GUIDELINES FOR THE DEVELOPMENT OF THE FINAL RESEARCH PROPOSAL FOR THE DOCTOR OF PHILOSOPHY [AR.10]

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1 GUIDELINES FOR THE DEVELOPMENT OF THE FINAL RESEARCH PROPOSAL FOR THE DOCTOR OF PHILOSOPHY [AR.10] Introduction The proposal must be submitted following at least eight months of full-time enrolment in the PhD (or sixteen months of part time enrolment) but no more than 12 months of full-time enrolment (or 2 years part-time enrolment). The supervisors and the Dean of Faculty must sign and approve the final proposal before submission. The principal supervisor must provide a statement of support for the proposal, and the endorsement of the Dean of Faculty is required. These guidelines are intended to assist candidates in the development of the final proposal. Successful completion of the final proposal will result in progress from provisional to full candidature in the respective research degrees. The final research proposal is submitted to a panel of examiners at the conclusion of the planning stage. The panel of examiners attends the scheduled public presentation, after which examiners will report on their examination of the final research proposal and offer comments and suggestions to the candidate. It is recognised that the research investigation in situ may be further amended and refined beyond the parameters of the proposal. Nevertheless, the final proposal should be a clear and comprehensive overview of the research project, from which there should be minimal deviation in the process from commencing the research investigation to final submission of the thesis. Sound research is based on sound planning and all planning occurs within a research framework. The following research framework enables enhanced planning to occur. It incorporates ten basic features, out of which the proposal is to be formulated. Research Framework Feature 1: A suspected or actual problem raises questions in the researcher s mind. The researcher focuses on the nature of that problem issue, and which questions (normally a primary question rounded out by secondary questions) might best suit the issue to be addressed. Feature 2: Can the primary question be fitted into a conceptual framework into which the researcher s ideas may be situated, giving definition, orientation, and direction to his or her thinking? Is the researcher able to formulate the framework from a position of logical concepts, relationships, etc., based on current thinking in the problem area (relating to a literature review)? Feature 3: What is the purpose statement relating to the problem area or phenomenon to be investigated (what is it that the researcher plans to investigate)? Feature 4: What are the questions to which reasonable answers might be expected? Feature 5: In quantitative research, what are the research hypotheses addressing the problem area (focused, unambiguous, concrete, measurable, etc.)? Feature 6: The design and procedures state who the subjects will be, how they will be selected, the conditions under which the data will be collected, treatment variables to be manipulated (or equivalent), what measuring instruments or data-gathering techniques will be used, and how the data will be analysed and interpreted. Feature 7: What assumptions does the research make about the nature of the behaviour that is being investigated, about the conditions under which the behaviour occurs, about the methods and measurements, or about the relationships of this study to other persons and situations?

2 Feature 8: What are the limitations within which the study is to be operationalised (e.g., sampling restrictions, uncontrolled variables)? Feature 9: What are the delimitations by which the researcher has narrowed the scope of the study (e.g., a selected aspect of the problem, limited range of subjects)? Feature 10: List and define the principal terms to be used, particularly where terms may have different meanings to different people, and different discipline areas. Format and Content of Final Research Proposal The proposal should be double-spaced, a maximum of 60 pages (excluding figures, tables and references), numbered on each page, and securely clipped (not stapled or bound). A Title Page should include the following: Candidate s name Student number Faculty Title Name of Principal Supervisor Name(s) of Associate Supervisor(s) Course enrolled Name of Avondale College of Higher Education Date of first enrolment and date of submission. A brief Biosketch of the candidate. A Table of Contents with page numbers. An Abstract in 300 words or less, summarise the purpose, methods and potential beneficial outcomes of the research. A Title the title should be self-sufficient and informative. Some researchers seek to capture attention through the use of highly expressive or even cryptic titles but mostly this style is better kept for presentations. The title should be clearly focused and self-explanatory, relating clearly and directly to the research at hand. Section 1: Foregrounding the Problem and Purpose of the Study The research problem should be clearly and unambiguously stated, and clearly linked to the body of information available in the field of study to be investigated. The connection between the available information and the problem should establish the importance of the study being done, and justify the need for the research. Significance can be related to the background of the study (e.g., as per literature review and problem statement) and the study design. Implications include what the results will mean for knowledge or theory in the field of study (in a local situation and/or more general situation), and the likelihood of further research that may emanate from this current study. Applications (potential or actual) should relate to the research area, and be persuasive to the reader. They may indicate ways in which some aspect of practice might be improved, or lay a foundation for improving or changing practice. Introduction. Background of the problem (e.g., unresolved issues, trends, gaps in knowledge, anomalies, concerns). Statement of the problem situation (e.g., basic difficulty, area of concern, needs). Systematic and orderly presentation of the interrelationships of relevant facts and concepts underlying the problem.

3 Purpose of the study what are the intended outcomes or products. A clear statement of purpose (e.g., the purpose of my study is to ). Questions to be answered or objectives to be investigated, logically relating to the problem area and to the variables or factors to be studied. Conceptual or substantive assumptions (postulates). Rationale and theoretical or conceptual framework (when appropriate). Delineation of the research problem (explication of relationships among variables or comparisons to be considered). Statement of hypotheses (may be a conceptual rendition subsequently followed by operational statements in Chapter 1 or in Methodology Chapter). Importance of the study (this may overlap with statement of problem situation). Definition of terms (largely conceptual here; operational definitions may follow in Methodology Chapter). Scope and delimitations of the study (narrowing of focus without trivialising the problem). Outline of the remainder of the proposal. Section 2: Review of Relevant Literature The literature review summarises the research literature relevant to the research topic. While this will not be an exhaustive summary, it should outline all key issues and practices relating to the topic. Sources should be recent and the work of other researchers needs to be appraised critically. It should thoroughly synthesise and evaluate primary sources and be sequenced logically toward the problem statement. It is often helpful for the literature to be organised by topic (rather than abstract following abstract) to enable the reader to understand the various aspects of the study. The review of literature should not leave out important research findings that may differ to the general thrust of the intended research. The review should conclude with a discussion of findings and their implications, noting, for instance, any gaps in what is known about the topic. The literature review should be focused and evaluative, rather than a general essay. Three primary aims of the literature review are to justify the current investigation on the basis of this project being a next logical step in understanding a significant issue relevant to the topic, demonstrate the real potential to advance knowledge, and establish the significance of the current investigation. The problem should now be made specific and concise in question form, dependent on the research approach being used and the purpose of the study. Quantitative research might posit research questions and hypotheses (with perhaps a graphical representation of the research model), whereas a qualitative or mixed methods approach may posit research problems/questions and a theoretical/philosophical foundation for conducting the research. Organisation of the present chapter. Historical background (if necessary) Purposes to be served by Review of Research Literature include: Acquainting readers with existing studies relative to what has been found, who has done previous work in the area, when and where research studies were completed, and what approaches, orientations, methodologies, instrumentation and statistical analyses were followed (methodology may be left to Methodology chapter). Establishing the need for the study and likelihood of obtaining meaningful, relevant, and significant results. Establishing, from delineation of various theoretical or conceptual positions, a theoretical or conceptual framework affording bases for generation of hypotheses and statement of rationale. Section 3: Methodology or Procedures This section should demonstrate that the chosen methodology, methods, techniques and instruments are suitable for carrying out the research investigation. It indicates how the study is to be structured in order to address the problem by answering the posited questions or hypotheses. All steps in the

4 investigation process should be clearly and sequentially delineated. If subjects are involved, ethical concerns should be addressed in this section. This section addresses who are the subjects (or equivalent) in the study; what procedures will be used to select these subjects (or equivalent); what methods and/or instruments will be used in the study; and how are these methods and instruments to be chosen or developed and/or trailed. It also describes the way in which the study will be set up so that data can be gathered, organised and analysed. This section should be so clearly written that another researcher could carry out the research by following the steps as described. Overview (optional). Description of research methodology or approach (e.g., experimental, quasi-experimental, correlational, causal-comparative, survey). Research design (e.g., independent, dependent variables; operational statements of the research hypotheses in null form setting the stage for an appropriate research design permitting statistical inferences). Pilot studies (e.g., as they apply to the research design, development of instruments, data collection techniques, and characteristics of the sample). Selection of subjects (relating to sample and population e.g., random assignment, matching, voluntary, convenience). Information concerning the possible withdrawal of subjects. Instrumentation (e.g., tests, measures, observations, scales, questionnaires). Adequate information pertaining to the reliability, validity, standardisation properties of instrumentation, and psychometric characteristics of scales or tests used. Field, classroom or laboratory procedures (e.g., distribution of materials, instructions to subjects). Data collection and recording (e.g., where, when, and how data are to be obtained). Data processing and analysis (statistical analysis). Methodological assumptions. Limitations. Possible restatement of conceptual hypotheses from Problem Chapter in operational form relative to instrumentation and experimental procedure or design followed (operationally stated hypotheses can also be put in null form to furnish an optional third set of hypotheses amenable to statistical testing if not done elsewhere). Summary (optional). Section 4: Analysis and Reporting of Data This section reveals forward planning of how the findings will be organised for relevancy to the topic and research questions, and to the overall research approach. Use may be made of spreadsheets or tables, or emergent themes and indicators, etc. Computer software programs may be used to analyse data, and brief descriptions of these programs should be included. Data analysis should be chosen on the basis of its appropriateness to the research approach, purpose, and research questions, and it is a good rule of thumb to choose the simplest procedure and plan that will achieve an appropriate analysis of the data. How are findings to be presented (e.g., tables, charts). How are findings to be reported (e.g., evidence to be presented for each hypothesis). How will factual information be separated from interpretation, inference, and evaluation (e.g., interwoven, handled separately under Discussion heading). Summary of chapter (optional). Section 5: Resources The research needs to be feasible within the constraints of resources such as time, budget, research skills, etc. If relevant, the researcher needs to list personnel, equipment, space and time, etc., that is required, and the associated costs. There should also be included a realistic time schedule for completing the research within the available time. Any constraints (e.g., financial, physical, skills) that might delay progress of the study should be listed here.

5 Budget. Time schedule Constraints. Section 6: Management Plan The candidate should supply a brief management plan for intellectual property, safety and ethical procedures related to the research. Section 7: References and Appendices Key references should accompany the proposal. Section 8: Publications List any publications produced or presentations given during probationary candidature. Criteria for Evaluation of the Thesis Proposal The thesis proposal will be assessed according to the following criteria: Are the research aims sufficient in scope, significance, and quality to constitute a doctoral or masters thesis? Is the theoretical framework and methodology appropriate to address the research aims? Is the project feasible in the time frame? Has the candidate demonstrated a capacity to provide a critical review of the literature? Is the proposal written in formal academic English? Are there any other issues that need to be addressed? Does the final thesis have the potential to make an original contribution to knowledge? Does the proposal demonstrate that the candidate has the capacity to produce a thesis at a high level of scholarship and quality; Are all the parts of the proposed thesis internally consistent? Checklist for Proposal 1. Problem is clearly stated. 2. Problem is focussed (delimited) enough for research purposes. 3. Problem is significant. 4. Research aims are sufficient in scope and quality. 5. The questions (or equivalent) are not too broad or general. 6. Hypotheses (if appropriate) are clearly stated. 7. Assumptions are clearly stated. 8. Limitations and delimitations of the study are stated. 9. Important terms are defined. 10. Critical review of the literature is provided. 11. Relationship of the problem to previous research is made clear (literature review). 12. Research design is described fully. 13. Theoretical framework is appropriate to address the research aims. 14. Research design is appropriate for the solution of the problem. 15. Research design is free of specific weaknesses. 16. Population and sample (or equivalent) are described. 17. Methodology, methods, and techniques are appropriate to the problem. 18. Data-gathering methods or procedures are adequately described. 19. Data-gathering methods or procedures are appropriate to the solution of the problem. 20. The procedures are detailed enough for another researcher to replicate the study. 21. Validity and reliability of the evidence to be gathered are established. 22. Appropriate methods are selected to analyse the data.

6 23. The researcher shows awareness of safety and ethical matters. 24. The researcher shows awareness of issues that may not be congruent with the positioning of the current study. 25. Proposal is clearly written in formal academic English. 26. Proposal is logically organised. 27. Tone of the proposal displays a scholarly academic attitude. Student Responsibility The student prepares the proposal under the supervision of his or her supervisor(s), but the student is ultimately responsible for the quality of the final proposal. Students should seek clarification from supervisors, lecturers, or coordinators, if there are queries relating to the proposal in its oral and/or written presentation.