Writing Thesis and

Dissertation Proposals
Goals of the lesson
 To introduce strategies for bridging the gap
between coursework/beginning research and
thesis writing.
 To help you understand the rhetorical
situation of the thesis proposal and common
elements of such proposals.
 To introduce practical grammatical principles
of writing effective proposals.
 To provide you with tips for drafting and
revising individual sections of the proposal.
Writing a Proposal:
Developing a Focused Project
Writing Thesis/Dissertation Proposals:
The Big Picture

Your proposal describes your proposed plan of work:

 What you intend to study (scope and research
questions).
 How you intend to study your topic (methodology).
 Why this topic needs to be studied (significance).
 When you will complete this work (timeline).
 (Occasionally) Where you will conduct this work.
Writing Thesis/Dissertation Proposals

Purpose:
 Justify and plan (or contract for) a research project.
 Show how your project contributes to existing research.
 Demonstrate that you understand how to conduct
discipline-specific research in an acceptable time-frame.
Audience:
 your academic advisor and committee
Proposal Writing and Anxiety:
General Advice
 Establish a writing schedule.
 Begin by free-writing.
 Keep a small notebook with you to write down
relevant thoughts.
 Say parts of your writing into a recording device.
 Compose different parts in different computer
files or on different index cards.
 Start with more “clear cut” sections first.
Proposal Writing and Anxiety:
Proposal-specific Advice
 Understand that the proposal will be
negotiated--be prepared to revise!
 Think of the proposal as an introduction to
your thesis or dissertation.
 Remember that the proposal is not a binding
contract.
 Remember that your proposal is not meant to
limit ideas, but to help you think practically.
 Ask colleagues to form a writing group.
 Talk to your advisor!
Parts of a Proposal
 Title
 Abstract  Methodology
 Introduction/Background  Significance/
 Problem Statement/ Implications
Identification
 Justification of the problem
 Overview of Chapters
 Purpose/Aims/Rationale/  Plan of Work
Research Questions  References
 Research Objectives
 Review of Literature
Creating a Working Title

 Orient your readers to your research topic.

 Indicate the type of study you will conduct.

Examples:
 Role of the Hydrologic Cycle in Vegetation
Response to Climate Change: An Analysis
Using VEMAP Phase 2 Model Experiments
 Geographic Representations of the Planet
Mars, 1867-1907
Abstract
 Provide a brief (150-500 word) overview of
the proposal
 Summarize important elements
(Introduction, Statement of the Problem,
Background of the Study, Research
Questions or Hypotheses, and Methods
and Procedures).
Introduction/Background
 Establish the general territory (real world or
research).
 Describe the broad foundations of your study—
provide sufficient background for readers.
 Indicate the general scope of your project.
 Provide an overview of the sections that will
appear in your proposal (optional).
 Engage the readers.
 Introduction: Example
Although they did not know of the germs the animals might carry, residents of US
cities in the 1860s and 70s cited the flies, roaches, and rats who swarmed the
tenements in arguing for community sanitary programs. In the 1950s vermin
provided justification for housing and health agencies to pursue urban renewal,
and also gave tenant activists a striking symbol of officials’ neglect of their
neighborhoods. Today, though we know that vermin produce indoor allergens,
and we have pesticides designed to keep vermin at bay, the fact that both may be
hazardous confuses parents, health officials, and other advocates who seek to
protect health. As long as people have lived in cities, pest animals have joined us
in our homes and buildings, affected our health, and propelled our policies on the
urban environment. The social geography of pests, however, reflects the social
position and physical surroundings of our neighborhoods.

The researcher’s objective is to use the ecological history and social geography of
pest animals, which have been blamed for several kinds of disease exposures
throughout the past two centuries, to investigate how health and environmental
conditions are connected with poverty in cities.
Statement/Identification of the
Problem
 Answer the question: “What is the gap that needs
to be filled?” and/or “What is the problem that
needs to be solved?”
 State the problem clearly early in a paragraph.
 Limit the variables you address in stating your
problem or question.
 Consider framing the problem as a question.
 Support with available market information / data
Problem Statement: Example #1
Despite the growing interest in nineteenth-century
geographical representation, no geographer has yet
seriously examined the remarkable discourses that
emerged during the latter half of the century to
represent the geographies of worlds beyond Earth.
Popular histories of geography (e.g. Sheehan 1996;
Morton 2002) indicate that astronomers collected
extensive geographic data about the nearby planets,
usually recording their findings in detailed maps that
were strikingly similar in appearance to many of the
well-studied imperial maps produced during the
same time period. Although much of this
astronomical-geographical knowledge compiled
during the late nineteenth century has since been
revised or discarded on the basis of twentieth-
century remote sensing images, I contend that
colonial era discourses had widespread scientific and
cultural significance at the time they were created.
 Problem Statement: Example #2

Reports on the state of freshwater reserves warn that severe local

shortages are imminent, and predict that violent conflicts will emerge in
water-scarce regions (Ohlson 1995, Elhance 1999). ( Include your data)
Water scarcity has been shown to cause civil conflict, particularly when
accompanied by high population density, poverty, and income inequality
(Homer-Dixon 1994, 1996; Hauge and Ellingsen, 1998). Urban migrant
communities, where ethnic, religious, and class differences can
exacerbate tensions, and community-wide patterns of adaptation to
environmental scarcities are not well-formed, may be particularly
vulnerable to water conflicts (Moench 2002). To better understand how
conflicts develop in water-scarce regions, research is needed on the
social and economic factors that mediate cooperation and conflict
(Ronnfeldt 1997). I propose to do an in-depth study of Villa Israel, a barrio
of Cochabamba, Brazil, where conflict over water is an established part of
life.
Problem Statement: Example #3
Surface light fields and surface reflectance fields are image-
based representations of lighting which are parameterized
over geometry. Constructing these representations is a
time-consuming and tedious process. The data sizes are
quite large, often requiring multiple gigabytes to represent
complex reflectance qualities. The result can only be viewed
after a length post-process is complete, so it can be difficult
to determine when the light field is sufficiently sampled.
Often, uncertainty about the sampling density leads users to
capture many more images than necessary in order to
guarantee adequate coverage. . . . The goal of this work is a
“casual capture” system which allows the user to
interactively capture and view surface light fields and
surface reflectance fields.
 Problem Statement: Example #4
Historians searching for the causes of the Reformation
have long assigned central importance to the role of
the printing press. . . . [R]ecent scholarship has
produced a number of important studies examining the
role of printed media in the spread of the Reformation
message. Much of this work tends to focus on the
production and reception of Reformation texts and
images, with little attention paid to the means by which
such texts were distributed and circulated. Such
studies are often premised on the assumption that
texts and ideas enjoyed a relatively free circulation
and that patterns of book production and distribution
therefore serve as essentially transparent measures of
interest and demand. . . . However, virtually nowhere
in sixteenth-century Europe were ideas likely to flow
unregulated through some critical discursive field. . . . I
propose to examine the censorship of religious texts
and images within the imperial city of Nuremberg, from
[1513 until 1555].
Purpose/Aims/Rationale/Research Questions

 Explain the goals and research objectives of the

study.
 Show the original contributions of your study.
 Provide a more detailed account of the points
summarized in the introduction.
 Include a rationale for the study.
 Be clear about what your study will not address.
Purpose/Aims/Rationale/Research Questions
(cont’d)

In addition, this section may:

 Describe the research questions and/or
hypotheses of the study.
 Include a subsection defining important terms.
 State limitations of the research.
 Provide a rationale for the particular subjects of
the study.
Purpose/Aims/Rationale/
Research Questions: Example #1

My objectives are twofold. First, I intend to examine the

effects of historic shifts in climate on the interactions of the
carbon and water cycles as simulated by the constituent
models of VEMAP Phase 2. . . . Second, I will investigate how
alterations to future climate, as simulated through the end of
the 21st century, are predicted to impact those same cycles
and interactions. The linkages between the carbon and water
cycles at the regional scale have only recently been the
subjects of research; hence, much work remains to improve
our understanding of the feedbacks between coupled
processes. . . . Questions I plan to investigate include: How
does the water balance of a region, including surface runoff,
change as a result of climate alterations . . . ?
Purpose/Aims/Rationale/
Research Questions: Example #2
 The guiding research question is: Under what conditions do
Latinos in Queens, NY, switch their ethnic identification?
This involves the following specific objectives:
 To document the incidence of multiple ethnic identities
among research participants. This involves collecting life
histories that focus on the ethnic background of informants
and their experience with ethnicity.
 To determine the contexts under which people invoke
their ethnic identity. This involves collecting data on
characteristics of the community and social networks of
communities. It will also involve prolonged shadowing
observations of the participants (with their consent) in their
day-to-day activities. [etc.]
Review of Literature
Writing the literature review allows you to understand:

 How other scholars have written

about your topic.
 The range of theories used to
analyze materials or data
 How other scholars connect their
specific research topics to larger
issues, questions, or practices within
the field.
 The best methodologies and
research techniques for your
particular topic.
Review of Literature:

 Situates the current study within a wider

disciplinary conversation.
 Illustrates the uniqueness, importance of
and need for your particular project.
 Justifies methodological choices.
 Demonstrates familiarity with the topic and
appropriate approaches to studying it.
An Effective Literature Review should

 Flesh out the background of your study.

 Critically assess important research trends or areas of interest.
 Identify potential gaps in knowledge.
 Establish a need for current and/or future research projects.
Tips on drafting a literature review
 Categorize the literature into recognizable topic
clusters:
 stake out the various positions that are relevant to
your project,
 build on conclusions that lead to your project, or
 demonstrate the places where the literature is lacking.
 Avoid “Smith says X, Jones says Y” literature
reviews.
 Avoid including all the studies on the subject.
 Avoid praise, and blame – just add your own
opinion
 Writing Literature Reviews: Key Point
 You are entering a scholarly
conversation already in progress. The
literature review shows that you’ve
been listening and that you have
something valuable to say.

 After assessing the literature in your

field, you should be able to answer the
following questions:
 Why should we study (further) this research
topic/problem?
 What contributions will my study make to
the existing literature?
 Literature Review: Example #1
 Other studies also support the conclusion that traditional teaching
methods hinder learning calculus. Selden, Selden, and Mason, conclude
that isolated, trivial problems, the norm in many classrooms, inhibit
students from acquiring the ability to generalize calculus problem-solving
skills (Selden, Selden, and Mason 1994). Similar results are reported by
Norman and Prichard (1994). They demonstrate that many learners can
not interpret the structure of a problem beyond surface-level symbols.
They show that novices have inaccurate intuitions about problems which
lead them to attempt incorrect solution strategies (Norman and Prichard
1994). Because they cannot see beyond high-level features, they can not
develop correct intuitions. On the other hand, successful problem solvers
categorize math problems based upon underlying structural similarities
and fundamental principles (Silver 1979), (Shoenfeld and Herrman 1982).
These categories are often grouped based upon solution modes, which
the experts use to generate a forward working strategy
 (Owen and Sweller 1989).
Literature Review: Example #2
Increasingly, the research community is turning to
coupled land-surface-atmosphere-ocean models
with dynamic modules to achieve the realism
necessary for climate studies. Most of the studies
to date have incorporated equilibrium vegetation
models into climate change simulations (e.g.,
Neilson and Marks 1994, VEMAP Members
1995 . . . ; but see Foley et al. 1998 for an
example of climate simulations with a DGVM). It is
recognized that the next stage is to include dynamic
representations of the terrestrial biosphere. In this
context, VEMAP Phase 2 model experiments will
provide a unique opportunity to assess the effects
of climate change on the hydrologic cycle and the
water balance of regions on a continental scale,
and how vegetation dynamics mediate those
responses.
Methodology

 Introduce the overall methodological approach.

 Indicate how the approach fits the overall research
design.
 Describe the specific methods of data collection.
 Explain how you intend to analyze and interpret your
results (i.e. statistical analysis, theoretical framework).
 If necessary, provide background and rationale for
unfamiliar methodologies.
 Address potential limitations.
Tips on Drafting Methodology
 Break down your methodology into subsections.
 In the physical sciences, these sections may include subjects,
design, apparatus, instrumentation, process, analysis, etc.
 In the social sciences, these sections may include selection of
participants, interview process, profiles, interpretive and analytic
framework, methods of qualitative analysis, etc.
 In the humanities, these sections may include scholarly
research, archival research, theoretical orientation, etc.
 Remember that your methods section may also require
supporting literature.
 Anticipate and pre-empt the audience’s methodological
concerns.
 Acknowledge major problems.
 Justify your approach by showing how benefits outweigh
potential problems.
Methodology:
Example #1 (Social Science)

The research plan will proceed in two phases. During the first
phase, I will select a 60-household purposive sample, create
and test interview protocols, choose key informants, and train
a research assistant. . . . During the second phase, I will
conduct in-depth interviews with key informants and four
ethnographic interviews with each household in the sample. At
the end of the second phase, I will conduct a series of
experimental economic games to determine the norms of trust
and reciprocity in the community. . . . The research design has
several strengths. First, ethnographic study will yield data with
high internal validity about how responses to water scarcity
evolve over the wet-to-dry cycle (Kirk and Miller 1986).
Second . . . (After providing a rationale for the research
design, the author goes on to describe in detail the site
selection and methods of data collection and analysis).
Methodology:
Example #2 (Humanities)

My research draws on a three-tiered

methodological approach: close textual analysis
of primary source material; historical
contextualization of both primary documents and
broader socio-cultural framework through archival
research and secondary histories; and
interpretation of primary texts through theoretical
frameworks, including spatial theories and gender
studies. (Goes on to describe specific theoretical
frameworks).
 Methodology:
Example #3 (Physical Sciences)

I am proposing two major analyses: 1) a comparison of simulated to

observed streamflow and soil moisture for the historical period as a
means of validating the hydrology of the VEMAP models, and 2) an
examination of how changes in the water balance affect species’
distributions over the entire simulation period, and vice versa. . . .
VEMAP Phase 2 model runs will cover two periods: (1) the baseline or
historical period from 1895-1993, and (2) a period of altered climate
inputs from 1994 through the end of the twenty-first century as derived
from three climate model experiments: i) The Canadian Centre for
Climate Modeling and Analysis . . . The nearly 100-year baseline period
will allow for the examination of multi-decadal variations that may be of
similar magnitude to the effects of climate change. (Goes on to describe
sources for historical data, and how the interaction between water
balance and species’ distribution will be measured).
Significance/Implications
 Discuss the methodological,
substantive, and/or theoretical
contribution.
 State the practical and/or theoretical
importance of the problem and/or
objectives of your study.
 Explain the usefulness or benefits of
the study to both the outside world
and the research community.
Significance/Importance: Example
My research on identity and development is innovative
because it brings together analysis of national
discourses about Indians with a study of the practices
and choices of the individual Indians whose identities are
at issue. I believe this research can be helpful to the
nation, development agencies, and indigenous
organizations as Bolivia works out what a multicultural
identity will mean for its people. I am particularly
committed to sharing the results of my analysis with the
Guaraní people with whom I work, in the hopes that my
work will not just be an extraction of truths, but will give
them information with which they can better control their
lives and resources.
Overview of Chapters
Overview of Chapters
 Some proposals include a sentence length
description of each chapter (i.e. chapter two
reviews relevant literature; chapter three
discusses the methodology).
 Other proposals include more in-depth reviews
of body chapters that might include major
hypotheses, arguments, methods, etc. for each
chapter.
Timeline/Plan of Work
Some things to keep in mind:
 Consult your advisor.
 Be aware of important dates for submitting and
defending dissertations.
 Do not be overly ambitious.
 Remember that your proposed timeline demonstrates
your awareness of the various elements of the study
(IRB approval, travel; design, testing, and length of
experiments; negotiation of entry into the study site;
purchase of necessary equipment; drafting;
redrafting).
References & Appendices
 Include a working reference of key texts
that inform your study and methodology.
 Your appendices may include Experiment
Diagrams, Permissions for Human Subject
Testing, etc.
 Both required appendices tend to be
discipline specific: know what the
requirements are.
More Proposal “Nuts and Bolts”
 Length
 Varies by field; most are roughly 20 pages,
but they can be much longer.
 Style Considerations
 Tone
 Coherence
 Voice
 Visual Aids
Style Considerations: Tone

 When conveying your attitude in

your writing:
 Try to strike a consistently confident
tone.
 Avoid an apologetic or arrogant tone.
Style Considerations: Coherence
 Move from “old” information to “new”
information.
 Put the most important information at the end of
the sentence (stress position).
 Keep the subject and verb together.
 Start sentences with short, easily understood
phrases.
 Use “stock” transitional phrases.
 Use pronouns and/or recycling.
Coherence: Example
Example: When rocks erode, they break down into sediment
—smaller pieces of rock and minerals. These sediments may
eventually travel in water to new sites such as the sea or
river beds. The water deposits the sediments in layers that
become buried and compacted. In time, the sediment
particles are cemented together to form new rocks, known as
sedimentary rocks. The layers of sediment in these rocks are
often visible without microscopes. (Lay et al., 2000).
More “Nuts and Bolts”: Voice and
Visual Aids
Voice
 Active: I will conduct the bulk of the research during the six-
month fieldwork period.
 Passive: The bulk of the research will be conducted during
fieldwork.

Reasons to use Passive Voice:

 Your field may prefer its use, especially in describing
research design and experimental activities.
 You need to preserve coherence from sentence to sentence.
Voice: Example (using passive
voice to create coherence)
Some astonishing questions about
the nature of the universe have
been raised by scientists studying
black holes in space. A Black Hole
is created by the collapse of a dead
star into a point perhaps no larger
than a marble. So much matter
compressed into so little volume
changes the fabric of space around
it in puzzling ways.
Visual Aids

 Incorporate charts, graphs,

diagrams, illustrations, etc.,
wherever possible,
permissible, or practical.
Entering the Academic Conversation
Creating a Research Space
 Move 1: Establishing a Territory
 Show centrality
 Review previous research
 Move 2: Creating a Niche
 Indicate a gap or extend previous knowledge
 Move 3: Occupying the Niche
 Outline purposes
 List Research Questions or Hypotheses
 Announce principle findings
 State value of research
 Preview structure of paper
The End

Questions……