THE ELEMENTS OF A PROPOSAL

Frank Pajares
Emory University

I. Introduction and Theoretical Framework

A. “The introduction is the part of the paper that provides readers with the background
information for the research reported in the paper. Its purpose is to establish a framework
for the research, so that readers can understand how it is related to other research”
(Wilkinson, 1991, p. 96).

B. In an introduction, the writer should

1. create reader interest in the topic,

2. lay the broad foundation for the problem that leads to the study,
3. place the study within the larger context of the scholarly literature, and
4. reach out to a specific audience. (Creswell, 1994, p. 42)

C. If a researcher is working within a particular theoretical framework/line of inquiry, the

theory or line of inquiry should be introduced and discussed early, preferably in the
introduction or literature review. Remember that the theory/line of inquiry selected will
inform the statement of the problem, rationale for the study, questions and hypotheses,
selection of instruments, and choice of methods. Ultimately, findings will be discussed in
terms of how they relate to the theory/line of inquiry that undergirds the study.

D. Theories, theoretical frameworks, and lines of inquiry may be differently handled in

quantitative and qualitative endeavors.

1. “In quantitative studies, one uses theory deductively and places it toward the
beginning of the plan for a study. The objective is to test or verify theory. One
thus begins the study advancing a theory, collects data to test it, and reflects on
whether the theory was confirmed or disconfirmed by the results in the study.
The theory becomes a framework for the entire study, an organizing model for
the research questions or hypotheses for the data collection procedure” (Creswell,
1994, pp. 87-88).
2. In qualitative inquiry, the use of theory and of a line of inquiry depends on the
nature of the investigation. In studies aiming at “grounded theory,” for example,
theory and theoretical tenets emerge from findings. Much qualitative inquiry,
however, also aims to test or verify theory, hence in these cases the theoretical
framework, as in quantitative efforts, should be identified and discussed early on.

II. Statement of the Problem

A. “The problem statement describes the context for the study and it also identifies the
general analysis approach” (Wiersma, 1995, p. 404).

B. “A problem might be defined as the issue that exists in the literature, theory, or practice
that leads to a need for the study” (Creswell, 1994, p. 50).

C. It is important in a proposal that the problem stand out—that the reader can easily
recognize it. Sometimes, obscure and poorly formulated problems are masked in an
 extended discussion. In such cases, reviewers and/or committee members will have
difficulty recognizing the problem.

D. A problem statement should be presented within a context, and that context should be
provided and briefly explained, including a discussion of the conceptual or theoretical
framework in which it is embedded. Clearly and succinctly identify and explain the
problem within the framework of the theory or line of inquiry that undergirds the study.
This is of major importance in nearly all proposals and requires careful attention. It is a
key element that associations such as AERA and APA look for in proposals. It is
essential in all quantitative research and much qualitative research.

E. State the problem in terms intelligible to someone who is generally sophisticated but who
is relatively uninformed in the area of your investigation.

F. Effective problem statements answer the question “Why does this research need to be
conducted.” If a researcher is unable to answer this question clearly and succinctly, and
without resorting to hyperspeaking (i.e., focusing on problems of macro or global
proportions that certainly will not be informed or alleviated by the study), then the
statement of the problem will come off as ambiguous and diffuse.

G. For conference proposals, the statement of the problem is generally incorporated into the
introduction; academic proposals for theses or dissertations should have this as a separate
section.

II. Purpose of the Study

A. “The purpose statement should provide a specific and accurate synopsis of the overall
purpose of the study” (Locke, Spirduso, & Silverman, 1987, p. 5). If the purpose is not
clear to the writer, it cannot be clear to the reader.

B. Briefly define and delimit the specific area of the research. You will revisit this in greater
detail in a later section.

C. Foreshadow the hypotheses to be tested or the questions to be raised, as well as the

significance of the study. These will require specific elaboration in subsequent sections.

D. The purpose statement can also incorporate the rationale for the study. Some committees
prefer that the purpose and rationale be provided in separate sections, however.

E. Key points to keep in mind when preparing a purpose statement.

1. Try to incorporate a sentence that begins with “The purpose of this study is . . .”
This will clarify your own mind as to the purpose and it will inform the reader
directly and explicitly.
2. Clearly identify and define the central concepts or ideas of the study. Some
committee Chairs prefer a separate section to this end. When defining terms,
make a judicious choice between using descriptive or operational definitions.
3. Identify the specific method of inquiry to be used.
4. Identify the unit of analysis in the study.

II. Review of the Literature

 A. “The review of the literature provides the background and context for the research
problem. It should establish the need for the research and indicate that the writer is
knowledgeable about the area” (Wiersma, 1995, p. 406).

B. The literature review accomplishes several important things.

1. It shares with the reader the results of other studies that are closely related to the
study being reported (Fraenkel & Wallen, 1990).
2. It relates a study to the larger, ongoing dialogue in the literature about a topic,
filling in gaps and extending prior studies (Marshall & Rossman, 1989).
3. It provides a framework for establishing the importance of the study, as well as a
benchmark for comparing the results of a study with other findings.
4. It “frames” the problem earlier identified.

B. Demonstrate to the reader that you have a comprehensive grasp of the field and are aware
of important recent substantive and methodological developments.

C. Delineate the “jumping-off place” for your study. How will your study refine, revise, or
extend what is now known?

D. Avoid statements that imply that little has been done in the area or that what has been
done is too extensive to permit easy summary. Statements of this sort are usually taken as
indications that the writer is not really familiar with the literature.

E. In a proposal, the literature review is generally brief and to the point. Be judicious in your
choice of exemplars—the literature selected should be pertinent and relevant (APA,
2001). Select and reference only the more appropriate citations. Make key points clearly
and succinctly.

F. Committees may want a section outlining your search strategy—the procedures you used
and sources you investigated (e.g., databases, journals, test banks, experts in the field) to
compile your literature review. Check with your Chair.

II. Questions and/or Hypotheses

A. Questions are relevant to normative or census type research (How many of them are
there? Is there a relationship between them?). They are most often used in qualitative
inquiry, although their use in quantitative inquiry is becoming more prominent.
Hypotheses are relevant to theoretical research and are typically used only in quantitative
inquiry. When a writer states hypotheses, the reader is entitled to have an exposition of
the theory that lead to them (and of the assumptions underlying the theory). Just as
conclusions must be grounded in the data, hypotheses must be grounded in the theoretical
framework.

B. A research question poses a relationship between two or more variables but phrases the
relationship as a question; a hypothesis represents a declarative statement of the relations
between two or more variables (Kerlinger, 1979; Krathwohl, 1988).

C. Deciding whether to use questions or hypotheses depends on factors such as the purpose
of the study, the nature of the design and methodology, and the audience of the research
(at times even the taste and preference of committee members, particularly the Chair).

D. The practice of using hypotheses was derived from using the scientific method in social
science inquiry. They have philosophical advantages in statistical testing, as researchers
 should be and tend to be conservative and cautious in their statements of conclusions
(Armstrong, 1974).

E. Hypotheses can be couched in four kinds of statements.

1. Literary null—a “no difference” form in terms of theoretical constructs. For

example, “There is no relationship between support services and academic
persistence of nontraditional-aged college women.” Or, “There is no difference in
school achievement for high and low self-regulated students.”

2. Operational null—a “no difference” form in terms of the operation required to

test the hypothesis. For example, “There is no relationship between the number
of hours nontraditional-aged college women use the student union and their
persistence at the college after their freshman year.” Or, “There is no difference
between the mean grade point averages achieved by students in the upper and
lower quartiles of the distribution of the Self-regulated Inventory.” The
operational null is generally the preferred form of hypothesis-writing.

3. Literary alternative—a form that states the hypothesis you will accept if the null
hypothesis is rejected, stated in terms of theoretical constructs. In other words,
this is usually what you hope the results will show. For example, “The more that
nontraditional-aged women use support services, the more they will persist
academically.” Or, “High self-regulated students will achieve more in their
classes than low self-regulated students.”

4. Operational alternative—Similar to the literary alternative except that the

operations are specified. For example, “The more that nontraditional-aged
college women use the student union, the more they will persist at the college
after their freshman year.” Or, “Students in the upper quartile of the Self-
regulated Inventory distribution achieve significantly higher grade point averages
than do students in the lower quartile.”

B. In general, the null hypothesis is used if theory/literature does not suggest a hypothesized
relationship between the variables under investigation; the alternative is generally
reserved for situations in which theory/research suggests a relationship or directional
interplay.
C. Be prepared to interpret any possible outcomes with respect to the questions or
hypotheses. It will be helpful if you visualize in your mind=s eye the tables (or other
summary devices) that you expect to result from your research (Guba, 1961).

D. Questions and hypotheses are testable propositions deduced and directly derived from
theory (except in grounded theory studies and similar types of qualitative inquiry).

E. Make a clear and careful distinction between the dependent and independent variables
and be certain they are clear to the reader. Be excruciatingly consistent in your use of
terms. If appropriate, use the same pattern of wording and word order in all hypotheses.

II. The Design--Methods and Procedures

A. “The methods or procedures section is really the heart of the research proposal. The
activities should be described with as much detail as possible, and the continuity between
them should be apparent” (Wiersma, 1995, p. 409).
B. Indicate the methodological steps you will take to answer every question or to test every
hypothesis illustrated in the Questions/Hypotheses section.

C. All research is plagued by the presence of confounding variables (the noise that covers up
the information you would like to have). Confounding variables should be minimized by
various kinds of controls or be estimated and taken into account by randomization
processes (Guba, 1961). In the design section, indicate

1. the variables you propose to control and how you propose to control them,
experimentally or statistically, and
2. the variables you propose to randomize, and the nature of the randomizing unit
(students, grades, schools, etc.).

B. Be aware of possible sources of error to which your design exposes you. You will not
produce a perfect, error free design (no one can). However, you should anticipate
possible sources of error and attempt to overcome them or take them into account in your
analysis. Moreover, you should disclose to the reader the sources you have identified and
what efforts you have made to account for them.

C. Sampling

1. The key reason for being concerned with sampling is that of validity—the extent
to which the interpretations of the results of the study follow from the study itself
and the extent to which results may be generalized to other situations with other
people (Shavelson, 1988).
2. Sampling is critical to external validity—the extent to which findings of a study
can be generalized to people or situations other than those observed in the study.
To generalize validly the findings from a sample to some defined population
requires that the sample has been drawn from that population according to one of
several probability sampling plans. By a probability sample is meant that the
probability of inclusion in the sample of any element in the population must be
given a priori. All probability samples involve the idea of random sampling at
some stage (Shavelson, 1988). In experimentation, two distinct steps are
involved.

Random selection—participants to be included in the sample have been chosen at

random from the same population. Define the population and indicate the
sampling plan in detail.

Random assignment—participants for the sample have been assigned at random

to one of the experimental conditions.

3. Another reason for being concerned with sampling is that of internal validity—
the extent to which the outcomes of a study result from the variables that were
manipulated, measured, or selected rather than from other variables not
systematically treated. Without probability sampling, error estimates cannot be
constructed (Shavelson, 1988).

4. Perhaps the key word in sampling is representative. One must ask oneself, “How
representative is the sample of the survey population (the group from which the
sample is selected) and how representative is the survey population of the target
population (the larger group to which we wish to generalize)?”
 5. When a sample is drawn out of convenience (a nonprobability sample), rationale
and limitations must be clearly provided.

6. If available, outline the characteristics of the sample (by gender, race/ethnicity,

socioeconomic status, or other relevant group membership).

7. Detail procedures to follow to obtain informed consent and ensure anonymity

and/or confidentiality.

B. Instrumentation

1. Outline the instruments you propose to use (surveys, scales, interview protocols,
observation grids). If instruments have previously been used, identify previous
studies and findings related to reliability and validity. If instruments have not
previously been used, outline procedures you will follow to develop and test their
reliability and validity. In the latter case, a pilot study is nearly essential.

2. Because selection of instruments in most cases provides the operational

definition of constructs, this is a crucial step in the proposal. For example, it is at
this step that a literary conception such as “self-efficacy is related to school
achievement” becomes “scores on the Mathematics Self-Efficacy Scale are
related to Grade Point Average.” Strictly speaking, results of your study will be
directly relevant only to the instrumental or operational statements (Guba, 1961).

3. Include an appendix with a copy of the instruments to be used or the interview

protocol to be followed. Also include sample items in the description of the
instrument.

4. For a mailed survey, identify steps to be taken in administering and following up

the survey to obtain a high response rate.

B. Data Collection
1. Outline the general plan for collecting the data. This may include survey
administration procedures, interview or observation procedures. Include an
explicit statement covering the field controls to be employed. If appropriate,
discuss how you obtained entré.

2. Provide a general outline of the time schedule you expect to follow.

B. Data Analysis

1. Specify the procedures you will use, and label them accurately (e.g., ANOVA,
MANCOVA, HLM, ethnography, case study, grounded theory). If coding
procedures are to be used, describe in reasonable detail. If you triangulated,
carefully explain how you went about it. Communicate your precise intentions
and reasons for these intentions to the reader. This helps you and the reader
evaluate the choices you made and procedures you followed.

2. Indicate briefly any analytic tools you will have available and expect to use (e.g.,
Ethnograph, NUDIST, AQUAD, SAS, SPSS, SYSTAT).

3. Provide a well thought-out rationale for your decision to use the design,
methodology, and analyses you have selected.
II. Limitations and Delimitations
A. A limitation identifies potential weaknesses of the study. Think about your analysis, the
nature of self-report, your instruments, the sample. Think about threats to internal validity
that may have been impossible to avoid or minimize—explain.

B. A delimitation addresses how a study will be narrowed in scope, that is, how it is
bounded. This is the place to explain the things that you are not doing and why you have
chosen not to do them—the literature you will not review (and why not), the population
you are not studying (and why not), the methodological procedures you will not use (and
why you will not use them). Limit your delimitations to the things that a reader might
reasonably expect you to do but that you, for clearly explained reasons, have decided not
to do.

II. Significance of the Study

A. Indicate how your research will refine, revise, or extend existing knowledge in the area
under investigation. Note that such refinements, revisions, or extensions may have either
substantive, theoretical, or methodological significance. Think pragmatically (i.e., cash
value).

B. Most studies have two potential audiences: practitioners and professional peers.
Statements relating the research to both groups are in order.

C. This can be a difficult section to write. Think about implications—how results of the
study may affect scholarly research, theory, practice, educational interventions, curricula,
counseling, policy.

D. When thinking about the significance of your study, ask yourself the following questions.

1. What will results mean to the theoretical framework that framed the study?
2. What suggestions for subsequent research arise from the findings?
 3. What will the results mean to the practicing educator?
4. Will results influence programs, methods, and/or interventions?
5. Will results contribute to the solution of educational problems?
6. Will results influence educational policy decisions?
7. What will be improved or changed as a result of the proposed research?
8. How will results of the study be implemented, and what innovations will
come about?

II. References
A. Follow APA (2001) guidelines regarding use of references in text and in the reference
list. Of course, your committee or discipline may require Chicago or MLA.

B. Only references cited in the text are included in the reference list; however,
exceptions can be found to this rule. For example, committees may require evidence
that you are familiar with a broader spectrum of literature than that immediately
relevant to your research. In such instances, the reference list may be called a
bibliography.

C. Some committees require that reference lists and/or bibliographies be “annotated,”

which is to say that each entry be accompanied by a brief description, or an abstract.
Check with your committee Chair before the fact.

Appendixes
The need for complete documentation generally dictates the inclusion of appropriate
appendixes in proposals (although this is generally not the case as regards conference
proposals).

The following materials are appropriate for an appendix. Consult with your committee Chair.

Verbatim instructions to participants.

Original scales or questionnaires. If an instrument is copyrighted, permission in
writing to reproduce the instrument from the copyright holder or proof of
purchase of the instrument.
Interview protocols.
Sample of informed consent forms.
Cover letters sent to appropriate stakeholders.
Official letters of permission to conduct research.
 References
American Psychological Association (APA). (2001). Publication manual of the American
Psychological Association (Fourth edition). Washington, DC: Author.
Armstrong, R. L. (1974). Hypotheses: Why? When? How? Phi Delta Kappan, 54, 213-214.
Creswell, J. W. (1994). Research design: Qualitative & quantitative approaches. Thousand Oaks,
CA: Sage.
Guba, E. G. (1961, April). Elements of a proposal. Paper presented at the UCEA meeting, Chapel
Hill, NC.
Fraenkel, J. R. & Wallen, N. E. (1990). How to design and evaluate research in education. New
York: McGraw-Hill.
Kerlinger, F. N. (1979). Behavioral research: A conceptual approach. New York: Holt, Rinehart, &
Winston.
Krathwohl, D. R. (1988). How to prepare a research proposal: Guidelines for funding and
dissertations in the social and behavioral sciences. Syracuse, NY: Syracuse University Press.
Locke, L. F., Spirduso, W. W., & Silverman, S. J. (1987). Proposals that work: A guide for planning
dissertations and grant proposals (2nd ed.). Newbury Park, CA: Sage.
Marshall, C., & Rossman, G. B. (1989). Designing qualitative research: Newbury Park, CA: Sage.
Shavelson, R. J. (1988). Statistical reasoning for the behavioral sciences (second edition). Boston:
Allyn and Bacon.
Wiersma, W. (1995). Research methods in education: An introduction (Sixth edition). Boston: Allyn
and Bacon.
Wilkinson, A. M. (1991). The scientist’s handbook for writing papers and dissertations. Englewood
Cliffs, NJ: Prentice Hall.

How to cite this web page:

Pajares, F. (2007). Elements of a proposal. Available from the author.

Writing and Presenting Your

Thesis or Dissertation
Introduction

This guide has been created to assist my graduate students in thinking through the
many aspects of crafting, implementing and defending a thesis or dissertation. It is my
attempt to share some of the many ideas that have surfaced over the past few years
that definitely make the task of finishing a graduate degree so much easier. (This
Guide is a companion to the Guide for Writing a Funding Proposal.)

Usually a guide of this nature focuses on the actual implementation of the research.
This is not the focus of this guide. Instead of examining such aspects as identifying
appropriate sample size, field testing the instrument and selecting appropriate
statistical tests, this guide looks at many of the quasi-political aspects of the process.
Such topics as how to select a supportive committee, making a compelling
presentation of your research outcomes and strategies for actually getting the paper
written are discussed.

Of course, many of the ideas that are presented can be used successfully by other
graduate students studying under the guidance of other advisers and from many
different disciplines. However, the use of this guide carries no guarantee - implied or
otherwise. When in doubt check with your adviser. Probably the best advice to start
with is the idea of not trying to do your research entirely by yourself. Do it in
conjunction with your adviser. Seek out his/her input and assistance. Stay in touch
with your adviser so that both of you know what's happening. There's a much better
chance of getting to the end of your project and with a smile on your face.

With this in mind, enjoy the guide. I hope it will help you finish your graduate degree
in good shape. Good luck and good researching!

(NOTE: Periodically I receive requests for information on how to prepare a "thesis

statement" rather than actually writing a thesis/dissertation. How To Write a Thesis
Statement is an excellent website that clearly sets forth what a "thesis statement" is
and how to actually prepare one.)

Summary of Key Ideas in this Guide

The Thinking About It Stage

1. Be inclusive with your thinking.

2. Write down your ideas.
3. Don't be overly influenced by others-it's your research.
4. Try and set a realistic goal.
5. Set appropriate time lines.
6. Take a leave of absence when it will do the most good.
7. Try a preliminary study to help clarify your research.

Preparing The Proposal

8. Read other proposals.

9. Prepare a comprehensive review of the literature.
10. Photocopy relevant articles.
11. Proposal should be first 3 chapters of dissertation.
12. Focus your research.
13. Include a title on your proposal.
14. Organize around a set of questions.
15. Some considerations for designing your research:
a. Design your research so the subjects benefit.
b. Choose your methodology wisely.
c. Consider combining methodologies.
d. Carefully select location for your research.
e. Avoid conducting research in conjunction with another
agency.
 16. Use your advisory committee well.
a. Select faculty who will support you.
b. Your major professor is your ally.
c. Provide committee with well written proposal.
d. Plan the proposal meeting well.

Writing The Thesis Or Dissertation

17. Begin writing with sections you know the best.

18. Rewrite your proposal into dissertation sections.
19. Use real names/places in early drafts of dissertation.
20. Print each draft on a different color paper.
21. Use hand drawings of graphics/tables for early drafts.
22. Make your writing clear and unambiguous.
23. Review other dissertations before you begin to write.
24. Introduce tables in the text, present the table and then describe it.
25. Use similar or parallel wording whenever possible.
26. Let your Table of Contents help you improve your manuscript.
27. Write real conclusions and implications - don't restate your
findings.
28. Make your Suggestions for Further Research meaningful.
29. Chapter One should be written last.

The Thesis/Dissertation Defense

30. Attend some defenses before it's your turn.

31. Discuss your research with others.
32. Don't circulate chapters to committee.
33. The defense should be team effort - you and adviser.
34. Don't be defensive at your defense.
35. Organize your defense as an educational presentation.
36. Consider tape recording your defense.
37. Prepare an article on the outcomes of your research.

THE "THINKING ABOUT IT" STAGE

The "thinking about it stage" is when you are finally faced with the reality of
completing your degree. Usually the early phases of a graduate program proceed in
clear and very structured ways. The beginning phases of a graduate program proceed
in much the same manner as an undergraduate degree program. There are clear
requirements and expectations, and the graduate student moves along, step by step,
getting ever closer to the completion of the program. One day, however, the clear
structure begins to diminish and now you're approaching the thesis/dissertation stage.
This is a new and different time. These next steps are more and more defined by you
and not your adviser, the program, or the department.

1. Be inclusive with your thinking.Don't try to eliminate ideas too quickly. Build on
your ideas and see how many different research projects you can identify. Give
yourself the luxury of being expansive in your thinking at this stage -- you won't be
able to do this later on. Try and be creative.

2. Write down your ideas. This will allow you to revisit an idea later on. Or, you can
modify and change an idea. If you don't write your ideas they tend to be in a continual
state of change and you will probably have the feeling that you're not going anywhere.
What a great feeling it is to be able to sit down and scan the many ideas you have
been thinking about, if they're written down.

3. Try not to be overly influenced at this time by what you feel others expect
from you (your colleagues, your profession, your academic department, etc.). You
have a much better chance of selecting a topic that will be really of interest to you if it
is your topic. This will be one of the few opportunities you may have in your
professional life to focus in on a research topic that is really of your own choosing.

4. Don't begin your thinking by assuming that your research will draw
international attention to you!! Instead, be realistic in setting your goal. Make sure
your expectations are tempered by:

... the realization that you are fulfilling an academic requirement,

... the fact that the process of conducting the research may be just as important
(or more important) than the outcomes of the research, and

... the idea that first and foremost the whole research project should be a
learning experience for you.

If you can keep these ideas in mind while you're thinking through your research you
stand an excellent chance of having your research project turn out well.

5. Be realistic about the time that you're willing to commit to your research
project. If it's a 10 year project that you're thinking about admit it at the beginning
and then decide whether or not you have 10 years to give to it. If the project you'd like
to do is going to demand more time than you're willing to commit then you have a
problem.

I know it's still early in your thinking but it's never too early to create a draft of a
timeline. Try using the 6 Stages (see the next item) and put a start and a finish time
for each. Post your timeline in a conspicuous place (above your computer monitor?)
so that it continually reminds you how you're doing. Periodically update your timeline
with new dates as needed. (Thanks to a website visitor from Philadelphia for sharing this idea.)

6. If you're going to ask for a leave of absence from your job while you're working on
your research this isn't a good time to do it. Chances are you can do the "thinking
about it" stage without a leave of absence. Assuming that there are six major phases
that you will have during your research project, probably the best time to get the
most from a leave of absence is during the fourth stage* - the writing stage. This
is the time when you really need to be thinking well. To be able to work at your
writing in large blocks of time without interruptions is something really important. A
leave of absence from your job can allow this to happen. A leave of absence from
your job prior to this stage may not be a very efficient use of the valuable time away
from your work.

Stage 1 - Thinking About It

Stage 2 - Preparing the Proposal

Stage 3- Conducting the Research

Stage 4- Writing the Research Paper*

Stage 5- Sharing the Research Outcomes with Others

Stage 6- Revising the Research Paper

7. It can be most helpful at this early stage to try a very small preliminary research
study to test out some of your ideas to help you gain further confidence in what you'd
like to do. The study can be as simple as conducting half a dozen informal interviews
with no attempt to document what is said. The key is that it will give you a chance to
get closer to your research and to test out whether or not you really are interested in
the topic. And, you can do it before you have committed yourself to doing something
you may not like. Take your time and try it first.

PREPARING THE PROPOSAL

Assuming you've done a good job of "thinking about" your research project, you're
ready to actually prepare the proposal. A word of caution - those students who tend to
have a problem in coming up with a viable proposal often are the ones that have tried
to rush through the "thinking about it" part and move too quickly to trying to write the
proposal. Here's a final check. Do each of these statements describe you? If they do
you're ready to prepare your research proposal.

I am familiar with other research that has been conducted in areas related to
my research project.
(___Yes, it's me)
( ___No, not me)

I have a clear understanding of the steps that I will use in conducting my

research.
(___Yes, it's me)
( ___No, not me)

I feel that I have the ability to get through each of the steps necessary to
complete my research project.
(___Yes, it's me)
( ___No, not me)
 I know that I am motivated and have the drive to get through all of the steps
in the research project.
(___Yes, it's me)
( ___No, not me)

Okay, you're ready to write your research proposal. Here are some ideas to help with
the task:

8. Read through someone else's research proposal. Very often a real stumbling
block is that we don't have an image in our mind of what the finished research
proposal should look like. How has the other proposal been organized? What are the
headings that have been used? Does the other proposal seem clear? Does it seem to
suggest that the writer knows the subject area? Can I model my proposal after one of
the ones that I've seen? If you can't readily find a proposal or two to look at, ask your
adviser to see some. Chances are your adviser has a file drawer filled with them.

9. Make sure your proposal has a comprehensive review of the literature included.
Now this idea, at first thought, may not seem to make sense. I have heard many
students tell me that "This is only the proposal. I'll do a complete literature search for
the dissertation. I don't want to waste the time now." But, this is the time to do it. The
rationale behind the literature review consists of an argument with two lines of
analysis: 1) this research is needed, and 2) the methodology I have chosen is most
appropriate for the question that is being asked. Now, why would you want to wait?
Now is the time to get informed and to learn from others who have preceded you! If
you wait until you are writing the dissertation it is too late. You've got to do it some
time so you might as well get on with it and do it now. Plus, you will probably want
to add to the literature review when you're writing the final dissertation. (Thanks to a website
visitor from Mobile, Alabama who helped to clarify this point.)

10. With the ready availability of photocopy machines you should be able to bypass
many of the hardships that previous dissertation researchers had to deal with in
developing their literature review. When you read something that is important to your
study, photocopy the relevant article or section. Keep your photocopies organized
according to categories and sections. And, most importantly, photocopy the
bibliographic citation so that you can easily reference the material in your
bibliography. Then, when you decide to sit down and actually write the literature
review, bring out your photocopied sections, put them into logical and sequential
order, and then begin your writing.

11. What is a proposal anyway? A good proposal should consist of the first three
chapters of the dissertation. It should begin with a statement of the
problem/background information (typically Chapter I of the dissertation), then move
on to a review of the literature (Chapter 2), and conclude with a defining of the
research methodology (Chapter 3). Of course, it should be written in a future tense
since it is a proposal. To turn a good proposal into the first three chapters of the
dissertation consists of changing the tense from future tense to past tense (from "This
is what I would like to do" to "This is what I did") and making any changes based on
the way you actually carried out the research when compared to how you proposed to
do it. Often the intentions we state in our proposal turn out different in reality and we
then have to make appropriate editorial changes to move it from proposal to
dissertation.

12. Focus your research very specifically. Don't try to have your research cover too
broad an area. Now you may think that this will distort what you want to do. This may
be the case, but you will be able to do the project if it is narrowly defined. Usually a
broadly defined project is not do-able. By defining too broadly it may sound better to
you, but there is a great chance that it will be unmanageable as a research project.
When you complete your research project it is important that you have something
specific and definitive to say. This can be accommodated and enhanced by narrowly
defining your project. Otherwise you may have only broadly based things to say about
large areas that really provide little guidance to others that may follow you. Often the
researcher finds that what he/she originally thought to be a good research project turns
out to really be a group of research projects. Do one project for your dissertation and
save the other projects for later in your career. Don't try to solve all of the problems in
this one research project.

13. Include a title on your proposal. I'm amazed at how often the title is left for the
end of the student's writing and then somehow forgotten when the proposal is
prepared for the committee. A good proposal has a good title and it is the first thing to
help the reader begin to understand the nature of your work. Use it wisely! Work on
your title early in the process and revisit it often. It's easy for a reader to identify those
proposals where the title has been focused upon by the student. Preparing a good title
means:

...having the most important words appear toward the beginning of your title,

...limiting the use of ambiguous or confusing words,

..breaking your title up into a title and subtitle when you have too many words,
and

...including key words that will help researchers in the future find your work.

14. It's important that your research proposal be organized around a set of
questions that will guide your research. When selecting these guiding questions try to
write them so that they frame your research and put it into perspective with other
research. These questions must serve to establish the link between your research and
other research that has preceded you. Your research questions should clearly show the
relationship of your research to your field of study. Don't be carried away at this point
and make your questions too narrow. You must start with broad relational questions.

A good question:

Do adult learners in a rural adult education setting have characteristics

that are similar to adult learners in general ?

A poor question:
 What are the characteristics of rural adult learners in an adult education
program? (too narrow)

A poor question:

How can the XYZ Agency better serve rural adult learners? (not
generalizable)

15. Now here are a few more ideas regarding the defining of your research project
through your proposal.

a. Make sure that you will be benefitting those who are participating in the
research. Don't only see the subjects as sources of data for you to analyze.
Make sure you treat them as participants in the research. They have the right
to understand what you are doing and you have a responsibility to share the
findings with them for their reaction. Your research should not only empower
you with new understandings but it should also empower those who are
participating with you.

b. Choose your methodology wisely. Don't be too quick in running away

from using a quantitative methodology because you fear the use of statistics. A
qualitative approach to research can yield new and exciting understandings,
but it should not be undertaken because of a fear of quantitative research. A
well designed quantitative research study can often be accomplished in very
clear and direct ways. A similar study of a qualitative nature usually requires
considerably more time and a tremendous burden to create new paths for
analysis where previously no path had existed. Choose your methodology
wisely!

c. Sometimes a combined methodology makes the most sense. You can

combine a qualitative preliminary study (to define your population more
clearly, to develop your instrumentation more specifically or to establish
hypotheses for investigation) with a quantitative main study to yield a research
project that works well.

d. Deciding on where you will conduct the research is a major decision. If

you are from another area of the country or a different country there is often
an expectation that you will return to your "home" to conduct the research.
This may yield more meaningful results, but it will also most likely create a
situation whereby you are expected to fulfill other obligations while you are
home. For many students the opportunity to conduct a research project away
from home is an important one since they are able to better control many of
the intervening variables that they can not control at home. Think carefully
regarding your own situation before you make your decision.

e. What if you have the opportunity for conducting your research in

conjunction with another agency or project that is working in related areas.
Should you do it? Sometimes this works well, but most often the dissertation
researcher gives up valuable freedom to conduct the research project in
conjunction with something else. Make sure the trade-offs are in your
 favor. It can be very disastrous to have the other project suddenly get off
schedule and to find your own research project temporarily delayed. Or, you
had tripled the size of your sample since the agency was willing to pay the
cost of postage. They paid for the postage for the pre-questionnaire. Now they
are unable to assist with postage for the post-questionnaire. What happens to
your research? I usually find that the cost of conducting dissertation research
is not prohibitive and the trade-offs to work in conjunction with another
agency are not in favor of the researcher. Think twice before altering your
project to accommodate someone else. Enjoy the power and the freedom to
make your own decisions (and mistakes!) -- this is the way we learn!

16. Selecting and preparing your advisory committee to respond to your proposal
should not be taken lightly. If you do your "homework" well your advisory
committee can be most helpful to you. Try these ideas:

a. If you are given the opportunity to select your dissertation committee do it

wisely. Don't only focus on content experts. Make sure you have selected
faculty for your committee who are supportive of you and are willing to
assist you in successfully completing your research. You want a committee
that you can ask for help and know that they will provide it for you. Don't
forget, you can always access content experts who are not on your committee
at any time during your research project.

b. Your major professor/adviser/chairperson is your ally. When you go to

the committee for reactions to your proposal make sure your major professor
is fully supportive of you. Spend time with him/her before the meeting so that
your plans are clear and you know you have full support. The proposal
meeting should be seen as an opportunity for you and your major professor to
seek the advice of the committee. Don't ever go into the proposal meeting with
the feeling that it is you against them!

c. Provide the committee members with a well-written proposal well in

advance of the meeting. Make sure they have ample time to read the proposal.

d. Plan the proposal meeting well. If graphic presentations are necessary to

help the committee with understandings make sure you prepare them so they
look good. A well planned meeting will help your committee understand that
you are prepared to move forward with well planned research. Your
presentation style at the meeting should not belittle your committee members
(make it sound like you know they have read your proposal) but you should
not assume too much (go through each of the details with an assumption that
maybe one of the members skipped over that section).

WRITING THE THESIS OR DISSERTATION

Now this is the part we've been waiting for. I must assume that you have come up
with a good idea for research, had your proposal approved, collected the data,
conducted your analyses and now you're about to start writing the dissertation. If
you've done the first steps well this part shouldn't be too bad. In fact it might even be
enjoyable!

17. The major myth in writing a dissertation is that you start writing at Chapter One
and then finish your writing at Chapter Five. This is seldom the case. The most
productive approach in writing the dissertation is to begin writing those parts of the
dissertation that you are most comfortable with. Then move about in your writing
by completing various sections as you think of them. At some point you will be able
to spread out in front of you all of the sections that you have written. You will be able
to sequence them in the best order and then see what is missing and should be added
to the dissertation. This way seems to make sense and builds on those aspects of your
study that are of most interest to you at any particular time. Go with what interests
you, start your writing there, and then keep building!

(David Kraenzel - North Dakota State University - wrote in describing the "A to Z Method". Look at
the first section of your paper. When you are ready go ahead and write it. If you are not ready, move
section-by-section through your paper until you find a section where you have some input to make.
Make your input and continue moving through the entire paper - from A to Z - writing and adding to
those sections for which you have some input. Each time you work on your paper follow the same A to
Z process. This will help you visualize the end product of your efforts from very early in your writing
and each time you work on your paper you will be building the entire paper - from A to Z. Thanks
David!)

18. If you prepared a comprehensive proposal you will now be rewarded! Pull out the
proposal and begin by checking your proposed research methodology. Change the
tense from future tense to past tense and then make any additions or changes so that
the methodology section truly reflects what you did. You have now been able to
change sections from the proposal to sections for the dissertation. Move on to the
Statement of the Problem and the Literature Review in the same manner.

19. I must assume you're using some form of word processing on a computer to write
your dissertation. (if you aren't, you've missed a major part of your doctoral
preparation!) If your study has specific names of people, institutions and places that
must be changed to provide anonymity don't do it too soon. Go ahead and write your
dissertation using the real names. Then at the end of the writing stage you can
easily have the computer make all of the appropriate name substitutions. If you make
these substitutions too early it can really confuse your writing.

20. As you get involved in the actual writing of your dissertation you will find that
conservation of paper will begin to fade away as a concern. Just as soon as you print a
draft of a chapter there will appear a variety of needed changes and before you know
it another draft will be printed. And, it seems almost impossible to throw away any of
the drafts! After awhile it will become extremely difficult to remember which draft of
your chapter you may be looking at. Print each draft of your dissertation on a
different color paper. With the different colors of paper it will be easy to see which
is the latest draft and you can quickly see which draft a committee member might be
reading. (Thanks to Michelle O'Malley at University of Florida for sharing this idea.)

21. The one area where I would caution you about using a word processor is in the
initial creation of elaborate graphs or tables. I've seen too many students spend too
many hours in trying to use their word processor to create an elaborate graph that
could have been done by hand in 15 minutes. So, the simple rule is to use hand
drawing for elaborate tables and graphs for the early draft of your dissertation.
Make sure your data are presented accurately so your advisor can clearly understand
your graph/table, but don't waste the time trying to make it look word processor
perfect at this time. Once you and your advisor agree upon how the data should be
graphically represented it is time to prepare "perfect" looking graphs and tables.

22. Dissertation-style writing is not designed to be entertaining. Dissertation writing

should be clear and unambiguous. To do this well you should prepare a list of key
words that are important to your research and then your writing should use this set of
key words throughout. There is nothing so frustrating to a reader as a manuscript that
keeps using alternate words to mean the same thing. If you've decided that a key
phrase for your research is "educational workshop", then do not try substituting other
phrases like "in-service program", "learning workshop", "educational institute", or
"educational program." Always stay with the same phrase - "educational workshop."
It will be very clear to the reader exactly what you are referring to.

23. Review two or three well organized and presented dissertations. Examine their
use of headings, overall style, typeface and organization. Use them as a model for the
preparation of your own dissertation. In this way you will have an idea at the
beginning of your writing what your finished dissertation will look like. A most
helpful perspective!

24. A simple rule - if you are presenting information in the form of a table or graph
make sure you introduce the table or graph in your text. And then, following the
insertion of the table/graph, make sure you discuss it. If there is nothing to discuss
then you may want to question even inserting it.

25. Another simple rule - if you have a whole series of very similar tables try to use
similar words in describing each. Don't try and be creative and entertaining with
your writing. If each introduction and discussion of the similar tables uses very
similar wording then the reader can easily spot the differences in each table.

26. We are all familiar with how helpful the Table of Contents is to the reader. What
we sometimes don't realize is that it is also invaluable to the writer. Use the Table of
Contents to help you improve your manuscript. Use it to see if you've left
something out, if you are presenting your sections in the most logical order, or if you
need to make your wording a bit more clear. Thanks to the miracle of computer
technology, you can easily copy/paste each of your headings from throughout your
writing into the Table of Contents. Then sit back and see if the Table of Contents is
clear and will make good sense to the reader. You will be amazed at how easy it will
be to see areas that may need some more attention. Don't wait until the end to do your
Table of Contents. Do it early enough so you can benefit from the information it will
provide to you.

27. If you are including a Conclusions/Implications section in your dissertation make

sure you really present conclusions and implications. Often the writer uses the
conclusions/implications section to merely restate the research findings. Don't waste
my time. I've already read the findings and now, at the Conclusion/Implication
section, I want you to help me understand what it all means. This is a key section of
the dissertation and is sometimes best done after you've had a few days to step away
from your research and allow yourself to put your research into perspective. If you do
this you will no doubt be able to draw a variety of insights that help link your research
to other areas. I usually think of conclusions/implications as the "So what" statements.
In other words, what are the key ideas that we can draw from your study to apply to
my areas of concern.

28. Potentially the silliest part of the dissertation is the Suggestions for Further
Research section. This section is usually written at the very end of your writing
project and little energy is left to make it very meaningful. The biggest problem with
this section is that the suggestions are often ones that could have been made prior to
you conducting your research. Read and reread this section until you are sure that
you have made suggestions that emanate from your experiences in conducting the
research and the findings that you have evolved. Make sure that your suggestions for
further research serve to link your project with other projects in the future and provide
a further opportunity for the reader to better understand what you have done.

29. Now it's time to write the last chapter. But what chapter is the last one? My
perception is that the last chapter should be the first chapter. I don't really mean
this in the literal sense. Certainly you wrote Chapter One at the beginning of this
whole process. Now, at the end, it's time to "rewrite" Chapter One. After you've had a
chance to write your dissertation all the way to the end, the last thing you should do is
turn back to Chapter One. Reread Chapter One carefully with the insight you now
have from having completed Chapter Five. Does Chapter One clearly help the reader
move in the direction of Chapter Five? Are important concepts that will be necessary
for understanding Chapter Five presented in Chapter One?

THE THESIS/DISSERTATION DEFENSE

What a terrible name - a dissertation defense. It seems to suggest some sort of war
that you're trying to win. And, of course, with four or five of them and only one of
you it sounds like they may have won the war before the first battle is held. I wish
they had called it a dissertation seminar or professional symposium. I think the name
would have brought forward a much better picture of what should be expected at this
meeting.

Regardless of what the meeting is called, try to remember that the purpose of the
meeting is for you to show everyone how well you have done in the conducting of
your research study and the preparation of your dissertation. In addition there should
be a seminar atmosphere where the exchange of ideas is valued. You are clearly the
most knowledgeable person at this meeting when it comes to your subject. And, the
members of your committee are there to hear from you and to help you better
understand the very research that you have invested so much of yourself in for the
past weeks. Their purpose is to help you finish your degree requirements. Of course
other agenda often creep in. If that happens, try to stay on course and redirect the
meeting to your agenda.

The following ideas should help you keep the meeting on your agenda.
30. The most obvious suggestion is the one seldom followed. Try to attend one or
more defenses prior to yours. Find out which other students are defending their
research and sit in on their defense. In many departments this is expected of all
graduate students. If this is not the case for you, check with your adviser to see that
you can get an invitation to attend some defenses.

At the defense try and keep your focus on the interactions that occur. Does the student
seem relaxed? What strategies does the student use to keep relaxed? How does the
student interact with the faculty? Does the student seem to be able to answer questions
well? What would make the situation appear better? What things should you avoid?
You can learn a lot from sitting in on such a meeting.

31. Find opportunities to discuss your research with your friends and colleagues.
Listen carefully to their questions. See if you are able to present your research in a
clear and coherent manner. Are there aspects of your research that are particularly
confusing and need further explanation? Are there things that you forgot to say?
Could you change the order of the information presented and have it become more
understandable?

32. I hope you don't try circulating chapters of your dissertation to your
committee members as you are writing them. I find this practice to be most
annoying and one that creates considerable problems for the student. You must work
closely with your dissertation director. He/she is the person you want to please.
Develop a strategy with the dissertation director regarding how and when your writing
should be shared. Only after your dissertation director approves of what you have
done should you attempt to share it with the rest of the committee. And by then it's
time for the defense. If you prematurely share sections of your writing with committee
members you will probably find yourself in a situation where one committee member
tells you to do one thing and another member says to do something else. What should
you do? The best answer is not to get yourself into such a predicament. The
committee meeting (the defense) allows the concerns of committee members to
surface in a dialogical atmosphere where opposing views can be discussed and
resolved.

33. It's important that you have the feeling when entering your defense that you aren't
doing it alone. As was mentioned earlier, your major professor should be seen as an
ally to you and "in your corner" at the defense. Don't forget, if you embarrass yourself
at the defense you will also be embarrassing your dissertation director. So, give both
of you a chance to guarantee there is no embarrassment. Meet together ahead of time
and discuss the strategy you should use at the defense. Identify any possible problems
that may occur and discuss ways that they should be dealt with. Try and make the
defense more of a team effort.

34. Don't be defensive at your defense (this sounds confusing!). This is easy to say
but sometimes hard to fulfill. You've just spent a considerable amount of time on your
research and there is a strong tendency for YOU to want to defend everything you've
done. However, the committee members bring a new perspective and may have some
very good thoughts to share. Probably the easiest way to deal with new input is to say
something like "Thank you so much for your idea. I will be giving it a lot of
consideration." There, you've managed to diffuse a potentially explosive situation and
not backed yourself or the committee member into a corner. Plus, you've not promised
anything. Try and be politically astute at this time. Don't forget that your ultimate goal
is to successfully complete your degree.

35. Probably the most disorganized defense I've attended is the one where the
dissertation director began the meeting by saying, "You've all read the dissertation.
What questions do you have for the student?" What a mess. Questions started to be
asked that bounced the student around from one part of the dissertation to another.
There was no semblance of order and the meeting almost lost control due to its lack of
organization. At that time I vowed to protect my students from falling into such a trap
by helping them organize the defense as an educational presentation.

Here's what we do:

I ask the student to prepare a 20-25 minute presentation that reviews the entire
study. This is done through the help of a series of 10-12 large pieces of paper,
wall charts, that have been posted sequentially around the walls of the room.
Each piece of paper contains key words regarding each of the different aspects
of the study. Some pieces of paper contain information about the study setting,
questions and methodology. Other pieces of paper present findings and finally
there are those pieces that present the conclusions and implications. By
preparing these wall charts ahead of time the student is able to relax during the
presentation and use the pieces of paper as if they were a road map toward the
goal. No matter how nervous you are you can always let the wall charts guide
YOU through your presentation. Lettering is done with a dark marking pen
and extra notes are included in very small printing with a pencil (that no one
can really see). We've also tried it with overhead projected transparencies but
it doesn't work as well. With the transparencies they're gone from view after a
few seconds. The wall charts stay up for everyone to see and to help focus
attention.

Following this structured presentation the committee begins to ask questions, but as
can be expected the questions follow along with the wall charts and the whole
discussion proceeds in an orderly manner. If guests are present at the defense, this
form of presentation helps them also follow along and understand exactly what was
accomplished through the research.

36. Consider tape recording your defense. Using a small portable recorder, record
your entire presentation and also the questions and comments of the committee
members. This helps in two ways. First, the student has documentation to assist in
making suggested changes and corrections in the dissertation. The student can relax
more and listen to what is being said by the committee members. The tape recorder is
taking notes! Second, the student has a permanent record of his/her presentation of the
study. By keeping the paper charts and the tape together, they can be most useful for
reviewing the research in future years when a request is made for a presentation.
(Bring out the tape and the pieces of paper the night before your presentation and you
can listen to you make the presentation. What a good way to review.)

Well that about does it. By following the above suggestions and ideas I hope it will be
possible for you to finish your graduate degree program in a most timely and
 enjoyable manner. By looking ahead to the different aspects of this final part of your
graduate study it becomes clear that you can do a number of things to insure your
success. Good luck!

37. Oh, I almost forgot. There's one last thing. Get busy and prepare an article or
paper that shares the outcomes of your research. There will be no better time to do
this than now. Directly after your defense is when you know your study the best and
you will be in the best position to put your thinking on paper. If you put this writing
task off it will probably never get done. Capitalize on all of the investment you have
made in your research and reap some additional benefit - start writing.

Research proposal
From Wikipedia, the free encyclopedia

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A research proposal is a document written by a researcher that provides a detailed

description of the proposed program. It is like an outline of the entire research process that
gives a reader a summary of the information discussed in a project.

Research proposals are written for various reasons, such as budget request for the research
they describe, certification requirements for research example from an institutional review
board committee if the experiment is to be done on human beings or animals protected by
animal rights laws), as a task in tertiary education (e.g., before performing research for a
dissertation), or as a condition for employment at a research institution (which usually
requires sponsor-approved research proposals).

The phrasing of research proposals has many similarities to that of scientific articles.
Research proposals are written in future tense and have different points of emphasis. Like
scientific articles, research proposals have sections describing the research background,
significance, methods, and references. The method section of research proposals is far more
detailed than those of scientific articles, allowing profound understanding of the price and
risks of the study and the plans for reducing them. Instead of a section describing the results,
research proposals have a section describing the hypotheses or the expected results. A typical
research proposal includes an extensive but focused literature review. A research proposal
may also include preliminary results.

in contrast to scientific articles, research proposals usually contain the curriculum vitaes of the
researchers. The curriculum vitaes are required for proving that the personnel asking to conduct the
research are capable of doing so. For example, a research proposal for a study
human beings. Similarly, a research proposal in biology is not likely to receive funding when
the entire staff consists of mathematicians only. In some academic institutes, a detailed
resume of the thesis mentor is required on the research proposal in order to show that the
mentor can help the student with the subject of the thesis.

Research sponsors publish calls for research proposals, specifying the topics into which they
fund research and their detailed format requirements. Those sponsors may be governmental,
nonprofit or business research foundations.