a research plan includes all except which of the following

Writing a Research Proposal

Parts of a research proposal, prosana model, introduction, research question, methodology.

• Structure of a Research Proposal
• Common Proposal Writing Mistakes
• Proposal Writing Resources

A research proposal's purpose is to capture the evaluator's attention, demonstrate the study's potential benefits, and prove that it is a logical and consistent approach (Van Ekelenburg, 2010).  To ensure that your research proposal contains these elements, there are several aspects to include in your proposal (Al-Riyami, 2008):

• Objective(s)
• Variables (independent and dependent)
• Research Question and/or hypothesis

Details about what to include in each element are included in the boxes below.  Depending on the topic of your study, some parts may not apply to your proposal.  You can also watch the video below for a brief overview about writing a successful research proposal.

Van Ekelenburg (2010) uses the PROSANA Model to guide researchers in developing rationale and justification for their research projects.  It is an acronym that connects the problem, solution, and benefits of a particular research project.  It is an easy way to remember the critical parts of a research proposal and how they relate to one another.  It includes the following letters (Van Ekelenburg, 2010):

• Problem: Describing the main problem that the researcher is trying to solve.
• Root causes: Describing what is causing the problem.  Why is the topic an issue?
• fOcus: Narrowing down one of the underlying causes on which the researcher will focus for their research project.
• Solutions: Listing potential solutions or approaches to fix to the problem.  There could be more than one.
• Approach: Selecting the solution that the researcher will want to focus on.
• Novelty: Describing how the solution will address or solve the problem.
• Arguments: Explaining how the proposed solution will benefit the problem.

Research proposal titles should be concise and to the point, but informative.  The title of your proposal may be different from the title of your final research project, but that is completely normal!  Your findings may help you come up with a title that is more fitting for the final project.  Characteristics of good proposal titles are (Al-Riyami, 2008):

• Catchy: It catches the reader's attention by peaking their interest.
• Positive: It spins your project in a positive way towards the reader.
• Transparent: It identifies the independent and dependent variables.

It is also common for proposal titles to be very similar to your research question, hypothesis, or thesis statement (Locke et al., 2007).

An abstract is a brief summary (about 300 words) of the study you are proposing.  It includes the following elements (Al-Riyami, 2008):

• Your primary research question(s).
• Hypothesis or main argument.
• Method you will use to complete the study.  This may include the design, sample population, or measuring instruments that you plan to use.

Our guide on writing summaries may help you with this step.

• Writing a Summary by Luann Edwards Last Updated May 22, 2023 1119 views this year

The purpose of the introduction is to give readers background information about your topic.  it gives the readers a basic understanding of your topic so that they can further understand the significance of your proposal.  A good introduction will explain (Al-Riyami, 2008):

• How it relates to other research done on the topic
• Why your research is significant to the field
• The relevance of your study

Your research objectives are the desired outcomes that you will achieve from the research project.  Depending on your research design, these may be generic or very specific.  You may also have more than one objective (Al-Riyami, 2008).

• General objectives are what the research project will accomplish
• Specific objectives relate to the research questions that the researcher aims to answer through the study.

Be careful not to have too many objectives in your proposal, as having too many can make your project lose focus.  Plus, it may not be possible to achieve several objectives in one study.

This section describes the different types of variables that you plan to have in your study and how you will measure them.  According to Al-Riyami (2008), there are four types of research variables:

• Independent:  The person, object, or idea that is manipulated by the researcher.
• Dependent:  The person, object, or idea whose changes are dependent upon the independent variable.  Typically, it is the item that the researcher is measuring for the study.
• Confounding/Intervening:  Factors that may influence the effect of the independent variable on the dependent variable.  These include physical and mental barriers.  Not every study will have intervening variables, but they should be studied if applicable.
• Background:   Factors that are relevant to the study's data and how it can be generalized.  Examples include demographic information such as age, sex, and ethnicity.

Your research proposal should describe each of your variables and how they relate to one another.  Depending on your study, you may not have all four types of variables present.  However, there will always be an independent and dependent variable.

A research question is the main piece of your research project because it explains what your study will discover to the reader.  It is the question that fuels the study, so it is important for it to be precise and unique.  You do not want it to be too broad, and it should identify a relationship between two variables (an independent and a dependent) (Al-Riyami, 2008).  There are six types of research questions (Academic Writer, n.d.):

• Example: "Do people get nervous before speaking in front of an audience?"
• Example: "What are the study habits of college freshmen at Tiffin University?"
• Example: "What primary traits create a successful romantic relationship?"
• Example: "Is there a relationship between a child's performance in school and their parents' socioeconomic status?"
• Example: "Are high school seniors more motivated than high school freshmen?"
• Example: "Do news media outlets impact a person's political opinions?"

For more information on the different types of research questions, you can view the "Research Questions and Hypotheses" tutorial on Academic Writer, located below.  If you are unfamiliar with Academic Writer, we also have a tutorial on using the database located below.

Compose papers in pre-formatted APA templates. Manage references in forms that help craft APA citations. Learn the rules of APA style through tutorials and practice quizzes.

Academic Writer will continue to use the 6th edition guidelines until August 2020. A preview of the 7th edition is available in the footer of the resource's site. Previously known as APA Style Central.

• Academic Writer Tutorial by Pfeiffer Library Last Updated May 22, 2023 15600 views this year

If you know enough about your research topic that you believe a particular outcome may occur as a result of the study, you can include a hypothesis (thesis statement) in your proposal.  A hypothesis is a prediction that you believe will be the outcome of your study.  It explains what you think the relationship will be between the independent and dependent variable (Al-Riyami, 2008).  It is ok if the hypothesis in your proposal turns out to be incorrect, because it is only a prediction!  If you are writing a proposal in the humanities, you may be writing a thesis statement instead of a hypothesis.  A thesis presents the main argument of your research project and leads to corresponding evidence to support your argument.

Hypotheses vs. Theories

Hypotheses are different from theories in that theories represent general principles and sets of rules that explain different phenomena.  They typically represent large areas of study because they are applicable to anything in a particular field.  Hypotheses focus on specific areas within a field and are educated guesses, meaning that they have the potential to be proven wrong (Academic Writer, n.d.).  Because of this, hypotheses can also be formed from theories.

For more information on writing effective thesis statements, you can view our guide on writing thesis statements below.

• Writing Effective Thesis Statements by Luann Edwards Last Updated May 23, 2023 226 views this year

In a research proposal, you must thoroughly explain how you will conduct your study.  This includes things such as (Al-Riyami, 2008):

• Research design:  What research approach will your study take?  Will it be quantitative or qualitative?
• Research subjects/participants:  Who will be participating in your study?  Does your study require human participants?  How will you determine who to study?
• Sample size:  How many participants will your study require?  If you are not using human participants, how much of the sample will you be studying?
• Timeline:  A proposed list of the general tasks and events that you plan to complete the study.  This will include a time frame for each task/event and the order in which they will be completed.
• Interventions:  If you plan on using anything on human participants for the study, you must include information it here.  This is especially important if you plan on using any substances on human subjects.
• Ethical issues:  Are there any potential ethical issues surrounding this study?
• Potential limitations:  Are there any limitations that could skew the data and findings from your study?
• Appendixes:  If you need to present any consent forms, interview questions, surveys, questionnaires, or other items that will be used in your study, you should include samples of each item with an appendix to reference them.  If you are using a copyrighted document, you may need written permission from the original creator to use it in your study.  A copy of the written permission should be included in your proposal.
• Setting:  Where will you be conducting the study?
• Study instruments:  What measuring tools or computer software will you be using to collect data?  How will you collect the data?
• How you will analyze the data:  What strategies or tools will you use to analyze the data you collect?
• Quality control:  Will you have precautions in place to ensure that the study is conducted consistently and that outside factors will not skew the data?
• Budget:  What type of funding will you need for your study?  This will include the funds needed to afford measuring tools, software, etc.
• How you will share the study's findings:  What will you plan to do with the findings?
• Significance of the study: How will your study expand on existing knowledge of the subject area?

For more information on research methodologies, you can view our guide on research methods and methodologies below.

• Research Methodologies by Pfeiffer Library Last Updated Aug 2, 2022 15725 views this year
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Components of a research proposal.

In general, the proposal components include:

Introduction: Provides reader with a broad overview of problem in context.

Statement of problem: Answers the question, “What research problem are you going to investigate?”

Literature review: Shows how your approach builds on existing research; helps you identify methodological and design issues in studies similar to your own; introduces you to measurement tools others have used effectively; helps you interpret findings; and ties results of your work to those who’ve preceded you.

Research design and methods: Describes how you’ll go about answering your research questions and confirming your hypothesis(es). Lists the hypothesis(es) to be tested, or states research question you’ll ask to seek a solution to your research problem. Include as much detail as possible: measurement instruments and procedures, subjects and sample size.

The research design is what you’ll also need to submit for approval from the Institutional Review Board (IRB) or the Institutional Animal Care and Use Committee (IACUC) if your research involves human or animal subjects, respectively.

Timeline: Breaks your project into small, easily doable steps via backwards calendar.

Quiz 4: Preparing and Evaluating a Research Plan

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( Multiple Choice )

Peggy is planning to conduct a study in a small rural school. She recognizes it is important to include the setting information in her study. Where should Peggy place this information?

Matt studies the role of instructions in how much intermediate grade level students learn from things that they have read. In his work it is critical that the texts he uses are hard enough for the readers so that they cannot easily remember everything but easy enough so that they can read them independently. Which of the following is the best strategy for Matt to use to assure that his materials are working well?

In the review of the literature for a research plan, qualitative researchers are likely to

Generally, as part of the research plan qualitative but not quantitative researchers include the

The data analysis strategies subsection in a qualitative research plan typically includes

In which of the following quantitative research plan sections is the description of the research participants generally presented?

George is preparing for a study that examines the role of community service in students' character development. As part of his study he will be using a survey regarding community service activities students' may engage in. In which section of his research plan will he describe the survey?

Where in the method section of a research plan should a researcher place any assumptions and limitations of a study?

Jessica is proposing a grounded theory study of Professional Development Schools as her dissertation. She provides a research plan to her committee members. Of the following, which is likely true of her research plan?

The following are purposes your text provides for research plans, EXCEPT

Often researchers field-test their instruments and research plan procedures prior to conducting research. This strategy is referred to as a(n)

Which of the following components is a qualitative research plan most likely to include?

One difference between quantitative and qualitative research plans is that

A research plan includes all of the following EXCEPT

Nate has proposed to do a motivation study that includes three self-report measures of motivation for his dissertation. His committee told him he must include reliability and validity information about the scales he is using within his research plan. Where should he place this information?

Sophie is preparing a qualitative research plan for her study that explores the stories of young cancer survivors. The primary data collection strategy in Sophie's study most likely includes

Lance is studying self-esteem of low achieving children. He needs to include an operational definition of self-esteem. In what section would this information be included in his research plan?

In which of the following qualitative research plan sections is the sample consent form generally presented?

Gary has developed a research plan that involves collecting problem-solving ability of preschool children. In which portion of the methods section will Gary include how he gained entry into the research site?

Farhat is interested in the reading practices of Turkish families. He needs to prepare a research plan for the Ministry of Education to be able to conduct the study. Which of the following is NOT likely part of his shared plan?

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Research and innovation menu, research and innovation, research plan content.

• When drafting the  Research Plan , follow the format and use the section headings (i.e. A – I) provided below, refer to the bulleted items for section content.
• For each section, this guidance includes a description of why the information is important for IRB review ( in italics ).

A.  Introduction and Background

In reviewing the protocol, the IRB must consider the rationale for the study and the importance of the knowledge that may reasonably be expected to result.

Briefly  summarize the nature, scientific or scholarly rationale and significance of the proposed study and any relevant background information on the topic. Explain the relevance of the study to previous and/or continuing work in the field. Discuss why novel inquiry is necessary. If there is a gap in knowledge, explain how it is anticipated that this research will address the gap. If this research is intended to replicate previous research, provide rationale.

B.  Specific Aims/Study Objectives

The IRB must evaluate the objectives of the research in order to determine whether the risks to participants are reasonable in relation to the importance of the knowledge that may be gained.

• Clearly  outline the specific research question(s). Include the study objective(s) and/or hypothesis.

C.  Methods, Materials, and Analysis

The study design, methods and procedures must be adequately described in order for the IRB to understand all activities in which human subjects will participate. The IRB must also be able to differentiate those procedures that are performed for research purposes from those that are performed for routine care or evaluation.

NOTE: The focus of this section is on methods and procedures. Risks must be discussed later in Section G.

Describe the study design and research methods used to meet the study aims and objectives stated above (e.g., on-line survey, open ended interview, randomized controlled trial, participant observation, field based research, lab/task based, etc.).

If there will be multiple groups of participants completing different sets of activities/tasks, clearly delineate the activities to occur for each group.

Describe in chronological order all research activities/procedures involving participants. This should walk the reader step-by-step through the research activities and include a description of the research procedures and instruments.

Include the title and descriptions of any measures, questionnaires, tasks, tests, and/or procedures. Titles need to be used consistently throughout the description(s).

The description must include whether these are standardized in the field or designed for this specific study.

Depending on the complexity or number of procedures, consider inserting a table or attaching an inventory list of measures or questionnaires as an appendix.

If the research involves any procedures typically used in a biomedical/clinical setting and/or administration of medications (e.g., blood draw, ultrasound, MRI, x-rays/radiographs, etc.) include the following:

The justification for the use of the procedures.

The dosage.

The qualifications of study personnel to conduct the procedures.

If research will be conducted at the  Lewis Center for Neuroimaging (LCNI),  the investigator will need to work with the LCNI director to ensure research procedures are in line with their standard operating procedures. The Research Plan will need to reference the established LCNI SOP in the Research Plan.

If using deception, discuss the related activities, what that deception entails, and when and how the debriefing process will occur.

Include an estimate of the time each participant will spend completing the activities (in minutes or hours), the number of sessions the participant will engage in, and the total length of participation (in days, weeks, months, or years) from the beginning to the end of the study.

If follow-up with participants is planned, discuss the procedures and under what circumstances follow-up will occur.

Describe the methods of data collection and recording that will be utilized in the study (e.g., hand-written notes, survey platform, computer programs, videotapes, audiotapes, photographs, etc.).

Describe the specific locations where the activities will be conducted (i.e., in what labs, clinics, field sites, or online platforms will the procedures occur?). The investigator must determine if additional local, State and/or international policies and regulations are applicable to the research and include this information in the Research Plan.

Explain how the data will be analyzed/studied (i.e., quantitatively or qualitatively and what statistical tests are planned), how the interpretation will address the research questions, and how the research will be disseminated.

Describe how the data will be reported (e.g., aggregated, anonymously, pseudonyms for participants, etc.).

D.  Research Population, Recruitment Methods, & Compensation

In order to approve research, the IRB must determine that the selection of participants is equitable and reasonably related to the purpose and aims of the research. The IRB must also consider whether adequate safeguards are in place to minimize any risks that are unique to vulnerable populations (e.g., pregnant women, fetuses, children, prisoners, cognitively impaired persons, etc.). To make this determination, the IRB must review all methods and materials used to contact and recruit potential participants, including letters, flyers, emails, etc.

1.  Participant Population

Describe the participant population:

Provide the rationale for including the participant population. When including any vulnerable populations in the study (e.g., children, prisoners, pregnant women, fetuses, etc.) explain why inclusion of this population is necessary to accomplish the research aims.

List the inclusion criteria such as age range, race or ethnicity, gender, language and literacy, etc.

List the exclusion criteria and rationale.

Address whether or not participants are fluent in English and/or if any of the study activities (i.e. recruitment, consent, assessments, etc.) will be carried out in a language other than English.

Describe how the research team member(s) are fluent in the language of the participants or if a translator will be used.

Describe how materials will be presented in the language understandable to participants (e.g. will translated materials be used?). If there is no written language, state this and explain translation.

Discuss the number of participants needed for the project including the following:

Provide the targeted number of individuals to be included in the research. If more than one group, provide numbers needed for each group and total number for the entire project. Ranges are acceptable (e.g. 20-25 individuals, survey distributed to 200 people and expected 65% response rate).

Provide rationale for targeted numbers.

2.  Recruitment Methods

Describe the process and/or method by which participants will be recruited for the research, including the following:

When and how will each step of recruitment occur (i.e., initial contact, introductions, follow-ups, etc.)?

Describe how the participant population is accessed. Discuss relevant permissions (e.g., access to listservs, online databases, etc.).

State any recruitment materials that will be used, such as advertisements, flyers, or verbal scripts. If there are no written recruitment materials, explain.

Explain which research roles (e.g., PI, Research Assistant, etc.) will recruit participants and how they will be trained.

Describe any screening tests and/or procedures that will be used to ensure that potential participants are eligible to participate.

If any part of the recruitment procedures involves a language other than English describe any differences in the recruitment procedures for non-English speaking participants.

For research involving treatment (e.g. behavioral intervention, drug or device studies, etc.):

Describe how research treatment will be distinguished from regular treatment.

Indicate whether the individuals who will recruit participants have provided or will provide treatment or care to the prospective participants. If treatment providers also have a role in the research, describe measures to avoid or diminish undue influence.

3.  Compensation/Reimbursement

If there is the possibility that there will be costs to the participant or to a third party (e.g., an insurer), identify the specific expenses (e.g., drug tests, procedures, hospitalization, travel, etc.) and provide a justification for those costs.

If participants are to receive compensation for their time, please describe the following or simply state no compensation will be offered:

The amount and nature of the compensation (e.g., cash, gift card, course credit, etc.).

Explain how and when compensation will be provided, including payment schedules, whether or not compensation will be reduced if the participant does not complete all activities in the study, and how any proration will occur.

Explain how the method and amount of compensation is appropriate for the participant population and study activities (e.g., based on time commitment, number of study visits, travel expenses, age of participant population, etc.).

E. Informed Consent Process

Informed consent is a process, not just a form and obtaining informed consent is a central protection for human participants. The IRB must ensure the informed consent process clearly discloses and facilitates the understanding of all information needed to make an informed decision to participate while promoting the voluntariness of participation.

Below are the key components of the informed consent process. In some cases it may be appropriate to seek a  waiver or alteration of informed consent or a waiver of documentation of informed consent  from the IRB.

1.  Informed Consent Process

Describe the informed consent process, including:

How the required  elements of informed consent  will be conveyed to participants (i.e., informed consent document, verbal script, online statement, letter, etc.).

Where and when the informed consent process will take place (i.e., in-person in private room, phone, etc.).

Any cultural considerations (e.g., tribal or group permission requirements, age of majority, technological limitations, etc.).

Steps that will be taken to ensure voluntary participation and to minimize the possibility of coercion or undue influence.

Which research roles (e.g., PI, Research Assistant, etc.) will conduct the consent process and how that person will be trained (e.g. previous experience or related training, one-on-one training with PI, etc.).

If multiple participant groups or consent procedures are to be included, these need to be clearly delineated.

In certain circumstances, the IRB may approve a consent process which does not include, or which alters, some or all of the elements of informed consent or waive the requirements to obtain informed consent. See the RCS  Waiver or Alteration of Informed Consent Guidance  for the criteria that must be met and information that must be included in this section to request consideration of a waiver or alteration of informed consent by the IRB.

2.  Facilitate Understanding

Describe how the investigator will ensure that the participants understand all aspects of their involvement in the research (i.e., will participants be asked questions about the procedures, or encouraged to ask questions?).

Describe any special provisions for individuals who might have trouble comprehending the consent information.

If any participants do not speak English, describe:

Whether or not the researcher is fluent in the language.

Whether or not and how a translator will be used.

Whether or not translated consent materials will be used.

Whether or not there are any differences in the consent process for different populations based on the language they speak.

Describe the process by which the investigator will ensure ongoing consent.

3.  Documentation

Describe how the researcher plans to document that each participant has provided informed consent and/or assent.

In certain circumstances, the IRB may waive the requirement to obtain a signed consent form based on specific criteria. See the RCS  Waiver or Alteration of Informed Consent Guidance  for the criteria that must be met and information that must be included in this section to request consideration of a waiver of documentation from the IRB.

4.  Additional Considerations

     If the research involves:

Minors (those under the age of majority) or individuals of diminished capacity:

Describe the capacity of the participant and their ability to assent.

Describe how assent to participate will be obtained and documented.

If a  waiver of assent or waiver of assent documentation  is being requested, provide justification.

Explain how the permission of the parent(s), guardian(s), or legally authorized representatives will be obtained and documented.

If a waiver of permission or waiver of permission documentation is being requested, provide justification.

Explain how participants will be deceived and why it is necessary for the study.

Deception is an alteration of informed consent; provide justification for how the use of deception meets the criteria for alteration of informed consent. See the RCS  Waiver or Alteration of Informed Consent Guidance  for the criteria that must be met and information that must be included in this section to request consideration of a waiver or alteration of informed consent by the IRB.

Describe the debriefing process and provide a script.

Protected Health Information:

If the research involves the use of  protected health information  from a covered entity (including those listed on the  UO Hybrid Entity Status and Documentation of HIPAA Covered Components declaration ), describe how authorization from participants to access and use their information will be obtained (i.e., signed HIPAA form).

If requesting a waiver of authorization, see the  HIPAA waiver  guidance for the criteria that must be met. Justification for how the criteria are satisfied must be included in this section.

Clinical Trials:

For a study that meets the definition of a clinical trial, one IRB approved informed consent form used to enroll subjects must be posted on a publicly available Federal Web site that has a repository for such informed consent forms. More information about the posting requirement and definitions can be found on our website here .

Describe in this section of the Research Plan where the consent form will be posted and acknowledge the required timeframe for posting (e.g., clinicaltrials.gov or the regulations.gov document portal ).  NOTE: the investigator will be responsible for demonstrating at the time of continuing review, progress reporting, and/or closure of the study that this requirement has been satisfied.

F.  Participant Privacy, Data Disposition, and Data Confidentiality

In order to approve research, the IRB must determine that there are adequate provisions in place to protect the privacy of subjects and maintain the confidentiality of research records and data collected.

1.  Privacy

Describe the steps that will be taken to promote the protection of participants’ privacy. Consider the following:

The methods used to identify and contact potential participants.

The settings in which an individual will be interacting with an investigator.

The appropriateness of all personnel present for research activities.

The methods used to obtain information about participants.

The sensitivity of the requested information:

In relation to the potential privacy risks of the information.

In relation to options for participants to disclose identity.

Privacy guidelines developed by relevant professional associations and scholarly disciplines (e.g., oral history, anthropology, psychology).

Steps to ensure access to the minimum amount of information necessary to complete the study.

Information that is obtained about individuals other than the “target participants,” and whether such individuals meet the regulatory definition of “human participant” (e.g., a participant provides information about a family member for a survey).

Describe what personal or identifiable information will be obtained to facilitate the research and as part of data collection. If participant data will be collected without identifiers, please state this.

2.  Data Disposition

Describe what data will be collected, including identifiable information and audio/video/digital recordings or photos. In addition, consider the following:

Any other information collected to facilitate the research (i.e., contact information for recruitment).

Any exiting data and its disposition (i.e. obtaining data from another source coded, or identifiable etc.).

3.  Confidentiality

Describe the steps that will be taken to secure data and/or specimens for the research:

Describe if participants’ private information will be coded (i.e., identifying information has been replaced with a number, pseudonym, etc.), include:

How the key to decipher the code (i.e., list linking participants’ names with pseudonyms or participant number) will be stored?

Who will have access to the code key?

If, how, and why the code key will be retained.

If participant identities will be disclosed as a result of this research (e.g., attributing a direct quote, etc.), provide:

Justification for appropriateness of direct identification.

Parameters for disclosure (e.g., will participants be allowed to review prior to dissemination).

How permissions from participant will be solicited including any restrictions.

 Describe storage and transfer including:

How the data will be collected and stored, including format (e.g., audio/video recordings or photographs, hard or electronic copy,  identifiable  or  de-identified ).

Security during transmission and sharing between researchers and participants.

Who will have access to data (e.g., training of staff, authorization of access).

How long the records will be kept after the study is completed.

The security of the area where data will be stored (e.g., locked office, password protected computer, encryption, firewalls, virus detection, etc.).

Describe any intent for future use of data beyond this research including:

If other researchers will be permitted access/use the data.

How data will be maintained and stored.

How participant permissions for the future use will be obtained and tracked.

If seeking a Certificate of Confidentiality through NIH, this needs to be stated.

G. Potential Research Risks and Discomforts to Participants

In order to approve the research, the IRB must consider the risks posed to participants by the research and any efforts to mitigate those risks. The IRB needs to determine that the risks have been both minimized and are reasonable in relation to the anticipated benefits to participants as well as to the importance of the knowledge that may be gained. The IRB will also consider whether the informed consent process provides potential participants with an accurate and fair description of the risks or discomforts.

Describe any reasonably foreseeable risks of harm or discomforts for individuals and/or groups that may result from participation in the research. While risks associated with participation may not be expected, most protocols carry some risk. Consider the following:

Information risks (e.g., loss of privacy and/or breach of confidentiality).

Psychological or emotional risks (e.g., fear, stress, confusion, guilt, loss of self-esteem, depression, triggering of past emotional experiences).

Social risks (e.g., social stigma, chance of being ostracized or shunned), economic risks (e.g., change in employment or insurability).

Physical risks or harms (e.g., fatigue, pain or discomfort, potential for injury, illness or disease, or death, side effects and contraindications of drugs or substances used in the research).

Legal risks (e.g., risk of prosecution, mandatory reporting).

Genetic privacy risk (e.g., stigmatization, self-stigmatization, limits to insurance coverage or employability, misattributed paternity, etc.).

For  each  identified risk, explain all of the following:

Likelihood of the risk occurring.

Magnitude of the effects the risk would have should they occur.

How the risk will be minimized.

How the risk will be disclosed in the informed consent process.

If the protocol involves treatment or intervention, describe the “standard of care” and describe how the risks of the research treatments or interventions compare.

When appropriate, describe any provisions for data and safety monitoring for the progress of the research and the safety of the participants.

 If there is a separate Data and Safety Monitoring Plan (DSMP), state this and attach.

If there is an established Data and Safety Monitoring Board/Committee (DSMB/C) to monitor the progress of the research and the safety of participants, clearly indicate this. The frequency and operations of the DSMB/C should be covered in the DSMP.

H.  Potential Benefits of the Research

In order to approve this research, the IRB must determine that the anticipated benefits to research participants and the knowledge researchers expect to gain are reasonable in relation to the potential risks.

Describe any anticipated benefits that may result from the research. Consider the following:

Direct benefits that may result from participation (e.g., psychological or emotional benefits, learning benefits, physical benefits, diagnostic or therapeutic benefits, etc.). If there are no direct benefits to participants, clearly state this.

Benefits to the general participant population.

General benefits of the research for society, science and humanity; potential generalizable knowledge.

NOTE: Compensation for participation is not a benefit and should not be included in this section.

I.  Investigator Qualifications, Roles, & Training

In order to approve this research, the IRB needs to determine that research personnel are adequately trained and knowledgeable regarding the study procedures and the protection of human research participants.

1.  Investigator Qualifications

Provide a brief description for all key research personnel (i.e., Principal Investigator, Faculty Advisor, Co-Investigators or any other research personnel with responsibility for study oversight and research design). Include all of the following:

Academic background.

Research experience.

Experience with the proposed participant population.

Experience with the proposed procedures and methodology.

For students, include any applicable coursework (e.g., research methodology courses).

2.  Roles and Research Duties

Describe the roles and the associated research activities/duties. For example, Research Assistants will consent participants and administer surveys.

Do not list individual names. Limit roles to Principal Investigator, Co-Investigator, Faculty Advisor, Research Assistant, and Project Coordinator.

3.  Training and Oversight

Describe how the study personnel will be adequately trained to conduct research activities in accordance with the approved protocol and in compliance with federal regulations and university policy.

Describe any specific training or expertise required for procedures proposed in this research. Explain all of the following:

Training standards or requirements that must be met.

Who will be providing the training?

How will the training be tracked/documented?

4.  Translator

If a translator will be used for any aspects of the research, provide the translator’s name and qualifications for translation (e.g. native speaker, student of the language, etc.).

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By definition, when a medication is administered intravenously, its bioavailability is 100%.

An identified risk factor for osteoporosis is the intake of excessive amounts of vitamin A. Dietary intake of approximately double the recommended daily amount of vitamin A, by women, has been shown to reduce bone mineral density and increase the chances for hip fractures compared with women who consumed the recommended daily amount (or less) of vitamin A.

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The U.S. Pharmacopeia Medication Errors Reporting Program states that approximately 50% of all medication errors involve insulin.

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Statistics and Actuarial Science

Information for new graduate students in actuarial science, data science and statistics at the university of iowa..

Welcome New Graduate Students!

Information for NEW graduate students in Actuarial Science, Data Science and Statistics at the University of Iowa. 

Last Updated, May 30, 2024.                                   Additional  updates will be sent this summer!

Important Information for International Students

The Office of International Students and Scholars does an incredible job helping you settle into Iowa City and the University of Iowa.  They have webinars to help with:  

1. Getting Started and Making Travel Arrangements

2. Achieving Success: On-campus Involvement and Cultural Adjustment (undergraduate students)

3. Graduate Student Professionalization and Support

4. Understanding Orientation Expectations, Responsibilities, and Placement Tests (graduate students)

5. On-campus Housing Assignments and Move-in Tips (undergraduate students)

6. Student Employment

7. Money Matters - University Billing

Do you need to take the SPEC (Spoken Proficiency of English for the Classroom)?

All students for whom English is not a first language (as self-reported on their admissions application) and who have first-time appointments as graduate teaching assistants (TAs) are required to go through a testing process to assess their effectiveness in speaking English before they are assigned assistantship responsibilities. Beginning in Fall 2024, there will be a new test to assess communication in English in a classroom context called SPEC (Spoken Proficiency of English in the Classroom).  This is replacing ESPA and ELPT.  Details will be coming soon.

Any graduate student who is included in the following categories needs to have their oral English proficiency tested by the TAPE Program:

• Students whose first language is not English (i.e., learned another language first) as self-reported on their admissions application, and
• Have been appointed as a Teaching Assistant

Exemptions (may change):

• Students with an official valid (within the last two years) iBT Listening score of 25 and an iBT Speaking score of 26.
• Undergraduate degrees and/or     
• Continuous attendance of English-language schools since the age of 12 (or younger)
• Students who served as teaching assistants at other institutions of higher learning in which the language of instruction is English, if they were listed as the instructor of record for a course or led a discussion section in English for at least one year, with a year defined as either two academic semesters or three academic quarters.
• Requests for exceptions regarding the SPEC  can be submitted for evaluation to a committee consisting of the Director of ESL Programs, the Associate Dean for Administrative Affairs in the Graduate College, and a representative from University Human Resources.

Requests for exemption and exceptions must come from the department by the deadline, not the student.   Deadlines to register students for the SPEC are:

• March 1  

NOT Exemptions:

• Students who come from a country where English is one of the official languages.
• Students who are U.S. permanent residents or U.S. citizens whose first language is not English.

Testing Procedures & Results

 To be announced soon!

Graduate/Professional International Students Important Dates

July 12, 2024:  Earliest date you may enter the U.S. in F-1 or J-1 status. August 11, 2024:  Latest date by which you should arrive in Iowa City August 12 - 16, 2024: International Student Orientation August 26, 2024:  Classes begin.

Housing Information for All Students

The department has a housing webpage, please let us know if you have any questions or concerns. If you are looking for a roommate, please let us know and we can update this web page!

Looking for housing options ?

All US citizens that are financially supported (TA, RA) need to be here on August 21.

All students will register for classes the week before classes start.  International students must complete the required Orientation Program before  they can register for classes.    

____________________

Fall Classes Advising will be August 19-23

All NEW UI students must meet with their advisor prior to registration.  There is no worry about getting into any of the classes we teach.  

• IF you are an Actuarial Science MS or PhD student you will need to meet with Professor Shyamalkumar.  Email him after August 12 at [email protected] to set a time to meet to discuss what classes to take, it may be on Zoom or in his office (233 Schaeffer Hall).
• IF you are a Data Science MS, Statistics MS, or PhD student you will need to meet with Professor Boxiang Wang.  Email him after August 12 at [email protected]  to set a time to meet to discuss what classes to take, it may be on Zoom or in his office (261 Schaeffer Hall).

New Graduate College Welcome and Orientation, August 21

The Graduate College Fall 2024 Graduate Student Orientation event will take place on Wednesday, August 21, 2024.  A registration form will be sent to your UI email sometime this early summer from the Graduate College. All new doctoral and master’s students are invited to attend.  

Financially Supported Graduate Students must come in person and present required documents for employment verification.   

• Details coming soon!

New Student Department Orientation, August 23 at 9 a.m., Room to be determined.

• All New Student Orientation —Group Introductions and General Policy Procedures.

New Supported Graduate Assistants Orientation, August 23 at 1 p.m., Room to be determined.

• Our Director of Graduate Studies will have a department review of expectations and your specific roles in our department. Teaching and grading assignments will be explained, as well as preparation, teaching tips, problems and questions, quizzes and exams, weekly meetings, grading, appropriate office use and the Sexual Harassment Prevention Education

Mailbox in 241 Schaeffer Hall 

All graduate students will have a mailbox in our main office.  The faculty do as well.  Please check your mailbox at least once a week!

Office Desk Assignment

Nearly all supported students will have a desk in one of our offices.  The assignment priority (in this order) includes Ph.D. and Fellowship candidates, research assistants, half-time teaching assistants, quarter-time teaching assistants and lastly graders.  Having a desk is a privilege and should be used only for university business.  Office assignments will be given to students on, August 23.  Keys are checked out ONLY after that time.  Please remember to keep the rooms clean and take out all trash to the large bins in the main hallways.

Set-up your University of Iowa Email

All University of Iowa students are required to activate their assigned uiowa.edu email address, as all official communication from university offices are now sent via email, rather than hard copy. This address usually follows the pattern [email protected]   (However, often a number is also attached.) 

To activate the account:

• Log on to  MyUI
• Click on My UIowa / My Email / Request Email Account
• Complete the specified steps.

Students who prefer to maintain only their work or home email addresses can do so by routing the uiowa.edu email to a work or home account. To do so, follow these steps:

• Click on My UIowa / My Email / Update Email Routing Address

Important Notes:

• If your uiowa.edu email address is routed to a different account, you will  not  need to change your address in ICON, as your messages will already forward to your routed address.
• Log on to MYUI.
• Click on My UIowa / My Email / Email Account Filter bulk mail.
• Make sure that none of the categories are checked.

Required Graduate Assistants Teaching Courses:

• ONLINE CLASS Requirement: Sexual Harassment Prevention Edu.  Use your HawkID and password to log into Employee Self Service. Click the Personal tab, next (under Learning and Development) click on Sexual Harassment Prevention Edu., follow instructions.
• ONLINE CLASS Requirement:  Federal Educational Rights and Privacy Act (FERPA), Use your HawkID and password to log into Employee Self Service. Click the Personal tab, next (under Learning and Development) next click on Available Online Icon Courses, next FERPA Training, then click on View Details twice and the last click will be to Enroll in this ICON Course Session.
• A six-hour orientation program will be required of all students who are certified at level A or B and are teaching for the first time.  This orientation helps new teaching assistants understand the culture of the U.S. classroom and treats topics such as student expectations, teacher-student relationships, and understanding and answering student questions. Discussion focuses on suggestions for maximizing comprehensibility in spoken English. This course meets twice for 3 hours early in the semester. Both meetings are held in the evening.

Administrative Department Staff:

Professor aixin tan (until july 1, 2024).

Director of Graduate Studies, Statistics and Data Science Graduate Advisor: [email protected]   (319) 335-0821.

Professor Boxiang Wang (beginning July 1, 2024)

Director of Graduate Studies, Statistics and Data Science Graduate Advisor: [email protected] (319) 335-2294.

Professor N.D. Shyamalkumar

Actuarial Science Graduate Advisor:  [email protected]    (319) 335-1980

Margie Ebert

Academic Services Coordinator ,  [email protected]  (319) 335-2082

Heather Roth

Administrative Services Coordinator  [email protected]   (319) 335-0712

Tammy Siegel

Department Administrator ,  [email protected] , (319) 335-0706