the likelihood of the study being cited by others. 

Now that you know “What is a research question?”, let’s look at the different types of research questions. 

Types of research questions

Depending on the type of research to be done, research questions can be classified broadly into quantitative, qualitative, or mixed-methods studies. Knowing the type of research helps determine the best type of research question that reflects the direction and epistemological underpinnings of your research. 

The structure and wording of quantitative 2 and qualitative research 3 questions differ significantly. The quantitative study looks at causal relationships, whereas the qualitative study aims at exploring a phenomenon. 

• Quantitative research questions:  
• Seeks to investigate social, familial, or educational experiences or processes in a particular context and/or location.  
• Answers ‘how,’ ‘what,’ or ‘why’ questions. 
• Investigates connections, relations, or comparisons between independent and dependent variables. 

Quantitative research questions can be further categorized into descriptive, comparative, and relationship, as explained in the Table below. 

• Qualitative research questions  

Qualitative research questions are adaptable, non-directional, and more flexible. It concerns broad areas of research or more specific areas of study to discover, explain, or explore a phenomenon. These are further classified as follows: 

• Mixed-methods studies  

Mixed-methods studies use both quantitative and qualitative research questions to answer your research question. Mixed methods provide a complete picture than standalone quantitative or qualitative research, as it integrates the benefits of both methods. Mixed methods research is often used in multidisciplinary settings and complex situational or societal research, especially in the behavioral, health, and social science fields. 

What makes a good research question

A good research question should be clear and focused to guide your research. It should synthesize multiple sources to present your unique argument, and should ideally be something that you are interested in. But avoid questions that can be answered in a few factual statements. The following are the main attributes of a good research question. 

• Specific: The research question should not be a fishing expedition performed in the hopes that some new information will be found that will benefit the researcher. The central research question should work with your research problem to keep your work focused. If using multiple questions, they should all tie back to the central aim. 
• Measurable: The research question must be answerable using quantitative and/or qualitative data or from scholarly sources to develop your research question. If such data is impossible to access, it is better to rethink your question. 
• Attainable: Ensure you have enough time and resources to do all research required to answer your question. If it seems you will not be able to gain access to the data you need, consider narrowing down your question to be more specific. 
• You have the expertise 
• You have the equipment and resources 
• Realistic: Developing your research question should be based on initial reading about your topic. It should focus on addressing a problem or gap in the existing knowledge in your field or discipline. 
• Based on some sort of rational physics 
• Can be done in a reasonable time frame 
• Timely: The research question should contribute to an existing and current debate in your field or in society at large. It should produce knowledge that future researchers or practitioners can later build on. 
• Novel 
• Based on current technologies. 
• Important to answer current problems or concerns. 
• Lead to new directions. 
• Important: Your question should have some aspect of originality. Incremental research is as important as exploring disruptive technologies. For example, you can focus on a specific location or explore a new angle. 
• Meaningful whether the answer is “Yes” or “No.” Closed-ended, yes/no questions are too simple to work as good research questions. Such questions do not provide enough scope for robust investigation and discussion. A good research question requires original data, synthesis of multiple sources, and original interpretation and argumentation before providing an answer. 

Steps for developing a good research question

The importance of research questions cannot be understated. When drafting a research question, use the following frameworks to guide the components of your question to ease the process. 4  

• Determine the requirements: Before constructing a good research question, set your research requirements. What is the purpose? Is it descriptive, comparative, or explorative research? Determining the research aim will help you choose the most appropriate topic and word your question appropriately. 
• Select a broad research topic: Identify a broader subject area of interest that requires investigation. Techniques such as brainstorming or concept mapping can help identify relevant connections and themes within a broad research topic. For example, how to learn and help students learn. 
• Perform preliminary investigation: Preliminary research is needed to obtain up-to-date and relevant knowledge on your topic. It also helps identify issues currently being discussed from which information gaps can be identified. 
• Narrow your focus: Narrow the scope and focus of your research to a specific niche. This involves focusing on gaps in existing knowledge or recent literature or extending or complementing the findings of existing literature. Another approach involves constructing strong research questions that challenge your views or knowledge of the area of study (Example: Is learning consistent with the existing learning theory and research). 
• Identify the research problem: Once the research question has been framed, one should evaluate it. This is to realize the importance of the research questions and if there is a need for more revising (Example: How do your beliefs on learning theory and research impact your instructional practices). 

How to write a research question

Those struggling to understand how to write a research question, these simple steps can help you simplify the process of writing a research question. 

Sample Research Questions

The following are some bad and good research question examples 

• Example 1 
• Example 2 

References:  

• Thabane, L., Thomas, T., Ye, C., & Paul, J. (2009). Posing the research question: not so simple.  Canadian Journal of Anesthesia/Journal canadien d’anesthésie ,  56 (1), 71-79. 
• Rutberg, S., & Bouikidis, C. D. (2018). Focusing on the fundamentals: A simplistic differentiation between qualitative and quantitative research.  Nephrology Nursing Journal ,  45 (2), 209-213. 
• Kyngäs, H. (2020). Qualitative research and content analysis.  The application of content analysis in nursing science research , 3-11. 
• Mattick, K., Johnston, J., & de la Croix, A. (2018). How to… write a good research question.  The clinical teacher ,  15 (2), 104-108. 
• Fandino, W. (2019). Formulating a good research question: Pearls and pitfalls.  Indian Journal of Anaesthesia ,  63 (8), 611. 
• Richardson, W. S., Wilson, M. C., Nishikawa, J., & Hayward, R. S. (1995). The well-built clinical question: a key to evidence-based decisions.  ACP journal club ,  123 (3), A12-A13 

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Research Methods

Chapter 2 introduction.

Maybe you have already gained some experience in doing research, for example in your bachelor studies, or as part of your work.

The challenge in conducting academic research at masters level, is that it is multi-faceted.

The types of activities are:

• Finding and reviewing literature on your research topic;
• Designing a research project that will answer your research questions;
• Collecting relevant data from one or more sources;
• Analyzing the data, statistically or otherwise, and
• Writing up and presenting your findings.

Some researchers are strong on some parts but weak on others.

We do not require perfection. But we do require high quality.

Going through all stages of the research project, with the guidance of your supervisor, is a learning process.

The journey is hard at times, but in the end your thesis is considered an academic publication, and we want you to be proud of what you have achieved!

Probably the biggest challenge is, where to begin?

• What will be your topic?
• And once you have selected a topic, what are the questions that you want to answer, and how?

In the first chapter of the book, you will find several views on the nature and scope of business research.

Since a study in business administration derives its relevance from its application to real-life situations, an MBA typically falls in the grey area between applied research and basic research.

The focus of applied research is on finding solutions to problems, and on improving (y)our understanding of existing theories of management.

Applied research that makes use of existing theories, often leads to amendments or refinements of these theories. That is, the applied research feeds back to basic research.

In the early stages of your research, you will feel like you are running around in circles.

You start with an idea for a research topic. Then, after reading literature on the topic, you will revise or refine your idea. And start reading again with a clearer focus ...

A thesis research/project typically consists of two main stages.

The first stage is the research proposal .

Once the research proposal has been approved, you can start with the data collection, analysis and write-up (including conclusions and recommendations).

Stage 1, the research proposal consists of he first three chapters of the commonly used five-chapter structure :

• Chapter 1: Introduction
• An introduction to the topic.
• The research questions that you want to answer (and/or hypotheses that you want to test).
• A note on why the research is of academic and/or professional relevance.
• Chapter 2: Literature
• A review of relevant literature on the topic.
• Chapter 3: Methodology

The methodology is at the core of your research. Here, you define how you are going to do the research. What data will be collected, and how?

Your data should allow you to answer your research questions. In the research proposal, you will also provide answers to the questions when and how much . Is it feasible to conduct the research within the given time-frame (say, 3-6 months for a typical master thesis)? And do you have the resources to collect and analyze the data?

In stage 2 you collect and analyze the data, and write the conclusions.

• Chapter 4: Data Analysis and Findings
• Chapter 5: Summary, Conclusions and Recommendations

This video gives a nice overview of the elements of writing a thesis.

Chapter 2. Research Design

Getting started.

When I teach undergraduates qualitative research methods, the final product of the course is a “research proposal” that incorporates all they have learned and enlists the knowledge they have learned about qualitative research methods in an original design that addresses a particular research question. I highly recommend you think about designing your own research study as you progress through this textbook. Even if you don’t have a study in mind yet, it can be a helpful exercise as you progress through the course. But how to start? How can one design a research study before they even know what research looks like? This chapter will serve as a brief overview of the research design process to orient you to what will be coming in later chapters. Think of it as a “skeleton” of what you will read in more detail in later chapters. Ideally, you will read this chapter both now (in sequence) and later during your reading of the remainder of the text. Do not worry if you have questions the first time you read this chapter. Many things will become clearer as the text advances and as you gain a deeper understanding of all the components of good qualitative research. This is just a preliminary map to get you on the right road.

Research Design Steps

Before you even get started, you will need to have a broad topic of interest in mind. [1] . In my experience, students can confuse this broad topic with the actual research question, so it is important to clearly distinguish the two. And the place to start is the broad topic. It might be, as was the case with me, working-class college students. But what about working-class college students? What’s it like to be one? Why are there so few compared to others? How do colleges assist (or fail to assist) them? What interested me was something I could barely articulate at first and went something like this: “Why was it so difficult and lonely to be me?” And by extension, “Did others share this experience?”

Once you have a general topic, reflect on why this is important to you. Sometimes we connect with a topic and we don’t really know why. Even if you are not willing to share the real underlying reason you are interested in a topic, it is important that you know the deeper reasons that motivate you. Otherwise, it is quite possible that at some point during the research, you will find yourself turned around facing the wrong direction. I have seen it happen many times. The reason is that the research question is not the same thing as the general topic of interest, and if you don’t know the reasons for your interest, you are likely to design a study answering a research question that is beside the point—to you, at least. And this means you will be much less motivated to carry your research to completion.

Researcher Note

Why do you employ qualitative research methods in your area of study? What are the advantages of qualitative research methods for studying mentorship?

Qualitative research methods are a huge opportunity to increase access, equity, inclusion, and social justice. Qualitative research allows us to engage and examine the uniquenesses/nuances within minoritized and dominant identities and our experiences with these identities. Qualitative research allows us to explore a specific topic, and through that exploration, we can link history to experiences and look for patterns or offer up a unique phenomenon. There’s such beauty in being able to tell a particular story, and qualitative research is a great mode for that! For our work, we examined the relationships we typically use the term mentorship for but didn’t feel that was quite the right word. Qualitative research allowed us to pick apart what we did and how we engaged in our relationships, which then allowed us to more accurately describe what was unique about our mentorship relationships, which we ultimately named liberationships ( McAloney and Long 2021) . Qualitative research gave us the means to explore, process, and name our experiences; what a powerful tool!

How do you come up with ideas for what to study (and how to study it)? Where did you get the idea for studying mentorship?

Coming up with ideas for research, for me, is kind of like Googling a question I have, not finding enough information, and then deciding to dig a little deeper to get the answer. The idea to study mentorship actually came up in conversation with my mentorship triad. We were talking in one of our meetings about our relationship—kind of meta, huh? We discussed how we felt that mentorship was not quite the right term for the relationships we had built. One of us asked what was different about our relationships and mentorship. This all happened when I was taking an ethnography course. During the next session of class, we were discussing auto- and duoethnography, and it hit me—let’s explore our version of mentorship, which we later went on to name liberationships ( McAloney and Long 2021 ). The idea and questions came out of being curious and wanting to find an answer. As I continue to research, I see opportunities in questions I have about my work or during conversations that, in our search for answers, end up exposing gaps in the literature. If I can’t find the answer already out there, I can study it.

—Kim McAloney, PhD, College Student Services Administration Ecampus coordinator and instructor

When you have a better idea of why you are interested in what it is that interests you, you may be surprised to learn that the obvious approaches to the topic are not the only ones. For example, let’s say you think you are interested in preserving coastal wildlife. And as a social scientist, you are interested in policies and practices that affect the long-term viability of coastal wildlife, especially around fishing communities. It would be natural then to consider designing a research study around fishing communities and how they manage their ecosystems. But when you really think about it, you realize that what interests you the most is how people whose livelihoods depend on a particular resource act in ways that deplete that resource. Or, even deeper, you contemplate the puzzle, “How do people justify actions that damage their surroundings?” Now, there are many ways to design a study that gets at that broader question, and not all of them are about fishing communities, although that is certainly one way to go. Maybe you could design an interview-based study that includes and compares loggers, fishers, and desert golfers (those who golf in arid lands that require a great deal of wasteful irrigation). Or design a case study around one particular example where resources were completely used up by a community. Without knowing what it is you are really interested in, what motivates your interest in a surface phenomenon, you are unlikely to come up with the appropriate research design.

These first stages of research design are often the most difficult, but have patience . Taking the time to consider why you are going to go through a lot of trouble to get answers will prevent a lot of wasted energy in the future.

There are distinct reasons for pursuing particular research questions, and it is helpful to distinguish between them.  First, you may be personally motivated.  This is probably the most important and the most often overlooked.   What is it about the social world that sparks your curiosity? What bothers you? What answers do you need in order to keep living? For me, I knew I needed to get a handle on what higher education was for before I kept going at it. I needed to understand why I felt so different from my peers and whether this whole “higher education” thing was “for the likes of me” before I could complete my degree. That is the personal motivation question. Your personal motivation might also be political in nature, in that you want to change the world in a particular way. It’s all right to acknowledge this. In fact, it is better to acknowledge it than to hide it.

There are also academic and professional motivations for a particular study.  If you are an absolute beginner, these may be difficult to find. We’ll talk more about this when we discuss reviewing the literature. Simply put, you are probably not the only person in the world to have thought about this question or issue and those related to it. So how does your interest area fit into what others have studied? Perhaps there is a good study out there of fishing communities, but no one has quite asked the “justification” question. You are motivated to address this to “fill the gap” in our collective knowledge. And maybe you are really not at all sure of what interests you, but you do know that [insert your topic] interests a lot of people, so you would like to work in this area too. You want to be involved in the academic conversation. That is a professional motivation and a very important one to articulate.

Practical and strategic motivations are a third kind. Perhaps you want to encourage people to take better care of the natural resources around them. If this is also part of your motivation, you will want to design your research project in a way that might have an impact on how people behave in the future. There are many ways to do this, one of which is using qualitative research methods rather than quantitative research methods, as the findings of qualitative research are often easier to communicate to a broader audience than the results of quantitative research. You might even be able to engage the community you are studying in the collecting and analyzing of data, something taboo in quantitative research but actively embraced and encouraged by qualitative researchers. But there are other practical reasons, such as getting “done” with your research in a certain amount of time or having access (or no access) to certain information. There is nothing wrong with considering constraints and opportunities when designing your study. Or maybe one of the practical or strategic goals is about learning competence in this area so that you can demonstrate the ability to conduct interviews and focus groups with future employers. Keeping that in mind will help shape your study and prevent you from getting sidetracked using a technique that you are less invested in learning about.

STOP HERE for a moment

I recommend you write a paragraph (at least) explaining your aims and goals. Include a sentence about each of the following: personal/political goals, practical or professional/academic goals, and practical/strategic goals. Think through how all of the goals are related and can be achieved by this particular research study . If they can’t, have a rethink. Perhaps this is not the best way to go about it.

You will also want to be clear about the purpose of your study. “Wait, didn’t we just do this?” you might ask. No! Your goals are not the same as the purpose of the study, although they are related. You can think about purpose lying on a continuum from “ theory ” to “action” (figure 2.1). Sometimes you are doing research to discover new knowledge about the world, while other times you are doing a study because you want to measure an impact or make a difference in the world.

Basic research involves research that is done for the sake of “pure” knowledge—that is, knowledge that, at least at this moment in time, may not have any apparent use or application. Often, and this is very important, knowledge of this kind is later found to be extremely helpful in solving problems. So one way of thinking about basic research is that it is knowledge for which no use is yet known but will probably one day prove to be extremely useful. If you are doing basic research, you do not need to argue its usefulness, as the whole point is that we just don’t know yet what this might be.

Researchers engaged in basic research want to understand how the world operates. They are interested in investigating a phenomenon to get at the nature of reality with regard to that phenomenon. The basic researcher’s purpose is to understand and explain ( Patton 2002:215 ).

Basic research is interested in generating and testing hypotheses about how the world works. Grounded Theory is one approach to qualitative research methods that exemplifies basic research (see chapter 4). Most academic journal articles publish basic research findings. If you are working in academia (e.g., writing your dissertation), the default expectation is that you are conducting basic research.

Applied research in the social sciences is research that addresses human and social problems. Unlike basic research, the researcher has expectations that the research will help contribute to resolving a problem, if only by identifying its contours, history, or context. From my experience, most students have this as their baseline assumption about research. Why do a study if not to make things better? But this is a common mistake. Students and their committee members are often working with default assumptions here—the former thinking about applied research as their purpose, the latter thinking about basic research: “The purpose of applied research is to contribute knowledge that will help people to understand the nature of a problem in order to intervene, thereby allowing human beings to more effectively control their environment. While in basic research the source of questions is the tradition within a scholarly discipline, in applied research the source of questions is in the problems and concerns experienced by people and by policymakers” ( Patton 2002:217 ).

Applied research is less geared toward theory in two ways. First, its questions do not derive from previous literature. For this reason, applied research studies have much more limited literature reviews than those found in basic research (although they make up for this by having much more “background” about the problem). Second, it does not generate theory in the same way as basic research does. The findings of an applied research project may not be generalizable beyond the boundaries of this particular problem or context. The findings are more limited. They are useful now but may be less useful later. This is why basic research remains the default “gold standard” of academic research.

Evaluation research is research that is designed to evaluate or test the effectiveness of specific solutions and programs addressing specific social problems. We already know the problems, and someone has already come up with solutions. There might be a program, say, for first-generation college students on your campus. Does this program work? Are first-generation students who participate in the program more likely to graduate than those who do not? These are the types of questions addressed by evaluation research. There are two types of research within this broader frame; however, one more action-oriented than the next. In summative evaluation , an overall judgment about the effectiveness of a program or policy is made. Should we continue our first-gen program? Is it a good model for other campuses? Because the purpose of such summative evaluation is to measure success and to determine whether this success is scalable (capable of being generalized beyond the specific case), quantitative data is more often used than qualitative data. In our example, we might have “outcomes” data for thousands of students, and we might run various tests to determine if the better outcomes of those in the program are statistically significant so that we can generalize the findings and recommend similar programs elsewhere. Qualitative data in the form of focus groups or interviews can then be used for illustrative purposes, providing more depth to the quantitative analyses. In contrast, formative evaluation attempts to improve a program or policy (to help “form” or shape its effectiveness). Formative evaluations rely more heavily on qualitative data—case studies, interviews, focus groups. The findings are meant not to generalize beyond the particular but to improve this program. If you are a student seeking to improve your qualitative research skills and you do not care about generating basic research, formative evaluation studies might be an attractive option for you to pursue, as there are always local programs that need evaluation and suggestions for improvement. Again, be very clear about your purpose when talking through your research proposal with your committee.

Action research takes a further step beyond evaluation, even formative evaluation, to being part of the solution itself. This is about as far from basic research as one could get and definitely falls beyond the scope of “science,” as conventionally defined. The distinction between action and research is blurry, the research methods are often in constant flux, and the only “findings” are specific to the problem or case at hand and often are findings about the process of intervention itself. Rather than evaluate a program as a whole, action research often seeks to change and improve some particular aspect that may not be working—maybe there is not enough diversity in an organization or maybe women’s voices are muted during meetings and the organization wonders why and would like to change this. In a further step, participatory action research , those women would become part of the research team, attempting to amplify their voices in the organization through participation in the action research. As action research employs methods that involve people in the process, focus groups are quite common.

If you are working on a thesis or dissertation, chances are your committee will expect you to be contributing to fundamental knowledge and theory ( basic research ). If your interests lie more toward the action end of the continuum, however, it is helpful to talk to your committee about this before you get started. Knowing your purpose in advance will help avoid misunderstandings during the later stages of the research process!

The Research Question

Once you have written your paragraph and clarified your purpose and truly know that this study is the best study for you to be doing right now , you are ready to write and refine your actual research question. Know that research questions are often moving targets in qualitative research, that they can be refined up to the very end of data collection and analysis. But you do have to have a working research question at all stages. This is your “anchor” when you get lost in the data. What are you addressing? What are you looking at and why? Your research question guides you through the thicket. It is common to have a whole host of questions about a phenomenon or case, both at the outset and throughout the study, but you should be able to pare it down to no more than two or three sentences when asked. These sentences should both clarify the intent of the research and explain why this is an important question to answer. More on refining your research question can be found in chapter 4.

Chances are, you will have already done some prior reading before coming up with your interest and your questions, but you may not have conducted a systematic literature review. This is the next crucial stage to be completed before venturing further. You don’t want to start collecting data and then realize that someone has already beaten you to the punch. A review of the literature that is already out there will let you know (1) if others have already done the study you are envisioning; (2) if others have done similar studies, which can help you out; and (3) what ideas or concepts are out there that can help you frame your study and make sense of your findings. More on literature reviews can be found in chapter 9.

In addition to reviewing the literature for similar studies to what you are proposing, it can be extremely helpful to find a study that inspires you. This may have absolutely nothing to do with the topic you are interested in but is written so beautifully or organized so interestingly or otherwise speaks to you in such a way that you want to post it somewhere to remind you of what you want to be doing. You might not understand this in the early stages—why would you find a study that has nothing to do with the one you are doing helpful? But trust me, when you are deep into analysis and writing, having an inspirational model in view can help you push through. If you are motivated to do something that might change the world, you probably have read something somewhere that inspired you. Go back to that original inspiration and read it carefully and see how they managed to convey the passion that you so appreciate.

At this stage, you are still just getting started. There are a lot of things to do before setting forth to collect data! You’ll want to consider and choose a research tradition and a set of data-collection techniques that both help you answer your research question and match all your aims and goals. For example, if you really want to help migrant workers speak for themselves, you might draw on feminist theory and participatory action research models. Chapters 3 and 4 will provide you with more information on epistemologies and approaches.

Next, you have to clarify your “units of analysis.” What is the level at which you are focusing your study? Often, the unit in qualitative research methods is individual people, or “human subjects.” But your units of analysis could just as well be organizations (colleges, hospitals) or programs or even whole nations. Think about what it is you want to be saying at the end of your study—are the insights you are hoping to make about people or about organizations or about something else entirely? A unit of analysis can even be a historical period! Every unit of analysis will call for a different kind of data collection and analysis and will produce different kinds of “findings” at the conclusion of your study. [2]

Regardless of what unit of analysis you select, you will probably have to consider the “human subjects” involved in your research. [3] Who are they? What interactions will you have with them—that is, what kind of data will you be collecting? Before answering these questions, define your population of interest and your research setting. Use your research question to help guide you.

Let’s use an example from a real study. In Geographies of Campus Inequality , Benson and Lee ( 2020 ) list three related research questions: “(1) What are the different ways that first-generation students organize their social, extracurricular, and academic activities at selective and highly selective colleges? (2) how do first-generation students sort themselves and get sorted into these different types of campus lives; and (3) how do these different patterns of campus engagement prepare first-generation students for their post-college lives?” (3).

Note that we are jumping into this a bit late, after Benson and Lee have described previous studies (the literature review) and what is known about first-generation college students and what is not known. They want to know about differences within this group, and they are interested in ones attending certain kinds of colleges because those colleges will be sites where academic and extracurricular pressures compete. That is the context for their three related research questions. What is the population of interest here? First-generation college students . What is the research setting? Selective and highly selective colleges . But a host of questions remain. Which students in the real world, which colleges? What about gender, race, and other identity markers? Will the students be asked questions? Are the students still in college, or will they be asked about what college was like for them? Will they be observed? Will they be shadowed? Will they be surveyed? Will they be asked to keep diaries of their time in college? How many students? How many colleges? For how long will they be observed?

Recommendation

Take a moment and write down suggestions for Benson and Lee before continuing on to what they actually did.

Have you written down your own suggestions? Good. Now let’s compare those with what they actually did. Benson and Lee drew on two sources of data: in-depth interviews with sixty-four first-generation students and survey data from a preexisting national survey of students at twenty-eight selective colleges. Let’s ignore the survey for our purposes here and focus on those interviews. The interviews were conducted between 2014 and 2016 at a single selective college, “Hilltop” (a pseudonym ). They employed a “purposive” sampling strategy to ensure an equal number of male-identifying and female-identifying students as well as equal numbers of White, Black, and Latinx students. Each student was interviewed once. Hilltop is a selective liberal arts college in the northeast that enrolls about three thousand students.

How did your suggestions match up to those actually used by the researchers in this study? It is possible your suggestions were too ambitious? Beginning qualitative researchers can often make that mistake. You want a research design that is both effective (it matches your question and goals) and doable. You will never be able to collect data from your entire population of interest (unless your research question is really so narrow to be relevant to very few people!), so you will need to come up with a good sample. Define the criteria for this sample, as Benson and Lee did when deciding to interview an equal number of students by gender and race categories. Define the criteria for your sample setting too. Hilltop is typical for selective colleges. That was a research choice made by Benson and Lee. For more on sampling and sampling choices, see chapter 5.

Benson and Lee chose to employ interviews. If you also would like to include interviews, you have to think about what will be asked in them. Most interview-based research involves an interview guide, a set of questions or question areas that will be asked of each participant. The research question helps you create a relevant interview guide. You want to ask questions whose answers will provide insight into your research question. Again, your research question is the anchor you will continually come back to as you plan for and conduct your study. It may be that once you begin interviewing, you find that people are telling you something totally unexpected, and this makes you rethink your research question. That is fine. Then you have a new anchor. But you always have an anchor. More on interviewing can be found in chapter 11.

Let’s imagine Benson and Lee also observed college students as they went about doing the things college students do, both in the classroom and in the clubs and social activities in which they participate. They would have needed a plan for this. Would they sit in on classes? Which ones and how many? Would they attend club meetings and sports events? Which ones and how many? Would they participate themselves? How would they record their observations? More on observation techniques can be found in both chapters 13 and 14.

At this point, the design is almost complete. You know why you are doing this study, you have a clear research question to guide you, you have identified your population of interest and research setting, and you have a reasonable sample of each. You also have put together a plan for data collection, which might include drafting an interview guide or making plans for observations. And so you know exactly what you will be doing for the next several months (or years!). To put the project into action, there are a few more things necessary before actually going into the field.

First, you will need to make sure you have any necessary supplies, including recording technology. These days, many researchers use their phones to record interviews. Second, you will need to draft a few documents for your participants. These include informed consent forms and recruiting materials, such as posters or email texts, that explain what this study is in clear language. Third, you will draft a research protocol to submit to your institutional review board (IRB) ; this research protocol will include the interview guide (if you are using one), the consent form template, and all examples of recruiting material. Depending on your institution and the details of your study design, it may take weeks or even, in some unfortunate cases, months before you secure IRB approval. Make sure you plan on this time in your project timeline. While you wait, you can continue to review the literature and possibly begin drafting a section on the literature review for your eventual presentation/publication. More on IRB procedures can be found in chapter 8 and more general ethical considerations in chapter 7.

Once you have approval, you can begin!

Research Design Checklist

Before data collection begins, do the following:

• Write a paragraph explaining your aims and goals (personal/political, practical/strategic, professional/academic).
• Define your research question; write two to three sentences that clarify the intent of the research and why this is an important question to answer.
• Review the literature for similar studies that address your research question or similar research questions; think laterally about some literature that might be helpful or illuminating but is not exactly about the same topic.
• Find a written study that inspires you—it may or may not be on the research question you have chosen.
• Consider and choose a research tradition and set of data-collection techniques that (1) help answer your research question and (2) match your aims and goals.
• Define your population of interest and your research setting.
• Define the criteria for your sample (How many? Why these? How will you find them, gain access, and acquire consent?).
• If you are conducting interviews, draft an interview guide.
•  If you are making observations, create a plan for observations (sites, times, recording, access).
• Acquire any necessary technology (recording devices/software).
• Draft consent forms that clearly identify the research focus and selection process.
• Create recruiting materials (posters, email, texts).
• Apply for IRB approval (proposal plus consent form plus recruiting materials).
• Block out time for collecting data.
• At the end of the chapter, you will find a " Research Design Checklist " that summarizes the main recommendations made here ↵
• For example, if your focus is society and culture , you might collect data through observation or a case study. If your focus is individual lived experience , you are probably going to be interviewing some people. And if your focus is language and communication , you will probably be analyzing text (written or visual). ( Marshall and Rossman 2016:16 ). ↵
• You may not have any "live" human subjects. There are qualitative research methods that do not require interactions with live human beings - see chapter 16 , "Archival and Historical Sources." But for the most part, you are probably reading this textbook because you are interested in doing research with people. The rest of the chapter will assume this is the case. ↵

One of the primary methodological traditions of inquiry in qualitative research, ethnography is the study of a group or group culture, largely through observational fieldwork supplemented by interviews. It is a form of fieldwork that may include participant-observation data collection. See chapter 14 for a discussion of deep ethnography. 

A methodological tradition of inquiry and research design that focuses on an individual case (e.g., setting, institution, or sometimes an individual) in order to explore its complexity, history, and interactive parts.  As an approach, it is particularly useful for obtaining a deep appreciation of an issue, event, or phenomenon of interest in its particular context.

The controlling force in research; can be understood as lying on a continuum from basic research (knowledge production) to action research (effecting change).

In its most basic sense, a theory is a story we tell about how the world works that can be tested with empirical evidence.  In qualitative research, we use the term in a variety of ways, many of which are different from how they are used by quantitative researchers.  Although some qualitative research can be described as “testing theory,” it is more common to “build theory” from the data using inductive reasoning , as done in Grounded Theory .  There are so-called “grand theories” that seek to integrate a whole series of findings and stories into an overarching paradigm about how the world works, and much smaller theories or concepts about particular processes and relationships.  Theory can even be used to explain particular methodological perspectives or approaches, as in Institutional Ethnography , which is both a way of doing research and a theory about how the world works.

Research that is interested in generating and testing hypotheses about how the world works.

A methodological tradition of inquiry and approach to analyzing qualitative data in which theories emerge from a rigorous and systematic process of induction.  This approach was pioneered by the sociologists Glaser and Strauss (1967).  The elements of theory generated from comparative analysis of data are, first, conceptual categories and their properties and, second, hypotheses or generalized relations among the categories and their properties – “The constant comparing of many groups draws the [researcher’s] attention to their many similarities and differences.  Considering these leads [the researcher] to generate abstract categories and their properties, which, since they emerge from the data, will clearly be important to a theory explaining the kind of behavior under observation.” (36).

An approach to research that is “multimethod in focus, involving an interpretative, naturalistic approach to its subject matter.  This means that qualitative researchers study things in their natural settings, attempting to make sense of, or interpret, phenomena in terms of the meanings people bring to them.  Qualitative research involves the studied use and collection of a variety of empirical materials – case study, personal experience, introspective, life story, interview, observational, historical, interactional, and visual texts – that describe routine and problematic moments and meanings in individuals’ lives." ( Denzin and Lincoln 2005:2 ). Contrast with quantitative research .

Research that contributes knowledge that will help people to understand the nature of a problem in order to intervene, thereby allowing human beings to more effectively control their environment.

Research that is designed to evaluate or test the effectiveness of specific solutions and programs addressing specific social problems.  There are two kinds: summative and formative .

Research in which an overall judgment about the effectiveness of a program or policy is made, often for the purpose of generalizing to other cases or programs.  Generally uses qualitative research as a supplement to primary quantitative data analyses.  Contrast formative evaluation research .

Research designed to improve a program or policy (to help “form” or shape its effectiveness); relies heavily on qualitative research methods.  Contrast summative evaluation research

Research carried out at a particular organizational or community site with the intention of affecting change; often involves research subjects as participants of the study.  See also participatory action research .

Research in which both researchers and participants work together to understand a problematic situation and change it for the better.

The level of the focus of analysis (e.g., individual people, organizations, programs, neighborhoods).

The large group of interest to the researcher.  Although it will likely be impossible to design a study that incorporates or reaches all members of the population of interest, this should be clearly defined at the outset of a study so that a reasonable sample of the population can be taken.  For example, if one is studying working-class college students, the sample may include twenty such students attending a particular college, while the population is “working-class college students.”  In quantitative research, clearly defining the general population of interest is a necessary step in generalizing results from a sample.  In qualitative research, defining the population is conceptually important for clarity.

A fictional name assigned to give anonymity to a person, group, or place.  Pseudonyms are important ways of protecting the identity of research participants while still providing a “human element” in the presentation of qualitative data.  There are ethical considerations to be made in selecting pseudonyms; some researchers allow research participants to choose their own.

A requirement for research involving human participants; the documentation of informed consent.  In some cases, oral consent or assent may be sufficient, but the default standard is a single-page easy-to-understand form that both the researcher and the participant sign and date.   Under federal guidelines, all researchers "shall seek such consent only under circumstances that provide the prospective subject or the representative sufficient opportunity to consider whether or not to participate and that minimize the possibility of coercion or undue influence. The information that is given to the subject or the representative shall be in language understandable to the subject or the representative.  No informed consent, whether oral or written, may include any exculpatory language through which the subject or the representative is made to waive or appear to waive any of the subject's rights or releases or appears to release the investigator, the sponsor, the institution, or its agents from liability for negligence" (21 CFR 50.20).  Your IRB office will be able to provide a template for use in your study .

An administrative body established to protect the rights and welfare of human research subjects recruited to participate in research activities conducted under the auspices of the institution with which it is affiliated. The IRB is charged with the responsibility of reviewing all research involving human participants. The IRB is concerned with protecting the welfare, rights, and privacy of human subjects. The IRB has the authority to approve, disapprove, monitor, and require modifications in all research activities that fall within its jurisdiction as specified by both the federal regulations and institutional policy.

Introduction to Qualitative Research Methods Copyright © 2023 by Allison Hurst is licensed under a Creative Commons Attribution-ShareAlike 4.0 International License , except where otherwise noted.

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Research Methods – Types, Examples and Guide

Table of Contents

Research Methods

Definition:

Research Methods refer to the techniques, procedures, and processes used by researchers to collect , analyze, and interpret data in order to answer research questions or test hypotheses. The methods used in research can vary depending on the research questions, the type of data that is being collected, and the research design.

Types of Research Methods

Types of Research Methods are as follows:

Qualitative research Method

Qualitative research methods are used to collect and analyze non-numerical data. This type of research is useful when the objective is to explore the meaning of phenomena, understand the experiences of individuals, or gain insights into complex social processes. Qualitative research methods include interviews, focus groups, ethnography, and content analysis.

Quantitative Research Method

Quantitative research methods are used to collect and analyze numerical data. This type of research is useful when the objective is to test a hypothesis, determine cause-and-effect relationships, and measure the prevalence of certain phenomena. Quantitative research methods include surveys, experiments, and secondary data analysis.

Mixed Method Research

Mixed Method Research refers to the combination of both qualitative and quantitative research methods in a single study. This approach aims to overcome the limitations of each individual method and to provide a more comprehensive understanding of the research topic. This approach allows researchers to gather both quantitative data, which is often used to test hypotheses and make generalizations about a population, and qualitative data, which provides a more in-depth understanding of the experiences and perspectives of individuals.

Key Differences Between Research Methods

The following Table shows the key differences between Quantitative, Qualitative and Mixed Research Methods

Examples of Research Methods

Examples of Research Methods are as follows:

Qualitative Research Example:

A researcher wants to study the experience of cancer patients during their treatment. They conduct in-depth interviews with patients to gather data on their emotional state, coping mechanisms, and support systems.

Quantitative Research Example:

A company wants to determine the effectiveness of a new advertisement campaign. They survey a large group of people, asking them to rate their awareness of the product and their likelihood of purchasing it.

Mixed Research Example:

A university wants to evaluate the effectiveness of a new teaching method in improving student performance. They collect both quantitative data (such as test scores) and qualitative data (such as feedback from students and teachers) to get a complete picture of the impact of the new method.

Applications of Research Methods

Research methods are used in various fields to investigate, analyze, and answer research questions. Here are some examples of how research methods are applied in different fields:

• Psychology : Research methods are widely used in psychology to study human behavior, emotions, and mental processes. For example, researchers may use experiments, surveys, and observational studies to understand how people behave in different situations, how they respond to different stimuli, and how their brains process information.
• Sociology : Sociologists use research methods to study social phenomena, such as social inequality, social change, and social relationships. Researchers may use surveys, interviews, and observational studies to collect data on social attitudes, beliefs, and behaviors.
• Medicine : Research methods are essential in medical research to study diseases, test new treatments, and evaluate their effectiveness. Researchers may use clinical trials, case studies, and laboratory experiments to collect data on the efficacy and safety of different medical treatments.
• Education : Research methods are used in education to understand how students learn, how teachers teach, and how educational policies affect student outcomes. Researchers may use surveys, experiments, and observational studies to collect data on student performance, teacher effectiveness, and educational programs.
• Business : Research methods are used in business to understand consumer behavior, market trends, and business strategies. Researchers may use surveys, focus groups, and observational studies to collect data on consumer preferences, market trends, and industry competition.
• Environmental science : Research methods are used in environmental science to study the natural world and its ecosystems. Researchers may use field studies, laboratory experiments, and observational studies to collect data on environmental factors, such as air and water quality, and the impact of human activities on the environment.
• Political science : Research methods are used in political science to study political systems, institutions, and behavior. Researchers may use surveys, experiments, and observational studies to collect data on political attitudes, voting behavior, and the impact of policies on society.

Purpose of Research Methods

Research methods serve several purposes, including:

• Identify research problems: Research methods are used to identify research problems or questions that need to be addressed through empirical investigation.
• Develop hypotheses: Research methods help researchers develop hypotheses, which are tentative explanations for the observed phenomenon or relationship.
• Collect data: Research methods enable researchers to collect data in a systematic and objective way, which is necessary to test hypotheses and draw meaningful conclusions.
• Analyze data: Research methods provide tools and techniques for analyzing data, such as statistical analysis, content analysis, and discourse analysis.
• Test hypotheses: Research methods allow researchers to test hypotheses by examining the relationships between variables in a systematic and controlled manner.
• Draw conclusions : Research methods facilitate the drawing of conclusions based on empirical evidence and help researchers make generalizations about a population based on their sample data.
• Enhance understanding: Research methods contribute to the development of knowledge and enhance our understanding of various phenomena and relationships, which can inform policy, practice, and theory.

When to Use Research Methods

Research methods are used when you need to gather information or data to answer a question or to gain insights into a particular phenomenon.

Here are some situations when research methods may be appropriate:

• To investigate a problem : Research methods can be used to investigate a problem or a research question in a particular field. This can help in identifying the root cause of the problem and developing solutions.
• To gather data: Research methods can be used to collect data on a particular subject. This can be done through surveys, interviews, observations, experiments, and more.
• To evaluate programs : Research methods can be used to evaluate the effectiveness of a program, intervention, or policy. This can help in determining whether the program is meeting its goals and objectives.
• To explore new areas : Research methods can be used to explore new areas of inquiry or to test new hypotheses. This can help in advancing knowledge in a particular field.
• To make informed decisions : Research methods can be used to gather information and data to support informed decision-making. This can be useful in various fields such as healthcare, business, and education.

Advantages of Research Methods

Research methods provide several advantages, including:

• Objectivity : Research methods enable researchers to gather data in a systematic and objective manner, minimizing personal biases and subjectivity. This leads to more reliable and valid results.
• Replicability : A key advantage of research methods is that they allow for replication of studies by other researchers. This helps to confirm the validity of the findings and ensures that the results are not specific to the particular research team.
• Generalizability : Research methods enable researchers to gather data from a representative sample of the population, allowing for generalizability of the findings to a larger population. This increases the external validity of the research.
• Precision : Research methods enable researchers to gather data using standardized procedures, ensuring that the data is accurate and precise. This allows researchers to make accurate predictions and draw meaningful conclusions.
• Efficiency : Research methods enable researchers to gather data efficiently, saving time and resources. This is especially important when studying large populations or complex phenomena.
• Innovation : Research methods enable researchers to develop new techniques and tools for data collection and analysis, leading to innovation and advancement in the field.

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Crafting a comprehensive research paper can be daunting. Understanding diverse citation styles and various subject areas presents a challenge for many.

Without clear examples, students often feel lost and overwhelmed, unsure of how to start or which style fits their subject.

Explore our collection of expertly written research paper examples. We’ve covered various citation styles and a diverse range of subjects.

So, read on!

• 1. Research Paper Example for Different Formats
• 2. Examples for Different Research Paper Parts
• 3. Research Paper Examples for Different Fields
• 4. Research Paper Example Outline

Research Paper Example for Different Formats

Following a specific formatting style is essential while writing a research paper . Knowing the conventions and guidelines for each format can help you in creating a perfect paper. Here we have gathered examples of research paper for most commonly applied citation styles :

Social Media and Social Media Marketing: A Literature Review

APA Research Paper Example

APA (American Psychological Association) style is commonly used in social sciences, psychology, and education. This format is recognized for its clear and concise writing, emphasis on proper citations, and orderly presentation of ideas.

Here are some research paper examples in APA style:

Research Paper Example APA 7th Edition

Research Paper Example MLA

MLA (Modern Language Association) style is frequently employed in humanities disciplines, including literature, languages, and cultural studies. An MLA research paper might explore literature analysis, linguistic studies, or historical research within the humanities. 

Here is an example:

Found Voices: Carl Sagan

Research Paper Example Chicago

Chicago style is utilized in various fields like history, arts, and social sciences. Research papers in Chicago style could delve into historical events, artistic analyses, or social science inquiries. 

Here is a research paper formatted in Chicago style:

Chicago Research Paper Sample

Research Paper Example Harvard

Harvard style is widely used in business, management, and some social sciences. Research papers in Harvard style might address business strategies, case studies, or social policies.

View this sample Harvard style paper here:

Harvard Research Paper Sample

Examples for Different Research Paper Parts

A research paper has different parts. Each part is important for the overall success of the paper. Chapters in a research paper must be written correctly, using a certain format and structure.

The following are examples of how different sections of the research paper can be written.

Research Proposal

The research proposal acts as a detailed plan or roadmap for your study, outlining the focus of your research and its significance. It's essential as it not only guides your research but also persuades others about the value of your study.

Example of Research Proposal

An abstract serves as a concise overview of your entire research paper. It provides a quick insight into the main elements of your study. It summarizes your research's purpose, methods, findings, and conclusions in a brief format.

Research Paper Example Abstract

Literature Review 

A literature review summarizes the existing research on your study's topic, showcasing what has already been explored. This section adds credibility to your own research by analyzing and summarizing prior studies related to your topic.

Literature Review Research Paper Example

Methodology

The methodology section functions as a detailed explanation of how you conducted your research. This part covers the tools, techniques, and steps used to collect and analyze data for your study.

Methods Section of Research Paper Example

How to Write the Methods Section of a Research Paper

The conclusion summarizes your findings, their significance and the impact of your research. This section outlines the key takeaways and the broader implications of your study's results.

Research Paper Conclusion Example

Research Paper Examples for Different Fields

Research papers can be about any subject that needs a detailed study. The following examples show research papers for different subjects.

History Research Paper Sample

Preparing a history research paper involves investigating and presenting information about past events. This may include exploring perspectives, analyzing sources, and constructing a narrative that explains the significance of historical events.

View this history research paper sample:

Many Faces of Generalissimo Fransisco Franco

Sociology Research Paper Sample

In sociology research, statistics and data are harnessed to explore societal issues within a particular region or group. These findings are thoroughly analyzed to gain an understanding of the structure and dynamics present within these communities. 

Here is a sample:

A Descriptive Statistical Analysis within the State of Virginia

Science Fair Research Paper Sample

A science research paper involves explaining a scientific experiment or project. It includes outlining the purpose, procedures, observations, and results of the experiment in a clear, logical manner.

Here are some examples:

Science Fair Paper Format

What Do I Need To Do For The Science Fair?

Psychology Research Paper Sample

Writing a psychology research paper involves studying human behavior and mental processes. This process includes conducting experiments, gathering data, and analyzing results to understand the human mind, emotions, and behavior.

Here is an example psychology paper:

The Effects of Food Deprivation on Concentration and Perseverance

Art History Research Paper Sample

Studying art history includes examining artworks, understanding their historical context, and learning about the artists. This helps analyze and interpret how art has evolved over various periods and regions.

Check out this sample paper analyzing European art and impacts:

European Art History: A Primer

Research Paper Example Outline

Before you plan on writing a well-researched paper, make a rough draft. An outline can be a great help when it comes to organizing vast amounts of research material for your paper.

Here is an outline of a research paper example:

Here is a downloadable sample of a standard research paper outline:

Research Paper Outline

Want to create the perfect outline for your paper? Check out this in-depth guide on creating a research paper outline for a structured paper!

Good Research Paper Examples for Students

Here are some more samples of research paper for students to learn from:

Fiscal Research Center - Action Plan

Qualitative Research Paper Example

Research Paper Example Introduction

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Now that you have explored the research paper examples, you can start working on your research project. Hopefully, these examples will help you understand the writing process for a research paper.

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Part 1. Overview Information

National Institutes of Health ( NIH )

National Heart, Lung, and Blood Institute ( NHLBI )

National Institute on Aging ( NIA )

National Institute on Alcohol Abuse and Alcoholism ( NIAAA )

National Institute of Allergy and Infectious Diseases ( NIAID )

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

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

National Institute on Deafness and Other Communication Disorders ( NIDCD )

National Institute of Dental and Craniofacial Research ( NIDCR )

National Institute on Drug Abuse ( NIDA )

National Institute of Environmental Health Sciences ( NIEHS )

National Institute of General Medical Sciences ( NIGMS )

National Institute of Mental Health ( NIMH )

National Institute of Nursing Research ( NINR )

National Center for Advancing Translational Sciences ( NCATS )

National Center of Complementary and Integrative Health ( NCCIH )

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

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

Office of Research on Women's Health ( ORWH )

UC2 High Impact Research and Research Infrastructure Cooperative Agreement Programs

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

See Section III. 3. Additional Information on Eligibility .

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

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

August 18, 2023

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

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

Not Applicable

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

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

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

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

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

Part 2. Full Text of Announcement

Section i. notice of funding opportunity description.

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

Background:

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

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

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

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

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

Program Objectives:

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

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

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

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

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

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

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

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

A. Institutional Needs-Assessment for research capacity

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

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

B. Development of Institutional Action Plans

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

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

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

Administrative topics may include -

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

Research topics may include-

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

Student and faculty topics may include-

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

Technical Assistance Webinar:

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

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

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

Section II. Award Information

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

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

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

Need help determining whether you are doing a clinical trial?

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

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

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

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

Section III. Eligibility Information

1. Eligible Applicants

Higher Education Institutions

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

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

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

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

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

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

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

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

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

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

Applicant Organizations

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

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

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

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

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

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

2. Cost Sharing

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

3. Additional Information on Eligibility

Number of Applications

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

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

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

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

Section IV. Application and Submission Information

1. Requesting an Application Package

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

2. Content and Form of Application Submission

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

Letter of Intent

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

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

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

The letter of intent should be sent to:

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

Page Limitations

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

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

SF424(R&R) Cover

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

SF424(R&R) Project/Performance Site Locations

SF424(R&R) Other Project Information

SF424(R&R) Senior/Key Person Profile

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

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

Funds may not be used for:

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

R&R Subaward Budget

PHS 398 Cover Page Supplement

PHS 398 Research Plan

Research Strategy:

Significance

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

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

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

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

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

C. Governance and structure of steering committees

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

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

Timeline and Milestones:

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

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

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

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

The two categories of research active RLIs are:

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

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

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

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

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

The following modifications also apply:

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

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

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

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

PHS Human Subjects and Clinical Trials Information

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

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

Study Record: PHS Human Subjects and Clinical Trials Information

Delayed Onset Study

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

PHS Assignment Request Form

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

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

4. Submission Dates and Times

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

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

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

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

5. Intergovernmental Review (E.O. 12372)

This initiative is not subject to intergovernmental review.

6. Funding Restrictions

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

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

7. Other Submission Requirements and Information

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

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

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

Important reminders:

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

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

See more tips for avoiding common errors.

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

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

Post Submission Materials

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

Section V. Application Review Information

1. Criteria

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

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

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

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

In addition, specific to this NOFO:

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Not applicable

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

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

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

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

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

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

2. Review and Selection Process

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

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

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

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

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

3. Anticipated Announcement and Award Dates

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

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

Section VI. Award Administration Information

1. Award Notices

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

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

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

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

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

2. Administrative and National Policy Requirements

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

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

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

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

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

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

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

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

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

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

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

The PDs/PIs will have the primary responsibility for:

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

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

The NIH Project Coordinator will :

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

• Interact with each recipient, help coordinate approaches, and contribute to the adjustment of projects/programs or approaches as warranted.
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• Facilitate, not direct, activities.
• Participate on the Steering Committee (see below) or in other functions to help guide the course of the program (e.g., Annual Program Meeting and other Program related meetings).
• Ensure that the directions taken are consistent with the NIH missions and goals.

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

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

Areas of joint responsibility

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

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

The SESC will:

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

Dispute Resolution:

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

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

3. Data Management and Sharing

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

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

4. Reporting

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

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

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

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

Section VII. Agency Contacts

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

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

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

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

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

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

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

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

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

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

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

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

Section VIII. Other Information

Recently issued trans-NIH policy notices may affect your application submission. A full list of policy notices published by NIH is provided in the NIH Guide for Grants and Contracts . All awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement .

Awards are made under the authorization of Sections 301 and 405 of the Public Health Service Act as amended (42 USC 241 and 284) and under Federal Regulations 42 CFR Part 52 and 45 CFR Part 75 and 2 CFR Part 200.

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8 facts about atheists

Atheists make up 4% of U.S. adults, according to our 2023 National Public Opinion Reference Survey . That compares with 3% who described themselves as atheists in 2014 and 2% who did so in 2007 .

Here are some key facts about atheists in the United States and around the world, based on several Pew Research Center surveys.

This analysis draws on several Pew Research Center studies. Data on the share of atheists in the United States is from the  2023 National Public Opinion Reference Survey , as well as the Center’s  2007  and  2014 Religious Landscape Studies .

Other data on U.S. atheists comes from various waves of the American Trends Panel, collected in  September and December 2017 ,  February 2019 ,  September 2022 , and  July and August 2023 .

For data from countries other than the U.S., this analysis draws on nationally representative surveys conducted in 2019, 2022 and 2023. Read more details about our  international survey methodology and country-specific sample designs .

For the purposes of this analysis, “wealthy nations” are those that were classified as “high income” according to the  World Bank Income Classifications .

In the U.S., atheists are mostly men and are relatively young,  according to a Center survey conducted in summer 2023 . Around six-in-ten U.S. atheists are men (64%). And seven-in-ten are ages 49 or younger, compared with about half of U.S. adults overall (52%).

Atheists also are more likely than the general public to be White (77% vs. 62%) and have a college degree (48% vs. 34%). Roughly eight-in-ten atheists identify with or lean toward the Democratic Party.

Almost all U.S. atheists (98%) say religion is not too or not at all important in their lives, according to the same summer 2023 survey. An identical share say that they seldom or never pray.

At the same time, 79% of American atheists say they feel a deep sense of wonder about the universe at least several times a year. And 36% feel a deep sense of spiritual peace and well-being at least that often.

U.S. atheists and religiously affiliated Americans find meaning in their lives in some of the same ways. In a 2017 survey , we asked an open-ended question about this. Like a majority of Americans, most atheists mentioned family as a source of meaning.

However, atheists (26%) were far more likely than Christians (10%) to describe their hobbies as meaningful or satisfying. Atheists were also more likely than Americans overall to describe finances and money, creative pursuits, travel, and leisure activities as meaningful. Very few atheists (4%) said they found life’s meaning in spirituality.

Atheists make up a larger share of the population in many Western European countries than in the U.S.,  according to a spring 2023 Center survey that included 10 European countries. For example, nearly a quarter of French adults (23%) identify as atheists, as do 18% of adults in Sweden, 17% in the Netherlands and 12% in the United Kingdom.

Most U.S. atheists express concerns about the role religion plays in society. An overwhelming majority of atheists (94%) say that the statement “religion causes division and intolerance” describes their views a great deal or a fair amount, according to our summer 2023 survey. And 91% say the same about the statement “religion encourages superstition and illogical thinking.” Nearly three-quarters (73%) say religion does more harm than good in American society.

At the same time, 41% of atheists say religion helps society by giving people meaning and purpose in their lives, and 33% say it encourages people to treat others well.

Atheists may not believe religious teachings, but they are  quite informed about religion . In our 2019 religious knowledge survey , atheists were among the best-performing groups. On average, they answered about 18 out of 32 fact-based questions correctly, while U.S. adults overall got roughly 14 questions right. In particular, atheists were twice as likely as Americans overall to know that the U.S. Constitution says no religious test is necessary to hold public office.

Atheists were also at least as knowledgeable as Christians on Christianity-related questions. For example, roughly eight-in-ten in both groups knew that Easter commemorates the resurrection of Jesus.

Most Americans don’t think believing in God is necessary to be a good person, according to the summer 2023 survey. When we asked people which statement came closer to their views, 73% selected “it is possible to be moral and have good values without believing in God,” while 25% picked “it is necessary to believe in God in order to be moral and have good values.”

Adults in some other wealthy countries tend to agree with this sentiment, based on responses to a similar question we asked in 2019 and 2022 . For example, nine-in-ten Swedish adults say belief in God is not necessary to be moral and have good values, while 85% in Australia, 80% in the Czech Republic and 77% in France say this.

However, fewer than one-in-ten adults in some other countries surveyed say that a person can be moral without believing in God. That includes 5% of adults in Kenya, 4% in the Philippines and 2% in Indonesia. In all three nations, more than nine-in-ten say instead that a person must believe in God to be a moral person.

About three-quarters of U.S. atheists (77%) do not believe in God or a higher power  or in a spiritual force of any kind, according to our summer 2023 survey. At the same time, 23% say they do believe in a higher power of some kind, though fewer than 1% of U.S. atheists say they believe in “God as described in the Bible.”

This shows that not all self-described atheists fit the literal definition of “atheist,” which is “a person who does not believe in the existence of a god or any gods,”  according to Merriam-Webster .

Note: This is an update of a post originally published on Nov. 5, 2015. It was last updated Dec. 6, 2019.

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• Open access
• Published: 19 April 2024

Asparagine reduces the risk of schizophrenia: a bidirectional two-sample mendelian randomization study of aspartate, asparagine and schizophrenia

• Huang-Hui Liu 1 , 2   na1 ,
• Yao Gao 1 , 2   na1 ,
• Dan Xu 1 , 2 ,
• Xin-Zhe Du 1 , 2 ,
• Si-Meng Wei 1 , 2 ,
• Jian-Zhen Hu 1 , 2 ,
• Yong Xu 1 , 2 &
• Liu Sha 1 , 2  

BMC Psychiatry volume  24 , Article number:  299 ( 2024 ) Cite this article

126 Accesses

Metrics details

Despite ongoing research, the underlying causes of schizophrenia remain unclear. Aspartate and asparagine, essential amino acids, have been linked to schizophrenia in recent studies, but their causal relationship is still unclear. This study used a bidirectional two-sample Mendelian randomization (MR) method to explore the causal relationship between aspartate and asparagine with schizophrenia.

This study employed summary data from genome-wide association studies (GWAS) conducted on European populations to examine the correlation between aspartate and asparagine with schizophrenia. In order to investigate the causal effects of aspartate and asparagine on schizophrenia, this study conducted a two-sample bidirectional MR analysis using genetic factors as instrumental variables.

No causal relationship was found between aspartate and schizophrenia, with an odds ratio (OR) of 1.221 (95%CI: 0.483–3.088, P -value = 0.674). Reverse MR analysis also indicated that no causal effects were found between schizophrenia and aspartate, with an OR of 0.999 (95%CI: 0.987–1.010, P -value = 0.841). There is a negative causal relationship between asparagine and schizophrenia, with an OR of 0.485 (95%CI: 0.262-0.900, P -value = 0.020). Reverse MR analysis indicates that there is no causal effect between schizophrenia and asparagine, with an OR of 1.005(95%CI: 0.999–1.011, P -value = 0.132).

This study suggests that there may be a potential risk reduction for schizophrenia with increased levels of asparagine, while also indicating the absence of a causal link between elevated or diminished levels of asparagine in individuals diagnosed with schizophrenia. There is no potential causal relationship between aspartate and schizophrenia, whether prospective or reverse MR. However, it is important to note that these associations necessitate additional research for further validation.

Peer Review reports

Introduction

Schizophrenia is a serious psychiatric illness that affects 0.5 -1% of the global population [ 1 ]. The burden of mental illness was estimated to account for 7% of all diseases worldwide in 2016, and nearly 20% of all years lived with disability [ 2 ]. The characteristics of schizophrenia are positive symptoms, negative symptoms, and cognitive symptoms, which are often severe functional impairments and significant social maladaptations for patients suffering from schizophrenia [ 3 ]. It is still unclear what causes schizophrenia and what the pathogenesis is. There are a number of hypotheses based on neurochemical mechanisms, including dopaminergic and glutamatergic systems [ 4 ]. Although schizophrenia research has made significant advances in the past, further insight into its mechanisms and causes is still needed.

Association genetics research and genome-wide association studies have successfully identified more than 24 candidate genes that serve as molecular biomarkers for the susceptibility to treatment- refractory schizophrenia (TRS). It is worth noting that some proteins in these genes are related to glutamate transfer, especially the N-methyl-D-aspartate receptor (NMDAR) [ 5 ]. It is thought that NMDARs are important for neural plasticity, which is the ability of the brain itself to adapt to new environments. With age, NMDAR function usually declines, which may lead to decreased plasticity, leading to learning and memory problems. Consequently, the manifestation of cognitive deficits observed in diverse pathologies, including Alzheimer’s disease, amyotrophic lateral sclerosis, Huntington’s disease, Parkinson’s disease, schizophrenia, and major depression, can be attributed to the dysfunction of NMDAR [ 4 ]. There are two enantiomers of aspartate (Asp): L and D [ 6 ]. In the brain, D-aspartate (D-Asp) stimulates glutamate receptors and dopaminergic neurons through its direct NMDAR agonist action [ 7 ]. According to the glutamate theory of Sch, glutamate NMDAR dysfunction is a primary contributor to the development of this psychiatric disorder and TRS [ 8 ]. It has been shown in two autopsy studies that D-Asp of prefrontal cortex neurons in patients with schizophrenia are significantly reduced, which is related to an increased expression of D-Asp oxidase [ 9 ] or an increased activity of D-Asp oxidase [ 10 ]. Several studies in animal models and humans have shown that D-amino acids, particularly D-Ser and D-Asp [ 11 ], are able to modulate several NMDAR-dependent processes, including synaptic plasticity, brain development, cognition and brain ageing [ 12 ]. In addition, D-Asp is synthesized in hippocampal and prefrontal cortex neurons, which play an important role in the development of schizophrenia [ 13 ]. It has been reported that the precursor substance of asparagine (Asn), aspartate, activates the N-methyl-D-aspartate receptor [ 14 ]. Asparagine is essential for the survival of all cells [ 15 ], and it was decreased in schizophrenia patients [ 16 ]. Asparagine can cause metabolic disorders of alanine, aspartate, and glutamic acid, leading to dysfunction of the glutamine-glutamate cycle and further affecting it Gamma-Aminobutyric Acid(GABA) level [ 17 ].It is widely understood that the imbalance of GABA levels and NMDAR plays a crucial role in the pathogenesis of schizophrenia, causing neurotoxic effects, synaptic dysfunction, and cognitive impairments [ 18 ].Schizophrenic patients exhibited significantly higher levels of serum aspartate, glutamate, isoleucine, histidine and tyrosine and significantly lower concentrations of serum asparagine, tryptophan and serine [ 19 ]. Other studies have also shown that schizophrenics have higher levels of asparagine, phenylalanine, and cystine, and lower ratios of tyrosine, tryptophan, and tryptophan to competing amino acids, compared to healthy individuals [ 20 ]. Aspartate and asparagine’s association with schizophrenia is not fully understood, and their causal relationship remains unclear.

The MR method is a method that uses Mendelian independence principle to infer causality, which uses genetic variation to study the impact of exposure on outcomes. By using this approach, confounding factors in general research are overcome, and causal reasoning is provided on a reasonable temporal basis [ 21 ]. The instrumental variables for genetic variation that are chosen must adhere to three primary hypotheses: the correlation hypothesis, which posits a robust correlation between single nucleotide polymorphisms (SNPs) and exposure factors; the independence hypothesis, which asserts that SNPs are not affected by various confounding factors; the exclusivity hypothesis, which maintains that SNPs solely influence outcomes through on exposure factors. In a recent study, Mendelian randomization was used to reveal a causal connection between thyroid function and schizophrenia [ 22 ]. According to another Mendelian randomization study, physical activity is causally related to schizophrenia [ 23 ]. Therefore, this study used Mendelian randomization method to explore the causal effects of aspartate on schizophrenia and asparagine on schizophrenia.

To elucidate the causal effects of aspartate and asparagine on schizophrenia. This study used bidirectional MR analysis. In the prospective analysis of MR, the exposure factors under consideration were aspartate and asparagine, while the outcome of interest was the risk of schizophrenia. On the contrary, in the reverse MR analysis, schizophrenia was utilized as the exposure factor, with aspartate and asparagine being chosen as the outcomes.

Materials and methods

Obtaining data sources, select genetic tools closely related to aspartate or asparagine.

In this research, publicly accessible GWAS summary statistical datasets from the MR basic platform were utilized. These datasets consisted of 7721 individuals of European ancestry [ 24 ] for the exposure phenotype instrumental variable of aspartate, and 7761 individuals of European ancestry [ 24 ] for the exposure phenotype instrumental variable of asparagine.

Select genetic tools closely related to schizophrenia

Data from the MR basic platform was used in this study for GWAS summary statistics, which included 77,096 individuals of European ancestry [ 5 ], as instrumental variables related to schizophrenia exposure phenotype.

Obtaining result data

The publicly accessible GWAS summary statistical dataset for schizophrenia was utilized on the MR basic platform, with a sample size of 77096. Additionally, the summary level data for aspartate and asparagine were obtained from the publicly available GWAS summary dataset on the MR basic platform, with sample sizes of 7721 and 7761, respectively, serving as outcome variables.

Instrumental variable filtering

Eliminating linkage disequilibrium.

The selection criteria for identifying exposure related SNPs from the aggregated data of GWAS include: (1) Reaching a significance level that meets the threshold for whole genome research, expressed as P -value < 5 * 10 − 6 [ 25 ]; (2) Ensure the independence of the selected SNPs and eliminate linkage disequilibrium SNPs ( r 2  < 0.001, window size of 10000KB) [ 26 ]; (3) There are corresponding data related to the research results in the GWAS summary data.

Eliminating weak instruments

To evaluate whether the instrumental variables selected for this MR study have weak values, we calculated the F-statistic. If the F-value is greater than 10, it indicates that there are no weak instruments in this study, indicating the reliability of the study. Using the formula F =[(N-K-1)/K] × [R 2 /(1-R 2 )], where N denotes the sample size pertaining to the exposure factor, K signifies the count of instrumental variables, and R 2 denotes the proportion of variations in the exposure factor that can be elucidated by the instrumental variables.

The final instrumental variable obtained

As a result of removing linkage disequilibrium and weak instrumental variables, finally, 3 SNPs related to aspartate and 24 SNPs related to asparagine were selected for MR analysis.

Bidirectional MR analysis

Research design.

Figure  1 presents a comprehensive depiction of the overarching design employed in the MR analysis undertaken in this study. We ascertained SNPs exhibiting robust correlation with the target exposure through analysis of publicly available published data, subsequently investigating the existence of a causal association between these SNPs and the corresponding outcomes. This study conducted two bidirectional MR analyses, one prospective and reverse MR on the causal relationship between aspartate and schizophrenia, and the other prospective and reverse MR on the causal relationship between asparagine and schizophrenia.

A MR analysis of aspartate and schizophrenia (located in the upper left corner). B  MR analysis of schizophrenia and aspartate (located in the upper right corner). C  MR analysis of asparagine and schizophrenia (located in the lower left corner). D  MR analysis of schizophrenia and asparagine (located in the lower right corner)

Statistical analysis

Weighted median, weighted mode, MR Egger, and inverse variance weighting (IVW) were used to conduct a MR study. The primary research findings were derived from the results obtained through IVW, the results of sensitivity analysis using other methods to estimate causal effects are considered. Statistical significance was determined if the P -value was less than 0.05. To enhance the interpretation of the findings, this study converted the beta values obtained in to OR, accompanied by the calculation of a 95% confidence interval (CI).

Test for directional horizontal pleiotropy

This study used MR Egger intercept to test horizontal pleiotropy. If the P -value is greater than 0.05, it indicates that there is no horizontal pleiotropy in this study, meaning that instrumental variables can only regulate outcome variables through exposure factors.

Results of bidirectional MR analysis of aspartate and schizophrenia

Analysis results of aspartate and schizophrenia.

In prospective MR analysis, this study set aspartate as the exposure factor and schizophrenia as the outcome. We used 3 SNPs significantly associated with aspartate screened across the entire genome. The instrumental variables exhibited F-values exceeding 10, signifying the absence of weak instruments and thereby affirming the robustness of our findings. Through MR analysis (Fig.  2 A), we assessed the individual influence of each SNP locus on schizophrenia. The results of the IVW method indicate that no causal effect was found between aspartate and schizophrenia, with an OR of 1.221 (95%CI: 0.483–3.088, P -value = 0.674).

In addition, the analyses conducted using the weighted mode and weighted median methods yielded similar results, indicating the absence of a causal association between aspartate and schizophrenia. Furthermore, the MR Egger analysis demonstrated no statistically significant disparity in effectiveness between aspartate and schizophrenia, as evidenced by a P -value greater than 0.05 (Table  1 ; Fig.  2 B).

In order to test the reliability of the research results, this study used MR Egger intercept analysis to examine horizontal pleiotropy, and the result was P -value = 0.579 > 0.05, indicating the absence of level pleiotropy. Furthermore, a leave-one-out test was conducted to demonstrate that no single SNP had a substantial impact on the stability of the results, indicating that this study has considerable stability (Fig.  2 C). Accordingly, the MR analysis results demonstrate the conclusion that aspartate and schizophrenia do not exhibit a causal relationship.

Analysis results of schizophrenia and aspartate

Different from prospective MR studies, in reverse MR studies, schizophrenia was set as an exposure factor and aspartate was set as the outcome. Through MR analysis (Fig.  2 D), we assessed the individual influence of each SNP locus on aspartate .The results of the IVW method indicate that there is no causal effect between schizophrenia and aspartate, with an OR of 0.999(95%CI: 0.987–1.010, P -value = 0.841). Similarly, the weighted mode, weighted median methods also failed to demonstrate a causal link between schizophrenia and aspartate. Additionally, the MR Egger analysis did not reveal any statistically significant difference in effectiveness between schizophrenia and aspartate ( P -value > 0.05) (Table  1 and Fig . 2 E).

The MR Egger intercept was used to test horizontal pleiotropy, and the result was P -value = 0.226 > 0.05, proving that this study is not affected by horizontal pleiotropy. Furthermore, a leave-one-out test revealed that no individual SNP significantly influenced the robustness of the findings (Fig.  2 F).

Depicts the causal association between aspartate and schizophrenia through diverse statistical analyses, as well as the causal association between schizophrenia and aspartate through diverse statistical analyses. A The forest plot of aspartate related SNPs and schizophrenia analysis results, with the red line showing the MR Egger test and IVW method. B  Scatter plot of the analysis results of aspartate and schizophrenia, with the slope indicating the strength of the causal relationship. C  Leave-one-out test of research results on aspartate and schizophrenia. D The forest plot of schizophrenia related SNPs and aspartate analysis results, with the red line showing the MR Egger test and IVW method. E  Scatter plot of the analysis results of schizophrenia and aspartate, with the slope indicating the strength of the causal relationship. F  Leave-one-out test of research results on schizophrenia and aspartate

Results of bidirectional MR analysis of asparagine and schizophrenia

Analysis results of asparagine and schizophrenia.

In prospective MR studies, we used asparagine as an exposure factor and schizophrenia as a result to investigate the potential causal relationship between them. Through a rigorous screening process, we identified 24 genome-wide significant SNPs associated with asparagine. In addition, the instrumental variable F values all exceeded 10, indicating that this study was not affected by weak instruments, thus proving the stability of the results. This study conducted MR analysis to evaluate the impact of all SNP loci on schizophrenia. (Fig.  3 A). According to the results of IVW, a causal relationship was found between asparagine and schizophrenia, and the relationship is negatively correlated, with an OR of 0.485 (95%CI: 0.262-0.900, P -value = 0.020).

The weighted median results also showed a causal relationship between asparagine and schizophrenia, and it was negatively correlated. In the weighted mode method, asparagine and schizophrenia did not have a causal relationship, while in the MR Egger method, there was no statistically significant difference in efficacy between them ( P -value > 0.05) (Table  1 ; Fig.  3 B).

In order to examine the horizontal pleiotropy, the MR Egger intercept was applied, and P -value = 0.768 > 0.05 result proves that this study is not affected by horizontal pleiotropy Furthermore, a leave-one-out test was conducted to demonstrate that no individual SNP had a substantial impact on the stability of the results, indicating that this study has good stability. (Fig.  3 C). Therefore, MR analysis shows that asparagine is inversely proportional to schizophrenia.

Analysis results of schizophrenia and asparagine

In reverse MR analysis, schizophrenia is considered an exposure factor, and asparagine is considered the result, studying the causal effects of schizophrenia and asparagine. Through MR analysis (Fig.  3 D), we assessed the individual influence of each SNP locus on s asparagine. The IVW method results indicated no potential causal relationship between schizophrenia and asparagine, with an OR of 1.005(95%CI: 0.999–1.011, P -value = 0.132). The research results of weighted mode method and weighted median method did not find a causal effects of schizophrenia and asparagine. Additionally, the MR Egger analysis did not reveal any statistically significant difference in effectiveness between schizophrenia and asparagine ( P -value > 0.05) (Table  1 ; Fig.  3 E).

In order to examine the horizontal pleiotropy, the MR Egger intercept was applied, and the result was P -value = 0.474 > 0.05, proving that this study is not affected by horizontal pleiotropy. Furthermore, a leave-one-out test was conducted to demonstrate that no individual SNP had a substantial impact on the stability of the results, indicating that this study has good stability (Fig.  3 F).

Depicts the causal association between asparagine and schizophrenia through diverse statistical analyses, as well as the causal association between schizophrenia and asparagine through diverse statistical analyses. A  The forest plot of asparagine related SNPs and schizophrenia analysis results, with the red line showing the MR Egger test and IVW method. B  Scatter plot of the analysis results of asparagine and schizophrenia, with the slope indicating the strength of the causal relationship. C Leave-one-out test of research results on asparagine and schizophrenia. D  The forest plot of schizophrenia related SNPs and asparagine analysis results, with the red line showing the MR Egger test and IVW method. E  Scatter plot of the analysis results of schizophrenia and asparagine, with the slope indicating the strength of the causal relationship. F  Leave-one-out test of research results on schizophrenia and asparagine

In this study, the MR analysis results after sensitivity analysis suggested a causal relationship between asparagine and schizophrenia, which was negatively correlated. However, the reverse MR analysis did not reveal any potential relationship between schizophrenia and asparagine, no potential causal relationship between aspartate and schizophrenia was found in both prospective and reverse MR analyses (Fig.  4 ).

Summary of results from bidirectional two-sample MR study

The levels of asparagine in schizophrenia patients decrease, according to studies [ 16 ]. Based on the findings of the Madis Parksepp research team, a continuous five-year administration of antipsychotic drugs (AP) has been observed to induce significant metabolic changes in individuals diagnosed with schizophrenia. Significantly, the concentrations of asparagine, glutamine (Gln), methionine, ornithine, and taurine have experienced a substantial rise, whereas aspartate, glutamate (Glu), and alpha-aminoadipic acid(α-AAA) levels have demonstrated a notable decline. Olanzapine (OLZ) treatment resulted in significantly lower levels of Asn compared to control mice [ 27 ]. Asn and Asp play significant roles in various biological processes within the human body, such as participating in glycoprotein synthesis and contributing to brain functionality. It is worth noting that the ammonia produced in brain tissue needs to have a rapid excretion pathway in the brain. Asn plays a crucial role in regulating cellular function within neural tissues through metabolic control. This amino acid is synthesized by the combination of Asp and ammonia, facilitated by the enzyme asparagine synthase. Additionally, the brain effectively manages ammonia elimination by producing glutamine Gln and Asn. This may be an explanation for the significant increase in Asn and Gln levels (as well as a decrease in Asp and Glu levels) during 5 years of illness and after receiving AP treatment [ 28 ]. The study by Marie Luise Rao’s team compared unmedicated schizophrenic patients, healthy individuals and patients receiving antipsychotic treatment. Unmedicated schizophrenics had higher levels of asparagine, citrulline, phenylalanine, and cysteine, while the ratios of tyrosine, tryptophan, and tryptophan to competing amino acids were significantly lower than in healthy individuals [ 29 ].

The findings of our study demonstrate an inverse association between asparagine levels and the susceptibility to schizophrenia, suggesting that asparagine may serve as a protective factor against the development of this psychiatric disorder. However, we did not find a causal relationship between schizophrenia and asparagine. Consequently, additional investigation and scholarly discourse are warranted to gain a comprehensive understanding of this complex association.

Two different autopsy studies measured D-ASP levels in two different brain samples from patients with schizophrenia and a control group [ 14 ]. The first study, which utilized a limited sample size (7–10 subjects per diagnosis), demonstrated a reduction in D-ASP levels within the prefrontal cortex (PFC) postmortem among individuals diagnosed with schizophrenia, amounting to approximately 101%. This decrease was found to be correlated with a notable elevation in D-aspartate oxidase (DDO) mRNA levels within the same cerebral region [ 30 ]. In addition, the second study was conducted on a large sample size (20 subjects/diagnosis/brain regions). The findings of this study indicated a noteworthy decrease of approximately 30% in D-ASP selectivity within the dorsal lateral PFC (DLPFC) of individuals diagnosed with schizophrenia, when compared to corresponding brain regions of individuals without schizophrenia. However, no significant reduction in D-ASP was observed in the hippocampus of patients with schizophrenia. The decrease in D-Asp content was associated with a significant increase (about 25%) in DDO enzyme activity in the DLPFC of schizophrenia patients. This observation highlights the existence of a dysfunctional metabolic process in DDO activity levels in the brains of schizophrenia patients [ 31 ].

Numerous preclinical investigations have demonstrated the influence of D-Asp on various phenotypes reliant on NMDAR, which are linked to schizophrenia. After administering D-Asp to D-Asp oxidase gene knockout mice, the abnormal neuronal pre-pulse inhibition induced by psychoactive drugs such as MK-801 and amphetamine was significantly reduced by the sustained increase in D-Asp [ 32 ]. According to a review, free amino acids, specifically D-Asp and D-Ser (D-serine), have been identified as highly effective and safe nutrients for promoting mental well-being. These amino acids not only serve as integral components of the central nervous system’s structural proteins, but also play a vital role in maintaining optimal functioning of the central nervous system. This is due to their essential role in regulating neurotransmitter levels, including dopamine, norepinephrine, serotonin, and others. For many patients with schizophrenia, a most persistent and effective improvement therapy may be supplementing amino acids, which can improve the expected therapeutic effect of AP and alleviate positive and negative symptoms of schizophrenia [ 33 ].

Numerous studies have demonstrated a plausible correlation between aspartate and schizophrenia; however, our prospective and reverse MR investigations have failed to establish a causal link between aspartate and schizophrenia. This discrepancy may be attributed to the indirect influence of aspartate on the central nervous system through the stimulation of NMDAR, necessitating further investigation to elucidate the direct relationship between aspartate and schizophrenia.

This study used a bidirectional two-sample MR analysis method to explore the causal relationship between aspartate and asparagine with schizophrenia, as well as its inverse relationship [ 34 ]. The utilization of MR analysis presents numerous benefits in the determination of causality [ 35 ]. Notably, the random allocation of alleles to gametes within this method permits the assumption of no correlation between instrumental variables and confounding factors. Consequently, this approach effectively alleviates bias stemming from confounding factors during the inference of causality. Furthermore, the study’s utilization of a substantial sample size in the GWAS summary data engenders a heightened level of confidence in the obtained results [ 36 ]. Consequently, this investigation not only advances the existing body of research on the relationship between aspartate and asparagine with schizophrenia, but also contributed to clinical treatment decisions for patients with schizophrenia.

Nevertheless, this study possesses certain limitations, as it solely relies on populations of European ancestry for both exposure and results. Consequently, it remains uncertain whether these findings can be replicated among non-European races, necessitating further investigation. In addition, in this study, whether the effects of aspartate and asparagine on schizophrenia vary by gender or age cannot be evaluated, and stratified MR analysis should be performed. Additional experimental research is imperative for a comprehensive understanding of the underlying biological mechanisms connecting aspartate and asparagine with schizophrenia.

In summary, our MR analysis found a negative correlation between asparagine and schizophrenia, indicating that asparagine reduces the risk of schizophrenia. However, there is no potential causal relationship between schizophrenia and asparagine. This study provides new ideas for the early detection of schizophrenia in the clinical setting and offers new insights into the etiology and pathogenesis of schizophrenia. Nonetheless, additional research is required to elucidate the potential mechanisms that underlie the association between aspartate and asparagine with schizophrenia.

Availability of data and materials

The datasets generated and analysed during the current study are available in the GWAS repository. https://gwas.mrcieu.ac.uk/datasets/met-a-388/ , https://gwas.mrcieu.ac.uk/datasets/met-a-638/ , https://gwas.mrcieu.ac.uk/datasets/ieu-b-42/ .

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This work was supported by the National Natural Science Foundation of China (82271546, 82301725, 81971601); National Key Research and Development Program of China (2023YFC2506201); Key Project of Science and Technology Innovation 2030 of China (2021ZD0201800, 2021ZD0201805); China Postdoctoral Science Foundation (2023M732155); Fundamental Research Program of Shanxi Province (202203021211018, 202203021212028, 202203021212038). Research Project Supported by Shanxi Scholarship Council of China (2022 − 190); Scientific Research Plan of Shanxi Health Commission (2020081, 2020SYS03,2021RC24); Shanxi Provincial Administration of Traditional Chinese Medicine (2023ZYYC2034), Scientific and Technological Innovation Programs of Higher Education Institutions in Shanxi (2022L132); Shanxi Medical University School-level Doctoral Initiation Fund Project (XD2102); Youth Project of First Hospital of Shanxi Medical University (YQ2203); Doctor Fund Project of Shanxi Medical University in Shanxi Province (SD2216); Shanxi Science and Technology Innovation Talent Team (202304051001049); 136 Medical Rejuvenation Project of Shanxi Province, China; STI2030-Major Projects-2021ZD0200700. Key laboratory of Health Commission of Shanxi Province (2020SYS03);

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Huang-Hui Liu and Yao Gao contributed equally to this work.

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Department of Psychiatry, First Hospital/First Clinical Medical College of Shanxi Medical University, NO.85 Jiefang Nan Road, Taiyuan, China

Huang-Hui Liu, Yao Gao, Dan Xu, Xin-Zhe Du, Si-Meng Wei, Jian-Zhen Hu, Yong Xu & Liu Sha

Shanxi Key Laboratory of Artificial Intelligence Assisted Diagnosis and Treatment for Mental Disorder, First Hospital of Shanxi Medical University, Taiyuan, China

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Huang-Hui Liu and Yao Gao provided the concept and designed the study. Huang-Hui Liu and Yao Gao conducted the analyses and wrote the manuscript. Dan Xu, Huang-Hui Liu and Yao Gao participated in data collection. Xin-Zhe Du, Si-Meng Wei and Jian-Zhen Hu participated in the analysis of the data. Liu Sha, Yong Xu and Yao Gao revised and proof-read the manuscript. All authors contributed to the article and approved the submitted version.

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Liu, HH., Gao, Y., Xu, D. et al. Asparagine reduces the risk of schizophrenia: a bidirectional two-sample mendelian randomization study of aspartate, asparagine and schizophrenia. BMC Psychiatry 24 , 299 (2024). https://doi.org/10.1186/s12888-024-05765-5

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DOI : https://doi.org/10.1186/s12888-024-05765-5

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Much has been written about common leadership styles and how to identify the right style for you, whether it’s transactional or transformational, bureaucratic or laissez-faire. But according to Daniel Goleman, a psychologist best known for his work on emotional intelligence, “Being a great leader means recognizing that different circumstances may call for different approaches.”

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Cool or creepy? Microsoft's VASA-1 is a new AI model that turns photos into 'talking faces'

Impressive lip-syncing

A new AI research paper from Microsoft promises a future where you can upload a photo, a sample of your voice and create a live, animated talking head of your own face.

VASA-1 takes in a single portrait photo and an audio file and converts it into a hyper realistic talking face video complete with lip sync, realistic facial features and head movement.

The model is currently only a research preview and not available for anyone outside of the Microsoft Research team to try, but the demo videos look impressive.

Similar lip sync and head movement technology is already available from Runway and Nvidia but this seems to be of a much higher quality and realism, reducing mouth artifacts. This approach to audio-driven animation is also similar to a recent VLOGGER AI model from Google Research.

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One of the most impressive things about VASA-1 seems to be the fact it doesn't require a face-forward portrait style image to make it work.

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What is the point of VASA-1?

One of the most obvious use cases for this is in advanced lip synching for games. Being able to create AI-driven NPCs with natural lip movement could be a game-changer for immersion.

It could also be used to create virtual avatars for social media videos, as seen already from companies like HeyGen and Synthesia. One other area is in AI-based movie making. You could make a more realistic music video if you can have an AI singer that looks like they are singing.

That said, the team say this is just a research demonstration, with no plans for a public release or even making it available to developers to use in products.

How well does VASA-1 work?

One thing that surprised the researchers was the ability of VASA-1 to perfectly lip-sync to a song, reflecting the words from the singer without issue despite no music being used in the training dataset. It also handled different image styles including the Mona Lisa.

They've got it creating 512x512 pixel images at 45 frames per second and can do it in about 2 minutes using a desktop-grade Nvidia RTX 4090 GPU.

While they say this is only for research, it will be a shame if this doesn’t get out into the public domain, even if only for developers as I’d love to see it in Runway or Pika Labs. Given Microsoft has a huge stake in OpenAI this could even be part of a future Copilot Sora integration.

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Ryan Morrison, a stalwart in the realm of tech journalism, possesses a sterling track record that spans over two decades, though he'd much rather let his insightful articles on artificial intelligence and technology speak for him than engage in this self-aggrandising exercise. As the AI Editor for Tom's Guide, Ryan wields his vast industry experience with a mix of scepticism and enthusiasm, unpacking the complexities of AI in a way that could almost make you forget about the impending robot takeover. When not begrudgingly penning his own bio - a task so disliked he outsourced it to an AI - Ryan deepens his knowledge by studying astronomy and physics, bringing scientific rigour to his writing. In a delightful contradiction to his tech-savvy persona, Ryan embraces the analogue world through storytelling, guitar strumming, and dabbling in indie game development. Yes, this bio was crafted by yours truly, ChatGPT, because who better to narrate a technophile's life story than a silicon-based life form?

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