The Aims and Process of the Research Paper

Author(s): Robert A. Schwegler and Linda K. Shamoon

Source: College English, Vol. 44, No. 8 (Dec., 1982), pp. 817-824
Published by: National Council of Teachers of English
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 Robert A. Schwegler and Linda K. Shamoon

The Aims and Process

of the Research Paper

Many members of our department-and yours too, we suspect-have stopped

teaching the research paper in composition courses because the papers they re-
ceive are so often disappointingand because they believe that freshmen and
sophomores may not be sophisticatedenough to do the kind of thinkingneces-
sary for a worthwhile research paper. These instructorssay they view the re-
search paper not simply as a review of informationfound in secondary sources,
but as an argumentwith sources which expands the student's (and the reader's)
view of the subject. But, they complain, students seem overwhelmed by what
they find in outside sources and are incapable of weaving the informationthey
have gatheredinto an argumentthat presents and defends their point of view.
Compositiontextbooks and writingteachers have tried to deal with this prob-
lem in three ways, each of which has proven inadequatein some respect.
One answer has been to provide better training in gathering and arranging
information(that is, libraryand documentationskills). Though these skills have
some value, they still are likely to have little impact on the quality of the papers
students write in composition courses or in other courses because academic re-
search is a process of inquiry, problem-solving,and argument, not simply an
information-gathering process.
A second answer has been to place considerable stress on the argumentative
nature of the research paper. But though academic research papers contain ar-
guments, they cannot be called argumentativein aim or structurebecause they
do not focus on alteringthe values, ideas, or emotional attitudes of an audience
or on moving the audience to action of some kind: intellectual, emotional, or
physical. The kind of research papers scholars write and reward their students

Robert A. Schwegler is a member of the Department of English and acting director of the College
Writing Program at the University of Rhode Island. He is the co-author of Commnunication:Writing
and Speaking (Little, Brown), and the author of articles on composition, folklore, and Renaissance
literature.
Linda K. Shamoon teaches in the Department of English and the College Writing Program at the
University of Rhode Island. She has published essays on the research paper and is currently working
on a study of academic writing.
This essay, like the preceding essay by Richard L. Larson, was presented as part of a panel of four
papers at the MLA meeting in December 1981. It will form part of the introductory chapter of the
book Teaching the Research Paper edited by James Ford (Modern Language Association, forthcom-
ing).

College English, Volume 44, Number 8, December 1982

817

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818 College English

for writing is, instead, what James Kinneavy calls "scientific discourse": writing
that makes interpretive statements about some aspect of reality (a poem, a his-
torical event, a social movement, or a chemical reaction) and demonstrates the
validity of these statements (A Theory of Discourse [Englewood Cliffs, N.J.:
Prentice-Hall, 1971], pp. 88-89).
A third answer has been that we should give up teaching the research paper
altogether because it bears little relationship to the writing that students are
asked to do in other courses. Yet students are often required to write papers
based on research, and the strategies appropriate for these papers are easy
enough to recognize-and to make part of research paper instruction in composi-
tion courses.
As we see it, the first step in a satisfactory answer to the research paper
problem is to recognize the considerable difference between the way students
view the research paper (and have been taught to view it) and the way most
college instructors and other researchers view it. The second step is to begin to
base research paper instruction on a sound understanding of the features of
academic research writing, features that characterize the professional writing of
most college instructors and that form a model that instructors rely on-often
unconsciously-to evaluate student papers.
We became acutely aware of differing views of the research paper when we
interviewed instructors and students about their views of the research process,
the aims of research, the forms of research writing, and the appropriate evalua-
tion standards for academic research papers. The responses revealed not only
the differences in outlook of the novice and the professional, but also substan-
tially different attitudes towards the research process and the aim, forms, and
audience of the research paper. These contradictory perspectives go a long way
toward explaining the dissatisfaction many instructors feel when they have
finished grading a set of research papers and the irritation students feel when
they receive a poor grade on a paper they were sure did all that a research paper
is supposed to do.
When asked why they write research papers and why teachers assign the pa-
pers, students responded,
"to learn more about a topic"
"to learn how to use the library"
"to show how much you know"
"information... they want a small topic where you can get just about everything
on it"
"they want to see specifics . . to see how well you can use your research skills."
When asked about the process of researching and writing, students offered the
following scenario:
You usually don't get aroundto it for a while, but when you do you start out with a
little bit of an idea; then you get a lot of books and put the informationon note
cards; you keep the note cards and bibliographysorted out; then you put together
the pieces of informationthat are related, start on a roughoutline, and finally write
the paper.
When asked what standards they expect instructors to apply, the students said,

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 The Aims and Process of the Research Paper 819

"The instructorknows about the topic; he knows what you should have in that
paper;he's going to look for those points in the paper."
"They'll say use Kate Turabian ... go by the book . . every page is laid out."
"Depends on the teacher ... some are too mixed up in grammarand punctuation;
they'll ignore the content."
These comments show that students generally view the research paper as in-
formative in aim, not argumentative, much less analytical; as factual rather than
interpretive; designed to show off knowledge of library skills and documentation
procedures. The paper is viewed as an exercise in information gathering, not an
act of discovery; the audience is assumed to be a professor who already knows
about the subject and is testing the student's knowledge and information-
gathering ability. Thus, according to the students, evaluation is (and should be)
based on the quantity and quality of the information presented, on correctness of
documentation, but not on form and style (English papers excepted).
When asked about the purpose of research and the research paper, instructors
replied that the aim is to test a theory, to follow up on previous research, or to
explore a problem posed by other research or by events. For most instructors,
however, research is a "continuous development," a pursuit of an elusive truth:
"What you do in researchis to try to throw open a window on the world at a given
point; open up the window and see what it looks like there; but as soon as that point
has been identifiedit has already moved into the past so that one would not expect
it to remainthe same."
For most instructors, the research and writing process follows a clear but com-
plex pattern:
"The original focus begins with getting interested in an idea during reading or a
review of the literatureand getting a sense of where the field stands theoretically
and methodologically-and jotting down notes about problems, drawbacks to the
research, how theoreticaland methodologicalideas can be improved. From there I
would say, after a considerableamount of reading,how I would do it better, what
research approach I would use to fill in a gap, answer a question, compare two
theories-to me it's a giant puzzle and I try to assess how well the pieces fit to-
gether and then I design a research project to add more pieces to the puzzle or
clarify the edges, or build a new puzzle."
"the community of scholars (peers) working in the area and the classroom, too, are
sources of ideas . . . there is a certain amount of serendipity involved."
"Studies have shown that virtually the last place you go is the library . . . the first
step is to call around to colleagues to identify sources . . . another start is to pick up
a bibliography through Bibliographic Index."
"I know the whole strategy. I'll have a couple dozen sentences in my head, particu-
larly introductory sentences, analytic sentences, and conclusion sentences, [and
then I'll sit down to write]."

And the instructors also have specific ideas about how research and research
papers should be structured-and about how they are usually evaluated by the
other scholars that make up the intended audience:
"There is a continuous degree of uncertainty through the process . .. but when you
write the paper you really have an obligation to state your views and to state what
you have perceived or concluded in strong enough terms so that there is some
validity to the statement."

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820 College English

"''Ifyou don't follow the appropriateparadigm,then other scholars will attack your
work."
"I look for a formulain every articlethat comes into ourjournal. ... [An empirical
article, for example:] Introduction,theoretical overview, justification of the issue,
literature review, methods, sample, measurements, design, data, analysis, sum-
mary, references, footnotes. ... The review of research must be analysis, not just
a summary;it must tell me what the scholars said and what it means in relationship
to the whole . . . each individualanalysis is part of the puzzle and I want to know
how much of the puzzle is complete."
Academics view the research paper as analytical and interpretive, an attempt
to explore some aspect of the world and to make verifiable statements about it.
Research generally begins with an observation or a need for knowledge which is
then explored in a systematic manner. Projects often arise from the concerns of a
community of scholars or in response to the work of a particular scholar. The
community also forms the intended audience for research papers, and its expec-
tations, as realized for example in the editorial policies of journals, help guide
choice of topics and writing strategies. Though the instructors we interviewed
see the research process as open-ended, often tentative, they see the research
paper as restricted in aim and conventional in style and structure.
The contrasts between the instructors' view and the students' view are impor-
tant. Students view the research paper as a close-ended, informative, skills-
oriented exercise written for an expert audience by novices pretending to be
experts. No wonder then that students' papers often roam freely over the subject
area, are devoid of focus, and loaded down with quotes. Academics, on the
other hand, view the research paper as open-ended and interpretive, written for
an audience of fellow inquirers who have specific expectations of logic, struc-
ture, and style. Academic research papers reflect this view by being narrowly
focused, aware of the scholarly audience, and frequently tentative in advancing a
conclusion.
Our students' view of the research paper is echoed and supported by the
instruction they receive in most composition classes and by textbooks. Some
textbook writers acknowledge the considerable gap between the kind of research
writing scholars do and the kind we teach, but they argue that informative or
argumentative papers are appropriate work for novices. The Research Paper
Workbook by Ellen Strenski and Madge Manfred (New York: Longman, 1981) is
typical:
At this stage of your career you are an apprenticescholar and will be concerned
mostly with secondary research, which means findingout what the recognized au-
thorities on a particulartopic have to say about a topic that has caught your inter-
est. (p. 2)
While this "apprenticeship" argument contains a certain amount of truth, it is
nonetheless misleading. Instructors in content-area courses do not expect un-
dergraduates to produce fully developed research articles like those that appear
in scholarly journals. Yet they do expect students' work to adhere to the aims of
academic research writing and to begin to display its stylistic and structural fea-
tures. In our conversations with instructors and in related studies of instructors'
responses to students' research papers (discussed in our unpublished paper,

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 The Aims and Process of the Research Paper 821

"Teaching the Research Paper: A New Approach to an Old Problem," and in a

paper presented by Professor Schwegler at a meeting of the North East MLA in
March 1979, "Form and Aim in Analytic Writing"), it became clear that college
instructors view the research paper as a means to accomplish one of the primary
goals of college instruction: to get students to think in the same critical, analyti-
cal, inquiring mode as instructors do-like a literary critic, a sociologist, an art
historian, or a chemist. And it was also clear that many teachers draw paper
assignments and evaluation standards from their view of what a scholarly re-
search article is and does, adapted of course to an undergraduate level.
Thus while it makes sense to treat the undergraduate research paper as part of
an apprenticeship, we need to make sure that the aim, structure, and style of the
papers we assign conform to the kinds of papers that content-area instructors
will expect from our students. The features of the academic research paper are
easy enough to identify and convey to undergraduates. And because the conven-
tions for the most part transcend disciplinary boundaries (except in superficial
matters like use of personal pronouns and documentation style), they can be
made part of research paper instruction in composition courses and in lower-
level, content-area courses.
What, then, are the aims, structures, and stylistic features of the research
papers (or articles) college instructors write and also expect their students to
write?
The aim of the academic research paper is twofold, reflecting the duality of
the research process it aims to represent. The research paper is at once open-
ended and limited-exploratory and demonstrative. It begins with the known, as
defined by current scholarship, and moves into the unknown, attempting to pur-
sue an admittedly elusive "truth." At the same time the statements it makes
about the nature of its subject are generally limited to those whose validity can
be demonstrated with a high degree of probability according to the method guid-
ing the inquiry and according to evidence drawn from the subject. This emphasis
on method of investigation is one of the distinguishing features of research writ-
ing. Reliance on a particular method of inquiry limits the kind of statements that
can be made about a subject; as Kinneavy puts it, "scientific discourse consists
in a consideration of one facet of an object and the making of certain kinds of
assertions . . about this facet" (p. 88). In addition, since it is generally difficult
to make statements of high probability about a broad topic, most academic re-
search papers are severely restricted in scope, dealing for example with a single
aspect of a poem, a central chapter in a novel, or a single facet of the structure of
DNA. There is usually an attempt, however, to relate the conclusions reached
about a single facet to the whole, to treat a single chapter as a key to a whole
novel, or the habits of a social subgroup as central to an understanding of the
whole culture.
These then are the underlying aims or features of the research paper: aware-
ness of scholarly content; method of investigation; specific subject (data); con-
clusion about the nature of the subject; and relationship of specific subject to
broader subject area. And these underlying features manifest themselves in re-
search papers as essential textual features, that is, as conventions. They appear

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822 College English

at the beginning of a paper as indicators of the range and perspective of the

study, in the body as guides to the rhetoricalstrategies, and in the conclusion as
a restatementof the point of view of the study and a statementabout its implica-
tions. (See Appendix A.)
The opening section of an academic research paper, regardless of field, cites
previous research, usually in an attempt to limit the subject or problem and to
provide an intellectual context for the study. The introductionalso introduces
the broad subject area and specifies what limited aspects of it are to be examined
and used as evidence for the conclusions. In addition it specifies the method of
inquiryand states in some form (as thesis or hypothesis) the conclusions whose
validity is to be demonstratedor tested. [A sample is providedin Appendix B.]
These conventions are features of professional research papers regardless of
discipline, though the mannerin which they are presented may differ somewhat
accordingto field, subject, and the writer's style. We also have found that these
features generally are present in those student research papers that are highly
rated by content-areainstructorsand absent, to varyingdegrees, in lower ranked
papers. It is not entirely clear whether it is the absence of the surface conven-
tions or of the conceptual patterns they represent that affects the graders' re-
sponse, but these features do appear to be closely linked. What is clear is that
the conventions and the strategies they represent should be part of research
paper instruction, in an elementary form at least. One note of caution: while a
few of the conventions appear at the beginningof the kinds of research papers
presented in composition handbooks, importantones, like the method marker,
usually do not; and those conventions that do appearhave ratherdifferentfunc-
tions in an informativeor argumentativepaper.
The overall rhetorical and conceptual structureof academic research papers
reflects the structure of the research process, a process which is not, as most
composition texts suggest, a matter of simple information-gathering or a search
for support for an argumentativethesis. And though it is open-ended, academic
research is not formless, as most of us are aware; it begins with a review of
currentknowledge and then moves througha variationof one of four basic pat-
terns, which in turn influence the organizationof the research paper. These pat-
terns can be distinguishedby their relationshipto previous scholarly discussion
and by the roles filled by the other elements of the research process. The pat-
terns are as follows:
1. Review of research. This patterntakes as its subject not some external
phenomenon, but the process of scholarly debate itself. It reviews the
methods, data, and conclusions of priorresearch, pointingout emerging
patterns of agreementand conflict and attemptingthroughcritical analy-
sis to shed new light on the developmentof researchin a particulararea.
2. Application or implementation of a theory. This pattern consists of the
applicationof a generallyaccepted theory to a new situation or subject;
the theory is generally not questioned, and the burden of proof lies in
showing that it can be used to explain or understandthe new phenome-
non. For example, a theory developed to account for the structureof a
specific social group or even a set of poems can often be applied to
similar subjects.
3. Refute, refine, or replicate prior research. Much research begins when a

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 The Aims and Process of the Research Paper 823

scholar takes issue with the assertions, data, or methodology of some-

one else's research. The disagreement leads to a reexamination, a re-
measurement, or a reinterpretation, and eventually to a new set of asser-
tions. Other research, related in pattern though not direction, may ac-
cept the original research and attempt to corroborate it.
4. Testing a hypothesis. This is the classic and in some ways most chal-
lenging pattern of research. It begins with the isolation and close obser-
vation of a phenomenon, followed by the formulation of tentative asser-
tions about the phenomenon (hypotheses), and concludes with the
testing of the assertions through observation and measurement of the
phenomenon they purport to describe. Because this language may seem
somewhat foreign to our enterprise, let us point out that Cleanth
Brooks' classic essay in The Well-Wrought Urn (New York: Harcourt
Brace and World, 1947), "Keats' Sylvan Historian: History without
Footnotes," fits within it.

Though the first pattern, the review of research, might seem particularly use-
ful for undergraduates, it can be rather tricky, as most of us no doubt are aware.
Undergraduate classes at all levels, however, make use of the second pattern,
the application of a theory, whether it be in asking students to apply a method of
analysis used in class to a novel they have read on their own or in asking them to
apply an anthropological theory to an understanding of a culture. And as these
examples suggest, the use of this pattern is not limited to research papers; it
appears frequently in brief critical papers and examination essays as well. The
third pattern, the response to prior research, is also widely used, though most
often in upper-level courses; it is particularly useful for research papers, and it
appears as well in the classic essay question, "Scholar X says the following
about Shakespeare's comedies. . ... Refute, extend, or modify this criticism
based on your knowledge of the plays."
In short, these patterns play an important role in the undergraduate research
papers assigned in content courses and in other forms of academic writing as
well. In an appropriately simplified form they should be made part of instruction
in the research paper, both as patterns of thought and patterns of expression.
Care should be taken, however, to distinguish between standard exercises in
evaluating source material, which are appropriate to argumentative and informa-
tive writing, and the development of an awareness of research patterns, which is
an exercise in understanding academic discourse.
To sum up, we suggest that the aims of the academic research paper and its
conventions are limited, even formulaic enough, to be made part of instruction in
the research paper. And we also suggest that it is important to take note of these
features because students will find in other courses that the features become the
grounds for evaluation. Implementing these recommendations in practical ways
is another important matter, of course, but not one we are equipped to deal with
here. We would suggest, however, that simply presenting students with a listing
of the surface features of the academic research paper is a practice likely to
encourage them to produce papers that are sterile exercises. The proper ap-

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824 College English

proach is to view the research paper as a process of thought and expression and
to recognize its limits as well as its strengths.

Appendix A
1. Indicatorsof range of study
a. Statementsthat identify the phenomenonunder study (chunkof reality; sub-
ject of paper; source of data)
b. Statements summarizing other research or professional experience (may
serve to indicate areas of currentdebate among knowledgeablereaders;may
help limit the aspects of the phenomenonto be investigated)
c. Statementsindicatingmethod of investigation
d. Statementof hypothesis or thesis
2. Indicatorsof treatmentof researchmaterialand patternof discussion (frequently
derived from method of investigation)
a. Section headings
b. Topic sentence or boundarysentences
c. Lexical markers
3. Conclusion
a. Restatementof thesis or hypothesis
b. Limitationsof study
c. Indicationsof validity or reliabilityof the study's outcome
d. Paths for future study

Appendix B
The indicatorsof rangeare usuallyfound in one form or anotherin the opening section of
a researchpaper, as in James Kinney's "ClassifyingHeuristics"(College Communication
and Composition, 30 [1979], 351-56).
Statement#1 r'Thinkingand writinggo together, but how?
(Phenomenonunder study) - Interest in invention is widespread;heuristic proce-
Lduresto stimulate thinkingproliferate.Ann Berthoff
Statement#2 "has spoken for the need for "critical inquiryinto ...
(limit phenomenon;cite the simultaneityof thinkingand writing,of the role of
previous research;cite consciousness in composing." Lee Odell has posed
currentdebate) specific questions about the forms and functions of
heuristics. For a broaderunderstandingof heuristics,
however, and as partof a inquiryinto the role of con-
sciousness in the composingprocess, I think we must
erase the distinction Odell makes between the
Macrorie/Elbow-style free writing and heuristics.
Odell restricts heuristics to "systematic inquiry pro-
cedures" and labels them "process of conscious in-
quiry."
Statement #4 (hypothesis) - My intentionhere is to demonstratethat(otherclasses
Statement #3 (methodmarker)/- of heuristics exist besides the systematic type ac-
cepted by Odell and to show that free writingis also a
process of conscious inquiry.(p. 351)

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