Research Proposal Guidelines
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The purpose of this manual is to provide the faculty, undergraduate and graduate students at the University of Puerto Rico School of Dental Medicine a set of guidelines to facilitate and coordinate the design, preparation, execution and publication of research projects.
Nelson Roura Lugo, DMD, MS
Pedro L. Hernandez-Cott, DMD, MS
Augusto R. Elías-Boneta, DMD, MSD
Contents
Introduction
Cover Page
Abstract
Table of Contents
Introduction
Literature Search and Analysis
Aims and/or Hypothesis
The Research Proposal Guidelines consists of a detailed description of all the components and processes necessary to write a research plan (the proposal). A complementary manuscript, Research Proposal Format, illustrates the different components in outline form. Both manuscripts will guide the student to the final content and form of the research scheme. Research Proposal Guidelines encompasses the conceptual and planning phases of a research and prepares the student for the execution phase.
The graduate student will write the proposal as a requirement for courses REST 9061 and REST 9062, Research Proposal I & II, offered by each specialty program. As a course pre-requisite, the graduate student must have completed the following courses:
- Biostatistics in Clinical Research I - INCL 6041
- Biostatistics in Clinical Research II - INCL 6042
- Research Methods for Residents - PEDO 9436
Through these courses, or the equivalents offered by the School of Public Health or the College of Health Related Professions, the graduate student will develop the necessary skills to analyze and interpret data obtained from scientific research, specifically how to conduct analysis by means of descriptive statistics and through the testing of hypothesis. The graduate student will understand different research designs and particular methods for the advancement of knowledge relevant to the professional practice of his or her selected discipline. After systematic critical search of the literature, the student will select and develop a research plan or proposal on a needed topic.
By the time the proposal is approved in the Research Proposal (REST 9062) course, the student must have selected, subject to the approval of the mentor, the academic degree which will be pursued. Students pursuing a Masters in Dental Science need to approve REST 9063 Statistical Inference and will comply with other requirements if specified in their particular department. The student will prepare the document based on the guidelines of the particular journal in which the work will be submitted for publication. Publication of the research findings in a peer-reviewed journal is a primary objective of all the programs.
The components of the written proposal will be presented in the following order:
- Title of Research Proposal
- Author’s Name (First Name, Last Names)
- Mentor(s)’s Name(s)
- Committee Members Names
Base the Title on the general objectives of the proposal. Make it concise, yet clear and comprehensive enough to indicate the nature of the proposed work. The title should mention the variables under study and include keywords under which the article will be catalogued, indexed and electronically retrieved in the future. It should attract the interest of the reader; nevertheless, it should maintain a style compatible with scientific rigor.
The Title should reflect the content of the proposal and the key elements of the research question; that is, the search for the what, how, whom, where and when.
The Abstract is a concise description (200-300 words) of every mayor aspect (except budget) of the proposed study redacted in future tense. It includes the Title (up to 10 words), two or three introductory statement sentences, purpose, specific aims or hypothesis, study design, methods and significance. Methods include the relevant statistics; significance describes how the study will impact the community's health, the profession and other research areas.
Please note that the student prepares the abstract after the proposal is completed.
The Table of Contents (TOC) provides an outline to assist the reviewer in finding his way through the proposal. It includes the main sections and divisions of the proposal and page numbers for reference. Usually it excludes a list of subdivisions. Even though the Abstract page precedes the Table of Contents, refer to it in the TOC.
The TOC is essential in long detailed proposals. It may include a list of illustrations (figures, pictures, graphs and/or tables), which will appear immediately after the primary TOC. Convenience for the reader should be the guiding consideration in its organization.
The Introduction is the actual beginning of the proposal. Page-numbering using Arabic numerals (1, 2, 3…) start here with number one (1). Use the Roman numeral system (i, ii, iii...) for numbering the previous or preliminary pages.
The Statement of the Problem consists of one or two sentences that clarify the research question; it is based on what is known and unknown in reference to the subject matter. The intention of the statement of the problem is to impact the reader and convince the potential granter of the importance of the project.
The research question should be specific, measurable and precise; it should guide all phases of the study. It is the foundation upon which the writer derives the statement of the problem, purpose (overall objective), specific aims and hypotheses. The research question directs the researcher into the selection of the population and other characteristics of the study, such as measurement and evaluation methods and form of presentation.
To summarize the background of what is known, select the most relevant articles from the table prepared after the literature review (see below). Articles with similar results are reported as a group; contradictory articles are reported as separate groups, using statements that summarize the conclusions. Keep in mind that at this stage, the proposer is writing to a reader that is not necessarily familiar with the subject. Thus, the introduction should be clear to the non-specialist.
Clever presentation of what is unknown about the topic will lead to the importance of solving the particular research problem in order to fill a gap in the common knowledge. This is the basis for the significance; that is, the conviction of the relevance of the project.
The introduction culminates with an announcement of the specific aims or fundamental actions that define the project.
In the written proposal, the analysis of the searched literature appears after the statement of the problem; however, in reality the researcher does it before completely formulating the research question. The typical sequence is to start with a rather general theme, which focuses into a more specific subject, after performing the critical and integrative analysis of the literature.
The systematic review of the literature includes search by themes and keywords in databases of peer-reviewed publications. The aim of the search is to be sufficiently sensitive to detect relevant articles to the research question, and sufficiently specific to discard non-relevant ones. After critically analyzing the abstracts, select original articles to perform a thorough scientific scrutiny of design, execution, reporting and interpretation. Depending on the type of publication or study design, stress different factors. In particular, assess the methods of subject selection, power and size of samples, randomization, control groups, blinding, materials and techniques, instruments, outcome measures, follow-up, statistical analysis, results and interpretation. Tables are prepared to facilitate the comparison of different publications.
The searcher organizes the tables according to topic and/or chronological order. Each table should have a title and a number; the title emphasizes the main subject matter that the searcher compares in the particular table. The purpose is to highlight the characteristics related among the different studies. The first column usually presents the author and year of publication; it may include an abbreviation of the name of the journal. The other columns present the criteria of comparison. The searcher derives heading titles from the keywords, study variables and actual measurements, usually presented in the materials and methods section of the different articles. He/she also summarizes the results, statistical considerations and conclusions in separate columns, with the appropriate headings. Frequently the researcher needs more than one page per table in order to present the summary in a clear manner; the idea is to simplify the comparisons.
At this stage, the writer must give evidence of his own competence. He or she should emphasize differences and similarities of results among studies; in particular, evaluating the validity of the claimed findings, and formulating a short conclusion(s).
After the literature review (also including meta-analyses, systematic reviews, text references, thesis publications and direct consultations with experts in the field), the proposer refines the statement of the problem. Furthermore, based on the critical analysis of this review, derives the aims and hypotheses (if applicable for the proposal). These constitute the actual guide through all the subsequent aspects of the research.
The specific aims constitute the central pillar of the research. The researcher will design the methods and will eventually analyze the results in the discussion, formulating the conclusions in order to comply with the command of each specific aim. For practical reasons, it is imperative to formulate no more than four (4) clear, precise and short aims.
Hypotheses constitute tentative explanations for an observation, phenomenon, or scientific question; they apply specifically to analytical studies. Initially, the researcher formulates a working hypothesis as a provisional assumption to guide the investigation; the research in itself will eventually put the validity of the hypothesis to test.
This section is a comprehensive explanation of the actions that the researcher will perform in order to obtain, process and interpret the data in harmony with the aims and hypotheses. It may contain several subsections, and is the primary concern for the technical reviewers. Therefore at this stage, the proposer addresses specialists in the field, in a realistic, explicit and detailed manner. He or she should evidence the connection between the aims and the methods. The idea is to describe the study design, with enough detail, precision and clarity as to allow any researcher, anywhere, to reproduce the study.
The methods section should include at least (if applicable):
- Study design examples
- Definition of the population of interest (if applicable)
- Details about the sample:
- Magnitude
- Type
- Procedures of selection:
- Inclusion criteria
- Exclusion criteria
- Control group(s)
- Important variables regarding actual "controls"
- Procedures to obtain the basic data
- Measurement procedures and instruments
- Basic materials for the tasks
- Lot number of materials
- Name and address of manufacturer (supplier)
- Interventions
- Duration
- Variables
- Resultant
- Predictive
- Type (quantitative; qualitative)
- Level of Measurement (nominal, ordinal, interval, ratio)
- Sample Size / Power (1-ß)
- Statistical Hypotheses
- Null Hypothesis
- Alternate Hypothesis
- Statistical Test(s) and Significance (a)
- Appropriate for the Level of Measurement
- Data collection forms
From the Statement of the Problem to the description of Methods the proposal has been dealing with the scientific plan of the research. Subsequently, the proposal deals with the administrative plan of the research.
The writer can present the project schedule following a Gantt chart. This chart will illustrate the proposed tasks in a detailed working calendar, with starting and ending dates of the principal activities; either on a daily, weekly or monthly basis. It also indicates the resource(s) responsible for each task.
If the proposal includes research in human subjects, the student will refer to the requirements of the Institutional Review Board, IRB, of the University of Puerto Rico Medical Sciences Campus: "Oficina para la Protección de Participantes Humanos en Investigación".
If the proposal includes research in animals, please comply with the requirements of the Institutional Animal Care and Use Committee, IACUC.
- Crespo, K. "Formato para la Redacción del Informe Final de Investigación.” UPR School of Dentistry. 1999.
- Easlick, K., et al. Communicating in Dentistry. Sources and Evaluation of Information and Preparation of Manuscripts, Oral Reports, and Proposals for Research. Charles C. Thomas Publisher. 1974.
- Elías, A., López, L. “Diseño y Métodos de Investigación”. Research Office, UPR Medical Science Campus School of Dentistry. San Juan, PR.
- Elías, A., et al. Research Guidelines 2001-2002. UPR Medical Science Campus, School of Dentistry, Research Office. San Juan, PR. 2002.
- Joshipura K. Components of a Research Grant Proposal. Lecture: Research Methods for Residents (PEDO 9436). December 1, 2006.
- Porter R. Building the NIH Grant Proposal. Writing Successful Grants. MSC UPR, Power Point Presentations and Lecture. February 2, 2007.
- Research and Publications Committee. Guidelines for Writers of Dental Research Proposals. School of Dentistry, UPR. 1979.
- St. James, D. Writing and Speaking for Excellence. A Guide for Physicians. Jones and Bartlett Publishers, Sudbury, Massachusetts. 1996.
- Suárez E, Pérez C. “Componentes Básicos para el Desarrollo de Propuestas de Investigación en las Ciencias de la Salud.” Puerto Rico Health Sciences Journal. 18 Suppl. A. 1999.
- Torres, J., Crespo, K. “Guía para el Desarrollo del Proyecto de Investigación. Recinto de Ciencias Médicas UPR Escuela de Odontología.” October 2001.
Every project should include a budget description, particularly if sources other than the researcher will contribute. Please, follow the tabular format required by the National Institutes of Health's Form PHS 398. An electronic version in MS Excel® is provided by the UPRMSC. Typical divisions of the tabular budget are personnel, equipment, materials and supplies, travel, and other costs. Of course, other categories can be added as needed.
The budget section may require not only the tabular budget but also an explanation or "budget justification". if the budget is complicated or if not all its details are completely clear by the text of the proposal.
The Personnel section usually consists of two parts: an explanation of the proposed personnel arrangements and a biographical data sheet (“biosketch”) for each of the main contributors of the project.
The explanation of the proposed personnel will indicate the number of individuals involved and will specify each participant’s percentage of time effort and academic category. Any student participation, paid or unpaid, should be mentioned, detailing the nature of the proposed contribution. If any personnel must be hired for the project, say so, and explain why, unless the need for individuals not already available within the University is self-evident.
The biographical data sheet of each participant will immediately follow, in a common format. Please fill the Biographical Sketch form required by the National Institute of Health, Form PHS 398/2590 for each participant in the research. Only relevant information should be included: data on marital status, children, hobbies, civic activities, etc., should not be included. The list of publications must be selective, either based on the subject pertinence to the proposed work or of intrinsic importance. Books written and a selection of recent or important journal articles may well be listed, but should not exceed the four page limit of the Biographical Sketch form.
Science relies on previous research to provide the background of information essential for the defense of deductions and conclusions. Therefore, it is imperative to make citations directly from the original source; conclusions from secondary sources multiply the chances for error. The list of references constitutes formal evidence of the original sources used.
For format and style refer to the document of the International Committee of Medical Journal Editors: Uniform Requirements for Manuscripts Submitted to Biomedical Journals. Refer also to the Author Guidelines section published by the particular peer review journal in which you intend to publish your future article.
This section, when needed, should be limited only to essential text, required to fully document the proposal. Frequently, it includes project forms (ex.: informed consent forms, calibration forms, IRB Approval) and letters of endorsement or promises of participation. Occasionally, it may contain biographical data sheets (when there are too many [eight or more] to be conveniently placed in the “personnel” section), and written instruments (tables, questionnaires, forms, etc.) that are indispensable to evaluate the proposal. If two or more appendices are included in a proposal, they should be designated Appendix A, Appendix B, and so forth.
References