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Guide
to the
Successful
Thesis
and
Dissertation
A
Handbook
for
Students
and
Faculty
Fifth
Edition
James
E.
Mauch
University
of
Pittsburgh
Pittsburgh, Pennsylvania,
U.S.A.
Namgi
Park
Kwangju
National
University
of
Education
Kwangju,
Republic
of
Korea
MARCEL
MARCEL
DEKKER,
INC.
NEW
YORK
•
BASEL
Although great care has been taken to provide accurate and current information, nei-
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shall be liable for any loss, damage, or liability directly or indirectly caused or alleged
to be caused by this book. The material contained herein is not intended to provide
specific advice or recommendations for any specific situation.
Trademark notice: Product or corporate names may be trademarks or registered trade-
marks and are used only for identification and explanation without intent to infringe.
The previous edition was published as Guide to the Successful Thesis and Disserta-
tion: A Handbook for Students and Faculty, Fourth Edition, Revised and Expanded,
by James E. Mauch and Jack W. Birch.
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LIBRARY
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INFORMATION SCIENCE
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Textbooks
FOUNDING
EDITOR
Allen
Kent
School
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Science
University
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Pittsburgh,
Pennsylvania
1.
Classified
Library
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Headings:
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Classified
List, edited
by
James
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Williams,
Martha
L
Manheimer,
and Jay E.
Daily
2.
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and Jay E.
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Jay E.
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McC.
Amett
and
Allen
Kent
5.
Style Manual:
A
Guide
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L
Manheimer
6. The
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Daily
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edited
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8.
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Why • How •
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Reading
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and
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fessionals, Rosalind
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10.
Statewide Computing Systems Coordinating Academic Computer
Planning, edited
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Charles
Mosmann
11.
Using
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Literature'
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Practical Guide,
Henry
M.
Woodbum
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and
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A
Workbook,
Martha
L.
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Multi-media
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Thomas
L
Hart,
Mary
Alice
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and
Blanche
Woolls
14.
Document Retrieval Systems: Factors Affecting Search Time,
K.
Leon
Montgomery
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Library Automation Systems, Stephen
R
Salmon
16.
Black Literature Resources. Analysis
and
Organization, Don's
H.
Clack
17.
Copyright-Information
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l-Copyright-
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Policies, Part
Il-Public
Policies-Information
Technology,
Nicholas
Henry
18.
Crisis
in
Copyright,
William
Z.
Nasri
19.
Mental Health Information Systems: Design
and
Implementation,
David
J.
Kupfer,
Michael
S.
Levine,
and
John
A.
Nelson
20.
Handbook
of
Library Regulations,
Marcy
Murphy
and
Claude
J.
Johns,
Jr.
21.
Library Resource Sharing,
Allen Kent
and
Thomas
J.
Galvin
22.
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in
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Publishing:
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Systems,
Dineh
Moghdam
23. The
On-Line Revolution
in
Libraries,
edited
by
Allen Kent
and
Thomas
J.
Galvin
24. The
Library
as a
Learning Service
Center,
Patrick
R.
Penland
and
Aleyamma
Mathai
25.
Using
the
Mathematical Literature:
A
Practical Guide,
Barbara
Kirsch
Schaefer
26.
Use of
Library Materials:
The
University
of
Pittsburgh
Study,
Allen Kent
et
al.
27. The
Structure
and
Governance
of
Library Networks,
edited
by
Allen Kent
and
Thomas
J.
Galvin
28. The
Development
of
Library Collections
of
Sound Recordings,
Frank
W.
Hoffmann
29.
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the
Library Interior,
William
S.
Pierce
30.
Cataloging
and
Classification:
A
Workbook, Second
Edition,
Revised
and
Expanded,
Martha
L
Manheimer
31.
Handbook
of
Computer-Aided Composition,
Arthus
H.
Phillips
32.
OCLC:
Its
Governance, Function, Financing,
and
Technology,
Albert
F.
Maruskin
33.
Scientific
and
Technical Information Resources,
Krishna
Subramanyam
34. An
Author Index
to
Library
of
Congress Classification, Class
P,
Subclasses
PN, PR, PS, PZ,
General Literature, English
and
American
Literature, Fiction
in
English,
and
Juvenile Belles
Lettres,
Alan
M.
Greenberg
35.
Using
the
Biological Literature:
A
Practical Guide,
Elisabeth
B.
Davis
36. An
Introduction
to
Automated Literature Searching,
Elizabeth
P.
Hartner
37. The
Retrieval
of
Information
in the
Humanities
and the
Social Sciences:
Problems
as
Aids
to
Learning,
edited
by
Thomas
P.
Slavens
38. The
Information Professional: Survey
of an
Emerging Field,
Anthony
Debons, Donald
W.
King,
Una
Mansfield,
and
Donald
L.
Shirey
39.
Classified Library
of
Congress Subject Headings, Second Edition:
Part
A-Classified
List; Part
B-Alphabetic
List,
edited
by
James
G.
Williams,
Martha
L
Manheimer,
and Jay £.
Daily
40.
Information Technology: Critical Choices
for
Library Decision-Makers,
edited
by
Allen Kent
and
Thomas
J.
Galvin
41.
Structure
and
Subject Interaction: Toward
a
Sociology
of
Knowledge
in
the
Social Sciences,
Stephen Bulick
42.
World
Librarianship:
A
Comparative Study,
Richard
Krzys
and
Gaston
Litton
43.
Guide
to the
Successful Thesis
and
Dissertation: Conception
to
Pub-
lication:
A
Handbook
for
Students
and
Faculty,
James
E.
Mauch
and
Jack
W.
Birch
44.
Physical Disability:
An
Annotated Literature Guide,
edited
by
Phyllis
C.
Self
45.
Effective Online Searching:
A
Basic Text,
Christine
L.
Borgman,
Dineh
Moghdam,
and
Part/
K.
Corbett
46.
Easy Access
to
DIALOG, ORBIT,
and
BRS,
Patricia
J.
Klingensmith
and
Elizabeth
E.
Duncan
47.
Subject
and
Information Analysis, edited
by
Eleanor
D. Dym
48.
Organizing Nonprint Materials: Second Edition,
Jay E.
Daily
49. An
Introduction
to
Information Science,
Roger
R.
Flynn
50.
Designing Instruction
for
Library Users:
A
Practical Guide,
Manila
D.
Svinicki
and
Barbara
A.
Schwartz
51.
Guide
to the
Successful Thesis
and
Dissertation: Conception
to
Pub-
lication:
A
Handbook
for
Students
and
Faculty, Second Edition, James
E.
Mauch
and
Jack
W.
Birch
52.
The
Retrieval
of
Information
in the
Humanities
and the
Social
Sciences-
Problems
as
Aids
to
Learning, Second Edition,
edited
by
Thomas
P.
Slavens
53.
Manheimer's
Cataloging
and
Classification:
A
Workbook, Third Edition,
Revised
and
Expanded,
Jerry
D.
Saye
54.
Electronic Printing
and
Publishing:
The
Document Processing Revolu-
tion, Michael
B.
Spnng
55.
Guide
to the
Successful Thesis
and
Dissertation:
A
Handbook
for
Students
and
Faculty, Third Edition, Revised
and
Expanded, James
E.
Mauch
and
Jack
W.
Birch
56.
Library Information Technology
and
Networks,
Audrey
N.
Grosch
57.
Using
the
Biological Literature:
A
Practical Guide, Second Edition,
Revised
and
Expanded,
Elisabeth
B
Davis
and
Diane
Schmidt
58.
Guide
to the
Successful Thesis
and
Dissertation'
A
Handbook
for
Students
and
Faculty, Fourth Edition, Revised
and
Expanded, James
E.
Mauch
and
Jack
W.
Birch
59.
Manheimer's Cataloging
and
Classification. Fourth Edition, Revised
and
Expanded,
Jerry
D.
Saye
60.
Using
the
Biological Literature:
A
Practical Guide, Third
Edition,
Revised
and
Expanded, Diane Schmidt, Elisabeth
B.
Davis,
and
Pamela
F.
Jacobs
61.
Using
the
Agricultural, Environmental,
and
Food Literature,
edited
by
Barbara
S
Hutchmson
and
Antoinette
Paris
Greider
62
Guide
to the
Successful Thesis
and
Dissertation.
A
Handbook
for
Students
and
Faculty, Fifth Edition, James
E.
Mauch
and
Namgi
Park
ADDITIONAL
VOLUMES
IN
PREPARATION
Becoming
a
Digital Library,
edited
by
Susan
J.
Barnes
To our wives, Rebecca and Sungsook
Preface
The first edition of this book grew out of the dearth of written infor-
mation on the subject for either students or faculty. They told us they
needed to know much more about doing or directing theses and disser-
tations than they found in college catalogues, graduate office instruc-
tions, or discussions with those who had experienced the process.
We decided to write about the “how to” aspects of thesis and
dissertation study and to emphasize the intellectual effort required of
both students and professors.
This book is designed to inform and advise about the thesis and
dissertation process, how to get through it and get the most out of it.
The fact that half of the students who complete course requirements
do not go on to complete the dissertation (in some schools as high as
70%) makes our objective more urgent (Monaghan, 1989).
This fifth edition was prompted by suggestions from students,
colleagues, and other users of earlier editions. In response to those
helpful recommendations and our own observations, we believe that
the book is substantially improved in the following ways:
v
vi Preface
• Attention is given to the honors thesis as an important and rapidly
growing category of student research.
• More attention is given to the use of up-to-date technology, (e.g.,
computers and software) in the thesis and dissertation (T/D) pro-
cess, from initial research to writing the final results.
• New suggestions designed to help foreign students are made, with
special emphasis on critical points, such as helpful advice for advi-
sors of foreign students.
• A new section on qualitative research has been added to the first
chapter.
• The intellectual property aspects of the T/D are given major atten-
tion.
• Socially sensitive research is explained and discussed.
• Confidentiality and privacy of Internet communication are pre-
sented as critical issues.
• Cautions about the accuracy and trustworthiness of research re-
ported on the Internet are offered.
• A new section has been added concerning the appropriate use of
animal subjects.
• The historical background of advanced degrees is summarized in
the new Introduction.
• Reorganization, consolidation, and altered sequencing of topics,
with an enlarged index enhances use of the book as a reference.
• There are additional suggestions for students and faculty in the
academic disciplines, as well as readers in the professional disci-
plines.
• The forms of dissertation now current in higher education are rec-
ognized and acknowledged to be different but equally appropriate
ways to assemble data and focus on a problem, depending on the
nature of the problem to be addressed.
• A table of contents is offered for both the thesis and the disserta-
tion, as models for student researchers.
• A checklist for theses and dissertations is included to help student
researchers in critiquing and revising their own first drafts, as well
as the work of others.
• More than twenty operational models have been presented for
viiPreface
dealing with specific problems in the thesis and dissertation pro-
cess, from topic selection through evaluating the finished product.
• To the best of our knowledge, the bibliography is the most com-
prehensive one in print on the thesis and the dissertation.
Perhaps the most unusual quality of this book is that it addresses both
students and faculty members. Certainly it is aimed primarily at stu-
dents. Yet we found it necessary to write both to the student and to the
thesis or dissertation committee members in order to convey certain
concepts like colleagueship and consultation. So one should not be
surprised that the student is advised about interactions with committee
members at the same time that suggestions are given that committee
members might apply in their dealings with students. We hope that
our treatment of the subject encourages discussion among those in-
volved in the enterprise.
One of the surprising weaknesses in the thesis or dissertation
process is that there is relatively little scholarly literature and a re-
markably small number of empirical investigations about it. This is
true not only for the professions but also for the arts and sciences and
all aspects of the honors thesis.
Comparative and descriptive studies of T/D topics do exist.
However, the theoretical articles and the data-based studies one might
expect to find about the principles and processes of such an important
part of academia are few. That is why we report little hard evidence
on most of the issues in thesis and dissertation preparation. In fact,
we found it necessary to conduct our own investigations to help us
arrive at the viewpoints we present in the various chapters.
To broaden the database more than 100 faculty members were
interviewed, each of whom had directed more than five dissertations.
The insights they shared during structured and informal interviews
averaging considerably more than one hour each afforded us an unpar-
alleled opportunity for learning. The findings from those interviews,
supplemented by publications, constituted the raw material from
which the various chapters were constructed.
We are grateful to C. Baker, R. M. Bean, D. B. Cameron, R.
Dekker, J. T. Gibson, A. K. Golin, T. Hsu, R. D. Hummel, A. Kovacs,
L. Pingle, M. C. Reynolds, M. Spring, G. A. Stewart, M. Wang, and
viii Preface
T. Zullo for reading and critiquing the book, for using early drafts of
the book in seminars, and for employing it with individual students in
graduate research direction and guidance. We appreciate their wise
and acute observations on how to improve it. For assistance in build-
ing a relevant bibliography we owe thanks to many professors, gradu-
ate students, and bibliographers from the University of Pittsburgh and
other centers of higher education in the United States and abroad.
Special appreciation is acknowledged to Russell Dekker and Allen
Kent for helpful counsel and support throughout.
Whatever merit the book has is owed in good part to the thought-
ful help we have had from all who aided and advised us along the
way.
We are naturally pleased that the response to our work has been
both substantial and warm. We hope that the fifth edition will prove
even more useful than the previous editions to students and faculty.
James E. Mauch
Namgi Park
Contents
Preface v
List of Figures xiii
Historical Introduction: The Emergence of Advanced Degrees
and Graduate Research xv
1. GETTING STARTED 1
The right beginning Meaning and purpose of theses
and dissertations What constitutes an acceptable T/D?
Make a personal time line Take advantage of
technology Characteristics of high-quality student
research Qualitative research The thesis in honors
colleges and honors programs The thesis as an
element of the master’s program Preferred practices
in student research Thesis and dissertation objectives
Summary
2. THE RESEARCH ADVISOR 35
Learning about advisor functions The T/D as a
teaching device Scope of advisor responsibilities
Encouraging committee participation Selection of the
research advisor Summary
ix
x Contents
3. DEVELOPING THE PROPOSAL 67
Interactions of student and academic advisor Students
with disabilities Choosing the topic for study
Foreign students in T/D study Personal criteria for
student use Using libraries and other information
sources Summary
4. PREPARATION OF THE PROPOSAL 97
Getting started Outlining the proposal Filling in
the outline Research design Research
methodology Make software your servant
Summary
5. THE THESIS OR DISSERTATION COMMITTEE 143
Functions of the committee Student/committee
negotiations Maintaining communication
Selecting the committee members Committee member
roles Summary
6. APPROVAL OF THE OVERVIEW 167
Characteristics of a sound overview Purposes of the
proposal overview meeting Suitability of the topic
Consultation with committee members Coordination
role of the advisor After the overview meeting
Summary
7. CONDUCT OF THE STUDY 199
Time Computer usage Use of private information
Obligations to human subjects Animal subjects in
research Material aid for student research
Student dropouts in the research stage Summary
xiContents
8. WRITING THE MANUSCRIPT 237
The thesis/dissertation format An approach to the first
draft Using advice and technical assistance The
review of the first draft When the writing is finished
Summary
9. DEFENSE OF THE THESIS OR DISSERTATION 263
Structure of the oral examination Preparation for the
examining committee session Conduct of the oral
examination Decision making regarding the oral
defense Follow-up after approval or disapproval
Summary
10. THE COMPLETED THESIS OR DISSERTATION
AND FUTURE GROWTH 283
After the research is approved Writing for publication
Improvement of one’s professional or academic discipline
Follow-up studies based on T/D research
Reinforcement for follow-up Future trends
Summary
Appendix A: Suggested Proposal and Project Guidelines 303
Appendix B: Course Outline 309
Bibliography 315
Index 327
List of Figures
1-1 The Thesis/Dissertation Time Line 6
1-2 Examples of Academic and Professional Disciplines 11
1-3 Distinctions Between Research in Academic
Disciplines and Professional Disciplines 14–15
2-1 Progress of Student-Advisor Relationship 39
3-1 Schematic Diagram of the Proposal Process 68
3-2 Checklist of Thesis or Dissertation Topic Sources 73
3-3 Checklist of Topic Feasibility and Appropriateness 78–79
4-1 Administrative and Technical Matters in Thesis
and Dissertation Regulations 101–103
xiii
xiv List of Figures
4-2 Table of Contents for a Proposal 107
4-3 General Model for Research Designs 124
5-1 Thesis/Dissertation Evaluation Form 145–147
5-2 Progress Report Memorandum 149
6-1 Faculty Tone and Attitude During Overview
Committee Meetings 176
6-2 Presentation for Topic Approval by Faculty 197
7-1 “ToDoBy...”List 200
7-2 Recommended Note-Taking Format 206
8-1 Table of Contents for Theses and Dissertations 239–240
8-2 Checklist for Theses and Dissertations 249–250
Historical Introduction: The
Emergence of Advanced Degrees and
Graduate Research
The present college and university degree structure has deep roots in
more than 700 years of tradition. The connection of advanced degrees
with written theses and dissertations goes back in time almost as far.
EMERGENCE OF ADVANCED DEGREES
The awarding of degrees as evidence of advanced study occurred in a
time when skill in argument and appeal to authority were valued
highly. The thesis and dissertation (T/D) constituted components of
well-reasoned arguments. The successful applicant had to take a posi-
tion (the thesis), buttress it with logic, and relate it to the earlier con-
clusions of respected scholars (the dissertation) to the point that it
could not be refuted. That concept of the T/D gave rise to a viewpoint
that continues to this day, namely that the final act with regard to
T/D study is the defense of the study by the student before a group of
probing questioners. Historically, successful defense led to advance-
ment of the writer from the status of student first to rank of master,
xv
xvi Historical Introduction
then to doctor, with the rights and privileges that were part of those
stations in life.
Artisans and craftsmen had organized to keep their skills from
becoming the property of everyone, thus protecting their livelihoods.
They systematized the preparation of new specialists by enforcing a
sequence of training leading from apprenticeship to the status of mas-
ter. Preparation of a masterpiece, a work that was judged worthy of
the name by a jury of masters, signaled the successful conclusion of
training.
As academic centers emerged, and as a sequence of study
evolved, the thesis and the dissertation became the capstones of suc-
cessive levels of achievement. The model, probably borrowed from
the guilds of artisans and craftsmen, spread. The masters and the doc-
torate became identifying symbols. For example, in the early four-
teenth century in Bologna, a candidate for the Doctor of Law degree
had to take two examinations—a private one and, later, a public one
in the cathedal. The private examination was conducted by the faculty
of doctors.
SPECIALIZATION APPEARS
A series of knowledge explosions led to differentiation of academic
and applied fields. The age of terrestrial exploration greatly expanded
human knowledge. Much of the new information and understanding
also challenged long-held beliefs. The Industrial Revolution brought
another and much higher level of comprehension, particularly about
the physical world, triggering the post-Victorian period of technology
and science.
Each period brought changes. A major one was the emergence
of professional degrees as contrasted with academic degrees.
The Doctor of Philosophy degree, an academic discipline degree,
was first offered in the United States at Yale University in 1861. Less
than three decades later, in 1890, New York University initiated a
Graduate School of Pedagogy, the first graduate school of education
in this country. It offered the Doctor of Philosophy plus a Doctor of
Pedagogy degree, the latter credited with being the first doctoral level
xviiHistorical Introduction
degree in the professional discipline of education awarded in the
United States.
The master’s degree predated the doctorate. In 1858 the Univer-
sity of Michigan, for example, had courses of study leading to the
Master of Arts and the Master of Science degrees. As far as a master’s
degree in a profession is concerned, probably the first was the Master
of Pedagogy, also offered in 1890 by New York University. Inciden-
tally, the Bachelor of Pedagogy degree had a brief period of popularity
from about 1900 to 1936 as an indicator of graduation from under-
graduate teacher preparation.
The Doctor of Education degree was introduced in 1920 by Har-
vard University. It was intended for practicing educators. In 1933 an-
other new degree was born at Harvard University, the Master of Arts
in Teaching. It was to be administered jointly by the faculty of the
Graduate School of Education and by the Faculty of Arts and Sci-
ences.
During the same period, other professions developed masters and
doctors degrees that required theses and dissertations. The T/D pro-
cess in some disciplines developed uniquely. An example is law and
jurisprudence. Aspirants to the JD degree face requirements of an ex-
traordinary kind. Most professions, however, employed the familiar
M.A., M.S. and Ph.D., adapting them to their purposes but retaining
much of the flavor that the degrees originally had in the academic
disciplines and simply adding a phrase, as in Master of Arts in the
Adminstration of Justice. Several growing professions developed dis-
tinctive advanced degrees in addition to the well-established ones.
Some examples are:
Business: Master of Business Administration
Dental Medicine: Master of Dental Science
Engineering: Master of Energy Resources
Master of Public Work
Master of Public Work
Library and Information Master of Library Science
Science:
Nursing: Master of Nursing
Master of Nursing Education
xviii Historical Introduction
Psychology: Doctor of Psychology
Public and International Master of Public and International Affairs
Affairs:
Master of Public Administration
Master of Urban and Regional Planning
Public Health: Master of Public Health
Doctor of Science in Hygiene
Doctor of Public Health
Social Work: Master of Social Work
Doctor of Social Work
Each of these degrees, like others offered by responsible, accred-
ited universities and professional schools, has legitimacy and indicates
attainment worthy of respect. Each also has its unique history.
Other professional degrees emerge each year, and existing de-
grees attain more and more prominence. Actually, the histories of
many degrees have not yet been thoroughly sought out and recorded.
(There are still some T/D topics awaiting students!)
Whether in chemistry, psychology, public health, social work or
any other academic discipline or profession, students should know the
history of the degrees they expect to earn. That background provides
a valuable base from which to judge the appropriateness of a potential
T/D topic and to represent one’s discipline honorably and well.
The material published in university bulletins and elsewhere
about degrees usually tells little about the thesis or dissertation re-
quirements. In some cases, they say only that they require a project
that is considered equivalent to a T/D study. The scarcity of published
data on these matters for many of the academic or professional disci-
plines shows a need for additional scholarly inquiry into the natural
history and the characteristics of the thesis and dissertation.
THE EMERGENCE OF RESEARCH IN THE PROFESSIONS
Every contemporary profession was, in its beginning stages, made up
of a number of separate individuals operating with a loosely knit
group of common skills, responsibilities, and assumptions. The group
was held together only by social sanctions. As each profession’s cen-
xixHistorical Introduction
tral core of functions crystallized, a body of laws and customs devel-
oped that institutionalized the activities of the profession. At the same
time, the members usually organized and took steps to define their
roles even further, particularly with respect to two considerations: eth-
ical behavior toward their clients and toward each other, and protec-
tion of the public from charlatans.
These evolutionary steps had different points of origin for differ-
ent professions. For law in America the start was in the period 1775–
1780. For educators in the United States, professionalization started
around 1850. The first call for a school to train social workers arose
in 1894. Before then, little theoretical or empirical writing had ap-
peared about the standards, teaching, financing, objectives, and sub-
stance of professional education.
During the second half of the 19th century, an empirical base for
many of today’s professions began to develop. Books, journals, and
state and federal publications carried the material. Virtually all inves-
tigations, though, dealt with matters that could be approached by the
collection of factual data, examining the data in terms of totals,
ranges, averages, and percentages. Ideas about professional practice
continued to achieve acceptance or rejection on the basis of their logi-
cal or emotional appeal to the public and to persons in authority. Not
until the new century began did actual field-testing of new concepts
start to rival debate in determining the efficacy of professional prac-
tices.
The enthusiasm for science that characterized the Western world
at the turn of the century had a decided impact. The idea of a scientific
base for the professions began to be taken seriously. The science ad-
herents came from a variety of academic disciplines. They had in
common a conviction about the paramount importance of seeking
quantifiable evidence, deriving principles, and testing the principles
by additional investigations.
The investigative procedures advocated by science-minded
members of the professions came, naturally enough, from the various
academic disciplines in which they had been trained. They added tech-
niques devised to suit the questions they sought to resolve. The addi-
tions ranged from the questionnaire, the rating scale, the controlled
experiment, and the case study to the complex set of procedures used
xx Historical Introduction
in surveys of entire societal units (i.e., communities, school systems,
cultures, and nations).
Theses and dissertations on topics related more to the profes-
sional disciplines than to the academic disciplines grew in number
each year. So did the number of practicing professionals familiar with
research procedures. But the formal training of individuals for careers
in professional research moved forward more slowly.
During the first three quarters of the 20th century, the newly
trained professors who elected to work in professional schools became
more and more separated from the professors in the academic disci-
plines, including the disciplines that had generated most of the “pro-
fession-oriented” professors. During that same timespan, the training
of persons to conduct investigative studies on “professional” topics
became largely a function of faculty in the professional schools. More
and more often, the professional disciplines found themselves almost
completely separated from the main bodies of their parent academic
disciplines (e.g., social work from sociology and public affairs from
political science).
Certainly, this altered the nature of the T/D work. The investiga-
tions of both faculty members and students who recognized their pri-
mary engagement in professional preparation edged toward a more
operational, practice-oriented mode than the studies conducted by the
faculties and students in the arts and sciences. The same trend ap-
peared even in professional preparation programs which often re-
mained housed in university academic departments, such as speech
pathology and audiology, clinical psychology, economics, theater,
dance, studio arts, music, and journalism.
The widening separation of the professions from the academic
disciplines showed in the increasingly pragmatic stances of the for-
mer, as contrasted with the more abstract devotion to knowledge for
its own sake in the latter. There were exceptions, of course; some
leaders managed to straddle the gap. But the rapid growth in the avail-
ability of schooling and the public demand for high standards of hu-
man services, coupled with accelerated professionalization, exerted
powerful socioeducational forces. Among other things, these forces
influenced scholarship in professional schools to increase serious ef-
forts to develop professional preparation, with its own theoretical
base, and to construct a body of knowledge and practice that would
xxiHistorical Introduction
define the profession. The movement accelerated, too, under the influ-
ence of the steady and widespread growth in empiricism in most of
the Western world’s cultures and by increasingly sophisticated utiliza-
tion of statistical analysis of data in all sectors of society.
The impact of these factors in combination was strong. By mid-
century, empirical research methods dominated. Virtually all advanced
degrees in the professions required the study of statistical procedures
for data analysis. Research departments developed in professional
schools not so much to conduct research as to teach graduate students
to understand and use designs and data-analysis procedures for empir-
ical studies with the greatest feasible degree of control of variables.
Acceptable research came to be identified by the procedures taught by
the research departments of their particular schools. The definition of
“respectability” in many professional schools was to do a T/D that
employed some form of a controlled experimental design and sub-
jected its data to a complex statistical analysis.
RECENT AND CURRENT TRENDS IN T/D INVESTIGATIONS
The late 1950s saw the development of a noticeable negative reaction
to the attitude that any professional discipline could build a theoretical
and conceptual base securely founded on a narrowly conceived under-
pinning of research design and research methodology. Some profes-
sional-school faculty members had pressed for a broader interpretation
all along. Their students carried out surveys, conducted polls and case
studies, did retrospective project evaluation, analyzed the impact of
laws on practices, studied development processes, and in countless
other ways asserted the importance of a wider range of methodologies
and technologies of investigation. That reaction appears by now to
have approached a balance with the earlier, narrower point of view.
Contributions to the different knowledge bases for the various profes-
sions are at present welcomed from many directions. Recently added
dimensions in investigations are found, for example, in the widespread
interest in qualitative research and in the development of systems of
evaluation. Today’s T/D student in either an academic or a profes-
sional discipline has unprecedented latitude in choice of subject and
methodology.
1
Getting Started
QUICK REFERENCE TO ANSWERS TO SPECIFIC QUESTIONS
1. What do I need to get started? 1–4
2. What is acceptable as a thesis or dissertation? 4–5
3. How can I plan ahead effectively? 5–26
4. What are the main objectives of T/D work? 27–33
This book is for
Students looking for practical help with honors and master’s theses
and doctoral dissertations
Faculty seeking instructional tools to use in seminars on research and
with advisees
THE RIGHT BEGINNING
Two precious commodities dare not be wasted in thesis and disserta-
tion (T/D)* work: student time and faculty time. Guidelines in this
book emphasize high-quality effort, excellence of product, and mini-
mum loss of time.
*For convenience, T/D means honors and master’s theses, dissertations, and other terms used
by various colleges and universities to designate the T/D work product. When necessary, distinc-
tions are drawn.
1
2 Chapter 1
The four essentials for a good start are
1. A clear understanding of the meaning and purpose of student re-
search work.
2. Accurate knowledge of what constitutes an acceptable T/D.
3. A detailed plan of action.
4. The technical skill to implement the plan.
These essentials are interrelated. Serious efforts should be devoted to
getting all four well in mind right away.
Special Note: One of the most important changes in thesis and
dissertation preparation has been the influence of technology. Two
decades ago, many theses and dissertations were still being typed on
a typewriter, and students’ use of computers to do the research, make
statistical calculations, properly cite references in the text, and prepare
bibliographies was at a beginning stage. Students today marvel at
what was accomplished by students before the advent of computers
and relevant software. For current students, computer knowledge and
skill are essential. If there remain students who lack such knowledge
and skill, now is the time to get up to speed. Throughout this text, we
point out the ways computers can help you do a better and more effi-
cient job of research and preparation of your thesis or dissertation.
MEANING AND PURPOSE OF THESES AND DISSERTATIONS
Clarifying the Meaning and Purpose of the T/D
Students who know the official answers to the queries below tend to
begin the T/D process with more confidence and a good prospect of
success.
1. What are the purposes of the T/D according to (a) your university,
(b) your school, and (c) your department?
2. If more than one kind of honors or master’s or doctoral degree
can be earned in your department, which should you aim for and
why?
Avoid misunderstandings by talking with your academic or re-
search advisor to get full responses to the above two questions. If
3Getting Started
answers are not available in writing, take notes on what you are told
and by whom. Then, write a summary of your notes and give a copy
to your advisor for verification.
Keep a copy of the verified notes. If any doubts linger, recheck
your notes with the department chairperson. Here and elsewhere in
this book, we advise keeping verified notes. One key reason is that
both faculty members and procedures can change during the period of
your study, and your verified notes can prevent your progress from
being interrupted or delayed by such changes. It helps to use a com-
puter file (see Appendix A) and to maintain a backup.
Distinction Among Honors, Master’s,
and Doctoral Levels
In the United States, honors programs are typically opted for by out-
standing undergraduate students. Honors research normally takes
place in the junior and senior years. Common to honors research is
the requirement of proof of the student’s capacity for independent
scholarship, shown by the production, presentation, and defense of a
senior thesis. That thesis is held to a standard of quality and depth
usually reserved for the graduate level (University of Pittsburgh,
1992). The U.S. honors programs are substantially different from the
British honors system, and students from countries that employ the
British system (e.g., India, Pakistan, and some African nations) should
not confuse the two.
Master’s and doctoral degree research expectations are strikingly
similar among schools. These statements, for example, are from an
engineering school publication (Stuart, 1979).
The master’s thesis must demonstrate the candidate’s ability to
make use of appropriate research procedures, to organize pri-
mary and secondary information into a meaningful whole, and
to present the results in acceptable prose. The length of the thesis
is not important so long as these ends are fulfilled. (p. 1)
The doctoral dissertation is expected to represent independent
and original research in the field of the candid ate’s grad uat e study .
It must add, in some fashion, to understanding in the candidate’s
field. Such contribution to knowledge may result either from the
4 Chapter 1
critical examination of materials not hitherto dealt with or from
the re-examination of traditional materials by means of new
techniques or from new points of view. The project undertaken
must be of sufficient difficulty and scope to test the candidate’s
ability to carry on further research [independently] and it must
ensure...mastering the skills needed for such research. (p. 1)
These quotations illustrate an overarching concept: The T/D is
done to provide a demonstration of the candidate’s ability to carry
out, with substantial independence, a rational investigation that is sig-
nificant in the field and to report the results in a sensible and under-
standable fashion. There are marked differences among fields as to
what constitutes “independence” and “significant” in the research pro-
cess and product. Yet, essentially the same principles apply to thesis
and dissertation study in all professions and academic disciplines
(Council of Graduate Schools [CGS], 1990b).
Thesis and dissertation study is a part of higher learning intended
to identify significant problems, investigate them, analyze the find-
ings, relate them to important concepts or issues, and convey conclu-
sions and implications to others in clear, objective prose. In that con-
text, thesis and dissertation study is a stimulating activity carried on
by students in an increasingly collegial relationship with faculty mem-
bers. It is a culminating and synthesizing activity based on prior study,
and it should be a launch pad for future independent investigations.
Finally, thesis and dissertation work should prepare graduates who
become faculty members in colleges and universities to guide students
through the same experiences later.
WHAT CONSTITUTES AN ACCEPTABLE T/D?
General statements about the meaning and purpose of T/D work need
to be brought into sharper focus to be helpful in particular instances. To
accomplish that, students should ask their advisors specific questions.
1. What forms of investigation, if any, are favored by the faculty of
the department? What forms of investigation, if any, are unlikely
to be approved? Accepted forms of T/D investigation range
widely from school to school and even within departments of the
5Getting Started
same school. Form is often related to the student’s major field of
study. For example, studies of ancient bridges might be accept-
able in a history department, a seminary, a geology department,
or an engineering school. But one can be sure that the form the
studies would take (i.e., the research question, the data collected
and means of collecting it, the analysis of the data, and the defini-
tions of validity and replicability) would vary considerably.
2. Are any topics discouraged or even out of bounds for T/Ds? Are
any topics of special interest to the faculty?
3. Does the department have a particular orientation (e.g., the fam-
ily, public policy, or intercultur al concerns ) that characteri zes much
of its student and faculty research and other scholarly work?
4. Is there a published list of departmental faculty with notes about
their individual or team research interests?
5. Are computer workstations and software packages available for
student use in T/D work? Is the library automated, and are its
holdings accessible on line?
Inquiries like these can be used to initiate conversations with
one’s advisor. Also, it is helpful to talk about such questions with
students who have recently completed T/Ds successfully. It is sug-
gested that notes be taken and summaries written after discussions
with faculty and students. The more clarification one can obtain at
this point, the more likely one is to avoid difficulties in the future.
MAKE A PERSONAL TIME LINE
A realistic time line projection is imperative. It helps keep the project
on course, and it encourages disciplined use of time. Moreover, it is
a communication tool with the advisor and committee members. It
allows an advisor to react to and to be aware of the student’s orderly
approach. Our stress on the value of using a time line is reinforced by
W. G. Bowen and Rudenstine (1992), who urge the use of time lines
to help improve the effectiveness and the efficiency of advanced study
in general and the dissertation phase in particular.
The T/D time line (Fig. 1-1) can be used as is or adapted. The
action points may need minor alterations to make them match the
6 Chapter 1
Figure 1-1 The thesis/dissertation time line.
7Getting Started
specific procedures of a given school, but each of the 30 items appears
as an essential step somewhere in the process in most schools. It is
helpful to put this T/D time line on your computer and to update it
daily.
Start Now to Use the Time Line
First, define present status by checking off those items that are com-
pleted and circling the one or two currently under way. This allows a
precise answer to questions like: “How is the investigation going?
Where are you now?” Second, use the time line in planning. Reference
to the time line encourages thinking ahead, making appointments with
committee members, and scheduling one’s own time. Third, use the
time line to project one’s graduation date. Universities commonly re-
quire that final approval (Action 30) be certified by the T/D commit-
tee by a specified date that falls some weeks prior to the close of
the term in which the student intends to be graduated. Ordinarily, the
committee-approved final copy of the project must be submitted by
that same date. Insert that date at the bottom of the appropriate column
and work backward, estimating how many days, weeks, or months it
will take to move from one action to the next until the current status
is reached. This vital exercise brings into the open any discrepancies
between a student’s wishful thinking and the actuality of the calendar.
Most students find it helpful to enlist their advisor’s aid in making
time estimates and in gathering information about special considera-
tions related to timing.
TAKE ADVANTAGE OF TECHNOLOGY
Students are familiar with the calculator and the word-pr oce ssi ng func-
tions of computers because those functions are most helpful in com-
pleting assignments in college and university courses. But, some may
not have had experience with computer use and computer-related
technology for the independent kind of research called for in theses
and dissertations.
Today’s applications of integrated circuits and their linkages
allow research to be done more quickly and more accurately. Investi-
8 Chapter 1
gators can use technological tools profitably in almost every stage of
a study, including pinpointing the topic; doing the literature search;
selecting the research methodology; collecting, analyzing, and dis-
playing the data; and publishing the results and conclusions.
Probably the computer would come to mind first if one were
asked for examples of technological tools rich in research applica-
tions. The computer certainly has great value in almost every facet of
research. And, it definitely exemplifies high technology.
But not to be overlooked are a number of other devices of real
potential utility, too. Here is a partial list:
Tape recorders
PowerPoint presentations
Scanners
Internet providers
Fax machines
Photocopiers
Cell phones
Internal modems
E-mail providers
There is no end in sight so far as the potential for using en-
abling devices and technologi es is concerned. New on-line univer si-
ties are being created based on the ability to communicate with stu -
dents using the new telecommunication technology. The Universit y
of Phoe nix (http://www.gradschools.com ) Online is one example.
Another is Walden U niversity’s (http: //www.waldenu.edu) Online
Accredited University Degree Program. Older universities are join-
ing in also, by starting courses or program s that eventually lead to
degree programs. See the home p age (http://www.gradschools.com)
for som e examples.
Also, many of these devices can be connected to one another
at nearby or distant places to b ring resources together for the re-
searcher ’s advant age and to conduct procedures in a matter of sec-
onds th at would oth erwise take hours or day s of the investigator’s
time. I n succeeding chapters, such technological applications a re
suggested as they m ight fit the requirements of a particular stage of
research.
9Getting Started
Electronic Communication Etiquette
The deep absorption in one’s problem fostered by the demands of
research does not qualify as an excuse for not maintaining normal
civility and etiquette. This applies to both students and faculty in their
relations with both colleagues and associates.
Increasi ngl y, colleges and universit ies are publishing policy state-
ments on civility in discourse, debate, and other person-to-person in-
teractions. These have special merit for investigators caught up in the
often-intense emotional and pressure-filled atmosphere of T/D work.
Sensible guidelines for electronically mediated interactions are
found in the current (18th) edition of Etiquette, the Blue Book of So-
cial Usage (Post, 1997). Etiquette continues to be defined as a code
of behavior based on thoughtfulness and consideration. Particularly
relevant for the modern researcher is Post’s section on electronic com-
munication. A coined word, “netiquette,” covers appropriate behavior
in using the Internet (or any net).
The Terminology of T/D Work Needs to Be Defined
Terminology in higher education is not standardized. The definitions
that follow do, however, enjoy common usage.
Thesis: The thesis is the product of a scholarly and professional
study at the honors or the master’s degree level. It is usually a docu-
ment* in a format and style specified by the particular university.
(Sometimes, “thesis” is regarded as a synonym for “dissertation.” That
is acceptable, but we elect to link thesis with honors or master’s de-
gree studies and dissertation with the doctorate.)
Dissertation: The dissertation is the product of student work at the
doctoral level, distinguished from thesis study chiefly by its deeper,
*Theses and dissertations are referred to as documents in most instances throughout this book
since the majority do take that form. It is sometimes the case that the end product of thesis and
dissertation study is a musical composition, a painting, or a performance of artistic merit. We
respect all of these and documents equally, but we could find no generic expression that would
adequately include all forms of the various capstone works in advanced graduate study.
10 Chapter 1
more comprehensive, and more mature professional and scholarly
treatment of the subject.
Proposal: A proposal (synonymous with “overview”) is a written
plan for a thesis or for a dissertation developed by a student for con-
sideration and possible approval by a T/D committee.
T/D Committee: The T/D committee is a group of faculty members,
usually at least three for the thesis and four for the dissertation, re-
sponsible for assisting the student in planning a proposal, for deter-
mining if it is approvable, for guiding the student in the conduct of
the study and in preparing the T/D, and for examining the student at
the end of the process.
T/D Advisor: The T/D advisor is the faculty member officially des-
ignated to chair the T/D committee and to have chief responsibility
for the student’s guidance in all matters through the process; some-
times also called the research advisor; not necessarily the student’s
academic advisor.
T/D Chairperson: The chairperson and the T/D advisor may be the
same person or they may be two different persons. In the latter case,
the chairperson has primary responsibility for convening meetings of
the committee, monitoring matters of regulation and protocol that
need to be observed, and ensuring that the student’s rights and privi-
leges and those of the faculty members are understood and not
abridged. Thus, the research advisor has primary responsibility for
guiding the student in the conduct of the study and in the preparation
of the T/D document.
Graduate Office: The graduate office is the university office with
responsibility for issuing, implementing, and interpreting regulations
about the T/D, such as forms to be used, time schedule of events, and
style guides. This office also usually has record maintenance func-
tions. For the honors thesis, the above functions are usually located in
the office of the dean of the honors college.
Academic and Professional Disciplines: There will be occasions to
refer to substantive bodies of knowledge in the sciences, humanities,
and arts (such as physiology, history, literature, philosophy, chemis-
11Getting Started
try, and music), as well as reasons to refer to such professional fields
as education, law, social work, nursing, and engineering. In many lex-
icons, these bodies of knowledge are called “disciplines.” In order to
clarify a distinction that is grounded in a real difference, we refer
separately to the “academic” disciplines and the “professional” disci-
plines, as in Fig. 1-2.
The person trained in an academic discipline is master of a large
and involved, but unified, body of knowledge and is primarily inter-
ested in adding to that body of content. The person trained in a profes-
sional discipline, on the other hand, is master of diversified informa-
tion and concepts that focus on the efficient and effective conduct of
some operation, such as teaching, treating an illness, trying a case in
court, or designing or directing plays. So, it is reasonable to expect
that T/Ds done in the academic disciplines and the professional disci-
plines would differ.
Figure 1-2 Examples of academic and professional disciplines.
12 Chapter 1
Characteristic Similarities and Differences Between T/D
Research in Professional and Academic Disciplines
Similarities: The same three elements must be present in all accept-
able T/D work in both the professional and the academic disciplines:
originality, individuality, and rigor. Originality means that the re-
search has not been done before in the same way. It is rare to find a
topic that has not been researched before to some extent and by some
procedure. So, originality does not mean that the research questions
or hypotheses are entirely new. Instead, the originality criterion is met
if the student continues to study an unresolved problem in a way that
is substantially different from prior approaches and that has a reason-
able prospect of adding to an understanding of the problem. Also,
replication of prior research meets the originality criterion if features
are added to the replication that make it possible to check on the
procedures and findings of the earlier study, thus making the replica-
tion more meritorious research than that replicated.
Individuality means that the study is conceived, conducted, and
reported primarily by the student. Topics may often be suggested by
others. Also, advisors may help in thinking through the concepts and
the procedures to be used. But, the chief decisions about whether to
study the topic, how to study it, and how to report it must be made,
rationalized, and defended by the student. When one applies the indi-
viduality criterion, it is difficult to accept a T/D that is simply “a piece
of” a large research project being carried on by the advisor. If a stu-
dent’s T/D is to be related to the research program of the advisor (and
that idea has much to recommend it), special care must be taken to
ensure real independence for the student in conceptualizing and con-
ducting the study.
The third element common to T/D work in the academic and
professional disciplines is rigor. To attain rigor means to be charac-
terized by strict accuracy and scrupulous honesty and to insist on pre-
cise distinctions among facts, implications, and suppositions. Rigor is
achieved by sticking to demonstrable facts when reporting procedures
and results, by building on a foundation of facts when drawing con-
clusions, by specifying links to facts when inferring implications, by
always bringing forward all relevant data, and by being both self-
critical and logical in reporting and when projecting needed research.
13Getting Started
The individuality, originality, and rigor criteria are common req-
uisites for investigations in both the academic and professional disci-
plines, even though research in the two kinds of disciplines may differ
markedly otherwise. And, there are real differences both in objectives
and in procedures, as elaborated in the next section. Many students
and faculty members take up work in professional schools after
study and experience in academic disciplines. For them, especially, as
well as for T/D students in general, it is valuable to compare and
contrast research in the two settings.
Despite overlap in the topics studied, we have found seven
points on which there are conceptual or administrative differences (see
Fig. 1-3). To make the differences explicit, read item 1 under “Aca-
demic Discipline Research” and then item 1 under “Professional Dis-
cipline Research.” Note the contrast. Then, do the same through the
seven-item lists.
These seven comparisons should help students and faculty mem-
bers to clarify their thinking as well as to recognize and rationalize
the differences listed. It should be evident that there is no special
quality in any T/D work that does not have its roots in the social-
professional mission it is intended to support and foster. Thus, the
better one understands the social role and function of a profession or
an academic discipline, the better prepared one is to conduct or direct
T/D study within it.
Note also that, within a professional discipline, there may be
distinctions between “applied or practice-oriented” T/D and “theoreti-
cal or concept-oriented” T/Ds. Now is the time to ascertain whether
your school or department values that distinction and what it might
mean for you.
The next section turns to the following questions: What factors
go together to make up a high-quality T/D? How can students make
those factors operational in getting started on their own work?
CHARACTERISTICS OF HIGH-QUALITY
STUDENT RESEARCH
In a thesis or dissertation, it is the integrity and objectivity of the
investigator that count most. These criteria prevail regardless of the
Figure 1-3 Distinctions between research in academic disciplines and pro-
fessional disciplines.
15Getting Started
Figure 1-3 (continued)
form of investigation or analysis used. Integrity is shown when every
component of the study is carried out with scrupulous honesty. The
criterion for objectivity is met if the investigator recognizes and, as
much as possible, sets aside personal interests and desires and main-
tains a steady state of academic or professional inquiry from the be-
ginning to the end of the project.
For a definitive analysis of these important concepts we recom-
mend three works: Honor in Science (Sigma Xi, 1991), On Being a
16 Chapter 1
Scientist (National Academy of Sciences, 1989), and “Breaking Faith”
(Root-Bernstein, 1989).
Finally, high-quality research should be characterized by publi-
cation. Others deserve access to both the findings and the method used
in the investigation. We call attention to publication now because we
agree with Meloy (2002), who suggests that publication concerns need
to be addressed much earlier than they usually are in the T/D research
process (see Chapter 10).
What Is High-Quality Dissertation or Thesis Research?
Research cannot take the place of thoughtful reflection and even-
handed deliberation. Research can produce facts and ideas that, in
turn, can fuel thought. Research can help the investigator to know
whether all relevant matters are being considered in the study of a
problem. But, research itself does not produce solutions. Human
thought—not research—is the sovereign problem solver. Only when
thought is applied to the information unearthed by research is it proba-
ble that valid, reliable, and operationally useful outcomes can be ex-
pected. Thus, the quality of an investigation is a function both of the
research that has been done and of the human cognition that has been
applied in the process.
Some consider that the term research should be applied only to
a very restricted form of controlled, experimental scientific inquiry.
But, that point of view leaves out many important realities in the pro-
fessions. Also, the investigations of historians, anthropologists, or so-
ciologists would frequently not qualify for the title research under that
rule, nor would many of the studies in the arts and in literature. Those
who invent new theories, new psychosocial measures, new techniques
of instruction or who design new curricula or do qualitative research
would often be excluded, too, despite the fact that they may employ
very sophisticated procedures leading to objective evaluations of what
they do.
If the term research is to be used meaningfully in the context of
T/D study, it must encompass not only controlled experimentation,
but also many additional forms of planned, thoughtful, investigative
activities. The definition should be broadly inclusive, encouraging full
17Getting Started
use of the ability and the creativity of the student and the advisor.
The following definition of research best accommodates these needs:
“Diligent and systematic inquiry or investigation into a subject in or-
der to discover or revise facts, theories, applications, etc.” (Flexner,
1987, p. 1219). It is only fitting that the specific nature of T/D work,
and how research is defined, should depend on the kinds of problems
that need to be investigated to enhance the particular body of knowl-
edge of concern in each discipline.
No one research appro ach is inherently better than another. Rather,
there are research methods that match some problems well and others
poorly. For example, morale factors among supervisors probably can
be studied more adequately through polling, critical incidents, or case
studies than by other methods. If the question is the effectiveness of
a new or modified traffic control system, it is probably best attacked
through an evaluation procedure. For decisions about long-range
building programs, comparative financial projections and analyses
may be important contributing studies. Research about changes in mo-
tivation or about improvement in human skills may be best undertaken
through applied behavior analysis or other forms of controlled ex-
perimentation. Researchers need all forms of investigation, need to
respect them equally, and need to attempt to link each problem to the
research approach that has the best likelihood of helping to apply hu-
man thought to solve it.
QUALITATIVE RESEARCH
Students and colleagues have urged us to add content about qualitative
research to this edition. Their reasons are the following: They found
many associates unfamiliar with that form of research and its poten-
tialities for T/D work; they were concerned about possible misun-
derstandings between those who used qualitative and quantitative ap-
proaches to investigations; and they pointed out the increasing and
spreading use of qualitative research beyond the disciplines and pro-
fessions in which that style of research had its roots.
Those observations seemed to justify devoting added attention
to the matter. Moreover, both of us have directed qualitative research
for T/Ds and have published qualitative research on our own. Thus, in
18 Chapter 1
the following, we call on first-hand experience as well as on research
methodology literature.
The Nature of Qualitative Research
Qualitative research represents the general name for a group of invest-
igative procedures with common characteristics. Also, qualitative re-
search is empirical in the same sense as other recognized forms of
scientific inquiry. It relies on observation. It follows the principle that
experience, especially of the senses, forms the primary source of sci-
entific knowledge (Bogdan and Bikler, 1998; Hernande z, 1996; Lancy,
1993; Le Compte et al., 1993; Taylor and Bogdan, 1998).
Qualitative research encompasses several forms of the investiga-
tion. They all share this characteristic: The data used do not accommo-
date readily to quantification, specification, objectification, or classifi-
cation. Because of that, common statistical procedures cannot be used
for data display or analysis. Typical of such data might be reports of
participant observation or the texts of in-depth and relatively unstruc-
tured interviews.
In qualitative investigations, the researcher strives for understand-
ing of the phenomenon under study, for example, why people like cer-
tain foods, how an athlete prepares for optimum exertion, how opinions
about political issues are formed, how it feels to be a “senior citizen,”
or how threats are expressed in Maori culture. The researcher keeps
detailed records of events heard, seen, read, felt, or otherwise noticed in
respect to the topic or situation under scrutiny. The primary objective is
to gain knowledge (data) from the subject’s frame of reference.
Securing accurate information about feelings, sensitive behav-
iors, and other personal experiences is critical in many areas of re-
search. It has been historically difficult to obtain unbiased and full
reports from research subjects about, for example, their pain, mood,
personal and social history, or dietary habits. Techniques have been
developed in the last few decades to improve the reliability and accu-
racy of self-report and observer report; qualitative research studies
often depend heavily on such methods. Such data then contribute to
the evaluation of hypotheses or interventions and to the development
of theories or prognostic indicators. Many researchers are already
19Getting Started
knowledgeable about prevailing quantitative methods of investigation.
Therefore, a useful way to define qualitative research is to highlight
how it compares and contrasts with the more familiar quantitative pro-
cedures. In the following, we amplify and extend the distinctions
made by Ford (1997, p. 46) in an article aimed at psychologists.
Distinctions Between Qualitative
and Quantitative Research
1. Qualitative research relies on deduction. It reaches conclu-
sions by reasoning or inferring from general principles to par-
ticulars. Quantitative research relies on induction, arriving at
generalizations by collecting, examining, and analyzing specific
instances.
2. Qualitative research requires the investigator to engage with the
persons, events and ambience studied as an integral part of the
study process. Most often, quantitative research calls for the in-
vestigator to remain detached.
3. Qualitative research offers particular value in the process of gen-
erating new concepts or theories. Quantitative research focuses
more on the testing of existing theories of generalizations.
4. Qualitative research seeks to provide full and accurate descrip-
tions of phenomena in all their complexity. The aim of quantita-
tive research is to reveal or establish cause-and-effect relation-
ships in or among experiences or occurrences.
5. Qualitative research attempts to discover and show the assump-
tions that underlie events or actions. Quantitative research fo-
cuses more on testing the operation of assumptions.
6. Qualitative research uses natural settings as primary data. Quali-
tative studies deal mainly with statements and questions couched
in words and with detailed descriptions of settings and events.
Quantitative research constructs or controls settings and deals
chiefly with amounts and numbers as primary data.
7. Qualitative research begins with broad questions or problems
and attempts to narrow them. Quantitative research starts with
narrow or specific phenomena and attempts to relate them to
others as building blocks to illuminate larger matters.
20 Chapter 1
8. Qualitative resea rch tends to deal with small sampl es and unique-
ness. Quantitative research encourages studying large samples
and prizes representativeness.
9. Qualitative research considers the context of words and events
an integral part of the primary data. Quantitative research tends
to delete context or tightly control it to minimize the influence
of affective nuances.
10. Qualitative research depends on thoroughness and depth of re-
porting to demonstrate significance. Quantitative research uti-
lizes statistical analyses, particularly employing probabilities, to
demonstrate significance.
From the above comparisons and contrasts, it becomes evident
that qualitative research has a distinctive character. How the unique
attributes of qualitative research might best serve the T/D student’s
purpose should be resolved in discussions with the advisor and others
who have the responsibility of guiding student research.
Rigor in Qualitative Research
Investigators using the more conventional forms of research believe
that rigor, or strict and scrupulous accuracy and honesty in conducting
and reporting, is illustrated in part by several markers. The most com-
mon are evidences of validity (both external and internal), reliability,
and objectivity. Qualitative research has its own specific procedures
that convey similar assurances of rigor.
Using the equivalency formulation put forward by Lincoln and
Guba (1985), Ford (1997) draws parallels as follows between mean-
ings of terms from the two types of research:
Qualitative research Quantitative research
Credibility External validity
Transferability Internal validity
Dependability Reliability
Confirmability Objectivity
21Getting Started
If the conditions implied by the above terms can be firmly built
into a qualitative research proposal, it is well on its way to meeting
the high standards that T/D work should exemplify.
Pilot Studies
Pilot studies are tools in determining, in a preliminary fashion, the
potentialities and perils of almost any research idea. For qualitative
research proposals, we strongly agree with Krathwohl (1988) and
Meloy (2002) that only the foolhardy begin without a pilot study that
suggests how the full-blown study should be constructed. Pilot trials
can sharpen the procedures, remind one of the permissions and ap-
provals needed, assay likely costs in time, and check the feasibility
of a larger study. Investment of energy in a pilot study (with advisor
and committee support) can enhance the quality of a subsequent
study and minimize the likelihood of unexpected delays and possible
failure.
Applications of Qualitative Research
Qualitative research, sometimes called “naturalistic” or “field” re-
search, has deep roots in the “social” research of the late 1800s. Dur-
ing that time, society’s concerns prompted investigations of the life
conditions and the views and characteristics of industrial workers, ru-
ral families, dock laborers, criminals, and other groups defined by
occupation or lifestyle.
At the same time, other beginnings of qualitative approaches to
building knowledge came from the academic disciplines of anthropol-
ogy, geography, and sociology. The naturalistic aspects of qualitative
research also attracted attention from journalism and photography and
from writers of history, biography, and fiction.
Whenever societal problems—or simply intriguing questions—
pressed for dependable answers and scholars found it difficult or im-
possible to really quantify data firmly, it proved necessary to rely on
the observations of thoughtful and careful investigators. Such reports
and analyses, whether gleaned from interviews, visual inspection, or
other sources, were critiqued and polished by peers. Finally, having
survived a gauntlet of skeptical scholars, the observations attained re-
22 Chapter 1
spectable positions in science. Otherwise, we might not have arrived
at such scientifically useful notions as the color spectrum of light,
biological taxonomies, gravity, or the theory of evolution and bodies
of knowledge like etymology and paleontology.
Even the most qualitative and objective sciences sometimes face
process questions that can best be studied by qualitative designs. A
contemporary example is the ecology of human communities, with
special reference to the preservation of environmental quality (i.e.,
air and water) through application of optimum conservation and civil
engineering practices.
Using Qualitative and Quantitative Approaches
Differences between research styles do not necessarily make one bet-
ter than another. Rather, one research approach may prove more
suited to a given problem than another. Thus, we reemphasize that,
in planning any research, it is essential to choose the investigative
approach that best promises to match the problem and its setting and
to result in the most believable and dependable solution. In some in-
stances, a qualitative design may well be the approach of choice.
Role of the Research Advisor
Students may encounter faculty members who favor one research style
over another. Some professors may seem almost messianic in their
conviction that a certain investigative style should be employed. This
can occur particularly when the faculty member tries to introduce a
form of research not traditional to their academic or professional dis-
cipline.
Such advisors can sometimes actually prove helpful because
their enthusiasm and commitment extends to students who elect to
work with them. Alternatively, such single-mindedness in an advisor
can put limits on the flexibility and on the encouragement of indepen-
dence that best satisfies the needs of the beginning researcher.
For balance, we continue to urge the studen t to seek a broad range
of inf orm ati on before commi tting to an advisor. Also, we suggest that
students remain wary of advisor s who let selection of the research
method take precedence over the selection of the problem to be studie d.
23Getting Started
Conclusion
Qualitative research does have much in common with all other re-
search. It calls for a statement of the problem, and a research design
must guide the study toward its goal; data are gathered, organized,
inspected, analyzed, synthesized in deliberate and replicable ways,
and related to other data. For the T/D student, the keys to success in
qualitative research appear fundamentally no different from those for
success in any other research enterprise.
In the final analysis, the utility and the rigor of the product de-
pend on the researcher’s integrity and mastery of the subtleties of the
methodology and on a full, honest, and clear description of what oc-
curred in every step of the research protocol.
THE THESIS IN HONORS COLLEGES
AND HONORS PROGRAMS
A report of the National Collegiate Honors Council (1997) stated that
it included 578 colleges and universities, all of which mount under-
graduate honors programs or honors colleges. Such academic units
emerged more than 30 years ago and are on the increase.
During the past two decades, a growing number of schools au-
thorized undergraduate degree studies in which the completion of a
thesis is required for graduation. Such courses of study are commonly
known as honors programs or honors academic units.
Honors academic units vary greatly in structure and in opera-
tional characteristics from place to place, but they all are similar in
one way: Each aims at locating highly able undergraduates and allow-
ing them to advance in higher education at their own pace. A foremost
concern is that students with unusual talent, drive, and curiosi ty should
receive incentives and recognition for achievement with individual-
ized opportunities for intellectual, artistic, and physical challenge, spe-
cial advising, and demanding and rigorous instruction and content
(University of Pittsburgh, 1992).
Generally, a university or college undergraduate honors program
provides courses that, so far as intellectual challenge is concerned,
match the highest undergraduate or the initial graduate levels. That is
24 Chapter 1
consistent with the high academic attainment focus typical of such
offerings.
Ordinarily, study under the auspices of an honors faculty calls
also for strong evidence of the student’s ability to carry out scholarly
independent work consistently and in depth. The culminating evidence
of that ability is the successful completion of an honors thesis.
All honors units emphasize student research in one or more
forms. A large proportion of member schools include a research proj-
ect similar to the master’s thesis in scholarly scope and quality as a
standard requirement. Faculty members from all of the academic and
professional disciplines are recruited into honors units to teach, to
guide, and to evaluate student research.
The procedures employed by students and faculty members in
moving toward completing an honors thesis are, in the programs we
have reviewed, strikingly similar to those that apply to the master’s
thesis. In fact, the faculty members who direct or chair honors thesis
committees are often the same persons who do so for graduate T/Ds.
An honors program (sometimes called an honors college) is, in
short, a distinctive undergraduate course of study that is more than
ordinarily demanding academically, that requires consistently high
achievement, and that culminates in a thesis, through which the stu-
dent demonstrates a proven capacity for academic initiative and for
independent scholarship. The guidance of the advisor and committee
during the thesis preparation and defense is similar to that found in
master’s degree study.
Because of the common elements in honors thesis and T/D ob-
jectives, policies, and procedures, we treat them together, making
note, when necessary, of any special considerations.
THE THESIS AS AN ELEMENT IN THE MASTER’S PROGRAM
The master’s degree is a highly valued degree that has been increasing
both in number awarded and in prestige. The number awarded nearly
doubled from 1970 to 1996. Since then, growth has been steady, rising
to over 500,000 earned annually, most in the applied sectors like busi-
ness and nursing (National Center for Education Statistics [NCES],
1999). Master’s recipients credit the degree program with helping to
25Getting Started
sharpen the ability to connect theory and practice, and to refine critical
ability (Clifton, 1993).
In preparing a master’s thesis, the graduate student can present
evidence of the competencies required to make use of accepted proce-
dures of scholarly inquiry. For instance, the student can combine data
from primary and secondary sources into a unified presentation in cor-
rect and readable prose. The general objective of the thesis as part of
master’s degree study has been stated as follows:
It is reasonable to expect that, in a fifth year of academic work
of respectable quality, a student will have had an intellectual
adventure which can be described in writing. And such descrip-
tion gives an experience which will be obtained in no other way;
by it, one is introduced to the methods employed in the acquisi-
tion, preparation and the analysis of material. Depending upon
the field and the type of degree for which one is a candidate, this
exercise may represent a small piece of research, the solution of
a complex problem of design, a critical understanding of a sector
of knowledge of considerable dimensions, or critical apprecia-
tion or creative work in literature or one of the arts. (Report of
the Committee on Graduate Work of the Association of Ameri-
can Universities, quoted in and adapted from the Style Manual of
the School of Education, University of Pittsburgh, 1981, p. 88)
This statement did not differentiate between professional school and
academic discipline master’s projects. Note, too, its similarity in sub-
stance to the master’s research requirement from an engineering
school quoted above (Stuart, 1979).
Both the honors and the master’s thesis can serve these func-
tions:
1. They can give first-hand experience in conducting investigations
and can familiarize the student with the kind of effort and integ-
rity demanded by research. That, in turn, can help to prepare those
who aspire to the doctorate.
2. They can make the student expert in at least one aspect of a pro-
fessional or academic discipline.
3. Either can serve as a capstone for a significant unit of advanced
study.
26 Chapter 1
PREFERRED PRACTICES IN STUDENT RESEARCH
Students and faculty alike are probably most interested in which char-
acteristics a T/D should have to merit acceptance. That is what the
student wants to know when seeking guidance in the selection of a
topic and a procedure to use in studying it. That is what the faculty
member wants to know when trying to decide whether to encourage a
student to move ahead with a proposed investigation or, later, whether
to settle for what the student has produced at the end of a period of
study, analysis, and writing.
A landmark national study reported on practices in doctoral
study in the more than 100 institutions in the United States that had
doctoral programs in the profession of education (Robertson and Sist-
ler, 1971). According to that study, the dissertation “is considered a
training instrument in the techniques of scholarly research and of re-
porting findings; it also represents a contribution to the knowledge of
a given field” (p. 183). The Council of Graduate Schools, in 1990,
stated that a “Doctor of Philosophy program is designed to prepare
a student to discover, integrate, and apply knowledge, as well as to
communicate and disseminate it” (CGS, 1990b, p. 1). Thus, scholarly
investigation and the presentation of findings to others are a pair of
characteristics that has a historical association with doctoral research,
whether in professional study or in the academic disciplines. Contem-
porary writing uniformly reports training in scholarly and research
procedures and contributions to knowledge as the chief features the
graduate student’s research should have (Barzun and Graff, 1985;
Cortada and Winkler, 1979; CGS, 1991b; Krathwohl, 1988; Martin,
1980; Sternberg, 1981).
Another feature reported by Robertson and Sistler (1971) was its
service as the subject of a final examination for doctoral students. The
last examination of the student by the faculty covered only the re-
search project in 85% of the queried institutions. Three-fourths of the
time this examination was oral. No institution used only a final written
examination of the student’s research. Approximately 10% used both,
with the written test at certain schools invoked only if students did
not perform satisfactorily in an oral interrogation. Less than 10% of
doctoral programs had no final examination. The role of the final oral
doctoral examina tio n remains essenti all y the same today (CGS, 199lb).
27Getting Started
THESIS AND DISSERTATION OBJECTIVES
Students may well ask, “What is involved in completing T/D work?”
“Why should I do this work?” “What will it have to do with my pro-
fessional and academic competence?” Faculty members, particularly
new ones, can be plagued by related questions: “What am I supposed
to be conveying to the students whose investigations I direct or on
whose committees I serve? What really are the functions served by
this phase of graduate study?” “What has this process to do with the
purpose of the university?” A core element common to those ques-
tions is “Why?” For an answer, we look first at the commonly stated
objectives of graduate student research found in institutional publica-
tions.
General Objectives
Published objectives, as mentioned above, emphasize evidence of
scholarly work, research competence, and contribution to knowledge.
These have the validity of academic consensus. Faculties agree that
both theses and dissertations should aim at those objectives. More-
over, they agree that those qualities should be easily discerned in ac-
ceptable documents submitted by students.
Operational meanings for scholarly work, research competence,
and contribution to knowledge are not easy to specify, however. Crite-
ria for judging those three matters are highly individual. They vary
from faculty member to faculty member and among the academic and
professional disciplines. Our findings from interviews with students,
faculty members, and other university institutional representatives,
however, indicate that these general objectives are commonly ac-
cepted by academics, and scholars feel they can tell us when they are
present in theses and dissertations.
Objectives of Students
Student objectives include those that are short range and those that
look to the more distant future.
Professional and Academic Standing: Students often find that the
qualifications they seek are linked to obtaining the master’s or doc-
28 Chapter 1
toral degree. Thus, the attainment of an advanced degree may be tied
to goals like being recommended for qualification as a specialist in
teaching, doing research, promotion in rank, supervising, managing,
counseling, or a specific realm of practice or administration. Foreign
students are often under specific direction from the ministry that pro-
vides the scholarship and support (e.g., there is an expectation that a
Ph.D. will be earned rather than another doctorate). Hence, it is appro-
priate that the T/D be recognized as an essential short-range objective,
the outcome of which will be evaluated by others along the student’s
way to some desired position, certification, or licensure.
Completing Course Work at a High-Quality Level: When the stu-
dent’s aim is doctoral study, the master’s degree becomes a short-
range objective, one that must be reached at an acceptable level of
quality before doctoral study can be undertaken.* Some schools set a
limit on the residence time, the number of graduate credits, or the
particular graduate courses a student may take before completing the
thesis, thus operationally defining the thesis as a short-range objective.
Staying Within the Statute of Limitations: Almost all schools put a
time limit on the completion of the dissertation, too. Commonly, a
statute of limitations reads like this: “The dissertation must be com-
pleted within three years of the time the proposal received initial ap-
proval.” The number of years allowed may vary from school to
school, but some time constraint is all but universal, although exten-
sions may be granted for cause.
Finding Good Advisors and Models: Students do detective work,
trying to find out what faculty members consider an acceptable T/D.
This effort to define what might find favor with potential advisors
and committee members can be motivated by a sincere desire to do a
worthwhile job because of what it means for self-esteem and to gain
added respect from the faculty. In pursuing this objective, students
*Some schools permit or encourage students to move from the bachelor’s degree directly to the
doctorate. Students in those cases, we believe, should be advised to do directed independent
study equivalent to master’s thesis work along the way to help prepare them for the dissertation
experience. Honors thesis students may be at an advantage here.
29Getting Started
look for models primarily in the recently completed T/Ds of other
students.
Foreign students are often especially dependent on their advi-
sors, so for them the choice of an advisor may also involve affective
considerations of empathy, learning styles, and personal relationships.
Such considerations, while possibly important to all students, seem to
be less an issue when cultural differences between students and fac-
ulty are small or well understood by both parties (Mallinkrodt and
Leong, 1992; Mauch and Spaulding, 1992; Parr et al., 1992).
Objectives of the Higher Education Institution
Institutional objectives are stated in broad terms. Hence, it would be
unusual to find them phrased in language specific to student research.
It can be inferred, however, that the T/D elements of a student’s ad-
vanced preparation are expected to be consistent with the institution’s
mission. The three statements below represent how a professional
school faculty might phrase institutional objectives.
Providing Leadership: Preparation of leaders for the profession for
communities, for state and federal agencies, for colleges and universi-
ties, and for other components of the public and private sectors.
Expanding Knowledge: Fostering theory building and conducting
studies that create new and better approaches to our profession and
encouraging and carrying out demonstrations that illustrate and dis-
seminate information about improved practices developed at the uni-
versity and elsewhere.
Improving Professional Practice: Development of master prac-
titioners who will bring professional and humanistic advances to the
fields in which they apply their skills.
These statements say little about T/D activities. Yet, embedded
in those objectives are clues to the kinds of proposals that ought to be
well received at this particular institution. Students should look for
statements of institutional objectives and discuss them with their ad-
visors. Not only will that trigger ideas about possible topics, but also
it may help to establish part of the rationale for the selection of a
topic.
30 Chapter 1
Objectives of the Faculty
Faculty objectives for T/D activity are to enhance scholarship in the
sense of looking for truth, to build on the existing body of knowledge,
and to create original works. Steggna (1972) speaks of scholarship as
an activity inherent in the mission of a university, one that should be
exemplified in the work of the faculty. He calls it a faculty duty to
search for the truth, add to knowledge, and produce new cultural ma-
terials. That role for scholarship is reemphasized, directly or implicitly,
in more recent publications (W. G. Bowen, 1981; Ziolkowski, 1990).
Certainly, the faculty efforts devoted to guiding student investiga-
tions should contribute to the discharge of that duty to an appreciable
degree.
Yet, here we turn to the questions “What is scholarship?” and
“What is scholarly work?” The expressions are often used, but seldom
defined. This need for definition is more than a matter of intellectual
curiosity—-more than an academic question. For example, students
who are told that their work will have to be “more scholarly” to be
accepted really deserve to be given a definition in operational terms,
plus examples. Likewise, assistant professors who have, after due pro-
cess, been refused tenure because their publications were not suffi-
ciently scholarly should have illustrations for comparison and criteria
for reference. Tenure and promotion committees in universities are
hard put also to define scholarly in sufficiently specific and objective
terms to allow them to develop reasonable standards for the up-or-out
decisions they must make. A more behavioral definition is needed.
Any one chosen will not be entirely satisfactory. However, the defini-
tion below will be useful now, and it may lead to a better definition
in the future.
Inculcation of Scholarly Standards
Following is a list of seven features that, in our judgment, characterize
scholarly written work. Few scholarly works meet all seven criteria,
but a work that meets none of them is almost certain to be in trouble
with the scholars. Faculty members try to inculcate these seven schol-
arly qualities during T/D work.
31Getting Started
1. A scholarly work is published in a respected, refereed journal or
in book form.
2. It has been available for a sufficient period of time to be subjected
to the criticism of other scholars in the same field, and it has
stood up successfully to that criticism.
3. It is based on the expert wisdom and literature of the field. The
work indicates that the author is familiar with the conventional
wisdom of the field, and if it departs in new directions, it presents
a sound and rational defense for its departure.
4. It demonstrates the workings of a thorough, careful, critical, and
analytical mind, looking at all sides of any proposition, examining
and testing hypotheses, setting up and knocking down arguments,
and marshaling in a complete and fair way all the facts in the
process of critically analyzing the study’s findings. A scholar
will, of course, believe and support the findings of a careful in-
vestigation, but a scholar is not an advocate or a promoter. The
scholar is evenhanded and is willing to entertain the possibility
that errors can be made by even the most watchful investigator.
Scholars should be happy to find error in their own positions
when such errors exist, for only in this way can truth be sought.
5. It demonstrates to other scholars that the writer is a competent
specialist who understands the theories and concepts of the do-
main and who has a systematic knowledge of the chosen field
rather than a smattering of insights here and there.
6. It is nonpolitical or amoral. It may, of course, be concerned with
political and moral judgments and related phenomena as fields of
study and specialization, but a scholarly work is not a polemic. It
is not selectively cleaned up or toned down or otherwise slanted
because it may be popular or unpopular with the contracting
agency, the government, the church, the boss, or professional col-
leagues. An essential ingredient to scholarship is the assumption
that politically, socially, and morally unpopular and even repug-
nant works may be scholarly, and decisions about whether one
should work in these areas and about whether or not they should
be published, examined, and debated should be based on the
scholarship of the work and not its political correctness. Scholars
32 Chapter 1
seem to agree on this, but the point has to be made because every-
one at times can find the commitment to free and open scholar-
ship weakening under the various pressures that can be brought
to bear so skillfully, subtly, and punitively by defenders of sacred
cows.
7. It must be useful, as indicated by how often others cite the work.
This also constitutes an index of scholarship. A well-regarded,
innovative, or provocative publication will be referred to fre-
quently by others. Thereby, it demonstrates that it has qualities
that are of significant value.
Evidence or Promise of Scholarly Work
As one reviews these seven standards, it becomes evident that student
research would need to be on public view for some time before it
could receive the in-depth testing implied in several of them. More-
over, it would be too much to expect that T/D work by students should
match the productions of seasoned and polished investigators.
Therefore, it is the indications of and the promise of scholarly
work, as characterized by the list, that advisors and committee mem-
bers look for in the productions of their students. There are occasions
when student work is qualitatively equal to the best of that of well-
established investigators and theorists. But, more often, the faculty
member is satisfied to lead students toward that level of attainment
and to judge by comparison and inference whether students finally
reach a respect for and an understanding of scholarship as a concept,
internalize it as a goal, and demonstrate by their own work that they
show substantial potential for attaining it.
Preparation for the Advisor’s Role
In addition to the faculty’s objectives that have to do with the stu-
dent’s attainment of a scholarly point of view and the promise of
scholarly productivity, there are others. A major one concerns the stu-
dent’s possible future role as an advisor or committee member for
others. Faculty members who guide graduate students recognize that
their own performances are models for their students—perhaps the
only such models the students will ever know so close at hand and
33Getting Started
with such intensity. It is also plain to those faculty members that they
will be both judge and jury in determining the extent to which their
graduates are ready to help other students as fledging advisors.
Emphasizing Responsibility and Development
Especially important is balance in assessing graduate research scholar-
ship quality. Above, we noted the blend that needs to be achieved of
pragmatic technology and pursuit of knowledge for its own sake. Al-
fred North Whitehead (1953, p. 199) said, “There is something be-
tween the gross specialized values of the mere practical man and the
thin specialized values of the mere scholar....What is wanted is an
appreciation of the infinite variety of vivid values achieved by an or-
ganism in its proper environment. We want concrete fact with a high
light thrown on what is relevant to its preciousness.” That can be
achieved by guiding students to insist that they be able to demonstrate
that their work has relevance for the advancement of their disciplines,
while at the same time, to show that it meets the requirements to
search out truth, contribute to the sum of knowledge, and produce
fresh material for the culture.
SUMMARY
A time line is one of the first essentials for a student who wishes to
embark on T/D work. It helps to develop a plan of action. It has
increased value, too, when linked to an understanding of modern tech-
nology and of the meaning and purpose of graduate student research
and to a grasp of the standards for acceptable work.
Students and faculty members, academic and professional, make
important contributions through theses and dissertations. There is a
historical time line, extending at least to the Middle Ages, that vali-
dates such investigations as culminating achievements in advanced
study.
In recent years, academic disciplines and professional disciplines
have moved to separate paths. The professions have matured, while
continuing to acknowledge their roots in the arts and sciences. There
are palpable differences now between the T/D in the academic disci-
34 Chapter 1
plines and in the professions. Also, it is possible to specify some of
their special characteristics. Purposes differ, depending on whether
they are examined from the viewpoint of the student, the institution,
or the faculty. Yet, they have much in common. T/D study is growing.
Both students and faculty need and deserve more objective and spe-
cific information about the process than they have had available in the
past.
2
The Research Advisor
QUICK REFERENCE TO ANSWERS TO SPECIFIC QUESTIONS
1. How do I find the right advisor for me? 35–37, 61–64
2. What is the student supposed to learn from
the advisor? 38–48
3. What are the advisor’s responsibilities? 48–61
4. How can I change research advisors? 61–65
The research advisor, who typically also chairs the T/ D committee,
is the starting poi nt for this discussion. Since the more common
practice is to give students some voice in r esearch adv isor select ion,
it is va luable to know what that individual is supposed to do and
how to m ake constructive contact with potential research advisors to
assess their inter ests and comparability. We agree with Allen (19 73),
who sai d,
Since you may be working with this committee for an extended
period of time, you should—if at all possible—attempt to influ-
ence the selection of a committee that increases your chances of
completing a high-quality research paper in the time you have
allotted for the task. (p. 30)
Others have since advised or implied the same notion (Krathwohl,
1988; Meloy, 2002).
35
36 Chapter 2
LEARNING ABOUT ADVISOR FUNCTIONS
The advisor is the most important person in the scholastic life of the
student during T/D work. Moreover, university publications repeat-
edly stress that much of the initiative for finding a research advisor
must come from the student. One reason is that faculty members are
reluctant to be seen as “selling” students on their specific interests or
their particular ideological or research agenda. Another reason is that
choosing an advisor tends to be tightly linked to choosing a topic for
investigation. That relationship is noted in this chapter, but the details
of topic selection are elaborated in Chapter 3.
Starting to Talk with Potential Advisors
The care one should give to the selection of an advisor cannot be
overestimated. A mistake here could lead to disaster. Yet, students,
perhaps particularly new students, find themselves in a complex social
and academic situation with very little experience to guide them. An
excellent place to start is with other students, especially those who are
experienced in the academic program and perhaps well along in the
thesis or dissertation process. Ask the experienced students about ad-
visors, about their strengths and weaknesses, the number of advisees
they have, and their record in seeing advisees through to successful
completion.
Also, a bit of time in library research can tell you what potential
advisors have published and where. Try starting with search strategies
that focus on subjects in your academic program area and the research
area of interest to you and to potential advisors. The research librarian
can be of great help here, of course, but some places to start on your
own might be the Academic Search Elite, MLA (Modern Language
Association) International Bibliography, Public Affairs International,
Science Citation Index, Social Citation Index, and so forth. That tells
you something about the areas of expertise, as well as the quality of
the work of those scholars cited. Another indication of the quality of
the work is how often it is cited by peers, and many of the databases
will give you that information. All this information is available in
your research library and, in many cases, is available on your home
computer through access to the library’s on-line resources.
37The Research Advisor
Many faculty members have home pages that will provide a
good deal of information about them as potential advisors. Many fac-
ulty members, in addition to their academic program or department,
are affiliated with a number of other academic centers in the univer-
sity (e.g., Center for Latin American Studies, the Honors College, or
the International Institute for Studies in Education). Investigating
these affiliations can yield much information about the background,
area of expertise, research interests, and accomplishments of a faculty
member. Also, faculty academic backgrounds and fields of expertise
are often published by their universities, either in print or on line.
Another way to search for an appropriate advisor is to read the-
ses and dissertations from students who have graduated. Of course,
the fact that the students have graduated and completed their theses
or dissertations is already a good sign. University libraries usually
catalog copies of theses and dissertations. Read them and look for the
names of advisors, committee members, and the academic area of the
dissertation.
Ordinarily, faculty members are pleased to talk about their inter-
ests with students. Such discussions should be started by students soon
after admission to advanced study. Records should be kept of inter-
views. Faculty members not exactly right for research advisor may
later prove to be good choices for committee membership or consulta-
tion on specific T/D problems.
Before approaching a faculty member, the student should be sure
there is something to talk about. That calls for planning a brief
agenda. One way to start is by reading one or two of the faculty mem-
ber’s most recent publications. Look for places where the faculty
member calls attention to the need for more information or to prior
research that did not fully resolve the matter that it attacked. Use those
references to open the conversation; ask whether anyone known to the
faculty member is doing research to close those knowledge gaps. Sug-
gest that you might try to develop a proposal related to the question
or questions if no one else is already doing so. Be ready, too, with a
few written first-draft research questions or hypotheses that you have
developed on the subject(s), but recognize that neither the student nor
the faculty member expects that they are in final form. The most im-
portant point is to show that a serious effort has been made to prepare
38 Chapter 2
for the interview, and that the student has accepted responsibility for
the initiative.
Still a third effective variation on this approach is to study T/Ds
recently completed under the faculty member’s direction. The major-
ity of academic and professional T/Ds contain sections on implica-
tions for further research. Equally important, the faculty members who
approved them had already tacitly agreed to the relevance and impor-
tance of the proposed investigations. Foreign students may seek advi-
sors who have successfully worked with other foreign students or who
have conducted or directed studies having a strong international com-
ponent.
As part of getting under way on the selection of an advisor, we
urge the student to do two other things without delay. One is to obtain,
carefully study, and follow any policies, statements, or procedure that
the local school or department has about research advisor selection.
The other is to commit time to a careful reading of the rest of this
chapter and at least to skim the rest of the book to identify areas to
be studied later. The suggestions in the book are intended to be useful
in making the most of the student’s important initial steps.
The Advisor’s Role
The role of the research advisor is mainly that of a teacher, but also
is that of a guide, mentor, confidant, and senior research colleague.
The role definition rests on the premise that the advisor is instructing
the student in learning to conduct investigations independently. Suc-
cessful students and advisors often describe their relationships as re-
spectful and collegial. The advisor, usually older, wiser, and knowl-
edgeable about the ways of the university world, wields a considerable
amount of power. The student, typically plagued with anxieties about
the ability to do what is expected, looks up to the advisor as someone
who has done it and who can teach or impart the needed knowledge
and skill.
A general theory of the student-advisor relationship can be illus-
trated graphically (see Fig. 2-1). In its basic form, the theory holds
that the relationship at the outset of T/D study is one to one, with the
advisor mainly in the role of teacher and the T/D candidate in the role
39The Research Advisor
Figure 2-1 Progress of student-advisor relationship.
of pupil. Then, as the work progresses, the relationship moves more
and more toward that of a junior colleague working with and maturing
as a researcher under the influence of a senior colleague. That theory
underlies the discussions and the recommendations about student-advi-
sor interactions in the major contemporary reports on the subject (CGS,
1990a, 199lb; LaPidus, 1990).
Currently, the above theory fits best in fields in which the pre-
vailing model is that of the T/D scholar working, for the most part,
alone, with no one else sharing the same or very similar research ac-
tivities and goals. In some disciplines, though, T/D research projects
are typically small components of much larger collaborative studies.
In the last case, the vested interest of the advisor in the research may
prove to be paramount from the outset, with the result that the advisor
takes a larger hand in managing the student’s investigation from the
very beginning, thus casting the student in the role of junior colleague
and collaborator all the way through the T/D experience.
In a policy statement, the Council of Graduate Schools (199lb)
says:
Because of the inherent status differences of the participants, stu-
dent/faculty collaboration can present opportunities for abuse;
when students work on faculty projects, conflicts of interest can
arise over ownership of the data and the research results. How
is an equitable division of credit achieved for collaborative re-
40 Chapter 2
search between a doctoral (or master’s or honors) student and
his or her advisor? (p. 11)
The policy statement goes on to respond:
Faculty and graduate students alike see a need for some mecha-
nism to identify and evaluate a doctoral (or master’s or honors)
student’s individual contributions to a collaborative research
project....Universities should have clear policies governing
collaboration among faculty and students and among students.
These policies should insure the integrity of the various functions
of doctoral (or master’s or honors) research and protect all par-
ties’ rights in the research results. (p. 11)
We agree with Myers (1993), who says:
I have never met a student who did not hope to make a personal
imprint on his or her dissertation. Often the research idea comes
from the student’s own experience. Even when this is not the
case, there is a strong desire to implant one’s self-concept in the
work. Of course, there are examples of a student taking a minor
spinoff of a sponsor’s programmatic research. This is a very effi-
cient way to do dissertation research, but it seldom results in
feelings of fulfillment for the student. The internal drive to make
it one’s own is powerful and pervasive. (p. 334)
Truly, inherent in the T/D process itself, there is collaboration, in the
broad sense of willing cooperation, between students and faculty
members. But, when collaboration promises to involve the student as
one of a number of investigators jointly working on more or less con-
nected aspects of a large research enterprise, the above general theory
of student-advisor relationship (Fig. 2-1) needs the protection of clear,
written guidelines to ensure that the traditional purposes and goals of
the T/D process are never unintentionally subverted, with the real
loser being the student.
Students often feel absolutely dependent on the advisor to finish.
It can be lonely. The camaraderie of classes, groups, and grades is all
but gone. Prior learning now has to be synthesized and actively drawn
on in a rigorous fashion to produce something of worth, something
41The Research Advisor
that will be open to the critical examination of the advisor and later a
committee of learned peers of the advisor.
Although the roles are different, both students and advisors aim
for successful completion. The advisor may become anxious if the
student falters, if there appears to be a waste of time, fumbling, or inde-
cision. The advisor will chastise, cajole, encourage, reinforce, and per-
haps, at times, threaten. All this seems to be tolerated to a remarkable
degree when the student respects and trusts the advisor and knows
that the advisor is acting out of concern and interest.
There must be, after all, advisor respect for the advisee in order
that the thesis or dissertation preparation is a growth experience. Too
much direction and hand-holding can stifle creativity and indepen-
dence, blind both parties to reality, and weaken the selectivity of the
program. No matter how humanistic the advisor’s concerns, it is diffi-
cult to argue that all candidates in an honors, master’s, or doctoral
program should complete it. The advisor who defends an advisee un-
der any circumstance has gone beyond the bounds of appropriate be-
havior.
A more appropriate role for the advisor is that of advanced in-
structor. Here, the advisor presumes that the student is a mature per-
son, possessing the skills and tools of research appropriate to the
topic.
A colleague, C. Baker (personal communication, Dec. 18, 1992)
has collected statements made by students to advisors; she labeled
these “things dissertation advisors hate to hear.” These statements
were gleaned from years of experience working with graduate stu-
dents and their advisors:
Things dissertation advisors hate to hear:
“Just tell me what to do and I’ll do it!”
“It would be much easier if you gave me a topic to investigate.”
“I know it’s taken me 6 months to revise my overview, but could you
possibly have it read by tomorrow?”
“What rules were in effect when I started the program?”
“You mean that I should have committee members from my pro-
gram?”
“I’ll study any topic as long as it doesn’t require statistics.”
42 Chapter 2
“Don’t expect me to know what I’m doing; I’ve never written a dis-
sertation before.”
“You have to sign off on this because I have made arrangements for
my family to fly in from across the world for graduation.”
“Couldn’t you make an exception in my case?”
Advisor advocacy is appropriate, but it has to be accompanied by
advisee responsibility with respect to identifying the topic, personally
conducting the research, setting reasonable and realistic goals and
meeting them, and using clear language in writing. If the student fails
in any of these respects, without acceptable cause, it is time for some
difficult evaluation and reassessment, with requests for appropriate
changes in behavior. The student has the right to know what is ex-
pected, to understand and discuss these expectations, and to know the
consequences of failing to meet them.
Phases of Faculty-Student Interactions
From experiences related by faculty members, it is possible to identify
three sequential phases of faculty-student interaction. First is an ex-
ploratory phase; the student is given encouragement to look for an
area of study. Having been contacted by a student, the advisor throws
out leads and gives information about where and how to look for
problems in need of investigation, but the student is not directed to-
ward specific problems. The advisor supports the search and offers
encouragement to continue it. This is an opportune time for advisor
and student to discuss how best to use electronic technology to help
accomplish the literature explorations—the browsing—and then to
carry out the literature searches that are needed. Advisors can help
students learn how to use computer-assisted literature searches to ex-
amine what has been reported in a particular “problem area” and to
move from that activity to the identification of specific potentially
researchable topics within the problem areas being explored. In this
phase, also, the advisor informs the student of criteria that can be used
to help determine whether a topic is one that would lend itself to T/D
work. For discussion purposes, criteria can be grouped in three cate-
gories: the student’s criteria, the advisor’s criteria, and the institu-
43The Research Advisor
tion’s criteria. The last includes university, school, and departmental
criteria. Chapter 9 supplies a suggested checklist of criteria.
The second stage in the advisor-student interaction sequence is
one of moving toward problem focus. The student settles in on two or
three problems in a topical area (sometimes more than one topical
area). The problems are described, and a beginning is made on stating
their boundaries. Though specific T/D problems have not yet crystal-
lized, there is movement in that direction. The advisor and student
have fairly well-defined problem areas to examine. In this stage, a
literature search is an important activity. Also, referring to the criteria
discussed in the first stage should prove helpful.
The third stage is generation of research questions or hypothe-
ses. The student formulates questions or hypotheses and tries them out
on the advisor, on friends, and among the other graduate students.
Still endeavoring not to be overly directive, advisors tend at this point
to lead the students toward a narrower and more precise problem defi-
nition. All of that is done, to the extent possible, in a spirit of coopera-
tive helpfulness. Inadvertent discouragement of students at this stage
is all too easy for the closer the student comes to defining a T/D
problem, the more strongly the criticism is felt.
The Advisor as a Mentor/Tutor
Mentor* refers to a person of competence who volunteers to instruct
a junior or less experienced person in an area of mutual interest. The
person who finds a mentor will be helped to prepare for a lifetime
career without losing a sense of identity. From the relationship comes
the confidence to succeed by one’s own efforts (Kavoosi et al., 1995).
Such a relationship is especially important to foreign students.
Mentoring is probably the most applicable instructional term for
the style of faculty-student interaction in T/D work. Unlike a tutor
*Some universities use the term mentor as the official designation for the T/D advisor. Fordham
is an example. Mentor was Odysseus’s trusted counselor, in whose disguise Athena became
guardian and teacher of Telemachus, Odysseus’s son. Other meanings of mentor are adviser and
wise one.
44 Chapter 2
devoted to subject matter, the mentor tends to become more sharing
and confidential. The student is apt to learn in depth what the advisor
thinks about topics of mutual interest. The faculty member who is
truly a mentor is liable to learn much about the student’s motives,
plans, and hopes. The searching and reporting by the student often
bring new information and insights to the faculty member, who in turn
enriches the contacts with the student (and with classes) by talking
about them.
Both students and faculty remark that they learn from each other
during graduate study. But, there is little literature that bears directly
on the learning experiences accruing from T/D study or advisement
(LaPidus, 1990).
Hints as to potentially valuable procedures can be found, how-
ever, in the extensive literature on the education of the gifted. Most
T/D students are in that category based on conventional definitions
(Sellin and Birch, 1980, 1981).
There remains, however, a constant acknowledgment that the
advisor has power that the student does not have. Krathwohl (1988,
p. 262) urges the student to look for an advisor who, among other
qualities, is “secure enough to stand up to others in your defense if
she thinks you are right.” He suggests asking other graduate students
about potential advisors who have that strength and who are respected
by fellow faculty members for it.
The Advisor as a Model
The advisor is probably the only faculty member the student will see
in action so closely and in such an intense way. Thus, it can be ex-
pected that the student, if later in the position to serve as T/D advisor
to others, will be greatly influenced by earlier example. The behavior
of the advisor is of signal importance, therefore, because it becomes
the model for others.
To summarize, the Council of Graduate Schools characterizes the
dissertation advisor in this way, and we believe that the same des crip-
tion should hold for the thesis advisor (CGS, 1990b, pp. 7 and 8).
The principal advisor of a dissertation in particular is a mentor in
a special position of influence and trust. Inasmuch as dissertation
45The Research Advisor
advisors have the most to say about whether the student has done
adequate research, and to make employment recommendations
for positions after the degree has been completed, they have a
most serious responsibility to foster in the student intellectual
autonomy, appreciation of the highest academic standards, and a
realistic sense of appropriate career options.
At all stages, advising is a reciprocal responsibility. Faculty
are expected to be diligent in providing counsel and guidance,
and to be available for consultation. They should demonstrate
flexibility and critical thinking, a willingness to be challenged
and to challenge constructively, and the desire to help the student
to become better at research and teaching than they are them-
selves.
Both research and anecdotal evidence testify that advisors (and
committee members) have power over students, and that the power is
sometimes exercised inappropriately (Heinrich, 1991; Smallwood,
2002; White, 1991). If a person is sexist, has racial or ethnic biases,
enjoys bullying, or has other inappropriate tendencies and attitudes,
the student may be understandably intimidated and have few, if any,
defenses. Many women students, especially, develop a view of them-
selves as “victims” in the one-to-one advisor-student relationship
(Vartuli, 1982). But, women are not alone in experiencing the unpro-
fessional behavior of certain advisors. Sexual harassment, for exam-
ple, can occur in a same-sex advisor-student setting. Sexual harass-
ment or harassment of any other kind is reprehensible and not to be
tolerated.
Both students and faculty should be made aware that they will
be given a fair, objective hearing if there are cases reported of inap-
propriate advances or insulting or demeaning behavior. For all advi-
sors and committee members, we propose this guiding rule:
I will never exploit my position of power or status to take advan-
tage of a student-academically, professionally, socially person-
ally, sexually, financially, or otherwise.
Advisors who pledge themselves to this credo have set the foundation
for being worthy models.
46 Chapter 2
THE T/D AS A TEACHING DEVICE
The T/D is a teaching device; this is at the heart of its reason for
existence. The honors or graduate student research process normally
yields more opportunities for faculty and students to interact on a
close academic and professional basis than any other institutional situ-
ation. Nowhere else in the university is so much individual time de-
voted to students by faculty, on a one-to-one basis, in examining sub-
stantive issues and academic-professional concerns at the edges of
current knowledge and practice. The guidance of student research pro-
vides the major opportunity for systematic identification and attack on
a problem of interest to both faculty advisor and student.
Practicum in Guided Independent Study
Thesis and dissertation study is aimed at increasing the student’s abil-
ity to work independently on problems and researchable issues, build-
ing on existing literature. The ability to work independently on a re-
search problem is one of the qualities that often separate those who
finish and those who do not. It is not an easy skill to learn to the
proficiency level required by the T/D; it depends very much on one’s
attitudes toward doing research and toward one’s own professional
skill. But, it can be strengthened by going through earlier, similar
processes successfully several times, thus building confidence. Some
useful ways universities have to provide this experience are enroll-
ment for directed study, research papers in courses, and research semi-
nars in specialized fields. These experiences should precede rather
than parallel the T/D if they are to be of maximum help.*
Perhaps at no other time is there such opportunity to help stu-
dents work through questions about the nature of evidence, the nature
of scientific investigation, the processes of inductive and deductive
reasoning, and the drawing of inferences and generalizing, appropri-
*A number of schools use a T/D seminar both as a screen and as an aid to students having
difficulty. A typical requirement might read as follows: “Upon or near completion of prerequisite
course work, honors or graduate candidates will register for the T/D seminar. There they are
expected to develop a T/D proposal that will meet the approval of the seminar faculty. Students
who do not prepare approved proposals after two semesters of seminar will meet with the student
progress committee to determine future directions of study.”
47The Research Advisor
ately or inappropriately, from a body of data (National Academy of
Sciences [NAS], 1989). Readings, lectures, examination of examples
of good investigations, discussions, and hands-on experience in con-
ducting research are all tools that should be common in the work of
the advisors and students. At least the opportunity is there if the uni-
versity provides faculty with the resources and if the faculty is compe-
tent to use the resources.
Long-Range Influences of Guided Independent Study
The impact of seminar research reports and of T/D production on fu-
ture professional work is not known in detail. There is good reason to
believe that such investigative activities do have an influence. Terman
(1954, pp. 222–223) reported his own recollection as follows:
I was a senior in psychology at Indiana University and was asked
to prepare two reports for a seminar, one on mental deficiency
and one on genius....Thereading of those reports opened up a
new world to me, the works of Galton, Binet and their contem-
poraries....Then I entered Clark University where I spent con-
siderable time...reading on mental tests and precocious chil-
dren....Bythetime I reached my last graduate year I decided
to find out for myself how precocious children differ from the
mentally backward, and accordingly chose as my doctoral disser-
tation an experimental study of the intellectual processes of four-
teen boys, seven of them picked as the brightest and seven as
the dullest in a large city school....Theexperiment contributed
little or nothing to science, but it contributed a lot to my future
thinking....Mydream was realized in the spring of 1921 when
I obtained a generous grant from the Commonwealth Fund of
New York City for the purpose of locating a thousand subjects
of IQ 140 or higher.
Perhaps not many dissertati ons presag e such monumental contributions
as Ter man’s Stanf ord -Bi net Tests of Intelligence and Genetic Studies
of Genius, both active today. Many contemporary leaders in the various
professi ons , how eve r, can identify links between their master’s and doc-
toral investigat ion s and important work they did later.
48 Chapter 2
Teaching Function Involved in All T/Ds
In guiding T/D work, teaching opportunity is constantly available to
faculty members, whether in experimental investigations, critical anal-
yses of social problems, health issues, developments in physics or
computer technology, analytical study of public policy or practice, or
developmental projects such as improving the mathematics curriculum
or staff of a school. Studies in the United States and abroad indicate
that most students need continued instruction in research skills during
the time they are engaged in T/D work (Reynolds et al., 1986; Zuber-
Skerritt and Knight, 1986). It cannot be too often emphasized that
T/D activities should teach the candidate to (a) identify and examine
critically alternative approaches to any question, (b) marshal facts and
data systematically to support choices among alternatives, and (c) test
the adequacy of these choices against the reality of the professional
workplace and the views of one’s academic colleagues.
An Exercise in Synthesis
Finally, the T/D should build on a synthesis of all earlier courses,
readings, and professional experience that the candidate brings to the
task. It is the major opportunity in the scholastic career in which all
past experiences can be brought together in a creative independent
work of the student’s design. The synthesis is not accomplished with-
out help, but is essentially an independent exercise; as such, it is an
opportunity for personal, academic, and professional integration un-
equaled elsewhere in higher education. The instructional obligation of
the advisor is to set that goal before students and to help them both
internalize and achieve it.
SCOPE OF ADVISOR RESPONSIBILITIES
Advisors have responsibilities to a number of people and groups: the
advisee, other students, the university, the school and department fac-
ulty, the fellow members of the student’s T/D committee, the mem-
bers of their academic field or profession, and the registrar and gradu-
ate office. While none of these should be ignored, most advisors set
49The Research Advisor
as priorities three main responsibilities: to the student, to the other
committee members, and to the university.
Responsibilities to the Student
Advisors ought to be committed deeply to the belief that their first
responsibility is to the student. At no other time is the student so vulner-
able and so in need of close iden tification with one faculty member.
The advisor ideally should be as involved and interested as the student,
within the restrictions of time and competing responsibilities.
The obligation to the student is expressed in part in a consultant
relationship. The student should feel free to ask questions, try out new
ideas about procedures or substantive issues, and obtain guidance and
direction when it is requested. No other faculty member should be as
ready to help in the dissertation process as the advisor, specifically
with regard to two matters: the topic the two persons have agreed to
pursue and the university, school, and departmental rules and pro-
cesses applicable.
The help of the advisor in choosing a topic is expected. After
all, the advisor, too, will have to live with the topic. The position of
the advisor is delicate, steering a tight course between giving the stu-
dent a topic and allowing a completely free choice. The risk with the
topic chosen by the advisor is, of course, that the student may have
little interest in it and may feel inadequate to tackle it. The possibility
of conflict of interest arises, too. Will the study become an article or
part of a book for the advisor? Is the topic chosen to perform work
that the advisor is unwilling to do? Such suspicions inhibit work and
endanger relationships. If the suspicions are confirmed and the activity
is allowed to continue, one wonders what the real purpose of the dis-
sertation is in the eyes of the advisor, the faculty, and even the institu-
tion. It is still a learning situation for the student, but the model may
persuade the observer that it is appropriate to use the university to act
in unethical ways if it serves one’s purpose and if one can get away
with it.
The problem with allowing the student a free choice is no less
difficult. It is a shirking of responsibility, putting it all on the student.
It provides the perfect faculty excuse for failure at any point in the
50 Chapter 2
process: “Well, you chose the topic completely by yourself.” It en-
courages a minimum commitment on the part of the advisor. It may
deny the student the benefit of the experience and the expertise of the
research advisor—one of the compelling reasons, presumably, why
the university provides this very costly teaching relationship.
It is the research advisor’s responsibility to ascertain that the
topic is well thought out, that the student can give cogent arguments
as to why the specific topic was chosen, and that these arguments
cover all the standard questions in the literature, such as feasibility,
efficiency, importance of the topic, competence of the student to at-
tempt the specific topic, and a theory base underlying the student’s
understanding of the topic. (These are explored in depth in the next
chapter, along with suggestions for satisfying them.)
The student should come to an acceptable topic with the advi-
sor’s sound advice, but not with a dependent or authority-beholden
attitude. The student exercises independent judgment within criteria
agreed on, analyzed, and discussed with the advisor. Such a process
regards both parties as mature human beings capable of being self-
directed, but capable also of recognizing and accepting suggestions
from each other. Each will understand their mutual concerns and com-
mitments to the topic. Each will understand the problems connected
with the topic and will be prepared to help resolve the problems. This
process can set the tone for interactions throughout the T/D study
period and help to weather many storms along the way.
Unsatisfactory Student Progress: The faculty member who regards
little or no progress at the T/D stage solely as student failure does not
understand the advisor’s job. Students’ failure to complete graduate
research work may ensue mainly from their own errors or failures, but
in some ways the advisor, the faculty, and the university may have
failed also.
In most university programs, the student signs up for a substan-
tial number of credit hours during the development and writing of the
overview, the thesis, and the dissertation. The system is designed to
reflect in a general way that the student is taking valuable time, and
that time carries with it costs to be paid and credits to be awarded. In
many programs, this is a substantial block of time—perhaps one-
51The Research Advisor
fourth or more of the total postmaster’s credits required for the doctor-
ate. Viewed in this way, it becomes clear that the student has the right
to reasonable faculty time and advice and has paid for this right. The
advisor, especially, then has the responsibilities of being available for
help, advice, and guidance and of offering such advice and guidance
on the highest professional and academic level. Failure in the context
of this system is seldom entirely one sided.
Ethical Responsibilities: The advisor’s professorial responsibility
transcends material considerations. Whether the student is contribut-
ing directly to the support of the institution or not, one would expect
the professional behavior of the advisor to be the same. In fact, this
concept is at the heart of the idea of professionalism. Specifically,
what are the ethical responsibilities of the advisors?
First, the advisor does what is best for students in all academic
or professional situations. Although the principle is easy to state, it is
not always easy to know or determine what is best for the students.
Conflicting values make life difficult for those who try to maintain
high ethical standards. For example, if a student hands in a paper that
is not his or her own or cheats on an exam, how does the advisor
ascertain what is in the best interest of the student? Faculties face
many examples of conflicts of values in what is best for the student,
and agreement is not always reached. Nevertheless, there must be at
least the sincere attempt to put the student first as a fundamental value
of advising. An advisor who operates in this way—working as fairly
as possible—is usually perceived so by colleagues and students; that
action and perception helps to minimize ethical conflicts.
Second, the advisor avoids using the position for personal gain
and refuses to accept the offer of such gain. There are instances when
faculty admitted being given valuable gifts by an advisee, instances
of lavish entertainment provided to advisors by advisees, and the pro-
vision of other personal and professional favors.
If a foreign student proffers a gift and insists that it is considered
an insult in his or her homeland to refuse to take it, the advisor can,
gently but firmly, point out that they are not in the student’s home-
land, and that the customs of this land must be applied. The advisor
can then explain that here it is considered improper for a student to
52 Chapter 2
offer a gift and for an advisor to accept one. It can be suggested by
the advisor that the whole matter will be resolved with honor if both
the student and the advisor agree to forget the incident entirely and
return to their normal relationship.
It can be difficult to draw an exact line between ethical and un-
ethical behavior, but that difficulty is no excuse for failing to try to
do so. It is the responsibility of the university as well as the profession
to publish codes of ethics and to monitor ethical behavior. In our
view, accepting any favors (or the promise thereof), awards, gifts, pro-
fessional grants, and the like from a dissertation advisee creates an
improper and unethical situation. It may prevent the advisor from be-
ing critical or objective in evaluation. It creates conditions of expecta-
tion by the student. It is unfair to other students who are unable or
unwilling to engage in similar behavior. The situation compromises
the integrity of everyone it touches, indeed, of the whole institution.
A third matter involving professorial ethics is the use of student
work as if it were the work of the advisor so that the advisor gains
the credit (Smallwood, 2002). Marchant (1997, pp. 3–5) asked five
colleagues at different universities this question: “When should disser-
tation and thesis chairs or other committee members be included as
authors on any papers or articles resulting from the dissertation?” Key
excerpts from their responses follow:
A doctoral dissertation should be an independent research contri-
bution by the candidate so...thecandidate should either be the
sole author or the first author.
—Richard Mayer, University of California, Santa Barbara
Dissertation chairs are not routinely included on a paper derived
from a dissertation.
—Angela O’Donnell, Rutgers University
Students always merit first author’s slot on publications that de-
rive from a thesis because they take the lead in conceptualizing,
analyzing, and writing up those research projects.
—Phil Winne, Simon Fraser University
A dissertation ought to be rewritten for publication by the Ph.D.
student with the advisor (or other committee members who con-
53The Research Advisor
tributed to the piece of research beyond the call of their advisor
duty) being second author.
—Gavriel Salomon, University of Haifa
Authorship must recognize . . . professional contributions [which]
include developing a research design, a conceptual model, and
building theoretical arguments. Tasks such as creating a data file,
carrying out analyses specified by the faculty member, and pre-
paring manuscript are not considered professional contributions,
but may warrant acknowledgement in a footnote.
—Rick McCown, Duquesne University
All five respondents qualified their answers to account for unusual
circumstances. But, all insisted, except for extraordinary conditions,
that the T/D student have unquestioned priority as the first author, and
that any additional author earn that privilege through having made a
significant contribution to the research itself.
If each advisor puts the legitimate work of the student forward,
encourages the student to publish, to read papers at professional and
academic meetings, to pursue further research, and to do all this under
the student’s name, there will be little likelihood that the advisor will
have to worry about ethical transgressions on this score. Certainly, the
contributions of the advisor, when real and substantial and beyond the
normal teaching and consulting role of a T/D advisor, should receive
due credit. A guide that helps govern such questions is to divide the
credits commensurately with the amount of work and time invested
by each (Fine and Kudek, 1993; Smallwood, 2002). If that guideline
is followed, it is difficult to imagine how an advisor’s name could
appear at all as a coauthor, much less a senior author, on a publication
arising out of a thesis or a dissertation done by a student unless a very
substantial amount of additional analysis, interpretation, discussion,
and editing is done by the advisor after the T/D has been approved by
the final oral committee.
A fourth note on ethical behavior concerns competence. Qualita-
tively, within the narrow confines of one’s specialty, the self-examina-
tion of competence seldom arises. In fact, however, faculty compe-
tence varies a good deal; it is indeed the wise and ethical advisor who
is aware of faculty limitations.
54 Chapter 2
A reasonable position regarding competence would be some-
thing like this: Be as parsimonious as possible in the selection of re-
search-advising responsibilities; serve only on T/Ds of other advisors
when you are sure you have a needed competence and can make a
substantial contribution; be willing to admit that there are many dis-
sertation areas for which the best you can do is learn from the student;
and finally, lace the committees of your advisees with the most com-
petent experts you can find.
Maintain Competency: One of the important responsibilities of advi-
sors is to maintain their academic and professional competencies.
Without this, an advisor is not much good and even may be harmful
to the student. A faculty member maintains competency by reading
the literature, by keeping up with the latest thought (even though the
latest is not always the best), by teaching and keeping in contact with
colleagues and students, by taking a meaningful part in conferences
and meetings, by listening and discussing, and by speaking and writ-
ing. Perhaps no other activity keeps faculty as sharp in doing rigorous
research and writing and the subsequent exposure to the critical analy-
sis of colleagues and other experts. After all, one can say or write
what one wants, within the bounds of propriety, before a class of stu-
dents who will be graded on how well they restate it later; it is quite
a different experience to address a group of colleagues and experts.
We do not maintain that the best advisors are those who do the
most research and writing. The variables associated with excellence in
advisors are too complex for such a conclusion. The point is that a given
faculty member will probably be a more competent advisor for having
personally done research and writing. We, in fact, feel so strongly about
this point that we recommend that one of the criteria for the appointment
of research advisors from among the general faculty is evidence of high-
quality research and writing. We do not believe that such evidence
would be as difficult to assess by peers as some may suggest.
Responsibilities to Other Committee Members
Traditionally, the advisor chairs the committee and sets standards of
committee behavior. The research advisor sets the climate of expertise
and high standards within the committee. No one else is in a position
55The Research Advisor
to have such a positive or negative influence on the committee climate
for no one else can set the level of expectations for committee behav-
ior. Most faculty will tend to conform to the expectations and leader-
ship behavior of the chairperson of the committee. It is unlikely that
the committee will rise above it. Indeed, the accepted (although un-
stated) rules of committee behavior make it very difficult for members
not to conform to the pattern set by the chairperson.
Defining Committee Roles: Many advisors hold a pre-overview
work session with the committee to go over and agree to rules for
operation. Sometimes, the institution or a professional group has de-
tailed standards for expectations (CGS, 199lb). At many institutions,
though, each committee sets its standards under general rules. Indeed,
the frequent vague guides for students or faculty are one of the moti-
vating forces behind the preparation of this book.
Useful rules with respect to committee role start first from the
notion that the committee should know and agree on its expectations
for itself. These are best discussed openly and explicitly before indi-
vidual instances come along to test the limits of the principles. Sec-
ond, rules should enjoin the committee to act always in the highest
interest of the student, consistent with maintaining high professional,
academic, and institutional standards. Of course, words like “high”
and “highest” have to be defined operationally within the institutional
context, but agreeing to the principle is a good place to start. Third,
operating at a professional level implies that committee members con-
sistently treat the student and one another with respect and maintain a
collegial atmosphere. Persons can disagree without being disagreeable.
ENCOURAGING COMMITTEE PARTICIPATION
The research advisor has the job of ensuring that the committee mem-
bers participate throughout the T/D process. The committee is selected
for the expertise of each individual, and the student has a right to that
expertise. Furthermore, if the members have been taking an active part
throughout, there should be no surprises at the final defense.
T/D students queried by Meloy (2002) repeatedly told of being
hampered by absence of or delay in response from their committee
members. That, plus a seeming lack of interest in their views on the
56 Chapter 2
part of committee members, sapped students’ confidence in them-
selves and in their supposed mentors.
The amount of guidance and time to be expected of committee
members falls into proper perspective if it is understood that the re-
search advisor has the primary responsibility for guiding the work of
the student. The advisor keeps the committee informed of progress
and ensures that the student sees the committee members—or at-
tempts to see them—periodically to keep them informed and seek
advice. The advisor and student share responsibility to see that com-
mittee expertise is used and that committee members are kept in-
volved. Specific ways to seek creative suggestions of members and to
follow through on them are spelled out in Chapters 5 and 6.
If the advisor and student sincerely try to involve the committee,
the response is usually quite good. At the very least, individual com-
mittee members will read the proposal, critique it, be available for
consultation when the student asks for consultation, read the document
and critique it before a final defense, and attend scheduled overview
and defense meetings. Anything more is to be desired and encouraged.
Coordinating Committee Communications:
Some faculty want all communication between the student and other
committee members to come through the advisor; others think the stu-
dent should feel completely free to spend as much time and take as
much direction as wanted from committee members. These are proba-
bly the two extremes; most research advisors fall between them. It is
more important that the advisor and the student talk out and agree on
the ground rules than to argue about which procedure is best. Probably
any reasonable procedure will work if the rules are agreed on and if the
student understands the consequences of alternative kinds of behavior.
Special attention is advisable with foreign students since cultural
differences often mean that the nature and frequency of written com-
munication can create difficulties. A discussion can lead to under-
standings that forestall such problems.
Faculty experience has indicated certain procedures that are im-
portant responsibilities of the advisors. These are more in the nature
of good commonsense advice than of laws or dictums. The advisor
has the responsibility of negotiating with the committee—all of it—
57The Research Advisor
those things that a student cannot negotiate with the committee, such
as problems that come up concerning necessary changes in the research
during its conduct or personal difficulties of the student. The advisor
has to see that the committee is kept informed. Sometimes, the advisor
does it; other times, it is appropriate to make sure that the student sees
or at least communicates with every committee member. When com-
mittee suggestions are sought on a draft, they must be t horoughly dis-
cussed by the student and the advisor, and the student should discuss
and understand the risks and positive aspects of whatever action is
taken. The advisor has responsibility to draw a consensus from the
committee so that the student does not suffer from faculty disagree-
ments and so that the individual committee members can continue to
serve without feeling that their scholarly reputations are in jeopardy.
The only guiding principle that merits support is for the advisor
to relate to all committee members with integrity and academic re-
spect. Good communication by the advisor gives all the committee
members the information they need to be helpful and to use their ex-
pertise in assisting the candidate to successful completion of the T/
D. Technology such as E-mail has made advisor and student written
communication easier. The same message can be sent simultaneously
to the student and to committee members. Messages can be sent fre-
quently and accurately, with the knowledge that all are getting the
same information at the same time.
Administrative Arrangements: The advisor also calls committee
meetings for the overview, for the final defense, and for other pur-
poses. Another obligation is to see that the student produces the T/D
document in required form and has it in the committee’s hands several
weeks before the meeting. The chairperson is also responsible for
working with the candidate to ensure that all school and university
requirements that call for committee action are met in a timely fashion.
Responsibilities to the Institution
Higher education institutions flourish largely because of the integrity
of the individuals who make them up—students, faculty, administra-
tion, and staff. Not many other major societal units are so free of
externally imposed laws and requirements. And few, if any, organiza-
58 Chapter 2
tions are so self-governing. Individual integrity of consistently high
order on the part of the members of the university community is an
essential quality that has fostered that state of affairs and that must be
present if university-based academic and professional preparation and
research are to continue.
Maintenance of Standards: The first responsibility of the advisor to
the institution is the maintenance of high standards of quality in all
T/D and related activities. What constitutes quality is a value judg-
ment, of course, but the judgment is not without guidelines. No other
single person in the university has that responsibility or could ever
discharge it if it were possessed—not the student, not the committee
members individually, not the dean, not the program chairperson—no
one but the research advisor.
Prevention of Fraud: Deceit, breach of confidence, gain from unfair
or dishonest practices or from pretense—all of these fall under the head-
ing of fraud. In the academic and professional community, fraud also
includes fabrication, falsification, plagiarism, and other lapses in integrity
or trustworthiness. It also means altering data, misrepresentation of re-
sults, and publication of another’s intellectual property as though it were
one’s own. It probably is true that fraud in various forms in research
reports is as old as the recorded history of discovery and creativity.
There are several guidelines for preventing fraud that should be
discussed between advisor and student. We advocate making the same
guidelines a part of what every faculty member accepts as a credo in
working with students and colleagues in a sincere effort to prevent
fraud and the temptation to perpetrate fraud in research.
Faculty are responsible for monitoring and vigorously enforcing
standards of scientific integrity, and faculty should help establish pro-
cedures for resolving conflicts and professional disagreements promptly.
It is the university’s responsibility to educate faculty and students
about what constitutes scientific misconduct (Mishkin, 1993; Ruark,
2002; Smallwood, 2002).
We make a simple and direct charge to the advisor. Expect the
whole T/D committee to exercise keen surveillance on all aspects of
the project. To the student, we say, “Never cheat or tolerate cheating.”
Nothing helps so much as full disclosure every inch of the way.
59The Research Advisor
Relevance of the Student Research: The advisor has the responsibil-
ity to ensure the relevance of T/D work. It is not a frivolous document.
It should relate clearly to the program or department in which the
student is doing graduate work or the question of where the disserta-
tion and the student belong may be raised. If the proposed investiga-
tion has an evident and close relation to the expertise of the committee
members, one aspect of the question of relevance is well answered.
But, perhaps the most important aspect of relevance is the advisor’s
responsibility to ensure the relevance of the topic to the student. Does
the student see the topic as related to his or her own long-term inter-
ests? Does the student have the background to work on the chosen
topic? Has the student articulated well the reasons for the choice of
topic?
These and other aspects of relev ance are detaile d in Chapter 3,
but two need to be named here: use ful contributions to the field an d
usefulness to the growth of the s tude nt. Bo th are essen tial criteria in
weighing the rel ev a nc e of a topic. Without a rigorous examination of
relevance, T/Ds can descend to the level of trivia. Highly relevant,
well-conceived, well-executed, and significant T/Ds indicate top-qual-
ity professional and academic programs. The T/D is the one product
that represents the best of the student, the advisor, the committee, and
the quality of prior preparation. It must be carefully reproduced, bound,
microfilmed, or otherwise preserved for posterity as the culminating
work of long and demanding training. Whatever the student’s subse-
quent career, the signed, bound copy of a relevant and scholarly T/D
stands forever in testimony to the relevance and scholarship of the
student, the advisor, and the university.
Academic Interests: Advisor responsibility to the institution includes
academic and personal integrity, and integrity finds its severest testing
in T/D work, the highest levels of independent study. The predomi-
nantly solitary or one-to-one T/D work leaves both the student and
faculty member largely to their own resources. Individual student be-
havior cannot be melded into that of the rest of the class. There is no
set course outline and no standard textbook with manual and tests to
be interposed between the faculty member and the student. There are
no specified number and schedule of class meetings. Colleagues or
assistants cannot substitute for the faculty member. The student cannot
60 Chapter 2
find help in another student’s notes. Instead, independent study lead-
ing to the T/D is a type of student-faculty member adventure into
the academic unknown. The personal and academic integrity of each
becomes a major ingredient in the enterprise.
Perhaps the best way to deal with possible role conflict related
to integrity is always to keep in mind the question, “What is the best
course to follow in terms of the integrity of the process, the university,
and the student?” This question will not necessarily yield easy an-
swers, but keeping the question foremost in one’s thoughts is more
likely to yield worthwhile answers than bending with whatever wind
blows hardest at any given time.
When there are no local institutional guidelines, the matter
should not be bypassed. Instead, personal and academic integrity should
be discussed in terms of local custom and practice, even though un-
written, and in terms of more general ethical codes of professional
associations. We believe personal and academic integrity are not ex-
actly the same, although we discuss them together. For example, keep-
ing or not keeping an appointment by a student or faculty member is
a matter of personal integrity, as is either person inventing a falsehood
to explain not completing a task agreed on. On the other hand, con-
sciously failing to give credit to someone else for a previously stated
concept or idea is a matter of academic integrity, as is failure to ac-
knowledge a quotation or disguising it by reproducing it with minor
alterations and without citation.
Differences in Responsibilities at Thesis and Dissertation Levels
The thesis, as indicated, is a work of more limited proportions than a
dissertation. While an end in itself for some students, it readies others
for more comprehensive and complex investigations.
The thesis advisor works with the honors or graduate student
(usually during the fourth or fifth year of university study) to produce
a useful, well-written work, supported by evidence. Assessment prac-
tices differ, but preferred practice includes the overview of a commit-
tee. The work should be circulated in the department and published
by the university or at least catalogued in the university library and
made available for publication or microfilming for a wide audience.
61The Research Advisor
The principles of advisor-advisee relationships that apply to the thesis
process are the same as those applicable to the dissertation as de-
scribed in the preceding pages.
The responsibilities of the dissertation advisor contrast mainly in
quantitative ways with the responsibilities of the thesis advisor. Aca-
demic endeavor, the attributes of scholarliness, use of reputable and
replicable investigative procedures and methodology, and a clear and
readable manuscript are equally applicable. With respect to T/D prod-
ucts other than manuscripts (i.e., musical compositions, works of art,
constructions, and the like), applicable similar principles should pre-
vail. There is no reason to sacrifice those attributes because the work
level may not be as advanced or the nature of the work may be some-
what different.
SELECTION OF THE RESEARCH ADVISOR
In the search for an advisor, it is best for the student to be armed with
some understanding of how advisors operate. In turn, to determine
what sort of advisor the student is most likely to need calls for consid-
erable self-knowledge and the inclination to be objective about one’s
assets and liabilities as a student.
The essential element we encourage the student to look for in
the advisor is the special quality of thinking like a teacher. This is a
skilled, articulate, rational, abstract thought process that sorts out the
academic and professionally relevant facts of the student’s situation,
ignoring the merely interesting and distracting incidentals. Its aim is
to guide the student-advisor relationship toward the most promising
topics and toward the most fruitful procedures for attacking the topics.
The student should not be put off because a potential advisor’s
special way of thinking like a teacher does not manifest itself in a
warm and reassuring approach to problems. Sometimes, aspiring T/D
students are distressed by what they perceive as detachment from their
personal trials. These students may truly need reassurance in that part
of their lives. Some advisors may indeed be persons who tend to sup-
ply that reassurance to students. But, the student needs to keep in
mind the professional objective of the whole process: to obtain the
best, most competent, most astute research advice and guidance.
62 Chapter 2
The advisor may turn out to be, incidentally, a good family
counselor, financial advisor, and warm friend, but that is not the advi-
sor’s job. In making decisions about the selection of an advisor, deci-
sions that involve both immediate and long-range educational and per-
sonal objectives, it is helpful to keep that distinction firmly in mind.
Criteria for Selection of the Research Advisor
The single best criterion the student may use in seeking out an advisor
for the dissertation is the track record of the faculty member. Tradi-
tionally, research advisors do not advertise. Thus, it is necessary for
the student to seek these kinds of relevant data about potential advi-
sors:
1. How do other students who are working with this advisor react
to the situation?
2. Is the faculty member one who is or has been productive in theory
and research of the kind that interests you?
3. Do students who work with this advisor progress with reasonable
dispatch in their investigations?
4. Does the faculty member appear to be regarded highly by col-
leagues and by others you respect?
5. What has happened to the last four or five students who initiated
their work under this research advisor?
6. Does there seem to be a strong element of trust between your
potential advisor and his or her students?
7. Has the advisor worked well with foreign students on T/D com-
mittees?
8. Is the advisor current with respect to modern technology used in
research and scholarly production?
University libraries have copies of student dissertations. Read
them and look for the names of advisors, committee members, and
the academic area of the dissertation. As to faculty academic back-
ground and field of expertise, universities usually publish such infor-
mation, either in print or on line.
These and related inquiries about past performances can supply
data on which to base decisions. In all cases, a personal interview
63The Research Advisor
with the potential advisor is a good idea once the student has some
idea of the area of investigation.
A not uncommon situation is the assigning of advisors to stu-
dents on their acceptance to the program. The student has nothing to
say about the initial assignment. This system may work reasonably
well, particularly if it is easy to change advisors without fear of repri-
sal. However, the choice of a research advisor should be regarded as
a decision separate from the academic advisor assignment. That is, the
research advisor choice should be regarded by all as a conscious deci-
sion that the program expects the student to make, and the student
should be completely free to choose to stay with the academic advisor
or to go to some other faculty person for research guidance. There
ought to be no stigma, difficulty, or discomfort attached to the choice
for the skills one looks for in a research advisor may be quite different
from those possessed by an academic advisor, not better or lesser
skills. Every academic advisor has the responsibility of telling stu-
dents that they should carefully seek a research advisor, even to the
point of suggesting one or two names if appropriate, and that they
should not feel that they need to stay with their own academic advisor.
This point is particularly important for advisors of foreign students
for such students may understandably become dependent on the initial
advisor or may profit especially from exposure to the methods of more
than one scholar in the field. This is a subject that should be brought
up by the faculty member for it may be awkward for the student to
raise it. In a number of cases, the academic advisor may well prove
to be the most suitable research advisor.
Support from the Department Chairperson
What we have already said about the responsibilities of the academic
advisor ought to be supported in important ways by the department
(or program) chairperson. The chairperson needs to support the free-
dom of the student in this regard and to protect that important part
of academic freedom from the excesses and possessive abuses that
occasionally creep into faculty-student relationships. The chairperson
should feel free to suggest research advisors for reasons of appropri-
ateness, time availability, and fields of interest. Of course, such sug-
64 Chapter 2
gestions can in themselves become abused if the students and faculty
do not feel free to reject them.
The Graduate Faculty’s Role
As a collective body, the graduate faculty is responsible for the quality
of graduate work, including the quality of advisement and the quality
of the student research that emanate from their domain. It is the re-
sponsibility of the graduate faculty to regulate the process to ensure
high quality. When the graduate faculty fails to do so, there is no
other mechanism for quality control, and the quality issue has no ap-
propriate resolution.
Individual honors or graduate faculty members also have some-
thing to say about the choice of advisor. An acceptable arrangement
is made only when the student and the faculty member agree to enter
into it. It is appropriate for the faculty member to decline to be the
student’s research advisor when, for example, the research area pro-
posed is outside the field of interest or competence of the faculty
member or when the faculty member is already burdened to such an
extent that careful advisement is not possible.
Changes in Research Advisor
A change in research advisor is often a more sensitive matter than
the original choice of one. It sometimes does imply a breakdown of
relationships or understanding somewhere along the line, and it can
be a sticky matter. Fairness to both faculty and students would indi-
cate that the proposal for a change might come from either and for a
variety of legitimate reasons. The faculty member may not have the
time that was originally contemplated, or the research may have taken
a direction that the faculty member does not welcome. Alternatively,
perhaps the new direction involves not so much disagreement as a
reevaluation of faculty interest and competence. Either student or fac-
ulty may feel that the progress is too slow and come to the understand-
ing that another advisor would be preferable.
In any case, either party should be able to initiate a request for
a change, and that request, with reasons, should go to the department
chairperson so that an appropriate replacement can be found. In fact,
65The Research Advisor
it would be best if a replacement could be found by the student and
advisor before they agree to part. This would help to make all persons
feel they had discharged their responsibility professionally.
The more informal and low key these procedures can be, the
better they are for the student and the faculty, assuming of course that
the rights of the individual are respected and that the correct university
procedures are followed. It is the primary responsibility of the depart-
ment chairperson to ensure that the transition goes smoothly, and that
the most vulnerable person in the situation—the student—is fairly
treated.
SUMMARY
This chapter concentrates on the responsibilities of the research advi-
sor as they are commonly seen in professional schools or academic
departments in institutions of higher education. Responsibilities to stu-
dents, other T/D committee members, and the institution are explored.
Some suggestions of particular relevance to foreign students are made.
From the student point of view, suggestions are given with regard to
the important process of the selection of the research advisor and pos-
sible changes in such selection.
3
Developing the Proposal
QUICK REFERENCE TO ANSWERS TO SPECIFIC QUESTIONS
1. What particular steps should I take to ensure that
I’m on the right track in my consideration of
possible topics? 67–77
2. How should my own background influence my choice
of a topic? 71–73, 77–84
3. How long should my study take to complete? 84
4. How can libraries and librarians facilitate my selection
of an appropriate topic? 84–96
Between the end of course work and the serious initiation of the thesis
or dissertation is a period when most students falter, and many drop
out. Immediate attention to establishing a personal time line, to gain-
ing an understanding of the meaning of T/D work, and to locating and
agreeing on a research advisor are key steps that very much improve
the chances of completion of the requirements of the degree. That is
why the first two chapters of this book emphasize those activities. The
title of this chapter indicates the next important step: development of
the proposal.
The time line (Fig. 1-1), in its first 14 steps, covers the schedule
for the development of a T/D proposal. The schematic diagram of the
proposal process (Fig. 3-1) can be used to help the student check prog-
ress toward proposal completion and approval in a more detailed way.
The diagram has been updated and expanded from one presented by
67
68 Chapter 3
Figure 3-1 Schematic diagram of the proposal process.
69Developing the Proposal
Castetter and Heisler (1988), and we acknowledge the source of the
idea with appreciation.
With respect to the schematic diagram, this chapter is concerned
mainly with the first major segment at the bottom of Fig. 3-1, namely,
selection of the problem by the student. In moving through this and
succeeding stages, we again urge students to set target dates realisti-
cally and to try hard to meet or exceed them. In this connection, some
students report that they make an enlarged photocopy of this diagram
and mount it on the wall behind their computer or typewriter key-
board.
The schematic diagram (Fig. 3-1) used terminology applicable
to most disciplines, but not all. When the T/D is to be, for instance, a
play, a musical composition, or a sculpture, the stages and activities
in Fig. 3-1 do not, strictly speaking, fit the project well. With consul-
tation from the research advisor, we most urgently recommend that
the student construct a schematic diagram that better fits the proposed
project.
INTERACTIONS OF STUDENT AND ACADEMIC ADVISOR
Many students have rewarding T/D experiences because they find
their academic advisors genuinely interested, enthusiastic, and ready
and able to help in the next step, that of research advisors. If the
academic advisor does not fit this description, the student and the ad-
visor can explore together the possibility of selecting another faculty
member to serve. Remember the selection of another faculty member
to serve as research advisor has no negative connotation. Assuming it
is done for the right reasons, it can be a positive step, a demonstration
of honesty and maturity.
If the academic advisor suggests that the student work on the
T/D topic with another faculty member, the referral should be spe-
cific. If the statement is something like “Go work with someone else,”
a deeper problem may be involved. The advisor who really wants to
be helpful will suggest another eligible faculty member who would be
more appropriate to the student’s topic, will probably talk with the
suggested faculty member, and may well offer to continue to be help-
ful in such ways as, for example, serving on the overview committee.
70 Chapter 3
STUDENTS WITH DISABILITIES
According to the Digest of Educational Statistics (NCES, 1999, Table
211), students with disabilities on U.S. campuses made up 5.35% of
undergraduate enrollment and 3.20% of graduate and first professional
enrollment (the home page of NCES is http://nces.ed.gov/). The per-
centage may continue to increase.
Section 504 of the Rehabilitation Act of 1973 of the U.S. Con-
gress prohibits discrimination against “otherwise qualified” handi-
capped individuals. The Section 504 conditions apply to all educational
institutions, whether private or public, that receive federal funds.
The courts, including the U.S. Supreme Court, have held that
educational institutions, in making the otherwise qualified determina-
tion, must provide “reasonable accommodation” to mitigate the handi-
capping condition.
Determine whether your institution has a distance learning center
and how you might use it. Distance learning takes place when a
teacher and students occupy separated localities, but interact by some
form of technology, such as a satellite or computer telephone network.
The practice began more than 75 years ago when public school teach-
ers and classes were linked by telephone or radio with homebound or
hospitalized pupils. Now, via the Web and E-mail, distance learning
provides opportunities for students at all educational levels, especially
those students for whom physical access to the school and its special-
ized personnel present problems.
Seligman (1992) makes a persuasive case for offering an entire
doctoral program through distance learning. While that may not repre-
sent reality at your institution, it may prove feasible for some of the
T/D work, especially advisement and independent study, when tempo-
rary or permanent handicaps present access difficulties.
To avoid problems, misunderstandings, and perhaps costly de-
lays in the T/D process, students with handicaps or disabilities should
discuss their special requirements openly and fully with their advisors
early, before embarking on a project. Since many faculty members
may still be unfamiliar with accommodations to such conditions, the
student may have to do some “educating” in the preliminary discus-
sions (C. D. Long, 1997b).
71Developing the Proposal
But, just “talking it over” with the advisor is not enough. The
student should keep notes of discussions and of oral agreements. Fur-
ther, in preparing the written proposal for the T/D, the student should
include specifications as to how accommodations are to be made, if
anticipated, at each stage of the T/D journey, including the final ex-
amination. Thus, when the committee signs off on the proposal, the
student has, in writing, the commitment that impediments to progress
arising from handicapping or disabling conditions will be minimized.
For up-to-date information on relevant laws and regulations,
contact the U.S. Access Board in Washington, D.C. (1-800-872-2253)
or use their excellent Web site (http://www.access-board.gov), a good
source of information about access issues. In addition to its rules gov-
erning physical access in general, that board publishes rules regarding
telecommunications access and Americans With Disabilities Act Ac-
cessibility Guidelines.
The Department of Special Education at the college or university
where the student is enrolled is a resource for faculty who are expert
in accommodations for all varieties of handicaps. They usually know
the local situation well.
CHOOSING THE TOPIC FOR STUDY
Schools and departments differ widely in their acceptance of various
substantive content and forms of investigation. For example, one
might reject investigative approaches that do not involve controlled
experimentation. Another might disqualify studies incorporating ex-
trasensory perception or astrology. Another might welcome controlled
experimentation equally with historical and qualitative research and
works of biography or fiction. Students, therefore, will save much
time in searching for potential topics if they first determine whether
they face any restrictions on which types of research or investigative
methodology the faculty may approve.
Aids to Thinking About Prospective Topics
Veteran advisors in our interviews seem to agree that students should
have little, if any, difficulty in finding suitable topics. The main prob-
72 Chapter 3
lem, they contend, is to pick the one best suited to the individual
student’s interests. New T/D students tend to disagree with veteran
advisors on that matter. Many express bewilderment, anxiety, uncer-
tainty, and lack of self-confidence. In short, they do not know how to
get under way on a topic search, how to recognize a potentially good
topic when they see it, or how to judge the worth of a topic when one
is suggested to them (W. G. Bowen and Rudenstine, 1992; Zuber-
Skerritt and Knight, 1986).
Use the computer and the Internet to help you think about potential
topics. For example, consider reviewing Dissertation Abstracts Online
(retrieved August 24, 2002, from http://library.dialog.com/bluesheets/
html/bl0035.html). Dissertation Abstracts Online is a definitive sub-
ject, title, and author guide to virtually every American dissertation
accepted at an accredited institution since 1861. Selected master’s the-
ses have been included since 1962. In addition, since 1988, the data-
base has included citations for dissertations from 50 British universi-
ties. Beginning with Volume 29, Number 2 (Spring 1988), citations
and abstracts from European dissertations have been included in this
file.
The index to theses of Great Britain and Ireland (http://www
.theses.com/) is a comprehensive listing of theses with abstracts ac-
cepted for higher degrees by universities in England and Ireland. This
database covers theses accepted from 1970 to 2001.
Award-winning dissertations can be of use in developing a pro-
posal. Typing “award-winning dissertations” in search engines such
as Google will provide access to quite good information. To find the
dissertations in your own discipline, check with your professional as-
sociations or academic societies.
Figure 3- 2 is a c hecklist of sourc es to help identify poten-
tial topics. It can be valuable to use th is checklist or to make a
personal one as part of your file. The number of “no ’s” on the
checklist can b e an index to the th oroughness and serious ness of a
student ’s search for possi ble T / D topi cs. One reason why veter an
advisors feel that potenti al topics abound is beca use, a s professor s,
they are r outinely involve d in mo st of t he activities tapped by the
checklist.
Figure 3-2 Checklist of thesis or dissertation topic sources.
73
74 Chapter 3
Collecting a List of Potential Topics
In the beginning of Chapter 1, suggestions were made about identify-
ing topics that might allow the student to initiate a productive confer-
ence with a potential advisor. It was indicated that possible topics
would surface from analysis of publications of that faculty member,
publications of others writing in the same field, and T/Ds recently
directed by that faculty member. Those topics, and any others the
student has in mind, should be recorded. It is good to state a possible
title for the topic first and then to write a sentence or two about what
the study might entail. Examples appropriate to various professions
and academic disciplines might be
Title: Emotional and Intellectual Characteristics of Early Readers
Procedure: Children who learn to read before starting kindergarten
would be studied to learn their emotional and intellectual simi-
larities and differences from one another and from children who
learn to read in the conventional way.
Title: Communication Channels Used in Obtaining Corporate Infor-
mation
Procedure: People inside and outside corporations need and acquire
corporate information. The formal and informal channels they
employ in acquiring needed information would be determined,
described, and analyzed.
Title: The Emergence of Artificial Intelligence
Procedure: An analysis will be made of devices that simulate human
thought processes, beginning with the earliest known ones. It is
hypothesized that behaviors like memory and computation were
simulated first and only later combined to produce more com-
plex phenomena like problem solving, anticipation, and predic-
tion. Primary data will be records of patents and actual devices
in museums and collections.
Title: Shunning as a Social Control Mechanism
Procedure: The origin and usage of shunning in Judeo-Christian reli-
gious and secular groups will be found by reference to official
and other verifiable documents. The employment and the conse-
quences of shunning will be reported, and shunning will be as-
75Developing the Proposal
sessed as to its effectiveness in the control of the social behav-
iors that prompted its use.
Title: The Behavior of Sound Waves in Earth’s Upper Atmosphere
Procedure: Upper atmosphere conditions will be simulated in labora-
tory chambers. Sound will be emitted and recorded. The record-
ings will be contrasted with recordings of sound made under like
conditions on earth’s surface. The laboratory findings will also
be compared with the findings predicted by a mathematical
model based on theory.
Title: Cause of Pain in Osteoarthritis of the Knee
Procedure: It is hypothesized that the pain of osteoarthritis arises
from cartilage wear rather than inflammation, as is now com-
monly held. The results of administering acetaminophen, a sim-
ple painkiller, will be compared with the results of administering
the anti-inflammatory drug ibuprofen. The test population will
be male and female volunteers aged 65 years and above, ran-
domly assigned to treatment groups.
Title: Estimating Need and Demand for Emergency Transportation
Procedure: Three highly probable conditions of emergency will be
simulated. Traffic engineers, police traffic control staff, and
public transit man agement personnel will provide nee d esti-
mates and their rationales for each simulation. These will be
analyzed and a formula developed to maximize accuracy of es-
timate.
Title: Causes of Runaway Behavior in Children
Procedure: A sample of children who have histories of two or more
runaway attempts will be studied to determine the antecedent
conditions they connect with the decision to run away. Family,
social welfare agency, and police recollections and records will
be used as corroborative information.
Title: Public Expenditure Patterns in the United States and Canada
Procedure: A comparative analysis will be made of expenditures in
the two countries on items that account for major components of
national, state and provincial budgets.
Title: The Influence of Awards to Poets on Trends in American Poetry
in the 20th Century
76 Chapter 3
Procedure: Determination will be made if and to what extent awards
to poets are followed by changes in style or content by other
poets.
Title: Cost Containment in Health Care in the United States
Procedure: Inauguration of containment plans will be followed by con-
sequent cost-consequences analyses. Conclusions will be drawn
as to trends and gains/losses.
Each of the above 11 examples falls far short of a research proposal.
Rather, each notes an idea for possible development. However, a pro-
spective research advisor almost certainly would talk more seriously
with a student who presented such notes neatly typed than with one
who presented the same material orally. Moreover, to put ideas into
succinct written form usually results in one being better prepared to
discuss them.
When one has assembled and recorded a group of likely topics,
it is time for another major step, a careful examination of each one to
determine its relative appropriateness in relation to the others. That
will be a matter of judgment, of course, but it is possible to channel
that judgment by raising a number of questions that highlight signifi-
cant factors that deserve consideration. That is the purpose of the next
sections.
Social Sensitivity Considerations
Socially sensitive research has an aim, a topic, methods or procedures,
subject treatment, conclusions, or reporting considered by one or more
groups to be illegal, insulting, indecent, immoral, or unethical. Sieber
and Stanley (1988) present a basic and cogent analysis of the concept.
Research qualifying as “socially sensitive” includes, for exam-
ple, studies that challenge beliefs; expose personal or group-held se-
crets; invade privacy; question or defy authority; arouse negative emo-
tions; violate religious principles; go against established practices;
disregard laws; ignore civil rights; do physical, emotional, or material
harm to subjects or to institutions; deceive, ridicule, disparage, or co-
erce subjects; falsify or hide research objectives or methods; encour-
age immoral or unlawful behavior; put individuals unknowingly at
risk; or distort or falsify data, conclusions, or reports with regard to
77Developing the Proposal
any of the above. This litany is illustrative only because what may
matter little to one person may seem gravely insulting or demeaning
to another.
Certainly, social sensitivity should not prevent or even inhibit
really necessary and ethically sound research. We do suggest, though,
that topics that promise to be socially sensitive be approached most
cautiously by T/D students. For one thing, work on such matters often
calls for experience and wisdom in research management that students
are only beginning to acquire. Moreover, it is difficult enough to con-
duct a T/D for a topic that is inoffensive without adding the burden
of handling the investigation and its defense under a cloud of real or
potential social disapproval.
Assessing Topic Feasibility and Practicability
Using the next checklist (Fig. 3-3) can save time and help narrow a
group of potential topics to a few that merit more thorough consider-
ation. The list starts with general questions and then breaks into six
subsections that are applicable to topics that call for different investiga-
tive approaches. It pays to read all of the questions in each subsection
because the questions themselves sometimes trigger important ideas.
As a special note, one should not be put off or overwhelmed by
these questions. Some of them are tough, and some may seem at first
to pose insurmountable obstacles. But, there is help in the rest of the
chapter, in following chapters, and from advisors. It is rare that any
topic comes through this checklist unscathed entirely at first. It is in
the follow-up repair work and polishing that a topic begins to assume
acceptable, workable form.)
The most important thing about the checklist’s 42 questions is
their power to alert one, to force one to think in specific, detailed
ways while considering TID topics.
FOREIGN STUDENTS IN T/D STUDY
According to the Institute of International Education’s Open Doors
(T. Davis, 2001), in 1954–1955 there were 34,000 students from over-
seas in the United States. They constituted 1.4% of U.S. enrollment.
By the 2000–2001 academic year, that number had increased more
Figure 3-3 Checklist of topic feasibility and appropriateness.
Figure 3-3 Continued
79
80 Chapter 3
than 15-fold to about 547,867 students from overseas. Thus, foreign
students make up not only an important segment of higher education
in the United States, but also a growing segment as well.
Also, foreign students are critically important to the graduate
level, especially some advanced fields such as the physical and natural
sciences, business administration, engineering, and computer sciences.
Total percentage of doctoral degrees conferred to foreign students was
26.7% in 1994. As the number of U.S. citizens earning science and
engineering doctorates has been declining, their places have been
taken by foreign students (Atkinson, 1990; NCES, 1997). Foreign stu-
dents with temporary visas earned 33.5% of all physical science
Ph.D.’s and 53.3% of the engineering doctorates in 1994.
In some large research universities, foreign students actually out-
number domestic students in doctoral programs such as business and
engineering. If the trend continues, it may be that the majority of fac-
ulty members in these areas will be foreign nationals or immigrants
since faculty members are prepared in doctoral programs. For exam-
ple, in 1985, two-thirds of all postdoctorate engineering positions
went to non-U.S. citizens (Pool, 1990).
The foreign/domestic ratio of students is not peculiar to the
United States. A large proportion of European doctoral degrees go to
foreign students (Johnson, 1996). Approximately half of the engineer-
ing doctoral degrees awarded in the United Kingdom are earned by
foreign nationals. More than a third of doctorates in the natural sci-
ences given in France go to citizens of other countries. In these cases,
though, the large segment of foreigners is probably in part attributable
to the tradition begun in the days of colonial territories.
Problems Encountered by Foreign Students
Zuber-Skerritt and Ryan (1999) provide important insights into the
lives of non-English-speaking graduate students and suggest valuable
strategies and practical guidance for individual advisors. Understand-
ing students’ lives in the university as well as cultural and academic
backgrounds is a prerequisite for successful supervising.
Two difficulties foreign students often encounter are topic rele-
vance and writing. The first arises when students know what problems
need solutions in their own countries, but find few professors who
81Developing the Proposal
understand the problems or think them suitable for investigation. The
second, writing, appears as a problem if students have not acquired
the specialized composition skills needed to phrase thoughts in the
combination of professional and academic prose common to T/Ds in
English-speaking countries (CGS, 1991a).
Our best advice about the topic problem is for the student to
persist in the search for an advisor who will listen with sympathy and
understanding. The student should look for departments and schools
that have “International,” “Inter-,” “Cross-Cultural,” “Ethnic,” “Pan-
American,” “Asian,” “Middle Eastern,” or similar expressions that
smack of interests that cross national boundaries in their names. It is
appropriate to seek those out, even though they may be outside the
school or department in which the student is enrolled. Very often, pro-
fessors in schools or departments with multinational interests also have
appointments in other academic departments or professional schools or
know professors there who would be good advisors for foreign students
interested in problems that relate to their homelands. Other foreign stu-
dents and lists of recently completed T/Ds can give clues, too.
With regard to the writing problem, there are three possible solu-
tions. The first is to write in one’s native language and to have an
advisor and committee members who can read it or employ a profes-
sional translator for those who cannot. A second solution is to take
instruction in English academic and professional writing. Such courses
are offered at a number of universities. A third possibility is to engage
the services of an editor. Inquiries among professors and students will
sometimes reveal that there are faculty members who provide editorial
services for students for a fee. This can be a delicate arrangement, but
we have seen it work very effectively. The editor must be someone
not otherwise connected with the student’s course of study and T/D
work. Also, the advisor and committee must know of and sanction the
use of editorial help, and the assistance must be carefully provided so
that it deals only with organization, style, composition, written expres-
sion, and the proper use of language, strictly avoiding any substantive
or methodological elements.
If editorial service is to be employed or otherwise provided to
the student, it is strongly urged that the arrangement be spelled out in
writing, with copies to all relevant parties. At least one copy of the
82 Chapter 3
agreed-on arrangement should be initialed or signed by the student,
the advisor, the committee members, and the appropriate department
chairperson or dean. That copy should be kept on file in the graduate
office. Also, it is definitely advisable that the editor employed has a
clear knowledge of the terms of the agreement and be acceptable to
the advisor and the department chairperson or dean.
PERSONAL CRITERIA FOR STUDENT USE
Without paying attention to the following criteria, the student is likely
to make many false starts. Notice that the criteria expand on the ideas
in Fig. 3-2.
The Interest of the Researcher
Personal interest is very important, but the completion of a T/D may
well involve some very uninteresting work. For example, if a T/D
involves statistical analyses, the tables to display the findings may
represent hours of tedious work. Moreover, personal interest can en-
gender bias and limit objectivity. On the other hand, some students
report that a topic that was “just a topic” at first grew in interest as it
moved along the T/D path (Isaac et al., 1989).
The Background of the Researcher
To start with an unfamiliar topic is unwise and disadvantageous. Top-
ics close to one’s prior preparation and experience offer better possi-
bilities for success.
Students who propose topics outside the scope of their training
or experience must spend a great deal of time becoming familiar with
a new field. It is unlikely that such a beginning will ever result in the
broad background really needed to do the study well. More likely,
lack of a broader understanding of the subject will lead to mistakes in
the conduct or in the interpretation of the research.
The Technical Competence of the Researcher
The student should have technical competence related to the topic.
For example, the level of competence a student researcher has in re-
83Developing the Proposal
search tools should be influential in choosing a topic. Some topics by
their nature call for complex statistical analyses. Others may demand
sophisticated archival or library search procedures, complex interview
techniques, use of advanced computer programs, or facility with for-
eign languages. Choice of topic and design should be guided by con-
sideration of the skills possessed versus the skills required.
It is not enough simply to follow a recipe without really under-
standing it. For example, there are computer packages that offer com-
plete, complex statistical analyses, and they can be great time savers.
But, the use of such a package does not excuse the researcher from
responsibility for understanding fully the techniques employed. A
guideline recommended by Gay (1996) is that one should not use the
computer to perform an analysis that is not understood, or at least
studied extensively. The same writer encourages aspiring researchers
to become proficient in using some of the more sophisticated hand-
held calculators that allow one to enter one or two sets of data and,
by using the appropriate keys, to have the results of a desired analysis
displayed. Similarly, any other technology essential to the research
should be thoroughly understood before use.
Importance of the Topic
Check your perceptions of topic importance with others you respect,
such as colleagues, your advisor, other faculty members, administra-
tors, and other investigators. If most others see the topic as important,
it probably is. But, also use some other tests. When you are finished
with the T/D, will anyone read it? Could it be published? Does it
address an issue of topical interest? How will it affect the academic
field or profession? Questions like these lead to answers also useful
for the written introduction to your proposal for they will help to give
readers a background and a context with which to judge the worth of
the topic (Association of American Universities [AAU], 1990; W. G.
Bowen and Rudenstine, 1992; Isaac et al., 1989).
One element of particular importance is generalizability, that is,
whether it is likely that the findings of the investigation can be applied
to other situations. A study that would not generalize would be one
done on a population and under conditions so unusual that one could
not expect the same results in many other situations.
84 Chapter 3
Appropriate Size and Scope
Topics should be limited to those possible and feasible for one person
to do within the expected time period. The honors thesis should fit
into the last 1 or 2 years of undergraduate study, along with courses
and seminars. A master’s thesis, if pursued along with the other re-
quirements for the degree, requires 3 to 6 months. Ordinarily, one
completes the dissertation in several years if working full time on it.
Some do take longer, but universities usually invoke a time limit of 4
to 6 years.
USING LIBRARIES AND OTHER INFORMATION SOURCES
This is a period of information power. From note taking to literature
searching and from data collection to data analysis, automation tech-
nology now accelerates research while encouraging both more com-
prehensiveness and more precision in the T/D enterprise.
Central Role of the Librarian and the Library
Because of technological advances, public and campus libraries have
more material available than ever before. A library is still a place,to
be sure, but it now has the capability to provide the user with the
resources of many other libraries in addition to its own. Moreover, the
user has access to that vastly enlarged store of material with almost
incredible ease and speed (King, 2000; Rice, 1989; Sherman, 1999).
For example, UMI’s Digital Dissertation contains citations and
abstracts of 1.5 million dissertations and theses. The database includes
theses and dissertations from the first U.S. dissertation (1861) to the
most recent. Those published from 1980 include an author-written ab-
stract and are available free to university academic libraries (e.g., the
University of Pittsburgh, www.library.pitt.edu). For most dissertations,
beginning in 1995, full-text dissertations are available in PDF (porta-
ble document format) computer file format. Search screens lead to
advanced search strategies. Each record can be searched by author,
key word, and title (for example, a title search will examine all disser-
tations that have a selected word in them, such as feminism). Terms
can be combined to create a new search using Boolean operators.
85Developing the Proposal
Once you find useful information, you can print the abstract, down-
load the complete document in some cases, and in other cases print a
24-page preview of the dissertation. You can also mark the citation
list of dissertations for later printing, downloading, or sending an
E-mail.
Similarly, there are databases of E-books in academic libraries.
Again, using the University of Pittsburgh library system as an exam-
ple, the system offers Web access to thousands of E-books through
netLibrary, a virtual lending library accessible through the Internet.
These E-books are published references books, textbooks, and mono-
graphs that have been converted into digital form. They can be searched
as you would search any other materials in the library on-line catalog.
Successful students learn quickly how to use help from librarians
and how to use their own computers independently and to operate
from distant workstations to make the most of library resources. Here
are the most important guidelines:
1. Ask for information and help. Inquire about on-line or compact
disk databases related to the topic(s) of interest to you and find
out how you can access them, independently, if possible. As an
example, find out if FirstSearch can be made available to you
since it has many databases, is adding to them, is relatively inex-
pensive, and is considered to be user friendly. There are other
good ones, too.
2. Become fully acquainted with the library and the roles of the vari-
ous librarians, many of whom are specialists. If you wish, they
will assist you in learning to maximize your skill in using catalogs
and periodical indexes; they will advise you on search methodol-
ogy; they will introduce you to the world of computer-assisted
literature searching; and they will guide you to special collections.
Also, librarians understand disabled student needs and services.
These are but a few of the multifaceted capabilities of profes-
sional librarians, but they illustrate that they are powerful allies
in the research process.
3. Most modern information technology can be utilized from home
or office with a five-component microcomputer workstation:
computer, keyboard, monitor, printer, and modem. Such a basic
station allows one to capture and store the products of a search
86 Chapter 3
session for personal use by downloading to your own disk. Subse-
quently, the references can be recast into any of the common bib-
liographic citation forms using commercially available programs
(Rice, 1989). Several programs are available (for example, End-
Note, Reference Manager, ProCite) to help you do the citations
according to the reference guide you select. They also help with
endnotes, reference notes, and the proper way of citing material
in text. Trial versions of such programs are available at the ISI
Researchsoft home page (http://www.isiresearchsoft.com/).
In summary, recognize each librarian as a highly qualified infor-
mation specialist as well as a very valuable resource person with re-
spect to the complex and involved operations of academic and profes-
sional libraries. Seek the aid of librarians on a one-to-one basis to
further your skills. Remember that it is more important that your li-
brary affords you access to a source than that your library owns the
source. And, become skilled at accessing your own campus library via
computer because that skill can be readily leveraged into access to the
other major library holdings of the nation.
Computer Search Services
The university reference librarian is an excellent initial contact. Be
ready to say what your purpose is, what field you want to explore,
and how you expect to use the information. There are powerful gen-
eral search engines to help research a topic. Among the most common
are AltaVista (http://www.altavista.com/), Lycos (http://www.lycos
.com/), Google (http://www.google.com), and Dialog (http://www
.dialog.com/). Libraries have access to hundreds of databases, and
growth and technical improvement are very fast paced in library infor-
mation storage and retrieval. Therefore, the student ought to stay in
close consultation with reference librarians, the on-campus experts in
how best to use the current and emerging tools.
Six Steps for the Student in Database Searches
In the section above on the role of the library and the librarian, we
urged students to acquire key library skills and personal computer
87Developing the Proposal
(PC) competencies. Now, those capabilities must be extended and put
to practical use (York et al., 1988).
1. To search a database efficiently, one must have a topic, or at least
a topic area, in mind. To get ready, it is best to examine some
current articles bearing on the topic area under consideration. List
key words and phrases, as well as their synonyms, to describe
each of the concepts in the topic. It might be helpful to consult
an index or abstract thesaurus, such as the Thesaurus of ERIC
Descriptors or the Thesaurus of Psychological Index Terms.A
printed copy of the index or thesaurus will give you a good idea
of the type of citations that will be retrieved using a particular
term and the amount of literature available on the topic. If possi-
ble, list several citations from the indexes or abstracts to articles
that are considered pertinent to the topic.
Then, try to think of a title for a paper on the subject of
your choice. See if you can get all of the main ideas about your
topic into the title. An example might be “Government Policy
Development and Implementation Respecting Brazilian Universi-
ties in the Past Decade.” Since databases are queried by the pres-
ence of key words, singly or in combination, the words in the title
thus concocted will probably include those you will use when
specifying the kinds of documents you wish to retrieve. At this
point, or earlier, we recommend seeking advice from a librarian
trained in search strategies. Since databases can be programmed
for retrieval by approaches other than key subject terms, the li-
brary specialist may be able to direct you to a more efficient or
effective way to call up the information you wish to locate.
2. University research libraries, and thus the university community,
have access to many databases. Some are available without cost
to students and faculty because the research library paid the an-
nual fee. Even if this is not so, often the vendor offers a free trial
for your perusal. The home pages indicated below were retrieved
on May 18, 2002.
For example, the Center for Research Libraries (home page
http://www.crl.uchicago.edu/) is a not-for-profit consortium of
colleges and universities that make available scholarly research
88 Chapter 3
resources to faculty and students of the major research libraries
of America. The collection includes over 5 million volumes of
research material that is often unavailable in individual libraries.
ISI Web of Science (http://www.wos.isiglobalnet.com) of-
fers citation reports, documents, proceedings, and news in the
world of science. ISI Web of Knowledge (http://www.isinet.com/)
offers citation products, such as Social Science Citation Index,
specialized content, evaluation and analytical tools, information
management tools, and document delivery. These are available to
students for a fee, which may have been paid by the university
library.
EBSCO http://www.epnet.com/) offers biographic and full-
text databases designed to meet the research needs of academic,
biomedical, governmental, and public libraries. It also is a good
source for articles from magazines such as Time and Newsweek.
The Internet Public Library (http://www.ipl.org/) is an ini-
tiative of the University of Michigan School of Information. It
offers on-line texts, Web searching, references, magazines and
serials, and newspapers.
ERIC (http://www.eric.ed.gov), sponsored by the U.S. De-
partment of Education, is a bibliographic database of education
literature consisting of two files, Resources in Education and Cur-
rent Index to Journals in Education. Resources in Education cov-
ers documents, consisting of research reports, curriculum and
teaching guides, conference papers, and some books. Current In-
dex to Journals in Education covers published journal literature
from over 700 publications in the field of education.
LexisNexis (http://www.lexisnexis.com/) provides publica-
tions on line in the fields of law, public records, company data,
government information, and information from academic and
business organizations. It has a searchable directory of on-line
sources.
H. W. Wilson (http://www.hwwilson.com/) offers an infor-
mation retrieval system for the World Wide Web, including
search tools to access records in science and technology, art, cor-
porate data, and full-text article-form journals in the general sci-
ences, social sciences, and humanities.
89Developing the Proposal
Another source of information is the multitude of mainframe
list servers related to various fields. The research librarian is the
best source of help in finding what you need. For example, there
is a list directly related to higher education, with categories such
as academic, administrative, and student. There are many listserv
addresses in each category. A related subject listserv (http://www
.gseis.ucla.edu/heri/journal.htm) lists journal articles using CIRP
(Cooperative Institutional Research Program) data on college stu-
dents. Such lists are often searched by research librarians and are
made available to the university community through the library
system’s home page.
The home page of other organizations may also offer a
great deal of information to the dissertation writer. For example,
there is the Library of Congress home page (http://www.loc.gov/
homepage/1chp.html), which provides access to legislative infor-
mation, copyright forms and information, and the library catalog.
The examples above are but a small sample of what is
available, and availability changes daily. New sites come on line
periodically. The best policy is to ask your research librarian for
help and to be specific about the thesis, honors paper, or disserta-
tion topic you wish to research. In addition, it can be productive
to search a topic yourself. There is no substitute for spending
hours on your computer following leads, opening new searches,
and trying new search engines to find information on your re-
search topic.
Database searching often turns up more listings (hits) than
you can handle. There is a danger that you will find yourself so
interested in the many leads that you get distracted from the main
show. It is better to discipline yourself to use that surplus to nar-
row the search in the most appropriate ways. If you examine care-
fully the nature of the hits you are getting, you can fine-tune your
search strategy to narrow the range and focus on just the informa-
tion you need for your research. The more you know about your
research topic and the more focused you are, the better equipped
you will be to narrow your search appropriately.
3. Decide how much of each retrieved document you want to receive
and keep, either as a printout or a computer file. For the first trial
90 Chapter 3
of the search, you may wish to look only at the bibliographic
citations to judge whether to change your search terms or to com-
bine them in different ways. Once satisfied that the search is re-
trieving the kinds of documents you need, you may then want to
obtain abstracts of the references you have chosen as probably
most relevant to your topic. A next step often is to select, from
the abstracts, the documents that seem to be most relevant, ones
you would consider primary sources. For those, you will need to
have the full text.
4. Copies of the full text of books, documents, and articles may be
obtained in a variety of ways if they are not shelved and circu-
lated by your own library. Time and ready reference are usually
quite important to student researchers, so you may want to own
personal copies of the primary source materials you will be study-
ing, quoting, and discussing with your committee members. If a
book or monograph is in print, the university bookstore can usu-
ally obtain a copy. Before you buy, however, check with the re-
search librarian. Increasingly, libraries are sharing information in
hard copy or on the Internet. Often, print materials such as books
and journals are available through interlibrary loan or other bor-
rowing processes that will bring you the material on a timely ba-
sis. Just one example is the Center for Research Libraries, an
international not-for-profit organization of colleges, universities,
and libraries that makes available scholarly research to users such
as graduate students and faculty. Some database services, such as
ERIC, also provide not only bibliographic resource information, but
also journal articles, books, conference papers, research reports, and
so on in the field of education. Similar databases exist in other
academic or professional disciplines. The research librarian is an
invaluable help in finding the sources of information you need.
5. Try starting with search strategies that focus on subjects in your
academic program area and the research area of interest to you
and to potential advisors. The research librarian can be of great
help here, of course, but some suggestions for a start, depending
on the discipline, might be the Academic Search Elite, MLA Inter-
national Bibliography, Public Affairs International, Science Cita-
tion Index, Social Science Citation Index, and so forth. These may
be accessible through the library system. From this information,
91Developing the Proposal
you can get an idea of who are the important authors and re-
searchers, their areas of expertise, and the quality of the work.
Another indication of the quality of the work of authors is how
often they are cited by peers, and many of the databases, such as
those indicated above, will give you that information. All this infor-
mation is available in your research library and, in many cases, on
your home computer through access to the library’s home page.
There are specialized search engines for many different
categories, such as health and medical information, multimedia
information, and legal searches. The work of King (2000) is a
helpful source (http://www.onlineinc.com/onlinemag/OL2000/king5
.html). There are even a number of sites that can be used to find
specialized search engines, a sort of search engine for search en-
gines. One list (http://www.searchenginewatch.com/links/) links
the viewer to major search engines including children’s search
engines; metacrawlers; multimedia, news, and specialty engines;
these are divided into subject areas. Another is SearchEngineGuide
.Com (http://www.searchengineguide.com/), which lists thou-
sands of search engines, each listed in a subject directory. Each
entry provides a brief summary. Finally, there is a Web site de-
voted to finding information on the invisible Web (http://www
.invisableweb.com/). The invisible Web contains searchable in-
formation resources with contents that cannot be indexed by tradi-
tional search engines. Many search engines fall into the invisible
category because their index of links is stored in databases rather
than on Web pages. The sites mentioned in this paragraph were
retrieved on May 19, 2002.
6. Keep in mind that no computer search will be complete. Many
commonly used databases only reach the mid-1960s. Also, there
may be a lag from publication to insertion in a database. No mat-
ter how well descriptors are selected, significant publications may
slip through the net. Moreover, not all journals and other publica-
tions are referenced in ways amenable to computer searches.
Despite these drawbacks, this search approach is a major time
saver for what it does do. The routine clerical jobs involved are ac-
complished rapidly and accurately; it is almost incredibly quicker and
more efficient than hand-done card index and journal directory work.
92 Chapter 3
When building the reading list, explore the possibility that pub-
lished bibliographies on the topic may already exist. Ask the librarian
about Bibliographic Index and other publications used to discover
such lists. On-line bibliographic searches will yield useful informa-
tion. Some are free, but many valuable searches require a fee. Before
paying a fee, check with your research librarians at the university;
they may already subscribe to the service, which is then available for
the use of the whole institution. Examples of excellent services that
require a fee are Dialog (http://www.dialog.com/) and LexisNexis
(http://www.lexisnexis.com/). If you can afford it, these services may
well be worth the money for they provide access to full-text, up-to-
date specialized bibliographic databases that may be unavailable on
line anywhere else. In evaluating the cost of the service, consider the
time and energy, as well as the hidden costs, that the service may save
you. A careful cost analysis may lead to the decision that the service
is worth it. Research libraries also subscribe to CD-ROMs (compact
disks–read-only memory), which may be very helpful in bibliographic
searches. Again, the librarian is the person to ask for expert advice.
A fortunate researcher may come upon an author whose work is
particularly useful. In that case, one can use bibliographic citations to
explore the works on which this author drew as well as works that
derive from those of the author. To move backward in time, explore
the citations in the author’s bibliography. To work forward, ask the
librarian about the possibility that your author’s work may appear in
a citation index. Doing this not only increases the chances of encoun-
tering especially relevant studies, but also familiarizes the student with
the names of scholars and institutions working in that area of interest.
Book reviews are also useful to researchers. They tell you
whether the book is thought to be important enough to review. Often,
the reviewer, especially in professional journals, is a respected peer
and thus is a person eminently competent to review the book. Even in
more general periodicals, the editors try to get authorities to review
books. In addition to its importance, the review can tell you whether
the book is well regarded, and it can also tell you whether the book
is likely to be relevant to your research. Book reviews are an excellent
way to bring yourself up to date on the research in your area of inter-
est and to lead you to important names and concepts.
Your research librarian can be a great help in locating book re-
93Developing the Proposal
views in your research area, and your university research library may
subscribe to a number of sources. Some examples are Book Review
Digest, Book Review Index, Political Science Reviewer, Social Science
Index, Reviews in Anthropology, Current Book Review Citations, In-
dex to Book Reviews in the Humanities, and Humanities Index. Your
library may have its own search system that will lead you to the peri-
odical indexes, then to the subject area, and finally to book reviews.
Usually, university research libraries have home page indexes, which
will lead to book reviews, and in some cases to full-text reviews.
To summarize, your computer can be a very useful tool in carry-
ing out a literature search, but it will do only what you tell it to do. It
will not think for you.
Published Suggestions for Research Topics
A number of academic and professional groups publish annual re-
views of research. Recently, also, the interest in direct publication of
books and periodicals via electronic networks has led to testing the
practicality of the idea. For example, the journal Catalyst is now avail-
able on the net (http://scholar.lib.vt.edu/ejournals/CATALYST/catalyst
.html). This journal’s emphasis is on continuing education through
two-year colleges, so researchers with that interest can read or copy
the most recent articles in the journal from their own computer
screens. In many cases, sets of electronic journals are made available
to research libraries and are made available to users through the librar-
ies’ home page. For example, university research libraries may have
full-text electronic access to all Wiley Interscience journal titles. An-
other example is the Cambridge University Press list of journals. Aca-
demic Search Elite, a multisubject index to over 3000 magazines, may
also be available on your university library system home page.
It will pay to inquire of your own library staff about such direct
access to books and periodicals relevant to your research topic. These
typically contain recommendations about needed studies. Such pub-
lished suggestions may be of help in selecting research topics. It
should be understood, however, that some will be outside the interest
and capabilities of the student because they call for special equipment,
access to subjects, investigation of competence areas, and special staff
and funds beyond those the student researcher can provide. Often,
94 Chapter 3
however, the student’s professor or department chairperson will be
able to suggest portions of those topics that need to be researched and
that are within the student’s reach. Such suggestions are especially
valuable because they imply an interest in the topic by the faculty.
Journals in hard copy or CD-ROM are also excellent sources to
search. If you are partial to a particular subject, reading the latest issues
of journa ls i n tha t fi eld can stimulate interesting research possibilities.
The problem will be to focus on a few feasible topics from among the
interest ing things o ne might do. Many journals can be s ear ched elec-
tronical ly using electroni c journal aggr egat ors and services. Such ser-
vices can usually be found on the home page of the librar ies of research
universi tie s. For ex amp le, the University of Pittsburgh library system
home page (http://www.l ibr ary .pi tt.edu/) lists more than 20 aggregators
and services . One of them is the John s Hopki ns Unive rsity library home
page (htt p://www.muse.jhu .ed u/), which provides access to hundreds of
journals in the social sciences, mathemat ics, and humanities from a
number of distinguis hed univer sit y presses, includi ng Johns Hopkins,
the Massachusett s Institut e of Technology, and Oxford.
The process you have under way toward selecting a topic can be
illustrated in the following sequence of moves:
95Developing the Proposal
Internet Research Sources
There are many sites that can help your editing task, such as checking
references against the text and putting your T/D into American Psy-
chological Association (APA) style. There are even sites that help you
more than by providing simple editing. Inputting dissertation writing
into a search engine (e.g., Overture) or inputting writing your disserta-
tion into the Google search will lead to sites that will help in getting
started, in organization, in language clarity (if English is your second
language), in statistics and data analysis, and in publishing your re-
search. Some sites offer free service, some university sites are avail-
able only to registered users, and other sites collect a fee. Examples
of some specific sites (retrieved September 25, 2002) are as follows:
1. The doctoral-dissertations.com (http://www.doctoral-dissertations.com)
site helps with editing, checking references against the text, putting
your study into APA style, and preparing for your oral defense.
2. A site for dissertation writing assistance (http://www.dissertationadvi
sors.com) provides rewriting, editing, statistical analysis, and other
assistance for students in the thesis and dissertation writing process.
3. Advice on research and writing from Carnegie Mellon University,
School of Computer Science is provided at http://www-2.cs.cmu
.edu/afs/cs.cmu.edu/user/mleone/web/how-to.html. This site is a
collection of advice about how to do research and how to commu-
nicate effectively (primarily for computer scientists). It has advice
on writing and publishing and how to organize your thesis, advice
to authors of extended abstracts, hints on good writing, and advice
on submitting papers and getting them accepted. There are leads
to a number of other very helpful sites.
4. UMI’s dissertation services provide a wealth of information to
help in preparing the proposal (http://www.il.proquest.com/hp/
Support/DServices/prepare/).
5. The Dissertation Doctor (http://www.dissertationdoctor.com/) pro-
vides assistance in getting started on your dissertation or thesis,
managing advisory relationships, preparing your proposal, boost-
ing productivity, staying focused, troubleshooting, and surviving
catastrophes.
6. Dissertation hints from Napier University Business School in-
96 Chapter 3
clude an outline and guide to writing each chapter (http://www
.bim.napier.ac.uk/~hazel/diss/diss_write.htm).
7. The doctoralstudents.com (http://www.doctoralstudents.com/) site
was created to support research in general and doctoral students
specifically. By joining this on-line global community, members
are put in contact with other students conducting similar research
and have access to useful research links.
8. The Elfin Forest Software Group thesis writer (http://www.elfin
.com/home.htm) site provides a package to assist in the writing
and preparation of a thesis or dissertation. It includes leads to
Thesis Dissertation Writer (version 1.2), which guides you
through every step of your thesis, contains a paragraph-by-para-
graph content guide, answers all your “What do I write?” ques-
tions, gives numerous examples to clarify concepts, and works
with stencils that you type over. It has a point-and-click easy-to-
use format. This site also leads to APA Reference Writer, with a
point-and-click easy-to-use format, and MLA Referencing Software
referencing guide, with point-and-click easy-to-use format. Also
available is a Point and Click Statistical Package (version 1.0), with
easy-to-use point-and-click format, input data from the keyboard or
from a data file, and output to a screen, printer, or file.
SUMMARY
Suggestions of research topics are provided, along with checklists to
help bring ideas into focus. We offer sample suggestions to illustrate
that students will find that each field of study can be reviewed for the
research done as well as the research that may need to be done. In
some specialized narrow fields, one may not find a source entitled
“Needed Research in...,”buttheneeds of the field can be conceptu-
alized by reviewing the research that has been done and then identify-
ing logical next steps. Research is never ending; it usually raises as
many questions as it attempts to answer and raises them in the very
process of attempting to find answers. That is why almost every report
of research contains the seeds of future investigations. Professors who
are familiar with the research in their field are, without a doubt, the
best sources for ideas about the research that yet needs to be done.
4
Preparation of the Proposal
QUICK REFERENCE TO ANSWERS TO SPECIFIC QUESTIONS
1. How do I take the very first step in moving the concept
out of my head and into a preliminary draft to show
my advisor? 97–99
2. How can I develop an outline to move my concept
draft into a first draft of a proposal manuscript? 104–108
3. How should I state the problem and define and
clarify the limits of my investigation? 108–116
4. What literature must I review for the proposal? 116–125
5. What must I include about how the study will
be conducted? 125–138
GETTING STARTED
Write Answers to Questions
Moving the proposal* out of your head and into written form can be
done in stages. The very first stage can be quite informal (Locke et
al., 2000).
One way that works for a lot of students is to write a few short
sentences about each of the seven questions below. (Change the order,
if you wish, and add other points if you think they are important.) The
*The proposal is sometimes called an overview or a concept paper. Operationally, the terms
seem to mean the same.
97
98 Chapter 4
critical thing is to check your place on your time line and to start to
write answers to the following questions no matter how dissatisfying
the first draft.
1. What is the tentative title? What do you call what you want to
do? What is its name?
2. Why do you want to do it? What will you know or be able to do
or say when you are through? (At this stage, an involved theoreti-
cal justification is unnecessary.)
3. To accomplish what you want to do, what steps will you have to
take? Can you put the steps in sequential order? What facilities
will you need? Why?
4. What kinds of help do you think you will need to do what you
want to do? When? How might you get that help?
5. Will the project involve people other than yourself? How? To do
what? For how long? Will you need any special permissions?
6. What actually goes on if you start to do what you propose? How
would it start? What would a typical day be like at the beginning?
When you are partway through? At the end?
7. How do you think you could show whether you accomplish what
you set out to do? How could you prove it to someone else?
After writing “first draft” answers to these questions, put the
document aside for a day or two in your “Proposal Notes” file. Then,
come back and reread it. Make whatever amendments you think it
needs for increased clarity.
Computer Help in Preparing Proposal
Take the time to enter and save on your computer what you have in
mind, even though it may be a rough draft. Be sure spelling and punc-
tuation are correct. Learn to use spelling checks and grammatical
helps from computer software. An outline program, such as that of
Microsoft Word, helps one to think in orderly and deductive sequence.
Double space your work, with wide margins. Set the program to put
your name and date on each sheet. Make at least three copies: one for
your file, one to hand to your advisor, and one for you to use while
talking with your advisor. Save your work in a computer file.
Why so much detailed emphasis on this point? It is essential to
99Preparation of the Proposal
set the stage so there is nothing to distract the advisor’s attention from
the content of what you have written. A businesslike beginning by the
student encourages any advisor to try very hard to be helpful. Of
course, it is the advisor’s obligation to assist the student in any event.
But, a clearly prepared and error-free statement, even one that needs
much more substantive work, will help the advisor to feel that guid-
ance will be taken seriously by the student.
Moreover, this is often the crucial first step in the student’s own
filing and record keeping. It should set a model for a continuing pat-
tern of neatness and orderliness. Many students have told us that part-
way through the T/D process they discovered that sloppy note taking
and careless storage made information retrieval an all but impossible
task. Early attention to details will sharply reduce the chances of losses
and misplacements. Thus, the first stage in writing the proposal is one
that can be quite informal as to style, but it is one that should be very
deliberately organized to introduce a businesslike tone into both the
initial conference with the advisor and the records of the student. De-
velop a regular system to save and file all work on the word processor
or computer in a T/D directory, always properly cited in the form to
be used eventually in the final document (e.g., APA, MLA). Endnotes,
footnotes, and citation systems can immeasurably help store and later
find notes and their citations.
There are Web sites that will help you in thinking about selecting
your topic. One is filamentality (www.kn.pacbell.com). Filamentality
helps you in selecting a topic by providing Web searching tips. It lets
you “fill in the blanks” to gather good Web sites and guides you with
interactive pages that help you shape your ideas around your goals.
Dissertations Abstracts (http://www.dissertation-abstracts.com/)
is a guide to abstracts on all dissertation topics on line; it includes
thesis help and free consultation. This guide was prepared to help
graduate students in preparing theses and dissertations.
Use University Guidelines and Regulations
Even though we encourage informality in first drafts, we also suggest
that familiarity with formal guides and requirements for the T/D will
pay dividends for the student. Problems are less likely to occur if
guidelines on procedural and editorial matters are studied at the outset
100 Chapter 4
by the student and the advisor together. Such joint study ought to be
done in a spirit of understanding. Clarifying the rationale for each of
the guidelines and determining how they can be most helpful to the
student, while they also serve the broader purposes of improving com-
munication among the professions and other scholarly groups, is the
goal.
Figure 4-1 contains an alphabetized list of topics about which
universities often have specific regulations pertaining to T/D proce-
dures and format. We urge students to use Fig. 4-1 as a checklist
while developing the T/D first draft and, as needed, later. If, for in-
stance, you think you may need to include a drawing in your manu-
script, if you may need to preserve the confidentiality of certain data,
or if you have questions about any other of the 87 items in the figure,
it is best to ascertain the facts early. Your advisor, your department
chairperson or executive officer, your dean’s office, and the graduate
office of your university are the places to go for details about any of
the checklist items.
Many professors believe a useful approach is for the student to
become familiar with the contents of the university procedural guide
at the same time that the T/D problem is being conceptualized. Fol-
lowing that, frequent reference to the university manual can help the
student organize notes and rough drafts so that minimal time is lost in
moving toward an acceptable final manuscript.
Use of Style Manuals
Faculty members and students need style manuals. The former use
them to quickly refresh their memories about questions, to look up
recommendations about new problems in writing as they arise, and to
monitor, generally, the consistency of their own writing. Frequently,
faculty members write for more than one colleague audience; the ac-
cepted styles of the two may vary. For instance, the American Educa-
tional Research Association, the American Institute of Physics, the
American Psychological Association, and the Social Work Yearbook
all have somewhat different styles prescribed.
Some style guides associated with academic disciplines are
available on line. For example, the home page of the American Insti-
tute of Physics (www.aip.org) leads you to their Style Manual, avail-
101Preparation of the Proposal
Figure 4-1 Administrative and technical matters included in thesis and
dissertation regulations.
Figure 4-1 Continued
103Preparation of the Proposal
Figure 4-1 Continued
able on line. Graduate students should become familiar with the ac-
cepted style manual in their discipline and use it from the day of
admission to the day of graduation. Knowing the style system for cita-
tions in scholarly papers will save a great deal of time in graduate
school as well as later in professional life. The APA style manual,
commonly used in the social and behavioral sciences, is another ex-
ample of a style system for which there is on-line information and
help. The home page (http://www.apa.org) will lead writers to help in
understanding and using APA style in writing papers and articles.
There is also help (APA, 1999, 2001) on how to format references,
citations, headings, statistics, tables, and Internet document citations.
An excellent text to help new writers is Mastering APA Style: Stu-
dent’s Workbook and Training Guide (Gelfand and Walker, 2001).
The most commonly used style manuals are listed in this book’s
reference list. Each faculty member and student should inquire about
104 Chapter 4
the school’s style requirements and abide by them. Foreign students,
still developing skill in scientific and professional English writing,
often need to be attentive to the characteristics of T/D prose (Gibaldi
and Achtert, 1999; Land, 2001, Turabian, 1996).
Style manuals do not necessarily help improve writing skills or
be logical and clear in thinking and writing. There are books published
to do this, and some are quite readable and useful (Evans and Evans,
1957; Fowler, 1965; Gelfand and Walker, 2001; Newman, 1980;
Strunk and White, 1979; Zinsser, 2001). Once adequate general writ-
ing skill is attained, however, the style manual, if used thoughtfully,
can be a material aid to producing high-quality prose in a form accept-
able for professional publications.
OUTLINING THE PROPOSAL
In developing the proposal, you can use the Internet to find examples
of outlines that may help you think through in an orderly fashion the
contents of a dissertation or thesis proposal. A simple way to find
outline help is to enter terms such as outline (outlining)oroutlining
skills into search engines (e.g., www.google.com) and find a site like
ActionOutline (www.greenparrots.com). This is software that lets you
organize your bits of information in a tree outline form. This software
is for sale, but there is a free trial download that may help you con-
struct a useful outline.
Many universities and colleges maintain Web sites that have out-
line samples and assist in imparting outlining skills and guides to
grammar and writing. For example, Capital Community College has
a site that helps (webster.commnet.edu), as does the Purdue University
Online Writing Lab (http://owl.english.purdue.edu). This site has sam-
ple outlines; information about writing research papers; search en-
gines; search helps; help with grammar, spelling, and punctuation; ref-
erence materials and resources; and professional writing aid.
Format of the Presentation
Some advisors recommend that the student prepare only a two- or
three-page prospectus to take to the committee for approval. Others
go much further, requiring not only a detailed research plan, but also
105Preparation of the Proposal
a summary of preliminary research results. Many schools and depart-
ments have, in recent years, printed information on proposal require-
ments in a Bulletin on Master’s and Doctoral Study or something
similar. Also, ask your advisor to let you read two or three recent
proposals that were considered of good quality to help you plan yours.
At this stage, writing must become more formal. It will save
time if drafts approximate the form and style of an actual proposal
as it will appear when completed. Then, each draft will be a closer
approximation of the end goal. You will find this step-by-step devel-
opment helps you to reach closure on what, at the beginning, might
appear as an overwhelming task. Use of a word-processing program
can greatly facilitate the preparation of each approximation and reduce
the task to more manageable proportions.
In T/Ds, often a substantial amount of first-hand, observable data
are gathered and analyzed. Yet, many other T/Ds take the form of a
policy conceptualization analysis and interpretation or of a theory-
based, critical examination and synthesis of a specific body of knowl-
edge on a particular issue or topic.
Every T/D, of course, relies on the assembling of systematic evi-
dence to focus on the problem at hand. The sources of evidence and
the nature of data vary, though, and so do the methods of acquiring
and analyzing material. Theoretical syntheses ordinarily depend heav-
ily on both primary and secondary sources. Much of the material stud-
ied will be more qualitative than quantitative. It is in the uniformity,
the consistency, and the systematic approach to such data that the
theoretical synthesis displays its objectivity and its openness to repli-
cation. Policy analyses tend to rely largely on library sources such as
articles, books, documents, essays, informants, official transcriptions,
special surveys, and reports. The arraying and ordering of pertinent
information from such sources for analytical assessment is a major
challenge to the investigator, and the skill, clarity, and sophistication
with which that is done is a prime consideration in judging the merits
of the work. Empirical studies emphasize control, in the sense that the
investigator sets up the conditions of the investigation and specifies
detailed questions that will be answered or hypotheses that will be
tested. The identification, application, or observation of a treatment
effect is a common part of such studies, as is the analysis of data.
Each of these T/D forms is probably best presented by following
106 Chapter 4
a somewhat different structure or outline. In this chapter, the Table of
Contents of the most frequent form of proposal, the empirical study,
is highlighted (Fig. 4-2). Appendix B offers expanded outlines that
might be helpful for other T/D types. They are suggested guides; pre-
scriptions cannot be written because no two projects will be exactly
alike.
Adapt the Format to the Problem
The goals and methods of a study shape the proposal; different studies
will emphasize different things. Some may fit the standard format, but
others may require adaptation (Krathwohl, 1988).
The same point about using the objectives and the procedures of
the intended study to determine the format of the proposal is made by
Meloy (2002). She devotes a large portion of her book on qualitative
research to elaborating that principle, using correspondence from dis-
sertation students for illustrative examples.
The most recent statement of the Council of Graduate Schools
(199lb, p. 13) on options for the form of the dissertation points out
the following:
Whether the form of the dissertation is a monograph, a series of
articles, or a set of essays is determined by the research expecta-
tions and accepted forms of publication in the discipline, as well
as by custom in the discipline and the student’s program. In the
humanities and some of the social sciences, the dissertation...
reflects the individual scholar’s approach to research and can
ultimately form the basis for a monograph published by a univer-
sity press. Several article length essays...maybetheheart of
the dissertation in economics at a number of universities. In en-
gineering and the physical and biological sciences, which are
increasingly team disciplines with large groups of investigators
working on common problems, dissertations often present, in
varied formats, the results of several independent but related ex-
periments.
The council goes on (p. 14) to make a very important point: “How
a discipline normally conducts its work is distinctly related to that
discipline’s expectations for the Ph.D. dissertation.”
107Preparation of the Proposal
Figure 4-2 Table of contents for a proposal.
108 Chapter 4
Thus, it is vital that the student knows, or ascertains, the norms
and expectations for dissertations (and theses as well) in the student’s
program and discipline. If in doubt, ask the advisor. Also, review sev-
eral dissertations or theses recently completed in the department; note
the name of the research advisor and the format, content, theoretical
basis, and the methodology employed in the examples reviewed
(Hawley, 1993).
Although no format is common to all institutions of higher edu-
cation, Fig. 4-2 encompasses the topics ordinarily included. View this
outline as a general guide rather than a prescription. Adapt it as neces-
sary or as required by the advisor or the university. The material that
follows is keyed in sequence to the items in the Table of Contents
shown in Fig. 4-2.
FILLING IN THE OUTLINE
Introduction
Acquaint the reader with the topic. Make it short—only a page or
two—but make it useful. First, tell the reader what the study will be
about and why it is important and timely. Arouse the reader’s interest;
build a desire to read on and find out more. Set the stage for what
comes after, putting important parts of the topic area in their proper
perspective.
Second, be direct, not tedious. Make the Introduction a tasty tid-
bit, a sample of the good things to come. Aim it at an intelligent, well-
informed person, but one who is not deeply involved in the particular
problem addressed.
Writers rely on diagrams to explain ideas or concepts too diffi-
cult to put into simple sentences. Most languages are unidimensional
and sequential, so it is impossible to verbalize several things at the
same time. But a diagram, like a picture, can readily accomplish what
mere words cannot. The same is true of graphs and charts. Therefore,
we urge that the capabilities of the computer be used to create and
insert illustrations in the body of the T/D. This helps the reader, as
well as the researcher, to visualize complex relationships or interactive
processes. It can be especially important in making this and other sec-
109Preparation of the Proposal
tions of the proposal both concise and clear. Tufte (1990, 1997, 2001)
supplies superior examples of illustrations made by computer.
After reading the Introduction, one should be able to guess accu-
rately what the problem is. Everything in the Introduction culminates
in the statement of the problem as the next logical step.
The Problem
Rationale, Significance, or Need for the Study: Since the heading
“The Problem” begins a new chapter of the T/D proposal, it is appro-
priate to link it to the prior chapter by first summarizing what ap-
peared in the Introduction, which ought to take no more than two or
three sentences. What appears in this section in addition should serve
to sharpen and make more precise the purpose of the study. Remem-
ber, the committee rightfully expects the student to be able to state,
convincingly, the chief reason(s) for doing the study, the potential
value(s) that could flow from doing the study, and the urgency to do
this particular study at this time. This section needs usually only three
or four short sentences. Point out that what is presented here will be
elaborated later in the T/D document, if that is necessary. This is the
place to present, succinctly, the rationale, significance, or need for the
investigation.
Theoretical Framework for the Proposed Study: Many important re-
search topics do not have a clear relationship to a theory. One example
is a study that established the most appropriate type size for reading
materials to be used by persons with severe vision impairments. It
was an important study, but one that was essentially pragmatic, mean-
ing that it pertained to or primarily was concerned with practical re-
sults or outcomes. In the case of the type-size study, the problem was
to ascertain a size of print that would allow as many visually impaired
persons as possible to have access to reading materials while at the
same time keeping the size and the bulk and the cost of the printed
materials within reason.
On the other hand, some T/D proposals are eclectic in their
frames of reference, meaning that they select from a variety of theo-
ries or systems of thinking rather than building on or testing some
part of one theory. Examples can be found in the literature on methods
110 Chapter 4
of rehabilitating criminals, for which a variety of parts of theories
of criminal justice, social learning, punishment, and morality may be
interactive.
Finally, there are many studies that aim specifically at challeng-
ing or attempting to validate individual theories or at testing the accu-
racy of predictions made from specific theories. Individual theories are
numerous , ranging across all academic and professional discipl ine s.
Two essential points ought to be included in this section of every
proposal. First, it should be made clear whether the framework of the
investigation is pragmatic, eclectic, or focused on a single theory, with
a brief explanation of why and how. Second, the framework, which-
ever it is (or in whatever combination), should be stated, with appro-
priate references to the primary sources where full information on the
applicable theories or systems of thought may be found.
Statement of the Problem
The Statement of the Problem is a short section, but perhaps the most
important in the proposal. It lays down a guide to follow in all that
comes after. At the same time, it is a serious agreement between the
proposer and the faculty. Some institutions even refer to it as having
contractlike characteristics. In any case, the statement of the problem
will be carefully scrutinized by the faculty and, once accepted, will
not be changed without faculty permission and agreement. Once ac-
cepted, the student researcher will live with the statement until the
mission is completed or aborted.
State your concept of the problem in clear prose. Make it the
initial paragraph of the statement of the problem. Be brief. Build on
the introduction to provide information concerning the reasons why
the study is proposed, what it would accomplish, and the anticipated
outcomes.
After the purpose is given, a paragraph or two ought to suffice
for the remaining statement of the problem. Choose words carefully.
Do not promise more than is necessary to do the study in a reasonable
time. The problem statement has to follow logically the purpose state-
ment. It may be expressed as a question or a statement, preference
depending on the individual researcher, the faculty member guiding
the research, and the nature of the topic. The statement gives direction
111Preparation of the Proposal
to the study, gives essential information about the scope of the study,
and suggests, without giving details, how the study will be carried
out. The statement must be clear, concise, and unambiguous.
Elements of the Problem
Elements are stated in studies that do not require hypotheses.* Some-
times, elements in T/D proposals are called research questions or com-
ponents. By whatever name, they are the specific parts of the problem
studied as opposed to other parts, usually unnamed, not studied. Thus,
the elements help define and make more specific the problem state-
ment.
Hypotheses, Theories, and Research Questions
The hypothesis is stated as a suggested solution to a problem or as
the relationship of specified variables. It retains the character of a
guess until facts are found to confirm or discredit it.
As one might expect from the spelling, the word comes from the
Greek hypothesis, meaning groundwork, foundation, supposition. The
plural is hypotheses. It has come to have a meaning similar to one of
the Greek meanings—supposition. It could be called a supposition,
proposition, or unproved explanation tentatively advanced to account
for observed facts or phenomena.
One or more hypotheses may be generated by a thorough analy-
sis of the theoretical and factual background of the research problem.
Without formulating hypotheses, a researcher wastes time in direc-
tionless investigation.
People sometimes go beyond giving tentative explanations for
what they seem to see. They often use these explanations as a base for
further investigation to determine, if possible, whether the tentative
explanations seem accurate as a description of what is happening and
even whether the explanation predicts what will happen under certain
conditions. There we find the relationship between hypotheses and
research. Researchers usually want to find an explanation for a phe-
nomenon (i.e., Why is there so much more divorce than ever before
*Some complex investigations may contain both elements and hypotheses.
112 Chapter 4
in the United States?). First, they review the research and the specula-
tion of others. They then develop likely hypotheses (alienation from
earlier mores, breakdown in family life, increased mobility, societal
changes, loss of influence of religious groups, and so on). Finally,
they formulate a problem (study) that may more accurately ascertain
what is contributing to the rise of the divorce rate.
Investigators develop hypotheses to help give direction to their
work. The engineer who scans mountain terrain before directing a
mining operation or laying out a roadway makes inferences based on
facts and observed conditions in coming to a decision. The engineer
hypothesizes, that is, expresses an informed opinion as to the correct
approach to the problem. The child development specialist notices that
boys seem to take to science and mathematics more readily than do
girls. The specialist guesses, that is, hypothesizes, that the difference
arises because young boys and girls are differentially exposed to sci-
ence and mathematics and differentially rewarded for showing interest
in them.
Hypotheses are not confined to the experimental research mode.
In fact, it is the rare study in any research mode that does not involve
hypotheses, either explicitly or implicitly. A hypothesis is a shrewd
guess, an assumption, an opinion, a hunch, an informed judgment, or
an inference that is provisionally put forward to explain facts or condi-
tions or to guide how one starts to attack a problem. A hypothesis
helps in determining the information (data) to be gathered and the
investigative methods to be used.
Most students have working hypotheses when they start to con-
sider investigations. These are conjectures formed to guide the initial
stages of any inquiry.
A student can hypothesize (state a hypothesis) about almost any-
thing because the term simply refers, as we have said, to a more or
less educated guess. It is a little more difficult, though, to make a
testable hypothesis, which means phrasing the educated guess in such
a way that you can determine how correct the guess is. Sometimes,
one can state the hypothesis in a way that makes it absolutely testable.
But, most of the time, it is possible only to obtain a qualified test, not
an absolute one.
If hypotheses are to be used, they should be well chosen. Keep
113Preparation of the Proposal
each one simple, straightforward in language, and ascertain that it
meets recognized criteria, such as the following:
1. Are there good reasons, practical experiences, theories, or previ-
ous research findings that tend to support it? If so, it can be said
to have construct validity.
2. Is it possible to collect and analyze data in such a way as to show
whether the hypothesis stands up? If so, it is testable.
3. Does the hypothesis focus on the problem being studied? To be
relevant, a hypothesis must answer part or all of the matter being
investigated.
Another important and conceptually related, Greek-derived word
is theory. Perhaps the most misleading notion is that a theory is an
impractical explanation, something that sounds great but will not work
or, even if it does work in some sense, it is so far above the common
person that it is not useful. In sharp contrast is the comment by Gard-
ner, who said a theory is one of the most practical tools of the modern
world. He gave the example of the plumber who daily uses theory to
practice the trade in an expert manner. The plumber who uses inflam-
mable plastic pipes in the walls of a new house or expects water to
drain uphill does not know much about either theory or plumbing
(Gardner, 1978).
Webster’s Ninth New Collegiate Dictionary (1985, p. 1223) de-
fines theory, for our purposes, as “a plausible or scientifically accept-
able general principle or body of principles offered to explain phe-
nomena.” In comparing hypothesis with theory and scientific law, the
same dictionary (p. 594) makes a useful distinction in that
Law means a formula derived by inference from scientific data
that explains a principle operating in nature. Law implies a state-
ment of order and relation in nature that has been found to be
invariable under the same conditions. Hypothesis implies insuffi-
cient evidence to provide more than a tentative explanation. The-
ory implies a greater range of evidence and greater likelihood of
truth than hypothesis [but much less certainty than law].
Theory explains the relations among events or facts, although
not completely. For example, theory attempts to explain the relation-
114 Chapter 4
ship between economic conditions and buyer preferences or between
home conditions and child-abuse behavior. Theory can provide a frame-
work to generate hypotheses or questions or problem element state-
ments. In turn, they guide research procedures, objectives, and data
collection. For example, to propose and study the effects of a new
prison discipline code, we should be able to say why (in theory) we
think it will be better. In this general sense, every T/D proposal should
be based on theory.
If the investigator is seeking direct answers to certain questions,
it is not necessary to state hypotheses formally and design the study
to test them. If it is believed, however, that coincidental relationships
may exist and should be revealed, or if it appears that one factor may
be the cause or the result of another, a hypothesis may be the best
way to state what the investigator is setting out to uncover. We en-
courage students to take the initiative with their advisors to discuss
whether a given topic might better be approached through setting up
hypotheses, by posing questions, by enumerating the problem ele-
ments, or by some combination of the three. Significant parts of the
study design will be influenced by that decision, notably the data collec-
tion, data analysis, and presentation and interpretation of the results.
Delimitations and Limitations of the Study
The two words delimitations and limitations are often confused. A
limitation is a factor that may or will affect the study, but is not under
control of the researcher; a delimitation differs, principally, in that it
is controlled by the researcher.
In psychology, it is common to use a questionnaire to ascertain
the status of something, for example, the job specifications of clinical,
school, or counseling psychologists who are employed by public agen-
cies. In such studies, a very common limitation is the willingness of
individuals to respond at all, to respond in a timely fashion, and to
respond accurately. These are limitations on the study; that is, they
are important possible effects on the outcomes of the study, and they
are not controlled by the researcher.
In such studies, also, it is common to have a delimitation as to
size or nature of the group questioned, for some appropriate reason.
In the example used, the size might be limited to those in one state,
115Preparation of the Proposal
those working in urban regions, or those in certain types of agencies.
Also, the size might be limited to 10% or 20% of known psychologists
in such employment to keep it to a manageable number.
Limitations and delimitations should appear only when they are
imposed by the nature of the problem being studied. Limitations typi-
cally surface as variables that cannot be controlled by the researcher
but may limit or affect the outcome of the study. Research honesty
demands that every important limitation be spelled out for the reader
and the committee. In our experience, limitations become problems to
students when they are not specified. Every study has its limitations;
it is best to call the committee’s attention to them. If the limitations
are critically damaging to the study, the best time to find that out is
when the proposal is in the thinking-and-planning stage, not later.
In a similar way, plainly stated delimitations help everyone in-
volved to think through the design of the study. Delimitations are inte-
gral parts of the design because they set parameters; they tell the
reader what will be included, what will be left out, and why. A good
statement of the problem will itself be somewhat limiting and delimit-
ing, of course. However, in this section, one should find detailed stric-
tures recognized by the researcher, but not apparent in the brief prob-
lem statement.
Definition of Terms
There are two major reasons for defining one’s terms in doing re-
search. First, define each expression that is used in a special, very
precise sense in the proposal. Unfortunately, unless it is defined, there
is not always agreement on the meaning you intend for a word or
group of words. If a common word is used in a specific way in the
student’s field of study, that needs to be stated.
Second, the proposed research may depend on an operational
definition of a term. Operational means that the expression used must
be definable in terms of observable, identifiable, and repeatable opera-
tions. For example, the expression functional literacy is, in itself, open
to many interpretations. But, if it is specified as a 5.0 or higher-grade
equivalent score in reading speed and comprehension on a particular
nationally standardized test, then functional literacy becomes defined
by those operations used to identify it, and its meaning is unambigu-
116 Chapter 4
ous because of the operational definition. For another example, two
common terms in education are school quality and achievement. Nei-
ther of these concepts means very much unless the user defines the
meaning operationally. For example, achievement may be defined as
the level of test scores from x test, y form, given at z time throughout
the school system. School quality may be defined operationally by a
number of variables, such as expenditure per child, educational level
of teachers, years of teaching experience, and pupil test scores on
specific tests. Thus, an operational definition is one that specifies the
operations that will define the word. Operational definitions not only
allow one to say precisely what is meant by terms used, but these
definitions also establish a basis for objective tests for the outcomes
of the proposed study.
Four general dictionaries we have found useful in defining terms
are the Oxford English Dictionary (13 vol.) by J. A. H. Murray; the
Random House Dictionary of the English Language, Unabridged, the
Webster’s New World Dictionary of the American Language, College
Edition; and the Webster’s Ninth New Collegiate Dictionary. Many
professional fields (e.g., education, medicine, psychology) have well-
recognized specialized dictionaries. Librarians are excellent consul-
tants on this and related matters.
Terms that are current or changing in concept may be best de-
fined by their usage in professional and scholarly writing. Eminent
persons in the field of inquiry you have chosen will define precisely
the difficult terms in their work in order to be clearly understood. The
student researcher is on safe ground to cite and use those definitions
if they are needed in the proposed research.
Another variation is to review the definitions used by the top
scholars in the field and critique them in terms of their appropriateness
to the proposed research. There is nothing wrong with ending up with
your own new definition based on a review of definitions found in the
literature provided your definition is demonstrably more useful and
appropriate for the study.
Review of the Literature: Sources
At least five sources of literature should be searched: journals, major
books on the subject, monographs, relevant collections of images or
117Preparation of the Proposal
objects, and dissertations. Today, much of the identification of rele-
vant material in these five classes of publication can be done via com-
puter access to bibliographic databases.
By this time, you should also have ascertained the bibliographic
citation form required for your T/D. You should take pains to record,
from every reference you use, the exact information you will need if
you decide to cite it in the future. It is much better to err on the side
of recording too many references now than to have to return a few
weeks or months hence and spend hours trying to relocate some docu-
ment.
If you are using a computer, we recommend strongly that you
store the data for bibliographic citations. Much drudgery can be avoided,
too, by using a computer program to structure your bibliography as
you build it. Such a data file stores all types of references and can
generate citations in more than 200 publishing styles, plus write foot-
notes in a variety of styles.
The term literature is employed to include anything appropriate
to the topic, such as theories, letters, documents, historical records,
photos and other images or objects, government reports, newspaper
accounts, empirical studies, and so forth. Some of these, like letters
or reports, are called “fugitive materials” because, while such items
may actually be of key importance to your topic, the originals may be
quite difficult to locate. This is another point at which a professional
librarian can prove to be a great help.
Searches by computer for images (photos, sounds, drawings, set-
tings, maps, paintings) that do not have text captions pose challenges
because current software may not recover such material directly. With
conventional databases, computers look only for exact matches of key
words.
Software now in development may use artificial intelligence pro-
cesses that allow the search engines to be sensitive to enough nuances
about English (or another language) syntax to broaden or deepen a
search and find more matches. Thus “sunny day at the beach” and
“warm sand and sparkling surf” could produce a “match” instead of a
“no match” response. Examples of Web sites potentially helpful with
the above problem search areas are those for Cycorp, Inc. (http://www
.cyc.com/), Virage, Inc. (http://www.virage.com/), and IBM (http://
118 Chapter 4
www.ibm.com/). These sites were retrieved on May 19, 2002. See
Chapter 3 for home pages of general and specific search engines.
Figure 4-2 contains six subheadings under Review of the Litera-
ture. In all six subheadings, if theory and research are each treated in
chronological order in the writing, usually a coherent picture of the
topic’s background emerges. The key is appropriateness.
Extent and Depth of Literature Review
A review of the literature is necessary for every T/D, but there is
disagreement about the detail and depth of the review at the proposal
stage as compared with the final stage. Some advisors recommend a
short review, hitting the high spots of the literature and anticipating
the complete review in the final document. Others insist on a complete
review in the proposal. Those who take the former position feel that
the whole proposal, as a matter of principle, ought to be brief (up to
10 to 15 pages) and ought to concentrate on a statement of what the
researcher wants to do, why, and how, plus how it will add to what
has already been done. This, it is argued, permits a maximum of stu-
dent independence and freedom from committee constraints and re-
views during the study.
Those who take the complete review position feel that the stu-
dent researcher will have a better proposal, clearer procedure, and bet-
ter final product if the review is thoroughly done before embarking
on the study. Further, they say, the review has to be done anyway, so
it is not lost effort. A full analysis of the literature beforehand pro-
vides opportunities to educate both the student and the committee to
some of the pitfalls ahead.
We lean toward the complete review view, but we prefer to fo-
cus on what the student researcher should try to get out of the review
at the proposal stage. Whatever the depth and detail of the written
requirement of this section of the proposal, we encourage students to
read widely in the literature, take careful notes, and maintain an orga-
nized file and record.
For more ideas on literature review, use your search engine for
on-line information. Also, the work of Clark and Oxman (2000) is a
source for guidelines and format for systematic review of the literature
in the health care field. The works Gash (2000), Hart (1998), and
119Preparation of the Proposal
Cooper (1988) are all good sources of information. C. W. Bowen
(2000) describes a meta-analysis approach to conducting literature re-
views. He illustrates the power of this approach by reporting the ef-
fects of cooperative learning on chemistry achievement in high school
and college classes. Finding samples of literature reviews in your field
would be very helpful to your progress.
Benefits from the Literature Review
The most important benefit to be gained from a review of the literature
at the proposal stage is good knowledge of the field of inquiry—what
the facts are, who the eminent scholars are, where the parameters of
the field are, and which ideas, theories, questions, and hypotheses
seem most important. The reviewer at this stage ought to be able to
carry on an informed, intelligent discussion about the field with an
expert, using references and citing authors and concepts important or
critical to the field.
Another benefit from the review at this stage is knowledge of the
methodologies common to the field and a feeling for their usefulness
and appropriateness in various settings. The reviewer can get ideas of
which methodologies are most often used, methodologies appropriate
for the proposed research, and when and how these ideas have been
successfully used in the field. A careful look at the prevalent method-
ologies may also convince a student either to alter the topic of inquiry
because skills are lacking to do that kind of research or to keep the
topic and acquire the needed skills.
A third potential benefit is reinforcement for an earlier hope that
the proposed research is really needed. Even if similar research has
been published, the literature review often turns up statements such as
“It would be interesting to know if Clark’s work could be replicated
in other places or with different groups.” Or, “It would be very useful
to know if Clark’s pioneering work is still relevant today.” These are
clues that an important study needs to be replicated, essential informa-
tion to know before the proposal is drafted (Lindvall, 1959).
One vexing problem researchers have faced for years is how best
to maintain objectivity when reviewing prior research to assess
whether further research on the topic is needed. This is especially
difficult when there are many published studies reporting conflicting
120 Chapter 4
results. Some researchers have attempted to build tables or charts of
the various study results to aid in “eyeballing” the prior reports and
to estimate which might be considered more credible.
An impressive breakthrough in weighing the evidence from ear-
lier research (Asher, 1990; Bangert-Drowns and Rudner, 1992; Glass,
1977; Hodges, 1986; Hunter and Schmidt, 1990) is now available.
Called meta-analysis, the procedure allows one to add substantial ob-
jectivity to research reviews. Meta-analysis applies well to reviewing
empirical studies with treatment means and control group means com-
pared. Such studies constitute a population with results that are quanti-
fied by the literature searcher and put together into a database. The
researcher then analyzes the database statistically, much like any other
set of quantitative findings. We recommend its use not only to mini-
mize reviewer bias, but also to help determine the nature of the
hypotheses or questions and the directions they might take. Moreover,
meta-analysis can be classed as a research methodology in its own
right, and it is a widely useful one.
There are Web sites that permit free downloads. The University
of Kentucky Computing Center (n.d.) citation is an excellent source.
The work of Kenny (1999) is another good source, designed to assist
the user in computation of statistics during meta-analysis. Another
strategy is to enter meta-analysis in your search engine to see how
much will be useful information. Finally, always consult your refer-
ence librarian for advice and for the names of download sites that are
free to the university community.
Fourth, a literature review at this stage often helps to narrow a
problem. Some get so overwhelmed with the flood of literature that
severe frustration sets in. Where and how does one narrow a topic to
make it feasible, yet not cut out the important details that impinge on
it and make it more understandable and researchable? This is a com-
mon problem, shared by almost all beginning researchers. We recom-
mend parsimony based on criteria agreed to with the advisor.
Try narrowing the scope of the review by employing a three-
step sequence. Initially, read widely in the proposed field of interest.
Then, think and analyze, attempting always to narrow down and weed
out. After that, arrange to spend some review time with an experi-
enced researcher in the proposed field of study and carefully talk
121Preparation of the Proposal
through the problems encountered. If your advisor fits all the require-
ments of a good listener in this case, you are fortunate; use the ad-
visor.
If you still have trouble getting the ideas to add up to a literature
review for your proposal, go back to the first step. Each time the
sequence is repeated, it will go more quickly. Vary the use of persons
as sounding boards. At some point, a light will flash in the mind, and
a good review for the proposal will come into focus.
A fifth value we urge students to wring out of the review is the
generation of hypotheses or questions for further studies. The more
one knows about a subject, the more questions come to mind. To a
researcher, there is always a reason why something (person, group,
organization, body, material) operates (behaves, works, acts) the way
it does, but that reason (or complex of reasons) is simply not known.
It may not have been researched enough, the data may be inadequate,
or the theoretical constructs may not yet be available to guide and
direct further research. From the literature analysis will come a multi-
tude of ideas for further research based on the work that has already
been done.
Keep a list of the questions and hypotheses that come to your
mind or that are mentioned in what you read. (In the latter case, be
sure that you also record where you found them so that you can prop-
erly cite their sources later, if you wish.) In particular, that list will
prove useful when you are writing the section of the final chapter of
your T/D in which you discuss the implications of your own findings
and the additional research directions your work supports or suggests.
Sixth, the topic being researched now could start a long-term
interest, particularly if it is frequently updated and maintained with a
consistent citation system in a computer file. Obviously, that makes it
easily available for further articles and follow-up investigations.
In searching the literature, it is good also to develop a list of
subject headings that relate to themes of interest. We recommend
working back from the new to the old and from the general to the
specific. Thus, a researcher might start with current reference sources
and recent texts and research reviews concerning, for example, nu-
clear energy applications, dental hygiene in old age, public policy on
the rights of victims of crime, adoption practices, or the education of
122 Chapter 4
gifted handicapped children. Then, working back through the earlier
research will provide a depth context and understanding of current
problems. Starting with the general topic will provide leads to specific
areas of interest and help develop an understanding for the interrela-
tionships of research. For example, the relationship between education
of gifted children, handicapped children, mental tests, public policy,
equal educational opportunity, inclusion, separation, and mainstream-
ing would be cases of interrelationships currently topical in psychol-
ogy and in the public affairs, legal, social work, and education profes-
sions.
Currency of Literature Review Data
For those in the stage of reviewing literature, recent journal issues
often provide leads to content that should be in the review. The pa-
rameters of academic or professional areas, the current thinking in the
field, the investigators who are writing in the field, the ideas being
discussed, and the references that are most cited and respected in the
field are all displayed in recent issues of important journals. At an
early stage of preparing the review, hours spent with journals identi-
fied as central to the topic may be very cost-effective.
One word of advice about journals: There is wide variation in
quality. Some journals are very careful about what they publish; oth-
ers are not. Some are refereed by top experts; others are hungry for
any manuscript that turns up in the mail. Some are read by outstanding
scholars; others would have difficulty finding their way into a schol-
ar’s wastebasket. How does one tell the difference? Ask professors,
colleagues who know the field, and librarians who specialize in the
field and look through journals. Read a copy of the journal; look at its
format, its publisher, its board of editors; examine the qualifications of
writers; and review the procedures for determining what gets pub-
lished in the journal. You can also visit the Web of Knowledge home
page (http://www.isinet.com), which will provide access to the major
citation indexes (e.g., Social Sciences Citation Index, Science Citation
Index, and Humanities Citation Index).
A similar comment could be made about the library’s book col-
lection and the library’s databases that give access to the collections
of other libraries. As a researcher putting together a review of the
123Preparation of the Proposal
literature, you do not have to agree with the major contributors to the
field, but you do have to know their work and cite it. Often, this work
exists in books. The seminal work in almost any field is likely to be
in the university library book collection, and that is an appropriate
place to spend a good deal of time doing a review of the literature or
research. There is no substitute for the hours one must spend browsing
the bookshelves and computerized databases of the library and re-
viewing the major works in the selected field of inquiry.
In short, this part of the proposal should present information
about the evolution and present state of theory and speculation and
research on the topic proposed for investigation. The review should
conclude by showing how the proposed study will add to the subject’s
knowledge base. The review should make unmistakably clear to the
reader that there are some missing pieces to the body of research and
what those pieces are and that the proposed study is directly aimed at
filling in one or more of those missing pieces.
RESEARCH DESIGN
As we use the term, research design is a total plan for carrying out an
investigation. Research methodology, research type, or general
method are considered synonyms for research design. A completed
research design shows the step-by-step sequence of actions in carrying
out an investigation essential to obtaining objective, reliable, and valid
information. The completed design also indicates how the resultant
objective information is to be used to determine conclusions about the
accuracy of a hypothesis, a theory, or the correct answer to a question
(Dillman, 2000; Eisner and Peskkin, 1990; Leedy and Ormrod, 2001;
Miller and Salkind, 2002).
Advanced study in the United States is tremendous in scope and
complexity. Also, it is growing and changing. Probably no other sec-
tor of higher education generates so many exciting and difficult ques-
tions. The varied nature of the questions calls, in turn, for the applica-
tion of many different forms of research.
To assist students from a variety of academic and professional
disciplines envision the overall concept of research design, we include
Fig. 4-3 as a general model. The model, it is hoped, will supply an
124 Chapter 4
Figure 4-3 General model for research designs.
125Preparation of the Proposal
additional conceptual structure for students to supplement the outlines
in Appendix B. The general model does not parallel exactly the chap-
ter or the topic development of this book, but all the items in the
boxes in the figure are treated. If referred to in discussions with an
advisor and other committee members or consultants, the model can
be useful in maintaining the focus of a conference on specific problem
areas and in working out solutions to them.
RESEARCH METHODOLOGY
The research methodology part of the proposal should identify for the
reader the one or more research methods the student plans to use (i.e.,
opinion polling, case study, experimental, or other). The student’s ob-
jective should be to give the reader a capsule statement about the
contemplated research methodology, while indicating that details are
to be found in succeeding portions of the proposal.
After the research questions and/or hypotheses have been de-
cided, the single most important choice to be made by the investigator
is the research methodology to employ. Once selected, the research
methodology tends to govern, or at least limit, the range of choices as
to how the data will be collected, how it will be analyzed, how results
will be reported, and even the nature of the conclusions that may rea-
sonably be drawn from the results.
We found no generally accepted classification of types of re-
search. For example, two texts (Gay, 1996; Slavin, 1992) each list
five research types, but they agreed on only three of them. Moreover,
one text considers qualitative or ethnographic research a distinct and
major classification, while the other subsumes qualitative investiga-
tions under another general category of research. Yet, they both agree
that qualitative research developed primarily in anthropology and was
borrowed as a methodology by other fields. They also agree in defin-
ing qualitative research as describing a situation as it exists, without
involving formal hypotheses, but focusing on explaining social pro-
cesses in great detail.
Because there does not seem to be anything comparable to a
taxonomy in the classification of research types, we chose instead to
simply list and briefly illustrate a variety of frequently utilized ap-
proaches to research.
126 Chapter 4
Types of Methodology
For more specific aid to the student, we interrupt our orderly develop-
ment of the outline in Fig. 4-2 to insert the section below. Types (or
methods) are named and illustrated. A review of the types may prove
useful in helping the student decide what will be written under the
Research Methodology heading in the T/D proposal.
Accepted research methodology legitimately embraces a wide
variety of forms:
In fact, there are many actions that can assist in discovering
knowledge, and humanity learned much about human nature
long before there was [formal recognition of] science and scien-
tific method. Any actions that lead to accurate statements about
nature must be considered as having some methodological legiti-
macy; the characterizations of contrasting methods are simply
arguments that some scientific actions are more effective than
others at producing statements of good generality. (Johnston and
Pennypacker, 1980, pp. 412–413)
The methods chosen for a study certainly have profound effects
on the outcomes. The same holds for how subjects are selected and
for how data are collected and analyzed. Most important, though, is
the match between methods and the theoretical or hypothetical propo-
sitions under scrutiny in the investigation. It is the statement of the
problem that properly serves as a launchpad for all the subsequent
steps. The correct research methodology should fit smoothly into its
place in the research plan sequence to move from what one seeks by
doing research to how one goes about seeking it.
These inquiries should govern selection of a research methodol-
ogy: “What is (a) the most practical, (b) the most efficient, (c) the
most promising, and (d) the most readily available way to solve the
research problem or answer the research question?” Rarely will one
method provide a “Yes” answer on all four points. More often, a com-
promise proves necessary.
Inevitably, the methodology choice influences the outcomes of
the research. What matters most is that the student knows and ac-
knowledges the influence and does not ignore or try to hide it.
In preparing the several editions of this work, the authors found
127Preparation of the Proposal
no standardization in research methodology terminology across aca-
demic and professional fields. To reconfirm this, we examined five
research methodology texts published from 1993 to 1997. Altogether,
they listed 15 types of research. All five books agreed on only 2 of
the 15 classifications. Every book included at least 1 classification of
research not found in any of the other four books.
The terminology we decided to use includes all the types of re-
search we could identify and illustrate. Even so, the name of the re-
search type you choose should be reviewed with the advisor before
being included in a proposal. The same methodology may be known
by a different name in another field.
1. Type: Analytical: Classes of data are collected, and studies are
conducted to discern and explicate principles that might guide
action. Special subtypes under this heading include micro-,
macro-, and policy analysis.
Examples: State court interpretations of permissive legislation
on nonschool use of school property
Criteria for accepting applicants in housing cooperatives
Management of extremes of human behavior in hospital emer-
gency rooms
Employment of handicapped high school graduates in an eco-
nomically depressed region
2. Type: Case study: The background, development, current condi-
tions, and environmental interactions of one or more individuals,
groups, communities, businesses, or institutions are observed,
recorded, and analyzed for stages or patterns in relation to inter-
nal and external influences.
Examples: A case study of open admissions in an American ju-
nior college
The development of cognitive functions in three autistic chil-
dren: case records analyses
Establishment and growth of the National Association of Retired
Persons
The National Association of Manufacturers’ labor policy; a case
study of development
3. Type: Comparative: Two or more existing situations are studied
to determine and explicate their likenesses and differences.
128 Chapter 4
Examples: Concepts taught in secondary school chemistry in
Canada, Great Britain, New Zealand, and the United States
Self-control of children and adults during cardiac diagnostic pro-
cedures
Bid specification procedures for public playground and recre-
ation supply and equipment purchases in New York, Pennsyl-
vania, Illinois, and California
4. Type: Correlational-predictive: Statistically significant correla-
tion coefficients between and among relevant phenomena are
sought and interpreted; this type includes the determination of
the extent to which variations in one or more factors correspond
with variations in one or more other factors and the use of such
findings in making predictions.
Examples: Interaction of gasoline prices and automobile travel
for business and vacation purposes
Relationships between nature of crime and amount of recidivism
Relationships among size of family, age, and use of home health
agencies
Relationships between teacher backgrounds and their attitudes
toward international cooperation
5. Type: Design and demonstration: New operationally related
business systems, personnel training curricula, professional edu-
cation programs, instructional materials, disease control plans,
and the like are const ruc ted and described; this type is of ten cal led
action research and includes, at least, formative evaluatio n.
Examples: A literacy program for the Sudan
Feasibility of a lighter-than-air freight transport system for Af-
rica
A curriculum in motor development for the period birth to 3
years of age
A cytotoxicity test for insoluble dusts
Design and establishment of a comprehensive health information
system for western Australia
6. Type: Evaluation: A program or a project is expected to be car-
ried out in a certain way and expected to produce a certain re-
sult; research is intended to determine whether the anticipated
procedure and the outcome are realized. Evaluation research that
129Preparation of the Proposal
focuses on the procedure is called formative, and that which at-
tends particularly to the outcome is called summative.
Examples: Effectiveness of mental health programs that serve
hearing-impaired children
Evaluation of a regional family planning program
Impact of county drug and alcohol programs
Evaluation of a rural marketing plan for fire insurance
Effectiveness of rehabilitation counseling: an evaluation
7. Type: Developmental: The changes over time in one or more
observable factors, patterns, or sequences of growth or decline
may be traced or charted and reported.
Examples: Growth of child care centers in American business
and industry
Emergence and spread of credit card utilization
The written language development of children
The computer and the knowledge explosion: a developmental
study
8. Type: Experimental: One or more variables may be deliberately
manipulated and the results analyzed and rationalized—“true”
experiments requiring tight controls and subject randomization.
Examples: Reduction of separation anxiety through use of men-
tal imagery
Use of programmed instruction to correct errors in the written
language of deaf adolescents
The effects of listening training on salesperson effectiveness
Effects of a parental intervention strategy on reading skill devel-
opment
Effects of different options for continued employment on retire-
ment decisions
9. Type: Exploratory: Investigations into new or relatively un-
known territory for the purpose of searching out or closely scru-
tinizing objects or phenomena to lead to a better understanding
of them.
Examples: Telescopic and satellite observations of the composi-
tion of the surface of the moons of Jupiter
The parasitic life in the feces of wild horse herds of the Rocky
Mountain region
130 Chapter 4
The behavior of molten metals under conditions of virtually zero
gravity
The characteristics of “private” languages used by twins and
triplets in communication between and among themselves
The study of extraterrestrial objects for evidences of life forms
10. Type: Historical: Individuals or activities are studied to recon-
struct the past accurately and without bias to ascertain, docu-
ment, and interpret their influences or to check the tenability of
an hypothesis.
Examples: The relevance of the thought of Albert Camus for
education
Sources of individual differences in solutions to management
problems
Historical landmarks in the management of environmental noise
The search for the perpetual motion machine: its contribution to
engineering
Origins and status of the Montessori movement in the United
States
11. Type: Meta-analysis: A procedure for combining results of re-
search across areas in which measurement systems are not pre-
cise by adding together sources of variance to get a population
value of the standard deviation as the basis for establishing ef-
fect sizes. Used both in assembling meaningful literature re-
views and in testing hypotheses.
Examples: How “real” is the gender gap in aptitude test results?
What is the evidence that air pollution is associated with human
illnesses?
Are large automobiles safer?
The effectiveness of hypnosis in curing addiction
12. Type: Methodological: These studies examine new approaches
(methods) with potential advantages over present approaches
(methods). The study content includes, but is not limited to,
building , measuring, observing, o rga niz ing, displaying, and com-
municating. Such studies frequently make use of both develop-
mental and evaluative procedures.
Examples: The relative advantages and disadvantages of digital
and analog television
131Preparation of the Proposal
Longitudinal versus cross-sectional age cohort approaches in
studying personality development
Advantages and disadvantages of meta-analysis in gauging the
import of past research
Prestructured or self-designed majors in collegiate education:
pros and cons
13. Type: Opinion polling: The behavior, beliefs, or intentions of spec-
ified groups of persons are determined, reported, and interpreted.
Examples: Food preferences of hospitalized individuals by age
and geographical region in Canada
Opinions of students and alumni regarding the graduate program
in counseling psychology
Political and social beliefs of experienced engineers
Citizen views on a volunteer system of armed forces
Attitudes of Sunday school teachers toward religious and secular
educational objectives
14. Type: Status: A representative or selected sample of one or more
phenomena may be isolated and examined to ascertain the char-
acteristics of the object(s) of study.
Examples: Freemasonry in New Zealand: contemporary status
The mail order catalog business in America
The training, background, duties, activities, and job perceptions
of public health officers
Employment among minorities in large U.S. cities
The yearbook in public high schools
15. Type: Theoretical: Inclusive and parsimonious explanatory prin-
ciples for phenomena or data are developed, proposed, and de-
scribed.
Examples: A conceptual analysis of creativity
A theory of compensatory education
An explanatory model for mass appraisal: extension of Rosen’s
theory of implicit markets to urban housing
A psychological theory to explain faith healing
A theory of intellectual evolution
16. Type: Trend analysis: Phenomena that are or have been in the
process of change are examined to identify and report the direc-
tions of trends and to make interpretations and forecasts.
132 Chapter 4
Examples: Trends in the teaching of parenting in American sec-
ondary schools
The use of public transportation in Mexico: a trend analysis
Dow-Jones average changes during selected periods of federal
monetary policy
Trends in availability and cost of dental health insurance
Trends in public tax support for private colleges and universities
17. Type: Twenty-twenty (20/20) analytic: Extremes of populations
are studied by comparative techniques and measures to deter-
mine whether and to what extent actions intended to impact
evenly or proportionately across a population actually do so
(Reynolds et al., 1996). The analysis focuses on accountability
for success or failure to reach explicit or implicit goals.
Examples: Police calls, responses, and follow-up in high- and
low-income neighborhoods
Health status of Canadian citizens at extreme income levels
School effectiveness in serving exceptional children at mobility
extremes
Achievement in school districts with high and low per-pupil ex-
penditure levels
18. Type: Qualitative: This is a general form or style of research
rather than a specific methodology. In fact, qualitative research
encompasses several methodologies and quantitative approaches
that might well be used with many of the examples of studies
listed above (see p. 17 for a fuller discussion of the nature of
qualitative research).
19. Type: Quasi-experimental: Experimental rigor so far as manip-
ulation, control, or randomization is not feasible, but the com-
parison of treatment versus nontreatment conditions is ap-
proximated, and the compromises and limitations are stated,
understood, and taken into account in all conclusions and inter-
pretations.
Examples: All of the examples under Item 8 (Experimental)
would be applicable here if they were carried out under condi-
tions in which only partial control was possible of variables,
treatments, populations, or other important conditions—the
133Preparation of the Proposal
case in many real-life situations for which field and opera-
tional studies are the only feasible kinds of professional and
ethical codes are to be properly upheld.
These forms of research do not exhaust all that could be listed.
Also, as noted, our category names may differ from those that others
would use. Evaluation (Item 6, above), for example, may have many
subgroups. Some are called outcome based, objective based, and con-
sumer oriented, to name a few (Schalock, 2001). The most significant
point is to recognize and employ the method most appropriate for the
problem whatever the approach may be called.
Two other points should be noted. First, so far as can be deter-
mined, each of the several listed research approaches has resulted in
significant new contributions to knowledge. No one deserves higher
regard than another. Second, all students should learn about all of the
research approaches. Naturally, a student will tend to become much
more familiar with the approaches used in that student’s T/D. How-
ever, all students should become familiar enough with the listed ap-
proaches to know how to use them and to know when an approach is
not appropriate.
The proposal should clearly name and briefly describe the re-
search method. Citations from authorities may clarify and support the
choice of methodology, although the methodology selected is a re-
sponsibility of the researcher. The criterion measure of appropriate-
ness is whether the methodology will yield useful evidence with re-
gard to the statement of the problem. Thus, the choice is always
directly related to the problem statement. Ask yourself, Will the
method yield the data needed to make an intelligent and useful re-
sponse to the problem statement? Raise that question with yourself,
your advisor, and others who critique the proposal.
Specific Procedures
In the Specific Procedures section, tell the reader, step by step, what
will be done in the conduct of the study. This may include correspon-
dence, the design of questionnaires, pilot studies to be mounted before
the complete study, the application of some treatment, the conduct of
134 Chapter 4
interviews, the distribution of inquiry forms or other instruments de-
signed to gather appropriate data, obtaining permissions, the use of
consultation, or other actions. Leave out matters to be dealt with under
other headings.
Start with a chronologically ordered list of the procedures to be
used. Elaborate each item in only enough detail to let the committee
know what will be done. In a proposal, “enough detail” may vary
from a paragraph on one item to a full page on another. If you go
beyond a page, ask yourself if the writing is as parsimonious and
succinct as it should be. Surplus words obfuscate the problem, annoy
the committee, and raise the question of how sure you are about what
you intend to do.
Research Population or Sample
In the Research Population or Sample section, a few essential points
must be covered. What is the population to be studied? Is it a type of
flora? Is it a group of research reports on which you will conduct a
meta-analysis? Is it a form of virus? Is it a group of people? What are
its characteristics? Will the universe (everyone or everything in the
population group) be studied, or will there be a sample? If a sample,
how will it be selected from the whole? What is the justification for
selecting the sample? Is it possible to determine the representativeness
of the sample? If not, does that fact constitute a prohibition or just a
limitation? How does one gain access to the sample population, and
how difficult a problem is that expected to be?
One reminder here—the research population and the sample, if
any, should tie in very clearly with the statement of the problem. If
the problem indicates a dependence on perceptions of urban residents
or workers, for example, one might expect such individuals to be in
any research population designated. Similarly, if one wants to be able
to generalize to nursery-grown trees in the United States, the sample
must be constructed with that goal in mind.
Instrumentation
In the Instrumentation section, detail the relevant data about instru-
mentation (tests, apparatus, interview protocols, questionnaires, and
135Preparation of the Proposal
the like) proposed for the study. The purpose of any instrument should
be to help produce or gather data to answer questions raised in the
problem statement.
Review the potentialities in contemporary technology for ways
to enhance the speed, the accuracy, and the reliability of instrumenta-
tion. For example, there are computer programs for administering
questionnaires, for displaying stimulus material of a variety of kinds,
for administering tests, and for a number of other uses requiring an
interface with a subject. Such material comes onto the market in a
steady stream as researchers recognize its value in minimizing human
error factors.
Choosing the right package, for a particular set of data, among
all the alternatives is a difficult task. Some Web pages that perform
statistical calculations have links that will help in this task. For exam-
ple, several university library Web sites will lead to bibliographies,
journal searches, links to statistical packages, and on-line help (Uni-
versity of Kentucky Computing Center, n.d.; University of Miami Li-
braries, 2001; University of Minnesota Libraries, 2002). Several con-
tain an integrated collection of statistical tests combined with a system
that helps you to select, and then perform, the most appropriate analy-
sis. Trochim (2002) at Cornell provides an interactive set of Web
pages to help in the selection of appropriate analysis for data. It asks
a simple series of questions about the data, then makes recommenda-
tions about the best tests to use. The work of Kenny (1999) is another
good source, designed to assist the user in computation of statistics
during meta-analysis. Another strategy is to enter meta-analysis in
your search engine to see how much will be useful information. Fi-
nally, always consult your reference librarian for advice and for the
names of download sites that are free to the university community.
Technological instrumentation employed must be cited, giving
its name and where to locate it. As with any other reference or cita-
tion, the purpose is to allow a reader to access the material directly to
verify that it was represented accurately by the author.
Careful advisors tend to want to see any instrument before it is
applied to a research population. At least the specifications for any
instrument should accompany the proposal, and it is much better if
the entire instrument does.
136 Chapter 4
Pilot Study
If you plan a pilot study, the proposal should describe when, where,
and how it will be carried out. A pilot study, by definition, takes place
before the actual study to determine feasibility of the study and to
work out bugs. It is important, then, that the pilot have a provision
for soliciting and gathering formative evaluation from the pilot study
population. This pilot population, in other words, ought to have built
into it a systematically designed opportunity for the student to learn
the points of view of respondents, including any problems or sugges-
tions the respondents may have.
Tell the reader if and how the pilot population differs from the
proposed study population and how that difference may affect the
study. Be completely honest. A difference may not threaten the valid-
ity of the study if recognized and accounted for beforehand.
After the pilot study, the researcher decides whether the pro-
posed procedures need to be revised. The proposal must tell the reader
what the researcher intends to do after the pilot study is completed
and how it is to be done.
Data Collection
In the Data Collection section, one describes the nature of the data
and how the data will be collected, including, for example, the mailing
of questionnaires, the gathering of specimens, the scheduling of inter-
views, the search for documents in libraries in specified locations, or
the recording of differences between two groups of subjects. A state-
ment of provisions for follow-up is expected. Whichever type of re-
search is proposed, the committee will want evidence that the re-
searcher has thought about the possibility that data may not come
easily and has made plans for the eventuality. Also, if animal or hu-
man subjects are involved, the protection of their rights must be indi-
cated (see Index).
The process of collecting data must be appropriate to the re-
search problem and the specific nature of the data. For example, inter-
views are very inefficient ways to collect large-scale survey informa-
tion, although they may be used to supplement or to ascertain validity
and reliability of such data. Other examples of inappropriate data col-
137Preparation of the Proposal
lection procedures—which may spoil otherwise excellent research
studies—are those that unacceptably invade the privacy of respon-
dents or put subjects at risk.
Advances in computer technology now make feasible the first-
hand collection and analysis of many kinds of data involving events
and behavior. A laptop computer may be used to collect and store data
and then to generate a variety of tables and reports , inclu din g answe ring
many differe nt questions about probability relationshi ps between and
among events. (More about computer utilizatio n is discussed below.)
Treatment of the Data
After the proposed data are collected, what will be done? Will tables
and charts be constructed, and if so, what will they display? If the
data demand analysis, describe that analysis. Will the analysis be done
in concert with some theoretical construct? If so, provide a descrip-
tion. The committee expects to find such content in the Treatment of
the Data section.
Usually, the theory, the hypotheses, or the research questions
guide the researcher in sifting through a mass of data. They focus the
search and provide implicit criteria for the evidence search. A simple
analogy might be made to archaeologists at a dig. There is a mountain
of stuff to sift through, and perhaps all of it is interesting, but without
theory, questions, or hypotheses guiding the search, it is possible that
some important artifacts will be glossed over, and some critical rela-
tionships missed.
Here, too, computer software can make substantial contributions
to the research process. Many colleges and universities maintain cen-
ters that furnish consultation to students and faculty on the selection
and use of the most appropriate statistical procedures for answering
questions or testing hypotheses from a given set of data. Such centers
are much like the libraries in the way they operate, being there for use
as needed. In some instances, they will store data for the researcher
and run analyses as requested.
Doing such work on one’s own is made easier, too, by statistical
software packages on the market. SPSS and SA are popular sources
for a large variety of statistical and graphic analysis packages. In addi-
tion, there are others. Statistical and Statistical Graphic Resources
138 Chapter 4
(retrieved May 20, 2002, from http://www.math.yorku.ca/SCS/Stat
Resources.html) provides resources for statistics, statistical graphics,
computations related to research, data analysis, and teaching. It con-
tains over 580 links.
The T/D student must remember, though, that use of a statistical
procedure carries with it the responsibility of understanding and being
able to explain the reasons that the procedure is appropriate. An
American Psychological Association Task Force on Statistical Infer-
ence (1997, p. 10) recently reemphasized the need for understanding:
“Computer programs have placed a much greater demand on research-
ers to understand and control their analysis and design choices.” This
is part of the prevailing ethics of research in academic and profes-
sional circles. If you are the author, you accept responsibility for ev-
erything in the manuscript.
Appendices
An appendix may be needed to present drafts of letters to be sent,
briefs of related research, as well as drafts of questionnaires and/or
interview schedules, tests, or rating forms. This is also an appropriate
place to put an appendix that shows a time line or flowchart of how
the research will proceed. This could be adapted from Figs. 1-1 and
3-1. In general, an appendix contains documentation or evidence of
important points made in the body of the proposal and referred to in
the proposal. An appendix is the place for important tables, displays,
or other items too long and detailed to be in the proposal’s main body.
For the proposal itself and its appendices, we recommend parsimony.
If in doubt, leave it out. After all, items can always be added if that
is the wish of the committee or the advisor.
Bibliography
A thorough, focused, succinct bibliography is mandatory. List only
the materials cited in the proposal. This is not the place to list every-
thing you can find on the subject in the library. Remember that the
bibliography helps to indicate the authority of the work by the quality
of sources cited, not the quantity.
139Preparation of the Proposal
A major purpose of the bibliography is to enable the reader to
use the works cited. Therefore, each entry must be complete so the
work cited can be found. If you must use documents that others cannot
obtain, tell the reader in a footnote what the documents are and why
they are important to your study. It will not help the reader if you
simply cite such works in the bibliography.
Scholarship requires precision in citing, too. Lalumie
`
re (1993)
distinguishes two kinds of citations. One refers the reader simply to a
source of information, and the other kind gives support to a claim. He
breaks the latter kind into four types (p. 913) that refer
(a) to an opinion of an author, (b) to conclusions derived from a
narrative review of empirical studies, (c) to the method and re-
sults of an empirical study, and (d) to the method and results of
a quantitative review of empirical studies (meta-analysis).
We join Lalumie
`
re (1993) in encouraging writers to be specific
about the basis for a citation so as to avoid misleading the reader as
to the weight attached to a cited report.
When specifying a reference, always seek to cite the actual
source. If an article you are reading contains a pertinent quotation
from another source, there is a temptation sometimes to use the quota-
tion in your own manuscript as though you had found it yourself in
the original source. First, that would be dishonest. It would not give
due credit to the author of the article in which you really found it, and
it would give the impression, falsely, that you had read the original
source and discovered the pertinent quotation yourself. Second, to ap-
propriate material in that way exposes one to dangers of two kinds.
Some studies have shown (Adler, 1991) that citations are likely, often,
to have been referenced incorrectly in even otherwise well-edited
books and journals. Further, if you pretend to have quoted from an
original source, you risk embarrassment if one of your committee
members knows the original source well and begins to quiz you about
what else it contains. Moreover, even if you have been motivated to
locate and study the original source of the pertinent quote, it is a pro-
fessional and academic point of courtesy to acknowledge the author
who led you to do so.
140 Chapter 4
MAKE SOFTWARE YOUR SERVANT
Almost every aspect of T/D work can be enhanced in appearance,
done more efficiently, completed more quickly, or made more accu-
rate using readily available software. This applies from the moment
one begins to think about possible topics until the T/D is completed
and being readied for journal or book publication.
Where c an you find t he software you need? First, ask the re-
search librarian. Also, search the Web. For example, t he Association
for Sur vey Computing home page (http://ww w.asc.org. uk/) leads to
more than 170 softw are packages with attributes and su ppliers, with
a built-in search facility. Information includes statistical de sign, de-
sign analysis, sam ple size in survey research, multilevel statistical
models, and survey sampling ro utines. Also, follow other sites listed
in the references (Clarke and Oxman, 2000; Florida Community Col-
lege, 2001; King, 2 000; Stempner, 2001; Tr ochim, 2002; University
of Miami Libraries, 2001). To search for appropriate software, one
can also use search engines such as Yahoo, A ltaVista, o r Google.
Type bu yer’s guide and choose computer Int ernet software to find
sources of information. There are also meta-analysis programs
(Kenny, 1999; King, 2000) that may allow a free download. These
sites often assist the user in the statistical computa tion and provide
an arra y of computational options. Some have links to other sites for
data an alysis.
Consider keeping records for a fine illust rati on of how truly help-
ful software can be. Make a habit of entering, daily , one’s thoughts,
musings, ideas, questions, and discoveries in a computer’s memory,
in the form of one or more files. Such files then become your stock-
piles of raw material to which you will probably return again and
again as you find new uses for what was originally stored there. More-
over, you will find yourself elaborating on the items already in storage
and adding new items.
A key point about filing notes is the value—even the neces-
sity—of keeping track of the sources of your notes, especially those
that came from reading books or journals, listening to lectures, or
participating in discussions. This need emphasizes the importance of
being able, later, to cite precisely the source of the information. The
141Preparation of the Proposal
need for complete and accurate knowledge about where one got an
idea or a quotation points to the urgency of starting immediately to
construct and maintain a bibliography.
A number of students have found it valuable to put the headings
in this chapter into outline form right in their own computers so they
can then insert relevant material as they learn about it or conceptualize
it. Appropriate software not only will allow this, but also will make it
possible to rearrange and edit to help clarify your vision of what you
want to do and could lead you to make your writing more grammati-
cally correct and compelling.
SUMMARY
This chapter helps the reader prepare the proposal by discussing the
most relevant criteria for the process. A suggested format for the over-
view is presented, with recommendations about how to deal with each
section of the proposal. An outline in the form of a Table of Contents
is presented as illustrative material. Sections explaining, for example,
the problem statement, the review of the literature, and the research
design are major parts of the chapter. A list of different kinds of re-
search methodology, with a brief explanation and some examples of
each, is included, as are suggestions about maximizing the help avail-
able from contemporary technology.
5
The Thesis or Dissertation Committee
QUICK REFERENCE TO ANSWERS TO SPECIFIC QUESTIONS
1. What do committee members look for when they
work with a student? 143–151
2. How are committee members chosen? 151–156
3. What help should students expect from committee
members? 156–165
Normally, reputable institutions of higher education require that grad-
uate and honors student research be guided and monitored by a com-
mittee. The committee typically consists of the chairperson (usually
the student’s advisor) and an additional number of faculty. Com-
monly, the thesis committee has three members and the dissertation
committee between three and five, depending on the institution regu-
lations. Sometimes, there is a requirement that one committee member
be from another department or even from another institution.
The committee serves through the proposal stage until the satis-
factory completion of the project. Occasional exceptions require two
quite separate committees, with separate functions appropriate to the
differences between an overview and a final defense.
FUNCTIONS OF THE COMMITTEE
The committee provides both guidance and evaluation. It is the most
important guardian of the quality of honors and graduate study since
143
144 Chapter 5
completion of the T/D culminates in an advanced or honors degree.
The process challenges the student to operate effectively at a high
level of independence in investigating concepts of considerable so-
phistication. The committee must ascertain that the student has in fact
reached the high level indicated by the awarding of advanced or hon-
ors degree. Evidence of this expectation is that the final oral examina-
tion may include questions not only on the investigation, but also in
the substantive area of academic study or the profession. Thus, the
committee functions to ensure the quality of the T/D as well as of the
student’s knowledge and understanding in the appropriate discipline.
The list that follows includes the main functions.
1. The committee provides advice and consultation to the candidate
throughout the process of the research.
2. It approves or in some other way acts on the proposal of the
candidate.
3. It makes qualitative judgments about the candidate’s written
work, including substance, format, style, grammar, design, meth-
odology, procedures, and conclusions.
4. It sets the direction of the study by approving the proposal and
assists the chairperson in providing direction for the study.
5. It approves the style manual to be used by the candidate, with
particular attention to any proposed deviation from a standard
style manual.
6. It approves, when constituted as a final defense committee, the
final draft.
7. It ensures that the rights of human subjects are protected.
Figure 5-1 displays an evaluation form used by a number of ex-
perienced advisors. We recommend it for students and faculty mem-
bers because it shows what committees look for in proposals and final
documents.
STUDENT/COMMITTEE NEGOTIATIONS
Sternberg (1981) correctly points out that candidates face two sets
of negotiations: those with the committee as a whole and those with
individual members of the committee. He recommends that the candi-
145The Thesis or Dissertation Committee
Figure 5-1 Thesis/dissertation evaluation form. It may be used for either
the proposal or the final document. When used for the proposal, omit asteri-
sked (*) items.
146 Chapter 5
Figure 5-1 Continued
147The Thesis or Dissertation Committee
Figure 5-1 Continued
148 Chapter 5
date show each chapter, as it is written, to each committee member
for approval. We consider that to be a matter to be determined in
consultation with the advisor, but we agree fully when he also points
out that lines of communication can be sustained by notes or phone
calls. Many advisors we interviewed felt the same way and suggested
using E-mail.
In our judgment, the regular progress report, in memorandum
form, is the single most effective way to stay in touch in a construc-
tive way with each committee member. We suggest that memos be
sent on a regular schedule every two or three weeks and that a com-
puter file or file folder be used to save copies. Such reports are com-
mon practice in major research institutes, so it is good to learn to use
them. The memo should be written, reviewed with the advisor, and
with advisor approval, duplicated and sent to all committee members.
The key to good communication is to keep the memo short and fac-
tual. A useful format for the progress report memorandum is shown
in Fig. 5-2.
The Activities, Problems, and Other headings cover the sub-
stance of the progress report. They are linked in terms of time to the
calendar Period covered, that is, from some date to some later date.
Activities completed might, for instance, be a series of inter-
views started during the period of the prior report. Activities contin-
ued might be a literature search or certain data processing. Activities
initiated might be the start of a pilot study. The kind of material re-
ported obviously depends on the nature of the project and what actu-
ally occurred during the two or three weeks of time covered. If some-
thing is both started and finished during that period, report it under
Activities completed.
The Problems section should be used for unresolved problems
only. State the problem briefly and tell what you are doing to try to
solve it. Indicate if you are working with a particular committee mem-
ber or another consultant on the problem, or if you intend to do so.
The Other section covers situations like delays because of illness, un-
anticipated developments in the investigation that are significant but
are not problems, and similar matters. If there is something (i.e., a
reprint) you wish all committee members to have, mention it under
this heading and attach it.
149The Thesis or Dissertation Committee
Figure 5-2 Progress report memorandum.
Committee members who receive periodic, short, factual prog-
ress reports written in clear English with complete sentences know
that the student is taking the research work seriously. In that case, the
committee members are inclined to be more serious in their interac-
tions with the student. Also, the student who makes regular reports is
unlikely to face confrontations later with faculty who felt left out or
not consulted. The fact that your E-mail address and telephone num-
ber are on every report makes it easy for a committee member to
contact you if there is reason to do so.
In addition to the written progress report, which can be mailed,
faxed, or sent by E-mail, we recommend that telephone contact be
150 Chapter 5
made with each committee member at least every month or six weeks.
Even if there is no pressing reason, use an approach like checking to
see that the progress reports have been arriving and that they are clear.
Ask if there is any particular part of the investigation on which the
committee member wishes more information. In this and other ways,
keep communication channels open.
As to whether to provide members with chapters or other seg-
ments of the document as it is being written, we are less adamant
about that than Sternberg (1981). Some dissertations do almost require
that approach. A critique or a theory development about social policy
or monetary policy might profit very much from step-by-step commit-
tee input. A poll, a case study, or an experiment, though, might more
usefully be reviewed by committee members in a first draft of a full
report. We recommend discussing this matter fully with the advisor
and then, if appropriate, with individual committee members. Try to
accommodate the advice of the advisor and the individual style prefer-
ences of committee members. It is appropriate to ask the advisor to
clear the arrangement with the other members of the committee if it
appears you might be caught in a conflict of views in which you have
responsibility but no authority.
MAINTAINING COMMUNICATION
The best way to guard against unpleasant surprises in any aspect of
the T/D study is to keep in constant contact with the advisor. This
does not mean to be a pest, but it does mean to make an effort to keep
the advisor informed of the progress and problems. The regular prog-
ress report is basic to serve that purpose. However, there are needs
for added personal contact, too. Often, this can be done informally by
E-mail. The student should keep a log, including date, time, and sub-
jects discussed. It may also involve writing the advisor from time to
time summarizing the decisions and reports made in the written com-
munications and requesting further clarification, if needed. When vis-
its are necessary to the advisor’s office, schedule them in advance
with the advisor or the secretary. Advisors, like students, are busy
people with many roles. Determine whether your advisor is usually
available for a drop-in visit or whether appointments are preferred.
151The Thesis or Dissertation Committee
Normally, the committee does not expect to see the student re-
searcher as often as the advisor. Much of the nature and quantity of
the student-committee interaction is a result of the particular style of
the advisor. The advisor often serves as a communications medium
with respect to the committee expectations. Within that framework, it
is wise to let the committee know of progress through the progress
report and to offer to meet and share additional information with any
committee member.
SELECTING THE COMMITTEE MEMBERS
Preferred practice calls for committee members to be named with
care. Competence, interest, and current workload should be the chief
criteria. Deans, chairpersons, or graduate study directors who act arbi-
trarily in naming committee members and who do not involve students
in that determination deny them a potentially rich experience in deci-
sion making. Also, anyone who assigns faculty to committees without
prior consultation with them comes dangerously close to infringing on
academic freedom.
Elsewhere in this book, a number of suggestions were made to
help students exercise intelligently their share in the choice of a chair-
person. The same considerations can be reviewed while thinking about
other committee members. Some added ones are as follows:
Can you identify faculty members who, when put together as a com-
mittee, provide good resource coverage for all the proposed proj-
ect’s parts?
Do you have a particular weakness in one aspect of the projected
work? If so, have you located a committee member who has
recognized strength in that area?
Are you going to propose the use of a procedure or of a tool that is
very specialized or so new that many faculty members would be
unfamiliar with it? If so, have you found at least one prospective
committee member who is acknowledged by the rest of the fac-
ulty to be a responsible authority or specialist with that proce-
dure or tool?
Do you know enough about the possible committee members to feel
confident that there are no personal or professional animosities
152 Chapter 5
among those you are planning to propose? Are you reasonably
compatible with each?
Selection Criteria
Universities have formal criteria for the selection of committee mem-
bers, but the criteria tend to be concerned with bureaucratic rules
rather than with the more value-laden qualitative judgments signifi-
cant for students. For example, a common requirement is that the ma-
jority of the committee be members of the graduate faculty. Another
example is that usually at least one member of the committee must be
a member of a department or school other than that of the candidate.
For the student and the advisor, qualitative criteria ought to de-
termine the membership of a committee. They should look for faculty
known for integrity, scholarship, expertise in the candidate’s field of
study, high standards in writing, and both T/D guidance and personal
research experience. The bureaucratic criteria are important for they
generally guard the institution from abuses and improprieties, but the
more qualitative criteria are essential to a high standard of scholarship.
Procedure
Students should find and follow the published or unwritten local rules
that govern the selection process. Usually, the rules involve both the
advisor and the student. The school or department faculty ordinarily
reserves the right to approve the selection of the advisor and the com-
mittee members. This right may be latent, it may be clearly authorized
but unused, or it may be used in a pro forma way, but it is usually
there to be exercised. This approval process may extend to chairper-
sons and deans in addition to faculty recommendation or approval.
The advisor is responsible for whatever needs to be done to satisfy
this matter.
Student Role: The extraordinary importance of the committee
strongly suggests that students take special care about their part in the
selection. How does one use good judgment in this matter? Review
the criteria recommended previously for committee members. Are
they reasonable for the selection of your committee members? Try to
assess prospective committee members in some of the ways described
153The Thesis or Dissertation Committee
in previous chapters; consult your advisor, fellow students, graduates
of the department’s program; talk to a number of faculty members
about your proposed statement of problem to see if they are interested
in or knowledgeable about it. Ask for advice and suggestions from
those with whom you talk. Carefully weigh the reception, the consul-
tation, the expressions of interest, and the quality and direction of
advice you receive. Work carefully, but try to move quickly, too. The
early selection of appropriate committee members can save a great
deal of time, effort, and frustration later and will certainly enhance
the quality of the final product.
Advisor Role: The advisor has the most important faculty role in the
committee selection process. The research advisor is normally the per-
son who, with the student’s help and concurrence, makes the selection
of faculty members to serve on the committee—such persons meeting
both the formal rules of the university and the qualitative criteria ap-
plicable to the proposed research topic.
It is common, as noted, for the advisor to submit the proposed
committee to some superior person or body. Approval is usually ex-
pected. It is difficult to disapprove a proposed committee unless the com-
mittee does not meet the formally stated requirements of the university.
The most certain way to continue to ensure high quality in com-
mittee selection (and, indeed, committee action) is by ensuring that
the process is open to peer checks and review. Such review should
include the posting of defense times well in advance, distribution of
notices of receipt of proposals and final drafts far enough in advance
to permit faculty review, and announcing and scheduling final defense
meetings in such a way as to encourage the attendance and participa-
tion of any faculty or students having an interest. The advisor’s role in
committee selection includes taking leadership in ensuring that student
rights and welfare are respected and safeguarded, too.
Departmental Chairperson Role: The role of the departmental chair-
person is one of ensuring quality and equity. The interests of the stu-
dent, the faculty, and the institution have to be protected. This is ex-
pected of the chairperson by all who take part in the process.
The chairperson should have formal authority and the power of
appointing or approving the advisor or the committee. Also, chairpersons
work in less formal ways by suggesting, encouraging, and rewarding.
154 Chapter 5
The effectiveness and integrity the chairperson can maintain is
directly related to the strength and academic vigor of the administra-
tive leadership of the school or university. All faculty and students
need to be vigilant to ensure proper emphasis on the two essential
attributes—high quality and equity for everyone.
A Committee Selection Model
We found much variation in committee selection and assignment prac-
tices. Of all the practices, the ones with the features in the list that
follows seem to have most to recommend them.*
1. The dean or department chairperson’s office distributes annually
to all honors and graduate students a list of faculty members that
contains three items.
a. The titles of completed T/Ds the faculty member chaired in
the previous three academic years.
b. The titles of completed T/Ds on which the faculty member
served as committee member in the previous three academic
years.
c. A list of the one, two, or three special-interest and compe-
tency areas of each faculty member, as prepared by them-
selves, such as law, social psychology, anthropology, welfare
policy, transportation, rehabilitation, early childhood, finance,
microbiology, astrophysics, computer science, research meth-
odology, human stress, supervision, counseling, speech pa-
thology, program evaluation, instructional theory, or others.
2. Students are advised in writing by the dean that they are encour-
aged to discuss prospective T/D topics with any faculty members.
3. Faculty members refer students to one another with the primary
objective of helping the students learn for themselves what others
think of their ideas in the early formative stages.
4. Each advisor maintains gentle but steady pressure on advisees to
formulate proposals in writing and to discuss them.
5. There is a published departmental deadline by which time the
*We urge students to find this information on their own if it is not supplied by their school or
department.
155The Thesis or Dissertation Committee
student must have a proposal approved by a committee, or the
student will not be permitted to enroll for more courses.
6. The advisor offers assistance to the student in identifying a re-
search advisor and committee members.
7. Students are made aware from the outset that it is their responsi-
bility to take the nominations of chairperson and committee mem-
bers to the department chairperson.
8. Once nominations are received, the department chairperson is
obliged to first check two items.
a. Do the student’s nominees already have full loads with re-
spect to these tasks?
b. If not, are they willing to work with this student?
9. If conditions 8(a) and 8(b) above are acceptable, the department
chairperson notifies the student, the student’s advisor, and the
nominated committee members of the appointments.
This model for committee selection and assignment has the vir-
tues of openness and orderliness. Misunderstandings are minimized.
The interests and the workloads of faculty members are taken into
account; the student is supplied with useful leads and clear guidelines.
Within the school and departmental contexts, the process and its out-
comes are public and can be maintained on a professional plane. The
model does presume that the matter of faculty workload, as it relates
to advisorship and committee membership (discussed below), has
been settled. There are quite interesting case studies and articles that
relate to the way dissertation committees work. Some of this informa-
tion is disturbing but informative, indicating how things can go wrong
even in the best of institutions in ways not expected by the student or
the advisor (Hernandez, 1996; Ruark, 2002; Smallwood, 1992). These
sources provide ideas for practical questions the student might raise
while seeking committee members and trying to understand the process.
Size of Committee
We recommend committees of four and five for the thesis and disser-
tation, respectively, which is larger, by one, than the usual require-
ment. Usually, there is no prohibition against having a committee
larger than that specified in regulations. Often, the final defense com-
156 Chapter 5
mittee is encouraged to add members for the purpose of enlarging its
scope as an examining group.
Large committees take large amounts of time; that may be one
reason for the prevalence of very small ones. While a small commit-
tee—some schools require only three faculty members for the disser-
tation committee—may be reasonable, a larger number can enhance
quality and equity. Five is not too many in light of the variety of
expertise usually needed. In case of emergency, the committee can be
authorized to operate with one less than the required number, that is,
with three and four for the thesis and the dissertation, respectively.
Thus, if one member retires, moves, becomes ill, or goes on a sabbati-
cal leave, as is not unlikely in a committee constituted over a number
of years, it is less likely to hold up the progress of the student. Finally,
a very subjective comment: Our experience suggests that larger com-
mittees tend to be run in a more open and aboveboard fashion and
that they tend to focus more on the quality and relevance of the work
than on the worker.
COMMITTEE MEMBER ROLES
The role of a committee member is similar to the research advisor’s
role, but there are important differences. A committee member’s role
does not carry as much responsibility. Also, the depth of the role is
greater for the chairperson. Such differences allow committee mem-
bers to exercise more flexibility and creativity in role definition and
to make the relationship one of positive growth and maturation for the
student.
Foster Creativity
The T/D committee membership is not well defined in higher educa-
tion literature or by easily observed modeling of role incumbents. The
lack of overt, consistent definition means the job is open to a good
deal of professional judgment, independence, and self-direction. It
also means that there are opportunities for both the student and faculty
to be creative in determining how a committee member works on a
given study. For the faculty member, much of the joy of working with
157The Thesis or Dissertation Committee
students on creative projects is present without all the responsibility
of the chairperson.
Seeman (1973) offered a theory-based point of view on supervis-
ing student research. He emphasized the creative aspect of what the
student is to produce, namely, a contribution to knowledge, defined
as a novel product. Then, he drew heavily on published research on
creative persons, leading to the conclusion that “an optimum learning
climate [in which to foster creativity] would involve considerable lati-
tude for the student to go off into unconventional cognitive byways,
along with a support system that provides them with occasions for
doing so.”
In a pamphlet called Research Student and Supervisor (LaPidus,
1990), the Council of Graduate Schools offers its viewpoints on that
relationship and suggests ideas relevant to disciplines that prepare stu-
dents for the Ph.D. Some key observations from that publication are
as follows:
A peculiarly close relationship exists between the research stu-
dent and supervisor. They start as master and pupil and ideally
end up as colleagues. Obviously, under the circumstances, it is
desirable that the student and supervisor should be carefully
matched.
There are two aspects to supervision. The first and most
important has to do with creativity and involves the ability to
select problems, to stimulate and enthuse students, and to pro-
vide a steady stream of ideas. The second aspect is concerned
with the mechanics of ensuring that the student makes good
progress. (p. 1)
Note the similar emphasis on creativity by Seeman (1973) and
LaPidus (1990), almost 20 years later. The Council of Graduate
Schools (1990b) also urges that originality on the part of the student
should be fostered as a central concern in the T/D process. And origi-
nality is another word for creativity.
However, Seeman (1973) argues that what really happens is al-
most the opposite: A climate of conformity prevails, produced and
sustained by the research guidance given the student. He blames this,
158 Chapter 5
in psychology, on the discipline’s homage to the conventions and pro-
cedures of “science.” He says:
For students, the phenomena of scientific ritual and scientific
respectability appear in the form of rapid and insistent preoccu-
pation with questions about sample size, controls, instrumenta-
tion, statistical procedures, and other formal questions about the
structure of their inquiry. I am saying that a too-early concern for
these structures puts the accent on formal rather than substantive
issues, deflects the students’ energies from their original ques-
tions, and, most crucially, emphasizes an external locus-of-
control attitude that may dilute the sense of ownership and re-
sponsibility which the students feel for their problems. (p. 901)
Going on to suggest a connection between student behavior and the
perceptions conveyed to students by the learning atmosphere in which
they start to think about research, Seeman says:
It is small wonder that many students experience the develop-
ment of a research problem in terms of finding some preexisting
question “out there.” They search the literature, read other stu-
dent’s theses, seek ideas from professors, and in general disre-
gard the possibility that a research problem might come from
some question of their own. (p. 901)
As to the role of the system in generating that kind of student behav-
ior, and as to the function of the faculty in keeping the focus of the
student’s attention narrowly on the formal aspects of T/D work, See-
man (1973) reasons that a restrictive, limiting learning climate is the
inevitable result, not an optimum learning climate. He puts it this way:
What I am suggesting here is that science has become a quasile-
gal system, and that deviance is just as much punished in this
domain as in any other domain where people make laws. Seen
thus, the task as experienced by the student is to go about his/
her proper business while at the same time making sure to obey
the law. In this context, professors are part helpers and part so-
cial control agents of a very powerful kind. They become advis-
ers—policemen who assist the student, but who also make sure
159The Thesis or Dissertation Committee
that the student obeys the law with respect to scientific proce-
dures.
In short, the psychological climate for the student is one in
which the helping process and the evaluative process become
thoroughly entangled. The most likely consequence is interfer-
ence with learning. (p. 901)
If Seeman’s 1973 analysis is correct, it raises serious questions
that seem applicable to many of the conventional forms and processes
in graduate and honors student investigations. Research procedures
and designs used in a number of professions have been drawn from
psychology, long recognized as an undergirding discipline with major
applications in professional human services work.
Seeman (1973) does not report data drawn systematically from
students or from faculty members to verify his analysis or his conclu-
sions about the climate of learning and about the behavior of students
and advisors. Neither do LaPidus (1990) or CGS (1990b). Seeman
finds analogs in studies of other situations, mainly those that involve
counseling and psychotherapy, and argues from those presumed paral-
lel instances. It would certainly be valuable if his provocative and
insightful ideas were put to a more direct test.
We have drawn a number of implications for the professor-
student relationship from the Seeman analysis (1973) and our own
observations. They are potentially helpful guides to action for students
and faculty.
1. Foster a secure relationship in which the student has confidence
in the support of the professor. (The professor says, honestly, “I
believe in you and in your ability and integrity. You can count
on my guidance, and I will give it freely and in a helping spirit.”)
2. Recognize and encourage independence in the student. (The pro-
fessor praises students for taking actions on their own. The pro-
fessor says, “You can expect me to encourage you to make deci-
sions for yourself whether or not I agree with them. This will be,
all the way, your project. I will enjoy helping you to make it that.
At the same time, I will try to teach you how to judge the ade-
quacy of what you do.”)
160 Chapter 5
3. Teach the student to understand how the professor views personal
and professional accountability. (The professor lets the student
know that both their professional reputations are on the line,
afresh, with each decision they make about the investigation. The
professor says, and means it: “It will be important to me to help
both of us to avoid conflict with each other and with our associ-
ates. At the same time, if either of us believes in the rightness of
what we propose to do, even though it appears to be leading to a
confrontation, we should not hesitate to initiate a discussion about
it. We should speak our minds, try to work out the differences,
and if that fails, separate with full respect and regard for each
other.”)
Seeman (1973) believes that the experience of autonomy can be
used to make explicit the nature and kinds of responsibilities the stu-
dent and the faculty member each will accept. He says:
I have started to take this route by making explicit contracts with
my students. For my part, I accept two kinds of responsibility
...I take responsibility for certification of a student’s perfor-
mance; that is, I accept as a social responsibility the evaluation
of professional competency. My second responsibility is to make
available to the student the professional resources and skills that
I have. On the students’ part, their enrollment in a program sig-
nifies that they have committed themselves to developing com-
petence....
I see the concept of a contract as a powerful tool for devel-
oping responsible interpersonal relationships. (p. 905)
Aside from anecdotal pieces (Krathwohl, 1988; Mecklenburger,
1972; Meloy, 2002; Merrill, 1992; Pulling, 1992; Sternberg, 1981),
there seems to be little established information about the student as
such in the T/D process. Yet, a discipline’s most able students, as they
do graduate and honors research and afterward, would seem to be
most logically and most appropriately the best sources of information
and insights about how to make the most of the major commitment
colleges and universities have to that advanced work. MacKinnon
(1962) remarks that
161The Thesis or Dissertation Committee
Creative students will not always be to our liking. This will be
due not only to their independence in situations in which non-
conformity may be seriously disruptive of the work of others,
but because...they will be experiencing large quantities of ten-
sion produced in them by the richness of their experience and
the strong opposites of their nature.
He was describing the behavior of creative architects when they were
students. He went on to report that
Clearly, many of them were not easy to take. One of the most
rebellious, but, as it turned out, one of the most creative, was
advised by the Dean of his School to quit because he had no
talent; and another, having been failed in his design dissertation
which attacked the stylism of the faculty, took his degree in the
art department. (p. 495)
Other profession s, too, attract individu als who combine the ingre-
dients that make up creativi ty. The academ ic and professi ona l nurture
of such men and women can be a stormy experie nce. The lon g-r ange
outcomes , however, enri ch the student , the advisor and committe e mem-
bers, the institution, and the p rof ess ion s. Data about how to best encour-
age such positive outcomes are needed.
One of the opportun ities to foster creativity is to brainstorm
to expl ore problems, hypotheses, and conjectures without being t oo
evaluative at the early stages. It is important in this context for stu-
dents t o be encouraged to see and to understand side issues, off-
shoots, parallels , and branches of their topics and to acquire the dis-
cipline to stay on the main track. It is a cha nce to explore with the
student the relationship of th e emerging T/D to the dev elopment of
personal effectiv eness and personal goal s such as autonomy and pro-
fessional and academic maturity. Faculty-student interaction around
the graduate or hon ors research project provides many opportunities
to help the student grow as an autonomous, self-directed person at a
time in life when th at help is pe rhaps needed most. The honors or
graduate student experience u p to that stage has often been directed
by others; the T/D stage is a transition fro m dependence to au-
tonomy.
162 Chapter 5
Committee members also have excellent opportunities to en-
hance both the student’s and their own research competence. Commit-
tee members can help the student-writer on a one-to-one basis to ex-
amine the associative relationships that are projected in the study. It
is a time to help the candidate to look for possible cause-and-effect
relationships in variables identified or phenomena to be observed. It
is a time to examine theory and engage in some preliminary efforts at
building new theoretical constructs. Opportunities to teach the value
of suspending early judgment, to teach by example some aspects of
critical thinking and deductive or inductive reasoning are available
to the committee member throughout the advisement process. These
opportunities are especially valuable because they come at a time,
with respect to an interest in a commonly shared subject, when the
openness to learn and to share ideas is strongest.
Encourage Clear Writing
Not all committee members have the same interests or expertness, but
everyone should care deeply about the student’s ability to express
ideas about complex matters in clear and direct prose. Many investiga-
tions deal with complicated subjects; students often feel that their
writing has to be equally complicated. Committee members can help
students see that there is an artificiality about complex and overly
complicated sentences and paragraphs full of long words that obfus-
cate rather than foster understanding. Further, such writing all too of-
ten is a facade hiding a student’s lack of clear comprehension. There
is no subject that cannot be made clear in simple words to the average
intelligent adult if the writer knows the subject well enough and has
good facility with language. Committee members who help students
express themselves in clear, concise, and direct language perform an
invaluable service. The student gains not only with respect to the im-
mediate task, but also in future writing and publishing (Henson, 1993;
O’Connor, 1997).
Foster Growth Through Writing
Committee members can set examples for students by participating in
professional meetings and engaging in scholarship. Also, committee
163The Thesis or Dissertation Committee
members often have the contacts and information that permit them to
encourage student participation in professional and scholarly meet-
ings. Some of the most valuable experiences have come to students
who were encouraged to write, publish, and read papers at such meet-
ings during their advanced study years. Often, these activities were
related to T/D work—perhaps literature reviews, descriptions of pilot
studies, or the findings of the T/D research itself. Numerous examples,
from our own experience, can be cited regarding the encouragement
of students to write, to publish, and to prepare papers for professional
and academic meetings. There are, for example, citations in this work
that refer to important contributions made by students on whose com-
mittees the authors served or who worked with the authors in some
similar way. Papers can be written and presented jointly. Panels and
reactors can be chosen to include a student researcher.
If money is a problem, often ways can be worked out to help the
student researcher attend meetings and present papers through the use
of awards, travel with faculty colleagues who may drive, and the pay-
ment of modest honoraria for services performed at the meeting. We
have seen examples of colleagues helping to pay expenses of students.
None of this is a part of the formal responsibility of the committee
members perhaps, but it all could be a part of the mentoring role
that faculty members define for themselves. Sometimes, just words of
encouragement and the offer to help are enough to set the student off
in the proper direction, with self-motivation taking over the progress
toward final autonomy and participation.
The role of the committee member must always be seen as fos-
tering the autonomy and academic maturity of the student researcher.
This does not assume that the student is immature or dependent, but
the behavior typically encouraged or enforced all too often turns out
to be toward dependence and following directions. For that very reason,
the obligation is there, in the research stages of study especially, to en-
courage the emergence or reassertion of autonomy and self-direction.
Serve as a Model
Advisors and committee members themselves acquire role behavior
through observing models. New faculty members watch committee
members and chairpersons in action while in the process of doing
164 Chapter 5
honors, master’s, or doctoral work and later imitate them. Committee
members’ behavior also impresses the student and tends to be remem-
bered and copied if, later, the student assumes the committee role.
Therefore, the behavior of senior committee persons is of great signif-
icance. It becomes the model for others.
Modeling is also one very good way students learn to become
advanced researchers. This has implications for the role of the com-
mittee member who works closely with the candidate on a research
problem or who thinks through the formulation of a research problem
with the student researcher.
Students and colleagues respect the committee members who in-
sist on excellence and fairness. It is the responsibility of each commit-
tee member to provide serious and consistent help to the student, with
the aim of ensuring the high-quality work of which most students are
capable, and to work toward making the whole process as rigorous
and fair as humanly possible. Every vote counts on the committee,
and every vote cast, in some instances, could be the vote that makes
the difference between outstanding scholarship and just sliding
through.
Sternberg (1981), Krathwohl (1988), and Meloy (2002) all pic-
ture the student as walking a tightrope. The choice may sometimes
seem to be between alienating the committee, on the one hand, by
sticking to a point of view of what should be in the T/D and becoming
completely confused and prey to every shift in committee thinking on
the other. We believe, as they do, that the advisor and the student
should figuratively link arms in such a case, and together they should
stand for what they believe. When that happens, committees tend to
work around to accepting the candidate’s way of dealing with the
matter as long as there is confidence in the integrity of the individual
and confidence that the knowledge base is sound.
SUMMARY
Universities normally require a research project supervised by a fac-
ulty committee as the culminating work of honors or graduate study
for a degree. Committees of faculty are appointed to work with the
candidate on the project from the proposal stage to the final defense.
165The Thesis or Dissertation Committee
The committee functions as a guide and help to the student through
the process, and it also evaluates the work as it progresses to the final
defense. A form for use in T/D evaluation is included. The committee
is so important at most institutions that great care is taken in the selec-
tion of members, and there are various roles played in the selection
process. The obligations of committee members to one another, the
student, the advisor, and the institution are specified and discussed.
6
Approval of the Overview
QUICK REFERENCE TO ANSWERS TO SPECIFIC QUESTIONS
1. What is a sound overview? 167–175
2. What is my relationship to the overview
committee? 179–185, 193
3. How should I prepare for the overview meeting? 186–187
4. What should I expect at the overview meeting? 188–196
The overview document takes its form from the nature of the problem
to be investigated. In the first part of this book, we suggested a format
that covers essential proposal elements. The time line (Fig. 1-1) adapts
readily to any qualitative or quantitative study plan. Terminology dif-
fers from place to place, but the most common names given to this
document are the study plan, proposal,oroverview.
The goal of the student at this point is to gain the approval of
the committee to embark on the conduct of the proposed project. This
approval, if given, is certified by an actual vote of the committee. The
committee members affix their signatures to a form that specifies sa-
lient information about the meeting.
The committee’s collective judgment is reached by the end of
the overview meeting. Each member has earlier read the proposal it-
self. During the overview meeting, members raise questions, engage
in discussions with the student and each other, and offer suggestions
about the proposal.
167
168 Chapter 6
Each committee member should have assisted with the proposal
idea earlier in conference with the student, and each committee mem-
ber should have seen earlier drafts of the proposal. However, the over-
view meeting may be the first group discussion regarding a document
that the student now believes is ready for the entire committee’s stamp
of approval.
The committee’s goal at this point is to determine whether both
the student and the written plan are ready to move into the operational
stage of the T/D activity. The overriding questions are, “Has a state
of adequate preparedness been reached by the student, and has satis-
factory preparation been demonstrated in the written project pro-
posal?” A crucial part of the proposal is the section that sets forth how
the investigation is to be conducted. That section, sometimes called
Procedure, includes the steps the student expects to take from the mo-
ment the plan is approved to the time the analysis of findings is com-
pleted.
The proposal should be a coherent document in that each part is
linked meaningfully to each other part, but while other parts of the
document may be in less than final form (i.e., the literature review),
that cannot be true of the procedure section. If the overview commit-
tee is to approve the study plan without imperiling the future of both
the project and the student, procedures should be complete and de-
tailed.
Many colleges and universities have detailed published policies
on the dissertation process. A good example is the J. Mack Robinson
College of Business at Georgia State University (home page http://
www.cba.gsu.edu/). The process and written policies are described in
detail for students and faculty, with a discussion that focuses on pre-
sentations, committees, format, procedures, and forms. Check to see if
your university has such a detailed home page or printed presentation
describing the process.
CHARACTERISTICS OF A SOUND OVERVIEW
Advisors and committee members vary in their views as to the neces-
sary components for an appropriate overview. Our recommendation is
169Approval of the Overview
to try to satisfy three criteria.* First, include consideration of at least
these elements:
A brief title that describes the investigation.
A face sheet with appropriate identifying information.
A table of contents.
An introductory statement of the problem to be studied.
A specific problem statement couched in terms of questions to be
answered by the study’s results; hypotheses to be tested; defini-
tive information to be supplied; a theory, an explanation, or a
product to be developed; or some combination of these. This is
a good place to define terms, if necessary. Here the investigation
types given in Chapter 4 and the general model for investigations
(Fig. 4-3) may be helpful. They may also stimulate thinking
about the next elements in this list.
A list of classes of literature (i.e., theoretical, research, philosophical,
and so on) germane to the problem with a critical and analytical
review of that literature that supports the need to conduct the
proposed study.
A step-by-step procedure section that includes specific information
about which data will be collected, from which sources data will
be obtained, how the validity and reliability of the information
will be assessed, and how the data will be analyzed to respond
to specific problem statements.
A brief summary of the proposed investigation as previously outlined
plus any other matters that should be part of the record (i.e.,
human subject concerns, threats to the study).
A sample of each data collection form, test, or similar material to be
used in the study.
A bibliography of the references in the overview document.
Second, try to ensure that the ambiguities and anticipated prob-
lems are openly discussed. For example, suppose some of the data to
be collected depend on responses to inquiries mailed to parents. Sup-
*For more details about organization and structure of the proposal, review Chapter 3 and pay
particular attention to the T/D evaluation.
170 Chapter 6
pose, also, that there has been a history of very low response rate to
similar inquiries to parents in similar circumstances. This should be
brought out in the overview document with a clear statement of which
measures are to be taken to encourage a satisfactory return and with
a contingency plan should the return be insufficient for analysis.
Third, we recommend the inclusion in the proposal document of
a systematic planning procedure that spells out the anticipated time
line of the investigation. This may well be an appendix. Help in set-
ting forth the entire procedure and time sequence may be found by
studying Fig. 3-1.
Even though there is variation among advisors’ and committee
members’ views regarding what constitutes an approvable overview,
the elements suggested include what many professors expect. The
three key elements are a full and detailed proposal, clarification of
potential ambiguities, and a rational time sequence.
PURPOSES OF THE PROPOSAL OVERVIEW MEETING
University in-house publications tend to specify administrative details,
such as that a proposal be in typed form, how many committee votes
are required to approve it, and where the approved document must be
filed. In some cases, certain of the purposes for an overview meeting
can be inferred from university publications. In addition, we list pur-
poses drawn from an analysis of interviews with experienced faculty
members. The committee should, according to them, ascertain that
1. The topic of the investigation is suitable.
2. The student is competent to undertake the study.
3. The program (or department) in which the study is undertaken
is appropriate for the topic.
4. The study would constitute a valuable contribution to the litera-
ture.
5. The topic is manageable in relation to the student’s time.
6. The study would be a relevant learning experience for the stu-
dent.
7. The student has access to the needed human and material re-
sources.
8. The student is able to be objective about the study.
171Approval of the Overview
9. The student and committee members understand the agreements
resulting from overview approval.
10. Ownership of the T/D and related material as intellectual prop-
erty is understood and specified.
11. The student understands any alterations needed in the proposal.
The student, the chairperson, and each committee member might
well use the 11 items as a checklist to make sure that the items are
adequately covered in the course of the overview examination or be-
fore it. Each item is amplified in sequence below.
SUITABILITY OF THE TOPIC
This first item means that the topic is suitable in terms of the scholarly
and research interests of the academic discipline, profession, or field
of study. Demonstration of the relevance and suitability of the topic
to the discipline is the proposer’s responsibility.
Another aspect of suitability might have to do with the utiliza-
tion of human subjects. Some investigations could require that human
subjects be deprived for a time of food, educational stimulation, af-
fection, compensation, or rights that other subjects receive. Such stud-
ies would be unsuitable unless acceptable compensatory arrangements
could be made and higher-level approvals received. In like manner,
animal subjects require humane consideration.
Suitability ought not be taken for granted. The student should
deliberately ask each committee member for confirmation of suitabil-
ity, so by the time the overview meeting is convened the student’s log
and notes will show that suitability is not in question.
Student Competency to Undertake the Study
Three main factors to scrutinize regarding student competency to un-
dertake the study are the student’s substantive academic and profes-
sional background, the student’s investigative skills, and the complex-
ity and difficulty of the proposed study in relation to the first two
factors.
For the first factor, let us suppose that the proposed topic is “De-
sign of a Graduate Curriculum Model for Training Community Plan-
172 Chapter 6
ners in Brazil.” The operative expressions in the title are in italics.
The student proposer needs knowledge of design procedures and prin-
ciples, knowledge of graduate professional curricula, appreciation of
the personal and professional characteristics and job requirements as-
sociated with community planning, a sound conceptual base regarding
Brazilian higher education, and in-depth understanding of the history,
present status, and goals of community development in Brazil. Cer-
tainly, it would not be necessary that the student have all of the back-
ground at the outset, but it would be questionable if the committee
should allow the study to begin without ascertaining that it was feasi-
ble for the student to fill in any gaps quickly and thoroughly.
As to the investigative skills, the student should know how to
unearth already existing information about the operative expressions
in the title. This would call for knowing sources and how to search
international literature. Reading knowledge of Portuguese seems es-
sential. Also, it might be necessary to plan and to conduct interviews.
The judgment of expert faculty members or other consultants
would be essential to assess the complexity and difficulty of this
study. They could determine whether the country’s educational and
political climates would be supportive. They could judge how much
time, if any, would need to be spent in Brazil. They could help judge
whether substantial ground preparation would need to be done or if
the foundations were ready and waiting for such a study. And, they
could ascertain whether the proposed study might be overambitious
and suggest how to reduce its scope to match the investigator’s capa-
bilities.
Appropriateness of the Topic for the Department
In this instance, let us assume that the student proposes a study called
“Career Preparation of the Private Black College Graduate Relative to
National Manpower Needs and Trends.” If the student is enrolled in
a department of elementary education and is specializing in early
childhood education, it would probably be far-fetched to consider the
topic appropriate to the department. It would be unusual to find fac-
ulty members in elementary education who have and maintain sophis-
tication about the broad field of college career preparation.
173Approval of the Overview
Occasionally, students do put forward ideas that appear, on the
surface, quite out of harmony with the departments in which they are
matriculated. It is good to discuss them rather than to dismiss them
out of hand. Sometimes, such apparently divergent proposals are signs
that students’ interests or goals are changing, and those possibilities
deserve thoughtful attention from the advisor. Actually, at the time of
the overview meeting, it should be very unusual to see topics pro-
posed that are patently outside the scope of the particular department
in which the major part of the study is to be done. More often, the
questions are subtler.
For example, if a study is to deal with interactions among school
of business faculty members, business education faculty members, and
the local business community, should its home base be in the school
of business, the school of education, the department of sociology, or
elsewhere? If there is any question at all about such a matter, and if
the question does not surface until the actual time of the overview
meeting, the guiding principles for resolution ought to include the fol-
lowing:
The student should not be delayed or otherwise inhibited from pursu-
ing the study simply because of interdepartmental or interschool
disagreement.
The department or school in which the student is enrolled should con-
tinue to have responsibility for administering the T/D process of
the student.
Members of other departments and schools should be added to the
committee to the extent necessary to ensure that the necessary
faculty competencies are represented.
Contribution to the Literature
Most discussions of the essential requirements of the T/D include the
statement that the product be a “contribution to the literature.” Yet,
few phrases have been so ill defined. In the absence of helpful guide-
lines, students may conclude that, to make a contribution, one must
discover a hoard of new information, demonstrate a new truth, devise
a new instrument, or at least construct and validate an original theory.
Actually, graduate research studies that did any of those things would
174 Chapter 6
certainly be welcome, and they would be hailed as contributions. But,
they would be extraordinary T/Ds. There can be quite valuable contri-
butions of lesser magnitude. Most are in the last class.
Students often worry about getting negative results or about
“finding nothing” at the end of a heavy investment of time and effort
in an investigation. Rumors abound regarding the flat rejection of the-
ses or dissertations that wind up with either equivocal findings or with
no solid basis for supporting the hoped-for outcome.
Krathwohl (1988, p. 234) has this to say about the absence of
positive results:
Must the dissertation have positive results to be acceptable? A
proposal ought to have a reasonable chance of showing positive
results. But if it doesn’t work out as expected, must you start
over?...I know of no instance where this has been required.
Instead, students are asked to explain as best they can why nega-
tive results appeared and what can be learned from the apparent
blind alley.
Earlier, Sternberg (1981) made much the same observation about neg-
ative outcomes. A Council of Graduate Schools publication (LaPidus,
1990) offers an additional cogent comment: “One must, however, re-
member that we are talking about original research where, by defini-
tion, things do not necessarily go as intended” (p. 6). In short, it is
certainly a helpful contribution to identify and demonstrate that a re-
search approach that appeared to have promise is actually not fruitful
and to delineate the reasons why.
The committee, at the overview meeting and before it, will keep
in mind that the process of T/D work needs to be given somewhat
more attention than the product. The student’s knowledge and appli-
cation of investigatory processes, including intelligent reporting of
what transpired and what was found, is what is being demonstrated.
The topic certainly must be shown by the student to be both relevant
and significant to the literature. But, it is enough to ask simply that
the potential results of the study be judged capable of adding to or
helping to clarify a matter that needs investigation, and that the find-
ings will probably have some generalizability.
175Approval of the Overview
In thinking about these criteria, both student and faculty should
note that one of the most obvious needs in many fields is to redo
studies that have already been reported. Exact replication is seldom
needed; we mean repetition with new or enhanced populations and
with strengthened design and improved controls. Frequently, also, cre-
ative reanalysis of previously reported data opens the way to clearer
interpretations. Studies that help us to understand better an already
reported phenomenon or principle, studies that make our knowledge
more reliable or more generalizable, as well as studies with findings
that are suggestive of further exploration or that tell us that a given
course of investigation is probably not profitable can all be contribu-
tions to the literature in the sense that the term should be applied by
the overview committee.
Manageability of the Topic in Relation to Time
T/D work has specified time constraints. A six-year time span, for
instance, is usually allowed between permission to begin the doctoral
dissertation and its completion. The period is less for the master’s
thesis. The honors thesis is ordinarily done during the last two years
of undergraduate study. In some cases, students are admitted to study
for the doctorate after achieving the baccalaureate, but are required to
complete a master’s thesis along the way. In that instance, the student
may not be permitted to take courses after a certain number of credits
have been earned or after a certain elapsed time unless the thesis is
finished and approved. There are temporal factors, too, such as sabbat-
ical leaves, the period the data or the study populations will be avail-
able, and the decay of data relevance over time. All things considered,
the overview committee needs to help the student reach a rational
decision about which anticipated completion date to place on the over-
view approval document.
The Study as a Learning Experience
Many doctoral students already have a substantial amount of academic
or professional experience. Some of the experience may have included
involvement in or responsibility for research. The advisor and com-
176 Chapter 6
mittee members should be familiar enough with the student’s back-
ground to ensure that a proposed study is not simply a rerun of compe-
tencies that had been demonstrated at an earlier time. Naturally, the
use of already confirmed capabilities is appropriate if the T/D tasks
build on them and exert them significantly beyond any prior work.
From another direction, too, the committee has to satisfy itself
that the student will be assured fruitful learning opportunities. Some-
times, a chairperson is so caught up in the T/D itself that the student
has little or no opportunity to work out problems or procedures inde-
pendently. At such times, the student may be led by the advisor so
closely and meticulously that questions are answered before they are
fully asked, and there are no opportunities to make mistakes and ac-
quire understanding by working out how to recover from them. Fi-
nally, on this point, the atmosphere of the overview meeting itself
may be viewed quite differently by each advisor and committee mem-
ber. Some of the variations in the tone and attitude of faculty toward
a student during the meeting are shown in Fig. 6-1. They are arrayed
from desirable to undesirable.
As in a class or seminar, individual research students are entitled
Figure 6-1 Faculty tone and attitude during overview committee meet-
ings.
177Approval of the Overview
to the best instructional efforts their faculty advisors can muster. To
be sure, the instructional style is different. It is closer to the one-to-
one tutorial sometimes; at other times, it takes on the interactive fash-
ion that characterizes peer consultation or the approach of partners in
seeking the solution to a problem of mutual interest. Student entitle-
ment to top-flight instruction holds, too, not only for the overview
meeting, but also for the entire length of T/D activity. It is particularly
important, though, to highlight it for the overview meeting, for if that
standard is not upheld, the overview meeting can degenerate into
something it should not be, an examination,* or even worse, an inqui-
sition.
Access to Needed Resources
Which needed resources come immediately to mind if one is to at-
tack the topic “A History of Cha nges in U.S. Public Policy Toward
Migrants and Their Children”? Choose from the followi ng: “Predict-
ing Reading Achievement of High-School Students with Measures
of Intelligence, L istening, and Informative Writing Ability,” “ Reac-
tions of Married Persons to a Geographic Mo ve Resulting from
Spouse ’s Job Trans fer,” “The I nfluence of Unionizati on on Equal
Employment Opportunity Practices,” or “Organizational Behavior in
Time of Crisis.”
The student’s advisor would ordinarily encourage the adoption
of some orderly method for keeping track of resource needs as they
appear in the process of developing the proposal and would assist the
student, if necessary, in gaining access to them. The culmination of
that aspect of planning should be exemplified in the proposal docu-
ment. If there is any question about whether the needed resources (a)
have been identified and (b) access to them is ensured, the question
should be satisfied before approval of the study plan.
*In a certain sense, the overview meeting is an examination, and the proposal is or is not
accepted as presented. The focus is less on the student’s achievements in doing research, how-
ever, and much more on helping the student to produce a proposal that will get a whole-hearted
positive response from the faculty. It is an examination much in the sense that a diagnosis is an
examination; the purpose is to find the difficulties and improve the prognosis.
178 Chapter 6
Student Objectivity About the Study
A student designed a portable floor mat on which was imprinted a hop-
scotchli ke game of numbered spaces. It was expecte d that chil dre n with
number-r ela ted learning disabilitie s could be helpe d to overcome them
by individualized exercises that empl oye d the mat . A well -controlled,
carefull y planned study was propos ed for a dissert ati on by the student
to determine whether the expectation could be substantiated .
In the meantime, the student’s device was manufactured and
widely marketed commercially. The student received substantial roy-
alties. Anecdotal information, based on uncontrolled observations and
individual case records, suggested that children did improve their
number skills as a result of prescribed exercises. That information was
also distributed to prospective buyers.
The dissertation study proposal was approved. The investigation
was conducted. The results indicated that individualized exercises on
the floor mat had no appreciably different effect on the number skills
of children with learning disabilities than did ordinary number instruc-
tion.
The student, after completing the dissertation, coul d not accept
the results. An entire additional year was taken up in fruitless tinker-
ing with the data, attempting to find a way to make the findings say
something else. In all, more than a year of that student’s life was
spent in a turmoil b efore the ma tter was resolved. In the end, the
student did complete an approvable dissertation, but the personal and
professional cost s are still being paid by student and faculty mem-
bers al ike.
Wise instructors caution to practice objectivity from the begin-
ning of professional study. Yet, a number of students each year take
the hazardous course of proposing topics about which they have
strong personal beliefs rather than strong scientific curiosity. If the
proposal itself needs improvement, a very subjective attitude on the
student’s part might well deter the committee from suggesting ways
to make it approvable. Even if the student’s proposal is sound, the
committee should move cautiously if the student’s anticipation of con-
firming conclusions prejudices the proper conduct of the investigation
or threatens the student’s own welfare.
179Approval of the Overview
First, it is advisable to make the student aware of the commit-
tee’s concern. This can be done directly in the meeting, and it can be
confirmed by attaching a memorandum to the approval document and
mentioning it in the letter that informs the student of the official ap-
proval.
Second, the committee can insist that data collection and analysis
procedures be made explicit in the overview proposal, including the
provision that the collection and analysis be done or closely observed
by a disinterested third party. This is not to be thought of as suggest-
ing that the committee distrusts the student. Rather, it is an example
of how any professional person should behave when faced with the
task of investigating a matter in which there is known to be a strong
enough personal involvement to be potentially biasing.
Third, the committee should give more than ordinarily close at-
tention to the student’s literature review. Particular committee atten-
tion may focus on ensuring that the review does not overlook publica-
tions inimical to the student’s viewpoint, and that all publications are
given evenhanded treatment.
None of this should suggest that T/D work ought to be com-
pletely unemotional. There is a noticeable excitement and an evident
spirit of zestful probing in students and in faculty during much of the
enterprise. This should be encouraged. Rather, it is the possible limit-
ing and even destructive effects of overcommitment on a highly per-
sonalized level that the committee is enjoined to help students avoid.
The Quasi-Contractual Relationship
Some speak of the approved proposal document as a contract between
the higher education institution and the student. Lawyer-sociologist
Sternberg (1981) found that both Washington University (St. Louis,
MO) and Columbia University had, within the previous 20 years, been
in court over charges that explicit or implicit conditions of dissertation
preparation had been violated. As far as the proposal itself is con-
cerned, he concludes “that a contemporary candidate is warranted in
proceeding as if a dissertation proposal contract is in force once his
committee approves his proposal” (p. 75). If the proposal and the cir-
cumstances around it fall inside the purview of American contract
180 Chapter 6
law—even in a limited and qualified way—the fact gives some wel-
come reassurance to the student. As Sternberg comments, “In the gen-
erally zero-sum model of power and authority in which he [the stu-
dent] finds himself in relation to dissertation-supervising professors,
the contract element is perhaps the only ‘guarantee’ of some substance
upon which he can rely” (p. 75).
Certainly, the approval of the proposal does signal an agreement
by the committee on behalf of the faculty that an acceptable plan has
been submitted and that the student is judged ready to move ahead
with the study. In addition, the approval sets certain limits, directly or
by implication. For example:
The anticipated time of completion is indicated.
The voting members of the final oral committee are specified since
they are the same as the voting overview committee members,
unless otherwise provided in university regulations publicly
available to students.
The work to be required of the student is that which is projected in
the proposal as approved.
These limitations have a protective effect for the student. No one
can justifiably press for earlier completion than the anticipated date
specified on the approval form. While other faculty members may
take part in the final oral examination, they have no votes. Capricious
changes in expectations about what will be included in the T/D study
are obviated.
The limitations previously enumerated tend to be more binding
on the faculty than on the student. If more time seems to be needed,
for instance, the student is free to open discussions with the committee
about it. Negotiations about other matters also are usually started on
the student’s initiative. Tradition has it that the committee does all it
can to adapt, support, and encourage the student. All things consid-
ered, it may be overstating the case to refer to the approved proposal
as a contract. It is, however, evidence of a legitimate set of profes-
sional and academic understandings and agreements that students have
every reason to expect to be honored. It carries with it also all of the
same responsibilities that are present between a faculty member and
students in a course, seminar, and guided or independent study.
181Approval of the Overview
Ownership of Intellectual Property
For student or faculty purposes, in this discussion one’s thesis or dis-
sertation is considered a piece of intellectual property. So too are
notes, drawings, computations, or other items or materials used in pre-
paring the final T/D draft.
As used here, property refers to something owned, particularly
the exclusive right to possess, employ, and dispose of something by
virtue of having legal title to it. Intellectual specifies that the property
results from mental labor, rational thought, and exercise of the intel-
lect. Examples may include tangible objects or recorded notes. Also
included are materials developed by theorists, artists, researchers, au-
thors, performers, or other creative persons in the academic or profes-
sional disciplines.
Ownership can be established through such means as patent,
copyright, contract, registration, affidavit, or court decision. Ordi-
narily, the person to first exercise one of these in connection with an
item of intellectual property is deemed the owner.
Naturally, ownership has greater priority in one’s mind if the
property is or can be expected to be of financial value. Yet, it is not
always apparent at first if, for example, a new process, test, methodol-
ogy, or finding will have future worth. Wisdom dictates that owner-
ship should be decided on and established legally as early as possible.
The home pages of research universities usually have a section
on dissertation copyright policies, often linking to the government
home page (http://www.loc.gov/copyright/). Some examples of uni-
versity home pages that inform about copyrights are the University of
California at Berkeley (http://www.grad.berkeley.edu) and the Univer-
sity of Pittsburgh (http://www.pitt.edu). General search engines, such
as Google, will turn up a great deal of information if you search using
the term copyright. In any case, the above home sites will lead you to
copyright policies, forms, and procedures on line. Although the thesis
or dissertation is normally assumed to be the student’s work, in some
cases faculty members may assert some copyright, patent, or other
interest in allegedly jointly developed work, including an interest in
the research and resulting document (Smallwood, 2002). You are ad-
vised to resolve any issues about ownership of data or other joint work
in the thesis or dissertation when there is a possibility that a faculty
182 Chapter 6
member may assert some right or interest. Copyright registration is
important to the protection of your rights as author and researcher.
Serious problems can arise in the absence of clear understand-
ings about the ownership of intellectual property. Grand theft or fel-
ony charges, heavy fines, and prison sentences can result (C. D. Long,
1997a). We urge students and advisors to ascertain that specifications
about the following appear in all T/D approval documents:
Ownership of the T/D and related materials
Rights and conditions regarding publication
University or outside contractor limits or privileges
If the student research is done as part of a contract for research
with the university or the advisor, the student should be supplied with
a copy of the contract (or its relevant parts) before the student em-
barks on any research under it.
Advisement About Final Alterations
An overview meeting that results in approval is not completed until
all required changes in the proposal are communicated to the student.
It is common practice that, when the signed approval document is
forwarded to the school or university office that houses such records,
it is to be accompanied by a copy of the proposal as approved by the
committee. The student is expected to amend it so it will in fact reflect
what the committee did approve. The actual procedures that can be
employed in assembling and monitoring the proper inclusion of
amendments are discussed below.
In addition to the items already discussed, an overview session
may have other, longer range impacts. For one, the meeting is an
example of group consultation. It may very well be a precursor of
similar meetings in which the student will take part after graduation
in employment as a university faculty member or as a staff member
or consultant for a company, a government, a school system, or an-
other agency. For inexperienced faculty members on the committee,
the overview meeting and the behavior displayed by the chairperson
and other experienced members may become models to emulate.
These effects should be recognized and their potential importance ac-
knowledged.
183Approval of the Overview
CONSULTATION WITH COMMITTEE MEMBERS
Students who complete T/Ds satisfactorily agree that they remember
three peaks of progress along the way. Faculty members experienced
in research advisement tend to name the same three:
The actual selection of the problem to be attacked
The approval of the proposal document
The completion of the final oral examination
All concur that effective consultation with committee members is of
fundamental importance in reaching those peaks. Consultation is more
than a casual conversation; it is a complex set of interactions. Also, it
is work. Like most complicated and strenuous undertakings, planning
makes it go better.
T/D problem selection, in its early stages, is usually a conse-
quence of informal consultation with a faculty member. Often, some-
thing referred to in a class triggers student interest. At other times,
it is a follow-up of a paper or seminar presentation by the student.
Increasingly, students are required to take seminars that survey the
significant research in their discipline for the dual purposes of learn-
ing about the state of the art and of stimulating their interest in con-
temporary problems that need investigation. Also, departments or
prestigious individual professors engage in programmatic study that
provides a multitude of possible research topics. In addition, some
universities house research and development institutes that, while in-
dependent of the “teaching” schools, have overlapping faculty who
carry on investigations and other creative activities that include an
abundance of opportunities for students in search of suitable topics.
Contact with any of these can spark initial interest. The next move,
though, is up to the student. For best results, it should be a planned
move toward faculty consultation.
Consultation Regarding Problem Selection
A sensible first move is to confer with the advisor. But what to talk
about? How to talk about it? What expectations to hold about the
results? Actually, those questions and others like them are quite legiti-
mate ones to start; we addressed them briefly in a previous chapter.
Now, we go into more detail.
184 Chapter 6
It is reasonable for the advisor to expect that the student will
have made at least a minimum level of preparation for the initial con-
sultation regarding problem selection. If the preparation includes these
elements, the probability of a successful consultation will be en-
hanced.
Make an appointment with the advisor. Clear the meeting for at least
45 minutes of the advisor’s time.
Clear personal time for about 30 minutes before the appointment and
for an hour afterward, if at all possible. The time prior to the
consultation is to ensure being on time and to allow opportunity
to review notes and other preparations for the session. The time
following has the function of allowing the interview to go on
longer if the advisor wishes it and has time. Second, it gives
the student a period for collecting thoughts, to make notes and
summaries of the items discussed.
Some students send a copy of each conference summary to the advisor
and to anyone else being used as a consultant. This helps to
reduce or correct misunderstandings at the same time that it
guarantees a record of the meeting in the student’s log and in
the consultant’s folder. As noted, information technology makes
such communication and record keeping convenient and prac-
tical.
The choice of a faculty member to direct the study: If the student
knows that a topic is well within the range of the advisor’s pro-
fessional specialization, it is appropriate that the student ask the
advisor to chair the committee. If that seems inappropriate be-
cause of existing commitments or other reasons, the advisor
should recommend other faculty members who might be appro-
priate chairpersons.
The choice of members to serve on the committee: The advisor leads the
student to identify the kinds of special help that might be needed in
planning and conducting the study being discussed. Then, the advi-
sor helps the student match those identified problem areas with
faculty members who have particular potential to help.
Students who plan carefully, as we have said, will already have
in mind persons who would be suitable committee members. Students
185Approval of the Overview
will often pick persons they have had as teachers and with whom they
have established cordial relationships. The advisor often knows about
the strengths of colleagues with whom the student has had little con-
tact. Between them, they can build a tentative list. As one result, the
student broadens an already existing base of acquaintanceship with
faculty personages.
The T/D problem selection process has no clear beginning and
no definite time limits. Students usually make one or more false starts
before a firm choice emerges. During this period, it is essential to
employ advisor and faculty consultations, as already suggested. It is
also essential during this exploratory period to avoid final commit-
ments to a chairperson or to committee members. However, once the
student and an advisor reach agreement that a certain topic is feasible
and is to be pursued, the committee should be formalized.
Consultation Regarding Preparation of the Proposal
This is a period of intensive consultation. It is very demanding of time
and energy for student and faculty members alike. From the student’s
point of view, the most serious potential hazard arises from failure to
keep all committee members up to date through periodic contacts. Use
of our recommendation about regular written or computer-mediated
reports can ward off that danger.
Advisors should inform themselves about the frequency and the
manner in which their students are in contact with other committee
members. While it is not essential in all cases, a number of advisors
make direct and frequent contacts with other committee members.
Some call brief, informal meetings so committee members can update
each other. In highly complex projects and in those that run over a
long period of time, the last is certainly preferred practice.
COORDINATION ROLE OF THE ADVISOR
When a student gets input from individual committee members, what
should be done with it? Particularly, what should be done when the
recommendations of some committee members conflict with or di-
verge from the recommendations of others? Resolution of those prob-
lems makes up a major part of the advisor’s coordination role. This
186 Chapter 6
necessitates, of course, that both advisor and student keep close track
of the views of all committee members and understand the reasons for
their views.
A number of advisors are quite directive to their students in this
connection. They say, in effect, “Listen carefully to each committee
member’s criticism and suggestions. Probe, if necessary, to be sure
you understand. But do not argue. Also, do not agree immediately to
make the changes that compliance with the criticisms or suggestions
implies. Respect the consultation you are receiving. Indicate, politely,
that you will give it serious thought. Ask about any matters that you
want to be clarified. Then bring the matter to me for discussion.”
Whether the research director’s style is as forthright as that or
not, the essence of that message must be conveyed to the student.
Otherwise, chaos is probable. Unless the director defines and takes on
the coordinator role, neither members nor students have anywhere else
to turn for the ajudication and reconciliation called for by strong, dis-
parate viewpoints. Thus, students ought to be able to look to the chair-
person for assistance in making optimum use of consultation from
other committee members. Like the fabled course of true love, the
course of proposal preparation may not run smooth. The skill and
diplomacy of the advisor should then serve as a shock absorber, all
the while maintaining high professional and academic standards. This
exemplifies the preferred approach to meeting the responsibilities of
coordination.
From time to time, advisors take quite another course. Like
steamrollers, they attempt to smooth the way for their students by
crushing and overriding any viewpoints but their own. This action
defeats one of the purposes of research consultation for it prevents the
student from experiencing the thrust and parry of ideas in a setting in
which the best ideas should survive. Also, it sets a poor example,
displaying a model of undesirable, irresponsible behavior in the deli-
cate role of chairperson and teacher.
Setting the Stage for the Overview Meeting
Scheduling the time for the meeting about the proposal is simple
enough once there is agreement that the student and the document are
ready. The best criteria for the latter are these:
187Approval of the Overview
The characteristics of a sound proposal document given in earlier
chapters have been achieved.
The comments and suggestions of other committee members have
been analyzed and, if feasible and appropriate, worked into the
study plan.
The student understands the purposes of the meeting and expresses
readiness to take part in it.
It is the advisor’s responsibility to set a date acceptable to the commit-
tee and the student. School regulations sometimes require more lead
time than this, but the proposal should be in the committee’s hands at
least two weeks before the meeting. (The document should be a clean,
fresh copy and complete.)
Helping to set the date by contacting the other committee mem-
bers is a worthwhile organizing experience for the student. Also, it
supplies another occasion to talk with committee members to obtain
any last-minute suggestions they might volunteer. A quiet, uncluttered
room should be scheduled. It is advantageous to seat the committee
and the student around a table since there may be considerable paper
shuffling and note taking. Usually, two to three hours is sufficient
time for an overview. To be on the safe side, it is best to schedule at
least two and one-half hours.
The date, time, location, and subject of the overview meeting are
best circulated from the chairperson’s office by a memorandum to
committee members, the student, and other interested persons or of-
fices. The official notice ought to reach its recipient at least two weeks
prior to the meeting date, and it should request a confirmation of at-
tendance. If it has not been distributed earlier, the proposal can ac-
company the notice of the meeting. Thus, the confirmation of atten-
dance can be taken as assurance that the document came to the
committee member in time for careful study.
The advisor and the student researcher should ascertain that all
materials necessary for the meeting will be on hand. Some presenta-
tions may call for slides or charts for certain parts. Others require the
use of a chalkboard, models, or drawings. Whatever is essential for
an effective presentation should be on hand in the room where the
meeting will be held. The student should have an opportunity to re-
hearse the presentation there if that seems advisable.
188 Chapter 6
Importance of Organizational Arrangements
Students and faculty members both deserve, as a first priority, setting
and conditions conducive to excellent work. This includes matters of
space, noise level, accessibility, and well-managed procedures.
Second, student research work on the university campus ought
to be, in all of its aspects, a realistic introduction to participation in
scientific investigation as a career expectation. To help accomplish
this, the mechanical and administrative procedures ought to parallel
the best operational principles and details found in highly respected
public and private enterprise, in state or local governmental agencies,
on university campuses, and elsewhere.
Third, the student engaged in faculty-guided investigative activi-
ties ought to find it stimulating and intellectually worthy. The experi-
ence should encourage a lifetime commitment to respect and to use
research and development findings. The likelihood of that outcome
is enhanced when the student observes evidence that the university
administration and faculty attend meticulously to the physical and ad-
ministrative conditions in which proposed research work is reviewed
and its conduct approved. In short, the way T/D work arrangements
are staged by the school tells, bluntly and vividly, how the signifi-
cance of that work is evaluated by the faculty and the administration.
The Conduct of the Overview Meeting
If studen ts know anything about overviews, it is usual ly what they pick
up fro m other stud ent s. Some of t hat is useful; much, though, may be
unrepres ent ativ e anecd otal material. Students are grateful when advisors
explain ahead of time the genera l scenario of an overview meeting. The
apprecia tio n grows when the explan ati on is accompanied with tips on
survival ski lls. We reco mme nd that the followi ng role descriptions be
discusse d in detail with the student well before the meeting.
Chairperson’s Role:Aspresiding officer, the chairperson conducts
the meeting. An agenda like the following represents preferred practice:
1. The chairperson and the student arrive at the meeting room in
enough time to check whether it is adequately prepared.
189Approval of the Overview
2. The chairperson arranges for the student to wait in a comfortable
place near the meeting room.
3. When a majority of the committee is present and the appointed
time is reached, the meeting is officially convened.
4. The chairperson ascertains that the committee is ready to meet
the student if there are no valid objections on the part of any
member.
5. The student is asked to join the meeting. The chairperson re-
quests a brief summary of (a) the student’s education and profes-
sional experience and (b) the proposal being offered for the com-
mittee’s approval.
6. Questioning and commenting about the proposal begins; the
chairperson makes sure each committee member has a chance to
participate.
7. The questions and the related discussion and suggestions con-
tinue until the chairperson senses that the committee members
may be ready to conclude the meeting. The chairperson then
asks if anyone wishes to continue the session. If so, it goes on
until all members finally signal willingness to stop.
8. Then, the chairperson asks the student to return to the waiting
area while the committee deliberates.
9. The chairperson puts the main question to the committee: Is the
student’s proposal to be (a) rejected, (b) approved with condi-
tions, or (c) approved unconditionally?
10. The committee reaches its decision and signs the form provided
by the chairperson to make the decision a matter of official re-
cord.
11. The chairperson recalls the student and, in the presence of the
committee, reports the decision. The student may be asked to
summarize the decisions and conditions as an affirmation of the
mutual understanding of the student and the committee and to
make sure that the results of the meeting are clear to all.
12. The chairperson and the student have a conference in which the
decision of the committee is interpreted and in which any condi-
tions placed by the committee on its decisions are discussed with
the student.
190 Chapter 6
This 12-point outline is a summation of the role of the chairper-
son as presiding officer. Some may feel that it appears too formal, not
suited to the easy relationship that should characterize student-faculty
and faculty-faculty interactions. To that objection, it should be said
that the process outlined (or, for that matter, any other procedure rec-
ommended in this book) can be carried out with whatever degree of
formality or informality is most comfortable to the participants.
Our concern here is not so much personal style as it is obligation
and orderliness. It is imperative that all parties acknowledge and carry
out their responsibilities. For instance, it is not a matter of style when
a committee member lounges into a meeting one-half hour late and
announces, while flipping through the pages of the proposal, “This is
too long! I haven’t had time to read it.” This shows plain disrespect
for colleagues who did their homework, and it shows disregard for
the worth and dignity of the student and of the review process itself.
The outline presented and other procedures recommended in this book
are intended to support an orderly approach to the task at hand. This
outline provides a framework for the grand strategy of the overview
meeting. The tactics ought to be as individualized as the topic, the
student, and the individual faculty members require. The chairper-
son’s role, though, is multifaceted, not confined to directing the course
of a meeting. Several other sides of that individual’s responsibility are
indicated next.
A record-keeping function falls to the chairperson. Most keep a
personal folder on each doctoral advisee in their own offices, in addi-
tion to the student’s official departmental file. The personal file has
copies of official records plus the transient and incidental notes neces-
sitated by day-to-day advisor-student interactions. In connection with
the overview meeting, the advisor needs copies of the official docu-
ment (the proposal, the signed decision of the committee) plus notes
taken at the meeting. If both the advisor and the student take notes,
they can compare them after the meeting to produce a more complete
and reliable picture of what transpired. This is particularly important
if the overview proposal is approved subject to conditions. The chair-
person, during Steps 9, 10, and 11, reaffirms the conditions the com-
mittee has agreed to with the student. Some are substantive, requiring
that specific parts of the proposal be altered. Others may be proce-
191Approval of the Overview
dural. For instance, final approval of some changes may be left to the
chairperson, while others may need to be seen by one or more other
committee members. Records of these conditions are obviously highly
important; it is up to the advisor to ensure that they are part of the
written history of the meeting, and that they are conveyed fully and
accurately to the student.
Support of the student also ranks high as a role of the chairper-
son in the overview meeting. One advisor reports a premeeting confer-
ence with each student during which these things are said.
1. “I am going into this session as a strong supporter. I would not
have agreed to hold it now if I did not think you are ready and
that the proposal is a good one. I, and all of your committee, have
confidence in your ability and want you to succeed.”
2. “Do not be surprised if changes are suggested in your proposal.
Even though you obtained reactions earlier from all these individ-
uals and adapted to their reactions, almost every proposal review
meeting produces some new ideas that call for amendments in the
document.”
3. “Answer questions as directly and simply as you can. If you don’t
know, say so. In any event, keep your responses straightforward,
short, and to the point.”
4. “This is not an examination. Rather, it is a review of your pro-
posal, a proposal that these faculty members helped you prepare.
They want it to be a good plan for a good study, and their ques-
tions are aimed at making the proposal more solid, both conceptu-
ally and procedurally.”
5. “As your advisor, feel free to look to me particularly for assis-
tance in the meeting if you have questions or if there seem to be
misunderstandings. I will try to clarify questions and to explain
their reasons, if you ask me.”
Sometimes, an advisor agrees to an overview meeting while still
unsatisfied about the readiness of either the student or the proposal.
Some students insist, and some apparently cannot be convinced of the
weakness of their work other than by committee rejection. In such
cases, a comment like that in Item 1 would be unsuitable, although
Items 3, 4, and 5 would still be appropriate sentiments to voice. Each
192 Chapter 6
advisor’s way of transmitting a supportive feeling to students is
unique. Students, too, differ in the amount and kind of support they
need. The essential point, though, is that the student be made aware
that the advisor is an ally in the overview meeting.
It is sometimes difficult to accomplish one job of the chairper-
son, namely, to ensure balanced participation by those present. This
does not mean equal time for all. There are some occasions when a
committee member is so carried away by an idea that no others can
get the floor without aggressively interrupting. The chairperson can
note when others want to participate, when an idea has been discussed
sufficiently, and can then transfer attention to other speakers or topics.
Occasionally, it is necessary to invoke the prerogative of the chair
arbitrarily to shift the topic to one waiting to be discussed by another
person. In this connection, the chairperson, too, must beware of being
the offender by monopolizing the floor.
The behavior of the chairperson establishes the tone of the ses-
sion. A quiet, thoughtful manner that is respectful and considerate of
others sets a good example. Good humor and receptiveness, too, are
fine attributes to bring to the situation. It is definitely out of place,
however, to harass the student, to take advantage of position, or to
make the student the butt of dubious pleasantries. The way the chair-
person sets the tone of the meeting has a great deal to do with how
everyone will respond.
Probably no one else at the meeting knows the background and
the style of thinking of the student as well as the chairperson. It is
especially necessary, then, that the chairperson be alert to how ques-
tions are asked, to be sure that the student perceives their true import.
From time to time, the chairperson may clarify questions by asking
that they be rephrased or by doing the rephrasing. The same is true
for responses by the student. This can be a very delicate matter, for
few people tolerate well the feeling of being corrected. Also, the
chairperson should not intrude in ways that actually change either
questions or answers.
Overriding all other roles for the chairperson is that of maintain-
ing the focus of the meeting. Few people other than university faculty
members are so easily stimulated to divergent thinking. A meeting
that reviews a proposal for an investigation is an enticing invitation
193Approval of the Overview
to a brainstorm bout that moves farther and farther away from the
main purpose of the gathering. So, the chairperson must hold a firm
enough rein to minimize irrelevant discussion and at the same time
encourage creative consideration of the matter at hand. These items
do not exhaust the functions of the chairperson. They are, however,
some of the salient ones.
(Special note: In some universities, the chairperson is appointed
administratively as a nonvoting committee member simply to convene
and conduct the meeting. In such cases, most of the preceding infor-
mation would apply, although the role functions would be divided
between the chairperson and the T/D advisor.)
Committee Members’ Roles: Individual committee members have
fewer of the overview meeting management tasks to occupy them.
Collectively, though, they carry more weight in the approval of the
study plan than does the chairperson, for approval takes their majority
vote (sometimes unanimous vote, depending on local regulations).
Each committee member is, of course, chosen for particular compe-
tencies. In the end, however, each must voice an opinion on the over-
all merits of the proposal that is up for review. Thus, each committee
member is expected to be familiar with all parts of the potential study.
Committee members can help the process to get under way
smoothly by being on time for the meeting, by bringing with them all
materials they need, and by falling in with the style of the meeting
that the chairperson conducts. It is a reasonable consideration to the
chairperson to spring no surprises. If a last-minute question or prob-
lem about the proposal surfaces, collegial and procedural courtesy de-
mands that the chairperson be made aware of it prior to the meeting
or during the preliminary stages. If the student is involved, as might
often be the case, the committee member and the chairperson should
bring that individual into the matter in a way they decide between
them. The guiding principle is that the student is entitled to a thor-
ough, helpful, professional review of the study proposal, and all ef-
forts should be made to ensure that.
Criticism of either the study plan or of new ideas advanced at the
meeting should be dispassionate and constructive. Animosities occur
among university faculty just as they do elsewhere, and sometimes
those personal differences are fed by conflict over ideas. Committee
194 Chapter 6
members, when they take on the role, accept with it the obligation to
abjure emotionalism. Further, part of the committee member’s role is
to aid and assist rather than to ridicule or denigrate.
Direct physical or technical assistance from committee members
is sometimes needed by the student in the course of the overview
session. It can range from something as simple as help with a projector
in a sl ide display to something as in vol ved as the demonstration of a
complex piece of testing or inst ruc tio nal equipment with which o ne of
the commi tte e is expert. Com mit tee members can put students at ease
and help them to ensure that their proposals are well understood by
offering such assist anc e. It is bes t, of course, if that ki nd of physical
or technical assi sta nce is planned bef ore the meet ing, but impromptu
particip ati on is appropriate and appreciated if the need arises.
Perhaps equal in value to every other part committee members
can play is that of the encouraging consultant. Students often doubt
their own abilities. When a committee member openly expresses con-
fidence in a proposal’s worth and feasibility, even while suggesting
some changes in it, the student’s self-confidence is maintained or ele-
vated. Evidence of another’s confidence can strengthen the student’s
resolve to carry T/D work on to completion rather than become one
of the all too many who do stop at the all-but-thesis (ABT) or all-but-
dissertation (ABD) level.
Finally, any committee member who accepts the role does so
with the understanding that it might be necessary to take over the
chairpersonship. Things can happen that take the chairperson out of
the picture: health problems, changes in jobs, family considerations,
and the like. In such cases, it is usually in the student’s best interests
that someone familiar with the proposal from the beginning act as
chairperson.
Student Participation in the Overview Meeting: This section deals
with two forms of student participation in the overview meeting. The
first is that of the student whose proposed study plan is being re-
viewed. The second is attendance at the meeting by student observers.
Much of what has gone before is relevant for students and for faculty
members alike. Only a few items need to be addressed solely to stu-
dents who are preparing for the approval of the proposals:
195Approval of the Overview
Pay attention to little things. Faulty spelling and punctuation, gram-
matical errors, and incorrect sentence structure can interfere seri-
ously with transmitting the ideas in the overview document, as
can improper collation of pages or tables. Blaming such things
on the typist or the computer does not provide absolution in the
committee’s eyes; it compounds the matter.
Prepare for the meeting. Rehearse the introductory statements to be
made. Ask friends to listen and critique them. Plan what to wear.
Make a checklist of all the material needed at the session. Look
at the room where the committee will meet.
Be rested. Organize the day before and the day of the meeting to
avoid excessively tiring activities.
Share any concerns with the advisor. Schedule a premeeting visit or
phone call to ascertain that all details are in order or can be
arranged.
These four items become second nature to experienced investigators
prior to important conferences at which they will make proposals. For
a student who is just acquiring proposal presentation experience, they
must be attended to consciously.
There seems to be a tendency to open overview meetings to stu-
dents. When this is done, ground rules protect the participants while
giving advanced students the benefit of learning by watching actual
sessions in progress. Reasonable regulations may include
Only the portion in which the student is introduced and the consulta-
tion and discussion takes place is open to observers.
Observation must be with prior consent of the student and the com-
mittee.
No participation or potentially distracting behavior is allowed. Ample
space is provided so the observers are clearly physically sepa-
rated from the meeting participants.
The chairperson (and committee members, if they wish) is available
after the session to interpret what occurred and to respond to
questions and comments by the observers.
In a number of schools, individual faculty members employ simula-
tions to prepare students for overview sessions and for final oral ex-
196 Chapter 6
aminations. These, of course, can be designed to bring out specific
problems for which students should be prepared.
Whether in real life, in observation of real life, or in simulation,
the quality and completeness of the student’s study plan and the stu-
dent’s own academic and professional readiness to conduct the study
are the key matters at issue. These will be revealed in how the student
states the problem at the outset, how the student responds to commit-
tee members during the meeting, and by the nature and degree of
the conditions the committee imposes on approval at the close of the
session.
AFTER THE OVERVIEW MEETING
Above, it was pointed out that the overview session concludes in one
of three ways: rejection of the proposal, approval with conditions, or
unconditional approval. In any of these eventualities, follow-up by the
chairperson and the student is necessary.
Rejection: Rejection is rare. When it does happen, the chairperson
ordinarily makes the reasons a matter of record in a letter that summa-
rizes the committee’s decision. A copy is filed in the student’s record
with the statement in the school’s file. Another copy goes to the stu-
dent. Rejection does not necessarily mean that T/D work must be
abandoned. It may mean that this proposal is not acceptable, but that
another proposal might be. The intent of the committee in this regard
should be explicated in the letter that notifies the student of the rejec-
tion.
Approval with Conditions: By far the most frequent outcome, the
decision of approval with conditions should be discussed in detail be-
tween the advisor and the student. It is most important to establish the
conditions precisely and to make clear what will constitute satisfaction
of the conditions. Often, the student is asked to circulate a brief mem-
orandum to committee members specifying the significant changes to
be made. In most cases, it is advisable to agree on a time schedule,
too, for meeting the conditions.
197Approval of the Overview
Unconditional Approval: Even in the happy case of unconditional
approval, a follow-up meeting of student and chairperson is very de-
sirable. Almost always, there are incidental details that can be clarified
by discussion between the two.
Presumin g that the outcome was positive, the student has reached
the close of one very important phase and is about to sta rt a new one,
the conduct of the study itself. Many of the same principle s that
guided the propos al phase apply also in car ryin g out the investigati on.
The next chapter is devot ed to the operatio nal stage of the T/D. It illus-
trates further applicat ion of the principles just alluded to, plus others.
Formal Topic Approval
Some faculties ask that the topic be presented and agreed to in a regu-
lar faculty meeting prior to the overview proposal preparation and the
formal appointment of a committee. When that is the case, an outline
form like the one in Fig. 6-2 is useful. In some cases, the formal
Figure 6-2 Presentation for topic approval by faculty.
198 Chapter 6
Presentation for Topic Approval by Faculty form includes a statement
about the relevant background of the advisor plus a list of the pro-
posed committee members and the reasons for their selection. If de-
sired, that information can be added to the form shown in Fig. 6-2.
From the student’s perspective, the formal topic presentation has
advantages. It heightens pressure at exactly the point that is crucial:
settling on a topic. It gives the student and the advisor an immediate
objective, in a formal sense, that precedes the preparation of a pro-
posal.
The topic approval ought not be confused with T/D approval.
They are quite separate, with topic approval being a kind of official
endorsement for moving ahead with preparing a T/D proposal. How-
ever, the fact that the school or department approves should be a pow-
erful stimulant. Also, the practice entailed in getting a brief summary
together should prove helpful when writing the full proposal.
A number of instructors who conduct T/D seminars have re-
marked on the value of the type of topic approval form shown in Fig.
6-2. They use such forms to give seminar students guided practice in
putting together topic elements in very short preliminary form. We
encourage students to include this step in personal time line construc-
tion.
SUMMARY
This chapter emphasizes T/D work leading to the approval of the
study plan. The interactions of chairperson, student, and committee
members are highlighted. The purpose of the study plan and the char-
acteristics of an acceptable study plan are pointed out. Eleven items
to be included in every overview approval are listed. It is shown that
assessing their adequacy plus the adequacy of the student to imple-
ment the study constitute the common agenda outline for every over-
view committee meeting. Preferred practices before, during, and after
the overview committee session are described.
7
Conduct of the Study
QUICK REFERENCE TO ANSWERS TO SPECIFIC QUESTIONS
1. How can computers and software be used to help? 201–219
2. What are my obligations to human or animal
subjects? 220–227
3. Are there tips on getting started on my literature search? 206
TIME
Leading researchers discipline themselves when they conduct a study
by setting specific, short-term objectives to be accomplished at given
times. Students can employ that same action principle through the use
of a“todoby...”list (Fig. 7-1). We recommend that students use
the list, or one similar to it, in connection with the time line proposed
in Chapter 1. The list guides movement from one point to the next
one on the time line. Also, it is a convenient place to record and
schedule items on your computer that require attention and might oth-
erwise be overlooked or forgotten. A list of this kind should be rou-
tinely checked and updated every morning or at some other regular
time each day. An advantage of doing it first thing in the morning is
the assistance it gives in setting the day’s schedule.
We put great store on the importance of self-management and
independence of action on the part of the investigator. Advisors are
usually pleased to help students in formulating their goals. It is good
199
200 Chapter 7
Figure 7-1 “Todoby...”list.
to work out the starter list with one’s advisor. Also, from time to time,
it is useful to bring one’s list (and time line) along to a conference
and to review them in the advisor’s company. Self-sufficiency and
self-direction should be an overriding goal for the student. The advisor
wants to see those qualities grow, too. One of the places that personal
autonomy in research conduct becomes most evident is in the careful
use of time.
Time and the Individual
For an individual, time is a limited resource. There is no way to pur-
chase additional time; the amount available is finite. However, it is
possible to use time wisely, to get more out of a given amount of time
than other persons. That means to waste less time.
Our major point is simple: If completing the T/D is a very high
priority, then recognize it and admit that many other profitable and
enjoyable experiences will have to be postponed or missed. Honestly
face the question of commitment. Is the T/D worth all the time and
201Conduct of the Study
effort it will take? If it is, we have some suggestions for using time
wisely and guarding it jealously.
Using and Guarding Time: When the overview is successfully com-
pleted, there is a dangerous tendency to relax and lose momentum.
The approval of the overview is the signal to accelerate, to press one-
self to renewed effort directed at getting on with the study itself. We
have found that the best way to get started is simply to get started. It
is surprising how clever we are in thinking up excuses and rationaliza-
tions, all very plausible and reasonable, for avoiding a start. Often, we
are not even conscious of the tricks we play on ourselves. There is
always something more important, more interesting, more urgent to
do than the act of getting started.
In getting under way again, save your time by using others’ time
when possible. One illustration is in physically preparing the final
copy. Few students are expert enough to justify doing their own. A
professional typist is faster and more accurate and probably knows
more about style and format than students or professors. There are
secretaries at the university who moonlight and who know precisely
the typing requirements and style system of your school and univer-
sity. A few well-directed questions can usually turn up an excellent
person. Preparing a final copy of one’s own chapters usually turns out
to be penny wise and pound foolish.
Students have turned computer technology to their advantage by
using the computers to store typed material in the computer’s mem-
ory, display it for revision at any time, edit it, proofread it, rearrange
it, make insertions and similar changes, import or construct tables and
figures, and prepare contents, footnotes, bibliographies, and other
matters all without committing them to paper until one wishes. With
the help of a skilled secretary, students can save hundreds of hours
while gaining the advantage of almost mistake-proof storage and re-
production in printed form on demand.
Other ways to get help are through the use of graduate student
assistance, fellow students, and university printing, duplicating, and
mailing services. Some of these services can be obtained at little or
no cost.
University libraries offer free or low-cost services that can save
time, such as hard-copy duplication of important documents found
202 Chapter 7
through on-line searches. Libraries also can help with searches, and
they usually provide free interlibrary loan services for important
works. Computer searches of many large databases are often offered
at no cost or for a small fee. For example, the Center for Research
Libraries (home page http://www.crl.uchicago.edu/) is a not-for-profit
consortium of colleges and universities that make available scholarly
research resources to faculty and students of the major research librar-
ies of America. The collection includes over 5 million volumes of
research material that is often unavailable in individual libraries.
ISI Web of Science (http://www.isinet.com/isi/products/citation/
wos/) offers citation reports, documents, proceedings, and news in the
world of science. ISI Web of Knowledge (http://www.isinet.com) of-
fers citation products, such as the Social Science Citation Index, spe-
cialized content, evaluation and analytical tools, information manage-
ment tools, and document delivery.
EBSCO (http://www.epnet.com/) offers biographic and full-text
databases designed to meet the research needs of academic, biomedi-
cal, governmental, and public libraries. It also is a good source for
articles from magazines such as Time and Newsweek.
The Internet Public Library (http://www.ipl.org/) is an initiative
of the University of Michigan School of Information. It offers on-line
texts, Web searching, references, magazines and serials, as well as
newspapers.
Specialists in the library (bibliographers, archivists, reference
specialists, to name a few) are powerful allies and thoughtful and
skillful helpers both in technical and in substantive matters. We urge
students to explain their research ideas and needs to members of the
library staff and to consider them as valuable professional consultants.
Another university service that is often available is advice on the
conduct of the study. To assist with questions relating to research de-
sign, measurement, and statistical analysis, the service staff personnel
and advanced assistants are often made available from the university
research library system or from research departments within the uni-
versity.
Sometimes, this advice is available through an office of the uni-
versity, but increasingly help is available on line, either to the public
or to authorized users at the university. Many of these services are
203Conduct of the Study
offered through the university library system. Some examples are the
University of Minnesota site (research.UMN.edu) and the George
Washington University (gwu.edu/-litrev/). Mark Leone of CMU has a
number of helps for the dissertation process, and typing in his address
(retrieved September 28, 2002, from http://www.2cs.cmu.edu/afs.cs
.cmu.edu/user/mleone/web/how-to.html) leads to valuable links to
other university sites, such as City University of New York, Duke,
Michigan State, Northwestern, Nottingham University (United King-
dom), Ohio State, Purdue, University of California at Los Angeles
(also Berkeley), University of North Carolina, University of Southern
California, Universidad Nacional de Lujan (UNLU) in Argentina (in
Spanish), and the University of Wisconsin. Learner Associates (learn-
erassociates.net) offers valuable guides in English, Portuguese, and
Spanish to assist in the process of writing and defending a graduate
school thesis or dissertation.
Also, in the reference section of this work, there are a number
of entries for research library home pages that offer help and advice
in the conduct of dissertation and thesis writing and research (Florida
Community College, 2001; University of Kentucky Computing Cen-
ter, n.d.; University of Miami Libraries, 2001; University of Minne-
sota Libraries, 2002).
There are also fee-based services that may be worth checking
out. One example is Thesis and Dissertation Advisors—On Call, an
international network of higher education faculty, published authors,
and editors (dissertationadvisors.com). They offer help with editing,
research, proposal development, writing, formatting, statistical analy-
sis, and consulting. Another example is doctoral-dissertations.com,
which provides similar services and even offers a free dissertation
guide. Elfin Forest (elfin.com) strives to provide timesaving software
to students for help in writing, referencing, and statistical needs. An-
other service is the Dissertation Doctor (dissertationdoctor.com),
which provides advice on, among other things, getting started, prepar-
ing the proposal, and boosting productivity.
Using these on-line resources can save you a lot of time and
wasted effort. Also, always ask your research librarian for help in
finding appropriate Web sites, as well as for help in using the re-
sources of your college or university library.
204 Chapter 7
Simulation and Pretesting
Often, the results portion of the study can be written with probable
outcomes or simulated data before the actual information collection
stage, with surprisingly useful consequences in terms of clarity of the
writing, accuracy of the simulations, and the helpfulness of the ques-
tions faced beforehand. If the results chapter cannot be simulated with
projections of dummy data, the question is raised whether the chapter
can be written based on the real facts or opinions one intends to
gather.
Simulation and pretesting are useful to ascertain the relevance of
the proposed data and the adequacy of data-gathering instruments.
One purpose of a pilot study may be to pretest an instrument. The
instrument is pretested for a number of reasons.
First, bugs appear in procedures, especially with newly devel-
oped instruments. If intended for live subjects, use of a small group
like the intended respondents can tell the researcher what may be
wrong with the instrument. If the instrument is for inanimate informa-
tion retrieval, a trial run on real sources can detect defects. For best
pretest results, develop a system to collect and heed the formative
evaluative comments of those who take part.
Second, the data received or simulated in the pretest should
prove conceptually sufficient to respond in some clear way to the
hypotheses or research questions. If not, it is a danger signal. Perhaps
the wrong questions are being asked, the wrong facts collected, or the
wrong subjects used. Whatever the problem, correct or avoid it before
the real data collection phase starts.
Selective Data Collection Advisable
Be parsimonious about the amount of information gathered. The
search for data should be focused and explicit. Students who gather a
mountain of material often end up under an avalanche. The amount
of data should be just enough to deal thoroughly with the matters
raised in the proposal. Selectivity in quantity plus high standards of
quality are sound guidelines.
205Conduct of the Study
Using Available Data
Finally, here is some advice about available data: The world is full
of information, much of it there for the asking. Schools, businesses,
newspapers, government units, health and welfare agencies, labora-
tories, test publishers, archives, stock markets, and many other sources
have been collecting and banking information for years. The material
may be in any form, from very limited, primitive filing systems to
highly sophisticated technology exemplifying the most advanced stor-
age and retrieval capability. Do not waste time generating data that
are already available.
A clinical psychologist we know produced a dissertation based
on the analysis of patterns of responses to dozens of items on an indi-
vidual intelligence test administered to several hundred subjects. It
would have taken two years just to administer the tests if the data
had been generated that way. Instead, permission was obtained to use
existing test records from two large city school systems. That ap-
proach allowed an even more controlled management of the popula-
tion, too, since it could be drawn from the larger universe to suit
specific preset criteria. The data were gathered in two weeks of con-
centrated effort, not two years.
Graduate students are usually well aware of the many sources of
data available in their discipline, and it is not possible to list such a
great variety of sources here. But, it is possible to indicate the riches
of general references on line or on disk, references like the Encyclope-
dia Britannica (www.britannica.com), the Oxford English Dictionary
(OED) on disk and Oxford Reference Online (www.oxfordreference
.com), and the World Book Encyclopedia. Public libraries, in addition
to academic libraries, also provide free access to databases. For exam-
ple, the New York Public Library (www.nypl.org) provides access to
encyclopedias as well as a number of specialized databases. The Los
Angeles Public Library (www.lapl.org) provides access to the OED.
Some other general sites are biography.com, which provides thou-
sands of biographies of famous persons, and the CIA’s (www.odel
.gov) World Factbook, which provides data on almost every country
in the world. The Census Bureau (www.factfinder.census.gov) pro-
vides a wealth of demographic, social, and economic information
206 Chapter 7
about the United States. Links to a number of on-lin e refer enc e sources
are available at nytimes.com, the New York Times on the Web site.
These suggestions are just the beginning. A few hours spent fol-
lowing leads in the university library will turn up a great deal of data
that have been gathered, checked, verified, and published. Use of
available knowledge can have a major impact on the time and energy
devoted to the conduct of a study.
Systematic Data Recording
Accurate, systematic notes are essential to every investigator. Figure
7-2 provides a format with broad applicability. Each individual takes
and uses notes differently, but there are some experience-based princi-
ples that should be considered.
Figure 7-2 Recommended note-taking format.
207Conduct of the Study
Notes can be arranged in various files (we recommend computer
files) and then can be sorted according to categories depending on
current need. After use in one chapter or study, some can be recycled
for later chapters or related studies. A common filing method is alpha-
betical, but one may want to file alphabetically by chapter or within
categories of publications such as journals, books, and newspaper arti-
cles. Notes can also be rearranged into subject areas. In fact, the possi-
bilities are great as long as there is a way to identi fy categories quickly.
Some common codings that scholars use are author, subject, key word,
or identificatio n number written in the upper left-ha nd corner.
The usual way of categorizing notes on a literature search is
alphabetically by author’s last name. This is consistent with many
indexing systems investigators use, such as Readers’ Guide to Period-
ical Literature. Style manuals also commonly require that footnotes,
in-text references, bibliographies, and reference notes be listed alpha-
betically by author’s last name.
Select a Bibliographic Style: Our recommendation is that the refer-
ence and bibliographic style be selected before note taking begins.
Then, the notes will contain the precise bibliographic reference needed
ultimately in the T/D. This reference should be near the top of the
front side of the note. One reason is that the source of the note is then
always at hand. Many of us have taken notes thinking we will surely
remember the source, only to forget it when we finally get around to
using the material. Also, placing the complete, accurate bibliographic
reference in the correct style on notes means that the bibliography is
ready for final ty pin g when that tim e comes . Furthermore, a note should
contain all the information needed for any source footnot e. Try to cap-
ture succinctly the points made, use an outline, and write complete
thoughts , no t a word or two. F ina lly, the notes, properly edited, could
constitu te an annotated bibliogra phy that may prove publishable.
Students should become familiar with the accepted style manual
in their discipline and use it consistently. Knowing the style system
for citations in scholarly papers will save a great deal of time when
preparing papers and reports in graduate school. The APA style man-
ual is commonly used in the social and behavioral sciences. The APA
home page (http://www.apa.org) will help writers in understanding
208 Chapter 7
and using APA style in writing papers and articles. There is also help
(APA, 1999, 2001) on how to format references, citations, headings,
statistics, tables, and Internet citations. An excellent text publication
to help new writers is Mastering APA Style: Student’s Workbook and
Training Guide (Gelfand and Walker, 2001).
Read the first and last part of the work first, unless it is clear
beforehand that the work is central to the study. The most relevant
material for notes can often be found at the beginning and end of the
cited work. Many scholarly journals require an accurate and detailed
summary at the beginning of a journal article. If the main ideas are
noted in outline form, they can be summarized without fear of repeat-
ing material verbatim from another author—assuming, of course, the
proper credit is given in the text. Putting page numbers next to ideas
on the note is a helpful practice. In footnotes or in-text references, it
is proper to refer the reader to a specific page in the cited work. If a
thought simply must be quoted on the note, be sure to include the
page number and to use quotation marks. Following these rules helps
avoid bad writing habits as well as ethical problems with regard to
the use of the work of other authors.
We list the call number at the top of the note when we have used
a library reference. One is always surprised, usually unpleasantly, at
the number of times it is necessary to return to the same work in the
course of writing. The call number will save hours of time.
Some investigators expand their category-filing scheme by print-
ing or photocopying the notes and filing copies in different ways, even
using them in different, but related, studies.
These ideas are also applicable to notes on which other types of
relevant material can be recorded. Information about subjects in a
study, such as test scores and socioeconomic data, can be recorded
and even number coded to preserve confidentiality. With such data,
subgroups of subjects can be identified and quickly pulled from a
large computer file or files, and needed data can be obtained directly.
Such handy, informative recording can be developed for many differ-
ent units of measurement or classes of information.
Computers have opened opportunities for keeping notes, files,
and records in an orderly way on a disk. All that is said above can
209Conduct of the Study
be applied to computerized notation, and portable computers make it
possible to take notes on site at a library or other data source.
Computers are an excellent tool for searching, reviewing, and
storing data for notes. Databases can be searched by computers. Such
searches use search strategies that often depend on the intersection of
key words. For example, if one were studying German colonial influ-
ence on Papua New Guinea, key words might be Papua New Guinea,
colony, Germany,orcolonial history.
Researchers who do their own database searches can quickly
find out if the strategy turns up references and, if so, how many. If no
references are found, then one can immediately try other likely key
words—in this case, for example, New Guinea, German colonialism,
World War I, Germans, and so forth until a hit is made.
Focus the Search: Computer searches vary. Some will show titles,
authors, and subjects. Others, such as ERIC, also provide annotated
references. Thus, one can quickly peruse the screen to determine the
relevance and usefulness of what has turned up. This ability to screen
references quickly is critical if the problem is not a lack of references,
but a surfeit of references.
Too many references may mean that the search strategy is too
broad or the parameters are poorly defined. Too many references can
also mean that the topic is too broad. Some researchers find that
expressing research interests in terms of questions helps guard against
reference overload. Looking for answers to specific questions rather
than general information on a topic can narrow the scope of a
search.
Outline and File: Once the search is narrowed to the most useful
and relevant citations, they and their abstracts become candidates for
notes and possibly for the literature review. The data may be imported
to your own computer by importing a data file. Otherwise, a hard
copy of the citations is printed and can be entered in the researcher’s
computer file either by keyboard or by a scanner or be filed in paper
copy.
However entered in the computer file, a system can be devised
to make access to a large amount of data possible. One way is to think
210 Chapter 7
of the note card system and, in a sense, emulate it. For example, use
your outline software to create an outline of your project (e.g., your
paper, overview proposal, or review of the literature). Making an out-
line forces you to think through what you want to say logically. The
software will carry you through step by step. You will arrange mate-
rial in orderly fashion, grouping related topics and establishing a sub-
ordinate and superordinate relationship if appropriate. In general, you
will arrange your ideas in some rational relationship (e.g., chronologi-
cally, inductively, deductively, or in conformance with a classification
scheme accepted by your discipline). A common outline system looks
like this:
I.
A.
1.
a.
(1)
(a)
i)
a)
There are Web sites that present outline samples and assist the
student in developing outlining skills. For example, Purdue University
Online Writing Lab (http://owl.english.purdue.edu) has sample out-
lines; information about writing research papers; search engines;
search helps; help with grammar, spelling, and punctuation; reference
materials and resources; and professional writing aid.
Once you have an outline, you can create a program folder or file
and name it for each part of the outline, then fill the file with sentences,
notes, paragraphs, and thoughts that you want in that section of the
outline. Eventually, the file will become the prose file, fleshing out the
outline—perhaps a subpart of a chapter with its own heading.
We wrote elsewhere about breaking up a chapter with major and
minor headings to make it easier to read and to help guide the logical
thought flow. Consider that each heading in an outline could be the
name of a file, and the headings that are grouped together in your
outline could be a chapter. The headings (computer file names) that
make up your chapter could then be grouped in a logical sequence to
211Conduct of the Study
make up a directory in your program, and the directory could be
named for the chapter (e.g., Introduction or Chapter 1). The example
of an outline above is an appropriate size for a chapter. The files that
make up the directory would then be about the right size for the pur-
pose of working on them—to add, delete paragraphs, move, import,
replace, cut and paste, and so forth.
You can use the Internet to find examples of outlines that may
help you think through the contents of a dissertation or thesis pro-
posal. A simple way to find outline help is to enter outline (outlining)
or outlining skills into a search engine (e.g., google.com) and find a
site like ActionOutline (www.greenparrots.com). This is software that
lets you organize your bits of information in an outline form. This
software is for sale, but there is a free trial download.
As you fill in the outline with information, some of the material
will need a citation. Word-processing programs can help you mark
the text where the citation belongs, allow you to enter the citation,
and even display the citation on the page or at the end of the file.
Some programs will even help you display the citations in an alpha-
betized list of references in any common style format you choose (for
example, EndNote, Reference Manager, ProCite). Trial versions are
available at the ISI Researchsoft home page (retrieved May 19, 2002,
from http://www.isiresearchsoft.com/).
Another useful feature of some word-processing programs is
the document summary. This makes it easy to find material when
working on a large paper such as a thesis or dissertation. Each file,
no matter how large or small, can have a summary prepared by you
that pops up when you ask for it, briefly listing the file name you
gave it, the date, author, and comments that you insert to identify and
summarize the file briefly. This is a very quick way to find pieces of
a large document scattered among hundreds of files, some of which
you created years ago and perhaps have forgotten, but still are impor-
tant to keep. This summary is hidden in the document until you ask
for it, and it does not print out with the document on file or hinder
you from working on the document whenever you wish.
Writing-Aids: Finally, software programs can help you write cor-
rectly. They will check your spelling against a word list of tens of
212 Chapter 7
thousands of correctly spelled words. You can add words to the list,
and programs will also check grammar and make suggestions for im-
provement. There is also a thesaurus, which helps you find an appro-
priate phrase as you are writing, and it provides synonyms and ant-
onyms for thousands of common words, not only providing you with
choices, but also defining words when you are not sure of their
meaning.
Writing and Presenting Your Thesis or Dissertation,byS.Joseph
Levine of Michigan State University (http://www.learnerassociates
.net), was created to assist the author’s graduate students in thinking
through the many aspects of crafting, implementing, and defending a
thesis or dissertation. It is an 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 looks
at many of the quasi-political aspects of the process. Such topics as
how to select a supportive committee, making a compelling presenta-
tion of your research outcomes, and strategies for actually getting a
paper written are discussed.
Above, we suggested using a secretary who really knows the
system to do the final document. The cost may well be less if you can
provide a disk with your overview or T/D on it, already prepared,
even in rough form. And, if you are really interested in seeing how
close you can come to the perfect document, you can set all the mar-
gins and spaces required by your university for the T/D; generate a
table of contents from your chapter headings and subheadings; and
generate footnotes, reference lists, and bibliographies, alphabetized
and correctly formatted. Many who begin to work with a word-process-
ing program get so interested, and so good at it, that soon they are
turning out documents that appear to be prepared professionally.
COMPUTER USAGE
Some of the growing number of uses of computers in T/D studies are
for planning; for data collection and filing; for literature searches; for
data analysis; for instrumentation in certain educational, psychologi-
cal, business, and management research; and as the substantive con-
tent of research in such professions as library and information science
213Conduct of the Study
and engineering. One important use of computers in the research con-
text is to search the literature related to a given topic.
University research libraries, and thus the university community,
have access to thousands of databases. Most are available without cost
to students through the library’s on-site license. Even if this is not so,
often the vendor offers a free trial for perusal. An example would be
LexisNexis (http://www.lexisnexis.com/), which provides publica-
tions on line in the fields of law, public records, company data, gov-
ernment information, and information from academic and business or-
ganizations. It has a searchable directory of on-line sources.
ERIC (http://www.eric.ed.gov), sponsored by the U.S. Depart-
ment of Education, is a bibliographic database of education literature
consisting of two files, Resources in Education and Current Index
to Journals in Education. Resources in Education covers documents,
consisting of research reports, curriculum and teaching guides, confer-
ence papers, and some books. Current Index to Journals in Education
covers published journal literature from over 700 publications in the
field of education. ERIC is free to users.
H. W. Wilson (http://www.hwwilson.com/) offers an informa-
tion retrieval system for the World Wide Web, including search tools
to access records in science and technology, art, corporate data, and
full-text article-form journals in the general sciences, social sciences,
and humanities.
Universities usually have their own guides and policies for liter-
ature review. Be sure to check your university’s guides and require-
ments with regard to literature review before investing too much time
in your draft. Once you have done that, you can find a lot of informa-
tion on-line that will be helpful.
By typing literature review in the search engine, you can find a
wealth of Web sites that will give you ideas, directions, and examples
of literature reviews. One example is the University of Toronto Health
Sciences Writing Centre’s section, “Writing a Literature Review in the
Health Sciences and Social Work” (retrieved August 23, 2002, from
http://www.utoronto.ca/hswriting/lit-review.htm). This site explains the
objectives and skills of the literature review, and it has “Questions to
Ask Yourself About Your Review of Literature” and “Questions to Ask
Yourself About Each Book or Article You’re Reviewing.”
214 Chapter 7
Another site, at George Washington University (retrieved Au-
gust 24, 2002, from http://www.gwu.edu/~litrev/), provides tools for
preparing scholarly reviews of the literature. This Web site is helpful
in teaching how to use research literature from the social sciences in
a scholarly and professional manner. It is intended for master’s and
doctoral degree students in all the social sciences, although particular
emphasis is given to the fields addressed by George Washington Uni-
versity’s Graduate School of Education and Human Development.
This site includes advice on the following:
1. Searching for research literature efficiently, finding what you
need quickly, finding the full text on line when available, and
avoiding an avalanche of irrelevant references.
2. Assessing individual reports of research literature to determine
whether their findings and conclusions should be relied on or are
likely to be misleading.
3. Integrating the various studies on a topic to make the best assess-
ments of what is known about the topic, to identify promising
future research, to improve conceptual frameworks for research,
and to determine the advantages and disadvantages of previously
used methodologies.
UMI Dissertation Abstracts (www.lib.umi.com) lists doctoral
dissertations and master’s theses in all fields. UMI/ProQuest Digital
Dissertations is one of the most authoritative databases for informa-
tion regarding doctoral dissertations and master’s theses from over
1000 graduate schools and universities. Coverage of dissertation infor-
mation began in 1861 with only reference citations. However, since
1980 it has included searchable abstracts of doctoral dissertations and
since 1988 has carried abstracts of theses. Full texts of more than 1
million dissertations and theses can be ordered in paper or microfilm,
and some are available for free download.
Dissertationsandtheses.com (www.dissertationsandtheses.com/)
provides a searchable database of research papers. This Web site lists
more than 25,000 research papers, experimental studies, and examples
of entire theses to review, download, and possibly cite in your own
thesis or dissertation.
215Conduct of the Study
If you want to find literature review examples on the Internet,
try typing literature review or literature review example combined
with your field of interest into the search engine (e.g., altavista.com,
google.com, or overture.com). Many disciplines and fields of interest
can be found using this strategy.
Another source of information is the multitude of mainframe list
servers related to various fields. The research librarian is the best
source of help in finding what you need. For example, there is a list
directly related to higher education, with categories such as academic,
administrative, and student. There are many listserv addresses in each
category. A related subject listserv (http://www.gseis.ucla.edu/heri/
journal.htm) lists journal articles using CIRP (Cooperative Institu-
tional Research Program) data on college students. Such lists are often
searched by research librarians and are made available to the univer-
sity community through the library system’s home page.
The home page of other organizations may also offer a great
deal of information to the dissertation writer. For example, there is
the Library of Congress home page (http://www.loc.gov/homepage/
1chp.html), which provides access to legislative information, copy-
right forms and information, and the library catalog.
Another illustration is the publishing system of the National Sci-
ence Foundation (NSF). This offers convenient, fast, and often free
access to NSF publications, which includes a broad array of investiga-
tive studies, research reports, and policy papers. There are a number
of ways to access the system, and NSF encourages electronic dissemi-
nation of its documents. The home page (http://www.nsf.gov) pro-
vides access to publications available in electronic format. This sys-
tem allows you to search by document type, NSF publication, form
number, or key word. There is also a customized news service, which
allows you to receive NSF information on a periodic basis. This is an
E-mail and Web-based alert service. For those unable to download
documents, many publications can be sent electronically via E-mail
(getpub@nsf.gov). Although many NSF publications are available
only in electronic format, some may also be ordered in hard copy by
mail.
The examples above are a sample of what is available. New sites
216 Chapter 7
come on line periodically. Ask your research librarian for help, and
be specific about the thesis, honors paper, or dissertation topic you
wish to research. In addition, search a topic yourself. There is no sub-
stitute for spending hours on your computer following leads, opening
new searches, and trying new search engines to find information on
your research topic.
An extension of the database search is the search of material on
CD-ROM. These disks are attractive to libraries because they can
store an enormous number of pages of printed material on one disk.
In addition, these disks can store the database material, thus providing
the search and retrieval capability of an on-line database without the
on-line connection to a remote location. The disks provide the same
retrieval methods and search strategies that are used in the counterpart
remote database search. With a printer connected, a disk search can
result in a printed bibliography or list of reference notes. ERIC, Psy-
chological Abstracts, and Dissertation Abstracts International, among
others, are available in disk form.
These forms of searching the literature not only are faster, but
they can, at times, search literature not otherwise indexed, or at least
not indexed in a form easy to find. As newer search techniques be-
come more widely available, research libraries are dropping the
printed form when it is duplicated by the library’s purchase of a disk
or on-line database search service. Thus, the researcher will be forced
to learn to search via computer.
Another innovation of importance to the researchers is the on-
line library catalog. Universities have now developed such catalogs,
and students and faculty now have access to the library’s holdings via
computer terminals. Usually, the libraries themselves have terminals
permanently connected to the on-line library catalog, and the catalog
may be searched by title, author, or subject, with step-by-step instruc-
tions provided on the terminal screen.
Some systems allow for truncation, enabling the searcher to re-
trieve references to a word in its singular, plural, or other variant
forms. Consulting often with reference librarians will prevent a stu-
dent from concluding that everything has been found that there is to
find when good material may have been missed.
217Conduct of the Study
All catalogs have limitations. It should not be assumed that all
the holdings of a library, with bibliographic information, are in the
on-line catalog. In summary, searching the catalog by computer is fast
and convenient and can give the researcher a good overview of what
is available in the library and where. It is often possible to print a
copy of a search.
Computer-Aided Data Collection and Analysis
For observational research, there are software packages for collecting
and analyzing data on behavior or events. Operating on site with a
laptop computer, there are programs that allow the researcher to col-
lect and store data as it appears. The same software can then generate
frequency and duration tables and reliability tables and summarize
what has been done. Part of the package is also an analysis program
able to produce event analyses, time-based analyses, interactions be-
tween them, plus others. Moreover, tables created are ready to be im-
ported into programs like SPSS-PC or SPSS-X for additional analyses.
University research libraries often have Web sites that will help by
making these programs available and by walking the client through
the calculations. An excellent example of a university Web site that
does both is that of the University of Minnesota. It also has links to
additional assistance, such as Bill Trochim’s Web site (Stempner,
2001; Trochim, 2002).
To search for appropriate software, one can also use search en-
gines such as Yahoo, AltaVista, or Google. For example, the Associa-
tion for Survey Computing home page (http://www.asc.org.uk/) leads
to more than 170 software packages with attributes and suppliers and
has a built-in search faculty. Information includes statistical design,
design analysis, sample size in survey research, multilevel statistical
models, and survey sampling routines. You can also search for appro-
priate software using search engines and entering buyer’s guide and
choosing Internet software. These sites often assist the user in the
statistical computation and provide an array of computational options.
Some have links to other sites for data analysis.
By inputting analysis of data or data analysis in search engines,
you can find software for data treatment, such as the Internet version
218 Chapter 7
of The Data Analysis BriefBook. The BriefBook is a condensed hand-
book (or an extended glossary) written in encyclopedic format; it cov-
ers subjects in statistics, computing, analysis, and related fields. It
strives to be both an introduction and a reference for data analysts,
scientists, and engineers (retrieved September 26, 2002, from http://
rkb.home.cern.ch/rkb/titleA.html).
Another example is SDA (Survey Documentation and Analysis;
retrieved September 26, 2002, from http://csa.berkeley.edu:7502/).
SDA is a set of programs for Web-based analysis of survey data.
There are also procedures for creating customized subsets of data sets.
This set of programs is developed and maintained by the Computer-
Assisted Survey Methods (CSM) Program at the University of Cali-
fornia, Berkeley.
Try also the Dismal Scientist (retrieved September 26, 2002
from http://www.economy.com/dismal/). There are free economic
data and analysis (regional and national) of the U.S. economy by na-
tionally recognized economists.
The Bureau of Economic Analysis (retrieved September 26,
2002, from http://www.bea.doc.gov/) examines national, international,
and regional economic data and includes survey forms and employ-
ment information.
On-line survey and on-line data collection are also available by
typing on-line survey or on-line data collection in a search engine.
Some examples of what is available are the Web-based survey soft-
ware of ObjectPlanet (objectplanet.com). ObjectPlanet offers Sur-
veyor, Web-based survey software that can produce and publish sur-
veys on the Internet and allows instant publication of on-line surveys,
reports and analyses.
Another example is the PsychData.net Online Data Collection
Made Easy (retrieved September 26, 2002, from http://www.psychdata
.net/). PsychData.net is specifically designed to help faculty, students,
and social science researchers conduct on-line surveys and academic
research in a professional environment.
Finally, there is AskThemOnline (retrieved September 26, 2002,
from http://askthemonline.com/). This service collects data from as-
sessments, surveys, or any on-line form via the Web. The software
can then be placed on a local server, and information collected is
219Conduct of the Study
stored in csv (comma separated value) format and therefore is avail-
able for spreadsheets.
USE OF PRIVATE INFORMATION
Confidentiality
To obtain data, it is often necessary to promise confidentiality. This
is a serious promise; breaking it is an inexcusable breach of ethics.
We recommend several procedures to maintain and safeguard confi-
dentiality of data. First, if possible, collect data anonymously. Second,
roster data by number rather than name; destroy names and their con-
nections with data as soon as possible. Third, if data are gathered by
questionnaire, the questionnaire can be destroyed, returned, or identi-
fying information cut out as soon as there is no further need for it.
Fourth, keep sensitive files out of sight and under lock.
Internet Privacy
When an individual computer owner visits a Web site, that visit may
activate, plant, and store a signal in the hard drive of the user’s PC.
The Web site’s owner or agent may then locate and enter the visitor’s
PC and retrieve information by retracing the stored signal, all without
the knowledge or permission of the visitor. That information may then
be used or sold to advertisers or others without the true owner’s
awareness or consent.
No protection exists against information harvesting by Web site
operators. Growth in the market for personal data about Internet users
parallels the steady proliferation of Internet shopping and junk E-mail
sources (Hafner and Lyon, 1996).
We caution researchers to store personal, confidential, and privi-
leged information so that it cannot be accessed surreptitiously.
Obtaining Needed Permission
Permission is needed in many areas of proposed T/D research. It is
not a simple concept; check, if in doubt, with the research advisor
concerning the need to ask permission concerning the specific materi-
220 Chapter 7
als to be used or steps contemplated. The need to request permission
may stem from custom, common courtesy, or legal rights. Whatever
the source, ask permission when in doubt. Some important areas for
which a need to obtain permission exists include
1. Permission to use children or persons incarcerated or under
guardianship as research subjects, including permission to contact
such individuals as jailors, physicians, employers at a business,
teachers or principals, or armed service personnel or to gather
data systematically in work, recreation, health care, and education
settings for research.
2. Permission to use instruments for data-gathering purposes if such
instruments were designed or developed by others, whether such
instruments are copyrighted or not, unless in the public domain.
3. Permission to examine, for research purposes, personnel records,
student records, and other records containing personal data when
such data are not part of the public domain and therefore open to
everyone.
4. Permission to use long passages, charts, tables, and other material
from the work of others, whether copyrighted or not, unless such
material is in the public domain or unless blanket permission to
use it, or reproduce it with credits, is printed on the material in
such a way as to indicate that the author and publishers intend
the material to be used freely.
Permissions should be obtained in writing, should specify their
purposes and limits, and should be signed by a person in authority. A
useful procedure is to send a letter to the responsible individual with
a copy to countersign and return; with the letter should contain the
simple statement: “The permissions requested in the above letter have
been granted.” This, signed and dated, can be valuable insurance as
well as a “pass” for use with individuals who have direct custody of
the persons, records, or materials to which access is needed.
OBLIGATIONS TO HUMAN SUBJECTS
Researchers have obligations to protect human subjects in their re-
search and to report on their procedures to do so. Because these obli-
221Conduct of the Study
gations are legal and bureaucratic, one may at times forget that they
are also ethical in nature. Thus, a bit of historical context is in order.
Historical Context
Moral principles of civilized peoples and nations have for centuries
contained general prohibitions against harmful experimentation on hu-
man beings. Although the moral issue may not be new, it burned itself
anew in the consciousness of civilized persons during the Nuremberg
Trials after World War II. In the transcripts of the trials, we find testi-
mony that human beings in Auschwitz and elsewhere were put
through agonizing and maiming experiments (and eventually killed)
while under the control of physicians who claimed to be doing medi-
cal research. Out of this horror came a number of steps to attempt to
prevent a recurrence, including the Declaration of Helsinki (as cited
in World Medical Association, 1964); it contains specific guidelines
for physicians doing research on humans.
While America shared in the horror of the concentration camps,
most in the United States saw the medical research issues as distant
ones, not actually touching our lives. However, in 1972 when the
Freedom of Information Act opened certain government files, the pub-
lic learned for the first time of the Tuskegee Study in 1932. At that
time, the U.S. Public Health Service began an experiment on 399 men
in Macon County, Alabama. The subjects were black, poor, and semi-
literate. The aim of the experiment was to track the effects of syphilis
on untreated black males. To encourage participation, the subjects
were led to believe they were being treated, but in fact they were not.
Their symptoms were recorded at periodic physical examinations, and
autopsies were performed after death (Jones, 1993).
Gradually, U.S. governmental and professional bodies took more
seriously the notion that policies were needed to govern the practice of
research, with special emphasis on the ethical requirements of doing
research involving human subjects. No doubt outrage at the Tuskegee
experiment played a role in the increasingly strict regulation of re-
search on human subjects that developed in the 1970s.
Another experimental study that brought to the attention, espe-
cially of the academic community, the need for guidelines was the
222 Chapter 7
famous Milgram study, described in the Journal of Abnormal and So-
cial Psychology in 1963. Although the Milgram study has many de-
fenders as well as detractors, the study is noted here not to take sides
in the argument, but because it contributed to the enlargement of the
arena of debate. After Milgram, it became clear that not only medical
research needed regulation, but also other scientific and academic re-
search.
By 1982, the American Psychological Association published its
Ethical Principles in the Conduct of Research with Human Partici-
pants, the Society for Research in Child Development issued a state-
ment on “Ethical Standards in Research with Children,” and the
American Educational Research Association published a strong edito-
rial in the February 1973 issue of Educational Researcher calling re-
searchers’ attention to the need for ethical guidelines.
During this period, agencies of the U.S. Department of Health,
Education, and Welfare (HEW) issued regulations requiring increas-
ingly strict review of research proposals when federal funds were re-
quested. By 1974, the National Research Act extended such reviews
to all research on human subjects if done at institutions that had HEW
research funds. By 1978, the recommendations of the National Com-
mission for the Protection of Human Subjects of Biomedical and Be-
havioral Research were published in the Federal Register, and after
comments were received, the secretary of HEW published a proposed
list of recommendations in 1979; after extensive dialogue, final regu-
lations were published in 1981. For more detailed information on fed-
eral guidelines and regulations for protection of research subjects,
refer to federal policies effective December 13, 2001 (http://ohrp
.osophs. dhh s.go v/humansu bjects/guidance/45cfr46.htm; retrieved May
19, 2002).
While federal regulations apply to DHHS grants, in effect they
have encouraged universities to set up committees or boards to review
all research involving human participants; the research includes the-
ses, dissertations, class projects or assignments, nonfederally funded
research, and institutional research. University home pages often have
information about their policies, guidelines, forms, and training ses-
sions. Examples are those of the University of California at Los
Angeles (http://www.ucla.edu/), Stanford University (http://www
223Conduct of the Study
.stanford.edu/), and the University of Minnesota (http://www.umn.edu/).
These home pages were reviewed on May 19, 2002.
There are good reasons for this extended coverage. First, if the
regulations are appropriate in federally funded research, then logically
they should apply equally when the funds come from some other
source. Second, if inappropriate procedures entail legal liability for
the student, the advisor, and the university, that liability would appear
to remain whatever the source of funds. Third, with respect to T/D
research or any other research done by students, training and insis-
tence on proper and ethical procedures would seem to be an essential
part of any university program.
Procedures for Review of Proposed Research
with Human Subjects
The first decision a researcher must make is whether the proposed
research must be reviewed under university human subject guidelines.
Research not subject to review by this procedure would be research
that is not concerned with human subjects—for example, an examina-
tion of texts for readability levels, research confined to historical doc-
uments (such as a history of the Harmonist Society of the 19th cen-
tury), or research that is restricted to library resources or the use of
publicly available documents on or about humans. Note, however, that
research using data on human subjects does constitute research involv-
ing human subjects and, although possibly involving minimal risk, is
subject to the review process (Pincus et al., 1999).
Under the DHHS regulations, each institution is required to set
up an institutional review board (IRB) to review research for human
subject protection. The IRB has two purposes: first, to ensure that a
system of continual review and safeguards will be maintained and,
second, to ensure that responsibilities will be discharged for protecting
the rights and welfare of human subjects of research conducted at or
sponsored by the institution, regardless of the source of funding.
Several IRBs may operate at an institution; for example, one for
the social and behavioral sciences and another for medicine, but each
must follow careful written procedures, spelled out in the DHHS regu-
lations. These regulations also permit expedited reviews by IRBs, re-
224 Chapter 7
views designed for certain kinds of research involving no more than
minimal risk and reviews for minor changes in already approved re-
search. Expedited reviews are designed to be faster and less detailed
and to require less complicated and lengthy documentation than full
reviews.
Researchers are encouraged to study the regulations promulgated
by DHHS, as well as their own university’s regulations for full expla-
nation of the requirements of the various reviews. Such regulations
should be readily available in several places, including the library, at
any research university or institution.
The IRBs also oversee the protection of human subjects in an-
other category of research: exempt. Exempt research is the category
most likely to apply to T/D research. The concept of exempt research
does not imply that such research is exempt from review or regulation,
but rather that such research is so benign, so nonintrusive, and so
commonly accepted that there is little risk of harm to subjects if
proper procedures are followed. Examples would include research
conducted in established or commonly accepted educational settings,
involving normal educational practices; research involving survey or
interview procedures; research involving the observation of public be-
havior; and research involving the collection or study of existing data.
Exempt research at institutions is usually reviewed by subunits under
the general supervision of the IRB. Even exempt research must con-
tain provisions for the protection of human subjects.
Under certain conditions, T/D research that might otherwise ap-
pear to be exempt research can take on additional risk when involving
human subjects. Examples include research involving children, pris-
oners, or incompetent adults; research involving deception; and re-
search that records responses or observations that, if they become
known beyond the researcher, could reasonably place the subject at
risk of criminal or civil liability or damage the subjects’ financial
standing or employability. Again, it is our advice to refer to competent
authority and to the federal and institutional regulations for guidance.
The concept of informed consent applies to any investigation
involving human participation. Informed consent means the exercise
of free power of choice on the part of the human participant, without
225Conduct of the Study
coercion, deceit, promise of future benefits, or other forms of influ-
encing the participants to act against their better judgment.
Informed consent is one of the most important aspects of neces-
sary permission in the conduct of studies that involve human subjects.
Past abuses, chiefly in medical or psychological investigations on hu-
man behavior or disease, have resulted in a fresh look at the issue.
This is why research institutes and higher education institutions now
commonly require that all research on human subjects be approved in
advance by an institutional review board or ethics committee.
Humans subjected to research procedures have a right to know
what the procedures are, what the purpose of the research is, the risks
and benefits (if any), and costs and payments (if any), and they have
the right to refuse or end participation. The subject has the right to
know if the results of the study will be published and to what extent
information will be treated confidentially.
The subject also has a right to know what will be done with data
after the research is completed. If the subject is receiving some bene-
fit, it should be clearly stated that the benefit will not be withdrawn
or changed because of refusal to participate or withdrawal from partic-
ipation in the study.
Formal, signed consent forms, when appropriate, should be sub-
mitted with the T/D proposal. Human subjects have a right to a copy
of their signed consent form.
In some cases, separate signed forms are not needed, as in cer-
tain mail surveys or personal interviews for which the subjects are
competent adults who are evidently fully free to refuse participation.
In such cases, the respondent, as long as he or she is fully informed,
may be presumed to indicate consent by returning the survey or by
responding to questions from an interviewer. This concept of pre-
sumed consent depends, however, on the provision of enough infor-
mation to the subject that tests for informed consent can be satisfied.
For example, one would want to tell the respondent who the re-
searcher is, the purpose of the research, the provisions to protect ano-
nymity if anonymity is promised or implied, the degree of confidenti-
ality with which the data will be treated, how the data will be used,
the plans for publications resulting from the study, what will happen
226 Chapter 7
to the data after the study has been completed, and a description of
the voluntary nature of the responses.
Federal agencies, notably the Department of Education and the
Department of Health and Human Services, as well as professional
organizations such as the American Psychological Association have
promulgated formal statements and guidelines for both practitioners
and researchers. These are periodically updated, so it is advisable that
students, professors, librarians, and administrators be alert to the most
recent views of such significant groups on this important matter.
An example of an informative home page that deals with human
and animal subjects is the one maintained by the Office of Human
Subjects Research (OHSR), National Institutes of Health (NIH) (http://
ohsr.od.nih.gov/). There is also the Office for Human Research Pro-
tections (OHRP), formerly called the Office for Protection from Re-
search Risks. OHRP is organizationally located in the Office of the
Secretary, DHHS. OHRP is charged with interpreting and overseeing
implementation of the regulations regarding the Protection of Human
Subjects codified at Title 45, Part 46, of the Code of Federal Regula-
tions (45 CFR 46) promulgated by the DHHS. Also, OHRP is respon-
sible for providing guidance on ethical issues in biomedical and be-
havioral research.
The difference between the OHSR and the OHRP is that the
OHSR’s activities are limited to the Intramural Research Program at
the NIH, while the OHRP has oversight and educational responsibili-
ties wherever DHHS funds are used to conduct or support research
involving human subjects.
The U.S. Department of Energy, Office of Biological and Envi-
ronmental Research site (retrieved September 26, 2002, from http://
www.er.doe.gov/production/ober/humsubj/) is also informative. The
goal of the Human Subjects Research program at the Department of
Energy is to ensure that the rights and welfare of human research
subjects are protected while advances in biomedical, environmental,
nuclear, and other research continue to lead to discoveries that benefit
humanity.
The University of Minnesota Research Subjects’ Protection Pro-
gram site (retrieved September 26, 2002, from http://www.research
.umn.edu/subjects/) explains the function of the research subjects’
227Conduct of the Study
protection program. It reviews all research, including human (IRB) as
well as the work of the Institutional Animal Care and Use Committee
(IACUC).
ANIMAL SUBJECTS IN RESEARCH
The use of animals in research has attracted increasing attention from
individuals and groups concerned about animal welfare. To a certain
extent, this movement has paralleled the heightened interest in the
rights of humans who participate in studies as subjects.
Obviously, animals are unable to assert their views or prefer-
ences as readily as humans. Further, they lack any direct recourse to
legal protection.
Yet, common decency and respect for all forms of life are distin-
guishing characteristics of human civilization. So, it should not be
surprising that researchers are expected to be attentive to the health
and welfare of any animals, from primates to mice, with which they
work.
Universities and other centers that do research that involves ani-
mals ordinarily have well-defined policies and practices covering such
work. An Institutional Animal Care and Use Committee (http://www
.iacuc.org/) monitors compliance with federal, state, and local laws
and regulations. Students whose plans for T/D work might involve
using animals, even in the most casual way, should become fully fa-
miliar with the IACUC of the institutions and publications of the
IACUC.
MATERIAL AID FOR STUDENT RESEARCH
Significant changes in support for student research have been in prog-
ress in the second half of the 20th century. They were accompanied
by equally significant alterations in how research is conducted. Both
the changes in funding and procedures have important implications for
student research (W. G. Bowen and Rudenstine, 1992; CGS, 1990b).
1. Projects have become larger and more complex. For instance,
some have subject samples as large as 5% of all the nation’s
228 Chapter 7
youth of given ages. As projects become more complicated, they
involve more variables and more styles of data analysis.
2. A research team is more often used as opposed to a single re-
searcher. A staff of 5 to 10 persons is not uncommon on one
investigation. The principal investigator of a major project de-
votes increased time to management and administration, with
less time for direct research.
3. Two or more institutions may form a consortium to conduct one
study.
4. Investigations frequently extend from three to five years and
sometimes longer.
5. An increasing proportion of research is developmental, case
study, evaluative, historical, and survey in contrast to experi-
mental.
6. The cost of individual studies has mounted, often being in ex-
cess of a million dollars.
7. Universities, corporations, pension systems, unions, defense de-
partments, school systems, health agencies, and state social ser-
vice agencies have established offices to facilitate the search for
funds to support studies. These agencies maintain central ac-
counting staffs to monitor the use and flow of research funds.
8. In universities, the proportion of faculty members with “re-
search” prefixed to their professional titles has increased, creat-
ing a faculty subculture distinguished by being outside the tenure
stream and carrying few teaching or student advisement respon-
sibilities.
9. More graduate students are supported in their advanced studies
by working on research studies conducted by faculty members.
10. Funding agencies set and publicize substantive and methodolog-
ical priorities for the research they will consider supporting.
They also usually require that proposals, progress reports, and
final reports be prepared in a prescribed format.
11. Sites often are scattered rather than centralized. Agricultural
schools, churches, hospitals, libraries, highways, laboratories
and other research locations distant from one another frequently
contribute data and research talent to the same project.
229Conduct of the Study
12. Authorship of reports is increasingly multiple, with consequent
spread and dilution of individual responsibility for both facts and
interpretation of results.
The total amount of money available for research related to the
academic disciplines and the professions tends to increase gradually.
This means that every year new money is added from public and pri-
vate sources to that already available. Also, the 12 points just stated
constitute important parameters with respect to the flow and the utili-
zation of that money. T/D advisors and students face the challenge of
finding ways to tap into that potential wellspring of support. Any
probes made in the major stream of funding need to start with two
qualities: a focus on a relevant problem and a clearly written, succinct
proposal embodying a methodology that promises to get nearer to the
heart of the problem.
To obtain material support it is essential, first, to know where to
look and how to look. Your librarian can help you find funding
sources, like directories of foundations. Your computer can also help
speed your search for sources of support that match your research
interest. Use the Web sites listed in the reference section; many of
them link to sources that may lead to support, official recognition, or
collaboration in your research. The U.S. Air Force Office of Scientific
Research (http://afosr.sciencewise.com) supports basic research in the
life sciences. For another example, members of the American Psycho-
logical Association have free access to an electronic bulletin of re-
search funding announcements from a wide variety of federal agencies
and private foundations. Register on line from their home page (http://
www.apa.org).
Using a common search engine such as Yahoo or Google, you
can type in words or phrases such as doctoral dissertation, grant,or
doctoral fellowships and do a computer search of organizations in
your field of studies or discipline. Look for organizations that might
fund doctoral research, that might offer research help or fellowships
or that might provide links to resources that can be used to further
your dissertation research. Organizational Web sites that might be
helpful would include the sites of federal and other governmental or-
ganizations, foundations, universities, other scientific and academic
230 Chapter 7
organizations, and professional organizations related to your academic
or professional discipline. We provide just a few examples below.
The American Association of University Women Educational Founda-
tion offers fellowships and grants oriented to women and minori-
ties (http://aauw.org).
The American Educational Research Association has an excellent
home page, which will lead to fellowship information (http://
www.aera.org).
The Ford Foundation dissertation fellowships are focused on members
of minority groups whose underrepresentation in the professorate
has been severe and long-standing. Much information can be
found through their home page (http://www.fordfound.org/).
The National Association of Purchasing Management (NAPM) has a
doctoral dissertation grant program, which can be accessed
through their home page (http://www.napm.org/).
The National Endowment for the Humanities also has grants. Informa-
tion can be obtained through their home page (http://www
.neh.fed.us).
The National Science Foundation also offers graduate research fellow-
ships in various academic fields (http://www.nsf.gov).
Fulbright and related grants for graduate study and research abroad
are also available in various academic fields. The home page
(http://www.iie.org) is a good place to start for information.
Ask your advisor and other committee members if they have
specific suggestions about where and how to look for aid with your
particular topic. Keep in mind, too, that if your T/D proves to have
outcomes that suggest the need for additional research, you will have
a firm basis for seeking support to extend your research efforts into a
long-range program.
T/D Work as Part of Funded Projects
Sometimes, students have opportunities to do their studies as parts of
projects being conducted by faculty members, projects supported by
local government, state, federal, or private agency grants or contracts.
These can be excellent opportunities. They often grapple with real
231Conduct of the Study
problems. The investigations have social, theoretical, and professional
significance, and it is possible to establish truly collegial relationships
with the project staff and the faculty members leading the work. At
the same time, there can be sticky problems in such situations for both
T/D advisors and students to consider (LaPidus, 1990). Some of the
potential complications are the following.
Whose Problem Is It? One desirable characteristic of T/D work
should be that the student has the major role in generating the problem
to be studied. That may be difficult to achieve if the matters to be
investigated are largely predetermined by the language of the funded
proposal that was written by someone else.
Time Pressure Can Arise: Most funded research is committed to a
time frame. If it coincides with the student’s projected schedule, all
may be well. An interruption in the student’s work can ordinarily be
accommodated. But, if there is a tight linkage to a strict project time
sequence, there is much less flexibility to adjust to other factors. Any
protracted time out for the student, even if necessary, might mean
the student would have to abandon the partly done study to allow its
completion by another project staff member.
How Independent Is the Investigation? Funded projects of any major
proportion tend to operate by distributing work such as data collec-
tion, data analysis, and short- and long-range planning among a num-
ber of staff members. In such instances, care must be taken to ensure
that the student has and does exercise the level of independence in
such activities that allows the committee to properly assign account-
ability to the student for the thoroughness and quality of these aspects
of the conduct of the study.
What Format Is Followed in Reporting? There can be differences
between the school’s T/D writing format and the reporting style re-
quired by the project. Sometimes, the school is flexible about such
matters. If not, the student may be contracting to prepare two different
reports.
Student research done on funded projects can have advantages.
Perhaps the most significant point on the positive side is its realism.
If all of the objectives of T/D instruction can be attained on a funded
232 Chapter 7
project headed by others, and if the independence and integrity of the
student and the T/D project itself can be maintained in the context of
the larger project, advisors can be expected to encourage their students
to make increasing use of that route to the goal.
Specific T/D Funding Support
State, federal, and international agencies, a number of foundations,
and many universities give direct financial and other material support
to T/D projects. The specific procedures vary among organizations
and agencies, but they tend to have these general operating principles
in common:
1. The student completes an application form or drafts a letter to the
potential funding source, providing specified information.
2. A summary of the proposed investigation is required.
3. The amount of money or other material help being requested is
indicated, usually with details as to how the assistance is to be
used.
4. If a source external to the university is approached, an indication
that the university will accept custody and accounting responsibil-
ity for the fund is required.
5. There is a limit on the charge the university can make for manag-
ing the funds and providing facilities for the proposed study.
6. The funding source specifies how its name may be used in con-
nection with publications and reports arising from the project.
7. A full-time faculty member accepts responsibility for coordinat-
ing, directing, or monitoring the work, with the T/D student being
named principal investigator.
8. There are deadline dates for submission of applications for assis-
tance.
Advisors sometimes keep files of potential funding agencies to
share with students. Some universities maintain offices that are on the
alert for such resources. In a number of cases, these same university
offices offer consultation on the mechanics of proposal preparation,
processing the proposal for official university approvals, and expedit-
ing communication with the agency to which the application will be
directed. In some research seminars, students are required to select a
233Conduct of the Study
potential funding source and to prepare a mock (or real) proposal in
the format of the funding source as a class assignment and to subject
it to evaluation by a group of fellow students and the instructor. We
commend practices like this as excellent exercises leading to indepen-
dence on the part of the student.
The use of specific T/D funding support has few problems asso-
ciated with it in contrast to its evident advantages. There is the added
work of finding a source and making the application. Timing, in rela-
tion to both the application and the wait for a response, can be crucial.
But, the experience, plus the material support that results if the appli-
cation is successful, usually more than compensates. It is anticipated
that more and more students will try to avail themselves of opportuni-
ties for help in this way.
STUDENT DROPOUTS IN THE RESEARCH STAGE
Robertson and Sistler (1971) concluded alarmingly that “the most
cited reason by administrators for students dropping out of doctoral
programs was ’inadequate personal financing’ and the evidence
pointed to an increase in this direction rather than an alleviation of
the position” (p. 60). As they turned to a discussion of the need for
more information, the same writers said, “There needs to be further
study to determine the extent of finance as it bears upon the pursuit of
the doctoral degree in Education. Part of such studies would include
investigations of sources for the implementation of such programs”
(p. 72).
We believe that the situation is common. “Money problems” is
an oft-cited reason given by students for stopping graduate study, ei-
ther permanently or temporarily. It no doubt has validity, but we sus-
pect it may be a contributing problem as often as it is the primary
problem. The widespread occurrence of money problems and the so-
cially and emotionally neutral tone of the matter may make it a fine
cover for the more personal and potentially stressful real reasons that
may actually prompt dropping out (W. G. Bowen and Rudenstine,
1992; CGS, 1990b; Lovitts, 1997; Monaghan, 1989a; Pearson, 1997).
The loss of a student who has reached almost the end of a train-
ing sequence is a serious matter. For the student, it means that major
234 Chapter 7
financial and personal time investments do not bring the hoped-for
returns. Sacrifices by the student’s family often go into that invest-
ment, too. Personal and academic or professional life also are some-
times materially altered in undesirable ways. For example, one former
student is avoided by close friends of an earlier time because they do
not wish to listen again and again to the inevitable diatribes against
university faculty members the student feels were unfair when they
invoked a statute of limitations. Another former student has adopted
a personally awarded doctorate, encouraging subordinates and new
acquaintances to use it as part of everyday address. That same former
student periodically threatens to sue the university and individual fac-
ulty members for denying the degree. Both students actually dropped
out of school while in the dissertation stage and did so despite encour-
agement to complete the work they had begun. The true dynamics
behind their dropping out and their later behavior is not understood.
We do not suggest that these illustrations are typical. The problem is
that we do not know what is typical, and we should.
There is an institutional loss, too, when student dropouts occur.
It has financial aspects. No student pays fully for instruction. Thus,
there has been an institutional investment in the student from tax
funds, endowment income, and other nontuition sources, and that in-
vestment has not achieved the expected return. Add to that the fact
that irreplaceable faculty time has gone into the student’s program in
many ways, from advisement to small-seminar and individual instruc-
tion. Faculty time is the institution’s most precious resource. Even
when a student drops out, it can be hoped that not all that has been
done is wasted. But, that is a faint hope. When the doctoral process,
for example, is left without its capstone, the dissertation, the result is
at best a very limited success.
We asked the faculty members we interviewed at the University
of Pittsburgh what their estimates were as to the proportion of doctoral
students they knew who completed all course work but never started
dissertations. Forty-three answered. The responses ranged from negli-
gible to 40%. The mean was 19%, or about one of five. We then
asked faculty members for the same information about students who
started dissertations (had approved proposals) and did not finish. The
235Conduct of the Study
range of estimates was again wide, from negligible to 50%. The mean
of the estimates was 15%, or about one of seven.
When we asked faculty members why some students completed
all course work and then did not begin dissertations, their answers
were of five kinds. In the lead as a cause, they said, were student
personality traits such as lack of self-discipline, procrastination, fail-
ure to set priorities, indecision, and fear of failure. Such characteristics
are amenable to change. The guidelines set down by advisors can of-
ten produce positive alterations in such behavior.
The second most frequent cause clustered around a group of fac-
tors that would clearly be influential, though external to the situation.
These included economic factors, such as the need of the student to
work to keep body and soul together, family problems, and illness.
Once a student leaves the university, the impression of the faculty
members we interviewed was that the chances of return to study were
slim.
Program inadequacies made up a third significant group of fac-
tors in the faculty members’ opinions. They were most critical of pro-
gram discontinuity, that is, the lack of developmental stages and
smooth transitions between one and another program phase. If the
student has been accustomed to course work with the instructor mak-
ing decisions, that is poor preparation for a sudden shift to the almost
total independence of the dissertation stage.
Inadequacies in the cognitive domain took fourth place as a
dropout reason. It was argued that some students who lack enough
intellectual ability or who find the rigors of scholarship too demand-
ing cannot readily be located until they are faced with independent
study outside the support system of a class or a seminar. Faculty mem-
bers also felt that there is another group who simply have not learned
enough about how to originate, propose, and conduct research. Theirs
is not a lack of potential, but a lack of achievement, which could be
corrected.
Though the least in frequency, almost 10% of the total of com-
ments dealt with failures of advisors and other faculty members.
When a student did not locate a faculty member to identify with, the
stage was set for a dropout. The student would find too little help with
236 Chapter 7
problems of the kind that should have a legitimate claim on faculty
attention, such as discussion of the student’s research ideas. It was
suggested, also, that some faculty members may be thrust into T/D
advisement without themselves having sufficient background and skill
in helping students either to define research problems or to plan and
execute investigations.
At present, it is not clear how many students drop out just prior
to or during the course of dissertation work. If the reasons offered by
the faculty members we asked are accepted, many of the causes of
dropouts can be eliminated or sharply minimized by the faculty mem-
bers themselves, either through changes in their own advisement pro-
cedures or by repair of program inadequacies (W. G. Bowen and
Rudenstine, 1992; CGS, 1990b, 1991b; Lovitts, 1997; Pearson, 1997).
SUMMARY
This chapter is about the conduct of the study. The sensible use of
time is emphasized. The resources and commitment needed to conduct
the study are explored. Technological advances (i.e., word processing
and computer usage) are pointed out. Suggestions are made for sys-
tematic data recording. Major sections explain the obligations the re-
searcher has toward human and animal subjects. Also, specific sug-
gestions are made for relating to the advisor and for finding financial
support. Finally, causes and remedies for T/D dropouts are suggested.
8
Writing the Manuscript
QUICK REFERENCE TO ANSWERS TO SPECIFIC QUESTIONS
1. Is there a recommended table of contents
for the T/D? 239–240
2. How does one approach the first draft of the T/D? 240–244
3. How does one get advice and technical assistance? 244–246
4. Is there a checklist recommended for the T/D
manuscript? 249–250
Sooner or later, the time comes when the advisor and the student agree
that a draft of the entire document should be prepared from title page
to appendices and bibliography. From our experience, the earlier that
first complete draft is written the better.
THE THESIS/DISSERTATION FORMAT
One of the first things a student wants to know is what a thesis or
dissertation looks like. To determine that, both students and faculty
members first need to know if there is a distinctive format associated
with their kind of study or with their department or school.
In a more general sense, both students and faculty members are
recognizing the importance of and the need for some skeletal structure
around which to assemble their ideas, the data, and their conclusions.
The desirability of a well-planned outline is emphasized by Martin
(1980):
237
238 Chapter 8
Probably no other aspect of writing so quickly distinguishes be-
tween the professional and the amateur writer than the emphasis
on structure. The student writer, for example, frequently starts
writing at the beginning of Chapter 1 of a dissertation with the
hope of working his/her way to the end of the chapter with little
more in mind regarding structure than the three or four most
important points. Such a neglect of structure is the primary cause
of the situation most feared by all writers—sitting for an hour
in front of a blank piece of paper trying to compose the first
sentence. (p. 38)
The most difficult decisions at the full first draft stage of writing
have to do with the internal organization of chapters, the structure that
supports the flow of thoughts. Special attention is paid to that in this
chapter.
A Table of Contents as a Guide
Over many years, patterns have emerged for the T/D proposal and for
the final document. The final document expands and extends the pro-
posal text. Much of the same patterns characterize both thesis and
dissertation (G. B. Davis and Parker, 1997).
Usually the T/D proposal (see Chapter 4) becomes the first four
chapters of the dissertation. Only tense changes and other minor alter-
ations will be needed if the conduct of the research is as closely tied
to the proposal as it should be. This underscores the importance of a
clear and carefully thought-out proposal.
The table of contents in Fig. 8-1 incorporates a step-by-step ex-
cursion through a widely applicable skeleton structure of a T/D. Note
that it is an extension of Fig. 4-1, and that it is a generalized outline.
Outlines illustrative of other types of studies are in Appendix B.
Not every student’s study will need every heading. For example,
some reports may need no tables or appendices. Some students, on
the other hand, may need to add headings not mentioned here or sub-
divide some of these. It may prove useful to combine, omit, or mix
features of the outlines in Fig. 8-1 and Appendix B. As stated, there
is no standard outline that all research reports are required to follow.
Figure 8-1 Table of contents for theses and dissertations.
240 Chapter 8
Figure 8-1 Continued
AN APPROACH TO THE FIRST DRAFT
Organizing for Writing
Organizing for writing is something only the student can do. Advisors
and committee members, though, may offer helpful suggestions. The
preferred organizing process starts with establishing a writing sched-
ule (i.e., a certain time each day, with projected objectives to be ac-
complished by certain times) and sticking to that schedule. Also, orga-
nizing for writing means arranging notes, references, and data in
systematic and readily accessible form. At this point, an ounce of or-
der is worth a pound of clutter (Lester, 1999).
Finally, organizing for writing calls for arranging for a place to
write, preferably one that will not have to be moved and can be left
as is when work is interrupted and returned to later. Often, that can
241Writing the Manuscript
be accomplished at home by staking out just enough out-of-the way
area for a computer and other technical equipment, a table, a straight
chair, a good light, and storage shelves and boxes for materials and
supplies. However it is done, for most people organizing for writing
is fundamental if the manuscript preparation is to progress effectively
and efficiently.
Using a Model
Editors and experienced writers recommend constructing a “dummy,”
a life-size blank model of the finished document. Start with the front
cover and tentative title. Insert pages with titles at the top in the order
in which material will probably appear, then rearrange, add to, or oth-
erwise change as progress dictates.
We have found the way that works best for us is to create folders
in the computer program (e.g., Microsoft Word), with several files in
each folder. For example, one folder might be the bibliography, an-
other folder the research topics, a third folder the dummy pages, and
a fourth folder might contain the chapters of the thesis or dissertation,
numbered from 1 to the last chapter. Label the folders and files clearly
so that when you start work each day, you can find your way around
the draft in a short time. Also, well-marked folders and files will help
you to insert new data or information in the appropriate place without
having to search all over the document; the other side of this point is
that when you go to find something inserted weeks before, you will
be able to go right to it.
The Approved Overview Document
A comprehensive and detailed overview paper pays off first in the
project approval stage. Second, it proves of benefit as a guide to con-
ducting the study. Now, in the first full-draft writing stage, the third
major value of a sound overview appears. With minor additions and
modifications, it becomes the first several T/D chapters.
Style and Other Local Requirements
Costly mistakes can be avoided by an early re-review of the university
and school regulations about style, required kind of paper, and other
242 Chapter 8
details. Some requirements that applied to the proposal may differ for
the T/D document. Also, consistency in style makes for a smoother
and more rapid narrative flow. In the unusual case for which no man-
dated style or preference is expressed by the advisor, two options
should be considered. First, if it is anticipated that the T/D might be
published in whole or in part as a book or in a journal, choose the
style of that particular publisher or journal. If that is not feasible, se-
lect one of the numerous published style manuals and follow it. Abide
by one style and pay close attention to it to preclude expensive adjust-
ments later.
Copyrighted Material
The most common location for quotations in the T/D is the chapter in
which literature is reviewed, although the words of other writers may
be cited elsewhere also. An overarching principle to guide researchers
in quoting (or otherwise displaying) anything of someone else’s is
this: The owner of the copyright has the exclusive right to use, market,
or otherwise employ his or her material in any form. It is essential,
therefore, to stay with accepted practices for quoting and to obtain
permission whenever there might be a use of copyrighted material that
goes beyond the standard rules and limits. One’s advisor, the graduate
office, and the university library are good sources for determining the
rules and limits on quotations that apply to T/D writing. The work of
Gorman (1987) is an excellent source for both the history and the
rationale for protection by copyright.
There are “fair use” guidelines for employing copyrighted mate-
rial in CD-ROMs and other multimedia settings. Current fair use pro-
visions in U.S. copyright law allow portions of copyrighted material
to be used without the owner’s permission if done for educational,
research, or commentary purposes (C. D. Long, 1997a). The guide-
lines set limits for what may be construed as “reasonable” for those
purposes and give examples, such as the lesser of 10% or 30 seconds
of a copyrighted musical work. The guidelines have widespread en-
dorsement and approval from relevant professional and governmental
groups. Key documents can currently be found at the Stanford Univer-
sity Libraries Web site (Stanford University, n.d.). It is an excellent
243Writing the Manuscript
source of information about copyrights and legal concepts, such as
fair use. It also links you to related and important information.
Studying Other T/Ds
Useful hints about what to include in the dummy and how to present
the final manuscript for maximum effect can be found by examining
previously approved T/Ds on closely related topics. Some may have
been read earlier as part of the literature review. Their procedures and
findings may be summarized and critiqued in that chapter. Now is the
time, though, to look at those T/Ds for another purpose. How are they
organized? How do they present their material? How can their good
qualities (and their mistakes) be helpful in preparing this one? These
and similar questions ought to be foremost now as previously com-
pleted research reports are reexamined.
Studies Previously Directed by the Committee Members
Every faculty member has favorite student research reports that stand
out as especially well written. It is perfectly proper for students to ask
their advisors and committee members about these and to use them as
illustrations. In fact, some faculty members commend such memora-
ble illustrations to their students as models. Truly superior academic,
professional, and scientific writing is not easy to find. Well-regarded
and time-tested guides are available, however (Barzun, 1985; Strunk
and White, 1979; van Leunen, 1979). Students certainly should take
every opportunity to review works that their advisors and committee
members judge to be exemplary specimens.
Uniqueness
Advisors emphasize the value of building on the experiences of others
and of using guides and models (LaPidus, 1990). This can be very
valuable. Yet, it must not be allowed to override the essential special-
ness, the one-of-a-kind quality, every student investigation should dis-
play. Thus, we urge students to strive for balance. On one side are
stylistic and organizational patterns adapted from the best that past
experience can offer. On the other side are freshly minted forms of
244 Chapter 8
expression, some perhaps newly invented to illuminate the particular
contributions of this specific study. Harmoniously weighted, these can
blend to foster the simple elegance of writing and illustrating that
characterizes printed communication of the highest quality.
“One picture is worth more than ten thousand words” is cited as
a Chinese proverb. Turgenev is credited with writing (in Fathers and
Sons): “A picture shows me at a glance what it takes dozens of pages
in a book to expound.” Whatever the source, the principle is both
sound and useful for researchers.
Illustrations can help greatly as visual descriptions and explana-
tions for the devices, concepts, ideas, processes, and data in proposals
and reports. Informational graphics, both in images and statistics, pro-
mote clarity and foster insight for both writer and reader. Particularly
useful resources are the example-filled three volumes by Tufte (1990,
1997, 2001). They range from 16th century depictions through com-
puter simulations and computer interface design.
USING ADVICE AND TECHNICAL ASSISTANCE
An old saying has it that advice is the easiest thing in the world to
give and the hardest thing in the world to take. As far as we know,
there are no old sayings yet about technical assistance, but if we were
to coin one, it would probably be to the effect that it too often tends
to be heavy on the technical side and light on assistance. We hope to
show, however, that both advice and technical assistance can be very
useful in this first full-draft writing stage, and that there are ways to
stockpile each so they can be drawn on when needed.
There is a real distinction between advice and technical assis-
tance, as the terms are used here. Both, of course, involve communi-
cating useful messages from one person to another. But they differ on
these four dimensions:
Advice may be broad and general or pointed and personal; technical
assistance is always focused on a scientific, academic, or profes-
sional situation.
Advice is frequently unsolicited, offered gratuitously; technical assis-
tance is almost always in response to a request on the part of the
person receiving it.
245Writing the Manuscript
Advice tends to be directive, with the strong implication that it should
be heeded; technical assistance is supplied with the understand-
ing that the receiver will consider it, but will feel there is no
implicit or explicit requirement to act on it.
Advice is frequently, if not generally, oriented to what to do in a
given situation; technical assistance emphasizes how to analyze
situations and how and why to evaluate possible solutions.
Thus, while there is considerable overlap in meaning between
the two expressions, the way they are used here plays up the differ-
ences rather than the similarities. The next several paragraphs offer
suggestions about roles certain associates of the student might play in
supplying both advice and technical assistance.
Other Students as Resources
Other s tudents mos t frequently advise, although occa sionally they
also ar e sources of excellent technical assistance. The experiences of
other s tudents with typists, with individual faculty members, with
the staffs of various university offices, with librar y or computer ser-
vices, or with style guides are valuable re sources that can be mined
for profit. Fortunate, indeed, is the writ er who finds a student, f riend,
or acquaintance with skill and interest in academic, scientific, and
professional writing in the same or an allied field. The nature and
the deg ree of help t hat can be expected is, of course, a personal
matter to be settled between the two individuals. We consider stu-
dent-to-student advice and technical assistance to be both appro-
priate and desirable, and we en courage it. Both parties can learn and
practice important skills in the process. Such intera ction betwe en
and among colleagues is recogn ized as valuable in the r eal life of
the lea rned professions.
Two cautions, however, must be observed. First, the manuscript
must be the student’s own work; advice and technical assistance from
others must stop substantially short of their literally writing the T/D.
Second, advice and technical assistance that have a significant bearing
on the concepts, format, or writing of the document should be explic-
itly acknowledged, either in the preface or by suitably placed foot-
notes.
246 Chapter 8
The Chairperson as a Primary Consultant
The committee chairperson is usually a primary source, in this as in
other parts of the research process, both of technical help and of infor-
mation about where to get such assistance. Students have the right to
expect this. The chairperson, too, has the burden of deciding when to
take on technical assistance consultation directly and when to refer
the student elsewhere. To make that decision responsibly, chairper-
sons need to know and acknowledge their own limitations. They also
must be aware of the competencies of other committee members and
the strengths of other faculty members who may not be on the com-
mittee.
A chairperson who cannot openly admit to limited knowledge
about something puts the advisee in jeopardy by filibustering, bluff-
ing, or ignoring a real need on the student’s part. Equally dangerous
are chairpersons so enraptured by their own pursuits that they know
very little about their associates’ academic and professional interests
and capabilities. Such “one-person committees,” when they occur, are
evidence of inadequate quality-control monitoring of the T/D process
by the faculty in general. In any event, students do well to initiate and
maintain regular contacts with all committee members. This will be
reinforced by thoughtful chairpersons who use opportunities to refer
to others when students come to them and request technical assistance.
As in all other aspects of the research enterprise, the committee chair-
person has the major faculty role, and the way that role is played sets
the tone for all the other participants.
Recourse to Other Committee Members
The committee members, as mentioned, are chosen with several crite-
ria in mind (i.e., knowledge about the topic, representativeness of de-
partmental and other university involvement, graduate faculty status,
experience). It is assumed, too, that they are all willing and able to
provide technical assistance of various kinds. If a committee member
is expert in statistical analysis, opinion polling, qualitative research,
graphic displays, achievement testing, or group dynamics observation,
it is reasonable to expect that person also to be knowledgeable about
preferred practices in writing about or otherwise presenting informa-
247Writing the Manuscript
tion on the same topic. Thus, the committee member who renders
consultation on procedure might well give technical assistance in how
the material might best be presented in the T/D manuscript.
Technical Help from the Typist
The typist’s experience with manuscripts can be of great importance.
There are many who are speedy and accurate, but not many combine
these qualities with both knowledge about the special requirements
that attach to T/D typing and good judgment in applying their skills
and knowledge. That desirable mixture of qualifications can usually
be found in two situations. One is the commercial typing, computer,
and copying services that have multiplied in recent years near cam-
puses. A number of them advertise T/D typing and printing at estab-
lished rates. The other is the departmental secretary who does student
papers and other contracted typing outside office hours at a per-page
rate.
In either instance, two precautions ought to be considered. First,
learn from students or from faculty members how satisfactory the
work from those specific sources has been in the past. Second, meet
and talk with the person who would actually do the typing or word
processing and assess his or her understanding of what is needed for
a fully acceptable product. The more care taken at this point, the more
likely it is that confidence can be placed in the typist’s advice as to
the combination of style, format, and mechanics that will meet all
regulations and present the document in the most favorable light.
THE REVIEW OF THE FIRST DRAFT
As the first draft nears completion, it is increasingly trying for the
student to hold to the idea that it is merely a first draft. So much effort
has gone into it, so much time and money may be invested in it, that
it becomes difficult to think of making even minor alterations to it,
much less major changes. Ideally, the first draft should be so com-
plete, so accurate, so well thought through, and so soundly written
that it calls for very few modifications. This is a goal well worth the
student’s and committee’s striving. Yet, in reality it is rarely attained.
So, it is good if the student maintains a “first draft” attitude, a disci-
248 Chapter 8
plined certainty that variances, some imperative and some only desir-
able, will be proposed. Adjusting to those proposals and using them
to make a good manuscript even better are significant parts of the
learning process inherent in this stage of the work.
Critiquing and Revision
Complicated and difficult parts of the draft may be profitably rewrit-
ten a number of times. Few persons find deathless prose flowing from
their pens or word processors on the first try. Good writing is closely
related to clear thinking, and neither comes easily or quickly to most
writers. This is especially true of scholarly, technical, and scientific
writing. Readable, clear, direct prose is usually the result of polishing,
correcting, rephrasing, and rewriting any number of times. It is at this
point that composing, editing, and rewriting on the word processor
shows its merits most clearly. Changes on the screen are easy, and the
new section or sentence can be seen and revised immediately.
Some students wait for their advisor to read and critique each
draft of a section or a chapter before rewriting. This is a waste of
time. Any intelligent, critically thinking person can read a T/D chapter
and ask pointed questions about its meaning. If it is not clear to an-
other person of good intelligence, it is probably not fully clear to the
writer nor will it be clear to the committee. At this stage, in fact, it is
probably better not to have the proposal critiqued solely by another
professional who is knowledgeable in the field of the proposal—there
may be too much tolerance for the jargon and obfuscation that are the
bane of the professional and academic life. It would be good to trust
one or more critical readings of the draft to an acerbic veteran of 10
to 20 years teaching composition and expository writing to high
school or first-year college students, a person who knows little or
nothing about the subject of the proposal.
The advisor’s review of the draft is important, of course, but
others can suggest improvements to the draft between appointments
with the advisor. This will save the advisor’s time and also impress
on the advisor that the visit is regarded as serious by the student, as
evidenced by the grammar, spelling, wording, clarity, and neatness of
the draft each time.
249Writing the Manuscript
This is a good time to look again at Fig. 5-1, a form that is
sometimes used by committees to help to evaluate a T/D. To supple-
ment this form, we also suggest using the checklist for theses and
dissertations (Fig. 8-2). It need not follow the table of contents ex-
actly. The central point is to ensure that the document answers the
checklist questions well.
Obtaining Reactions from Committee Members
The obvious way to learn what the committee members think of the
material in its first full-draft form is to ask them. The quality and
thoroughness of response, however, are influenced greatly by the
manner in which the student makes the request. Committee members
Figure 8-2 Checklist for theses and dissertations.
Figure 8-2 Continued
251Writing the Manuscript
report that they feel they can be most helpful when the student be-
haves in an orderly, organized way, as in the following illustration.
The student makes an appointment and delivers the document in per-
son. This gives time for the two to update each other on their
activities with respect to the project and to talk about any matters
that need to be discussed.
Allowing enough time for the committee member to read the draft in
its entirety (usually a week or two weeks), an appointment is
made to meet again for the student to receive the reactions di-
rectly. In preparation for the follow-up appointment, the student
does these things, if they are appropriate:
Asks for agreement that the meeting might be taped so it can be re-
viewed by the student after the meeting.
Raises specific questions about the draft and calls attention to the parts
of it in which the committee member might have particular in-
terest.
Indicates that reactions from all committee members are going to be
listened to and reviewed with the advisor before final actions are
taken on them.
Encourages the committee member to make notes, changes, and com-
ments on the draft itself while reading it.
Asks the committee member what other preparations, if any, should
be made for the follow-up appointment.
In ending this meeting with each committee member, the student
leaves information about how to be reached (by telephone or other
message) prior to the follow-up appointment if a committee member
needs to have clarification of something while reading or circum-
stances require a change in time or place for the meeting.
Not all committee members look for precisely the same ap-
proach. There are differences in style, and students need to accommo-
date them. The paramount point, though, is that the conference is for
the benefit of the student. It is the committee member’s obligation to
be constructive, to guide, and to teach. The probability that the com-
mittee member will fulfill that obligation increases if the student takes
a hand in setting the stage for productive interaction by behavior simi-
lar to that illustrated in the list.
252 Chapter 8
If the initial arrangements proceed satisfactorily, the follow-up
session for feedback should start in an easy, yet focused and objective,
way. The great bulk of the student’s time should be spent in listening
and observing. Notable points for the student are as follows:
Be sure to understand the committee member’s statements. If uncer-
tain, ask to discuss them.
Avoid conflict. This is not the time to argue about whether a change
should be made or how something should be presented. Keep in
mind that all committee member reactions are to be discussed
later with the chairperson before deciding if or how they will be
used.
Stay open, not resistant. The gist and the value of what is being said
can escape if one is preoccupied with being defensive.
At the close of the meeting, make an oral summary of the salient
points covered to be certain that nothing the committee member
considers important has been overlooked.
Sometimes, more than one meeting, even a series of meetings,
is necessary to obtain all the assistance to come from a committee
member. Time invested at this point pays dividends and interest by
reducing the number of challenges and surprises later when the T/D
defense must be made.
Coordinating Committee Reactions with the Chairperson
Under an ideal condition, the student and chairperson would have lit-
tle to do when reactions to the first draft come back from committee
member review. That ideal condition, though, is unusual. Since com-
mittee members were seeing the work in its entirety for the first time,
they were almost certain to find gaps, data analyses, or research find-
ings that they felt were flawed or inconsistent. Moreover, the student
sometimes finds that two or more committee members offer bewilder-
ingly divergent ideas about changes that should be made in the same
part of the draft.
The effective chairperson at this stage helps the student in at
least three ways. These include the reconciliation of conflicting rec-
ommendations of committee members, the restructuring of the manu-
253Writing the Manuscript
script to include missing components or to make clarifications and
corrections, and the preparation of a smooth second draft that embod-
ies the alterations.
In the first of these activities, the chairperson must remember
that the student may be very inexperienced in merging different points
of view, especially when they are voiced by persons the student re-
gards as superiors. Frequently, the student can be prepared for the
work to be done if the advisor points out that it is the values and
relationships of the ideas or concepts that are to be thought about,
more than the personalities of the differing faculty members. It may
then be advisable to liken the task to that faced in writing a paper in
which the varying viewpoints of several authorities need to be com-
pared, contrasted, and, if possible, related to a larger and unifying
conception.
Alternatively, sometimes the student must be led to examine the
conflicting expressions of different committee members and to reject
one or more of them in favor of another. In that case, it is the chairper-
son’s place to help ensure that the student is prepared to support the
decision. In all of this, the student’s growth in competence to handle
such situations is the central concern.
The advisor intrudes or supports only to the extent necessary to
achieve closure in a reasonable time. The student should feel the pri-
mary responsibility for whichever course is chosen or decision made.
If restructuring of the manuscript calls merely for the excision
or rewriting of a paragraph or a sentence here and there, it is a minor
matter, more an annoyance than a problem. When the recommended
shifts are big ones, though, it may signal the need for a thorough
redrafting of the document. Prior to embarking on such a comprehen-
sive reformulation, it is usually advisable to arrange a conference to
include the student, the chairperson, and the committee member(s)
who proposed the alterations. Such a meeting can clarify for the stu-
dent and the chairperson the expectations that prompted the recom-
mended changes. Sometimes, too, such a meeting reveals that the revi-
sions proposed are not as drastic as the student originally thought. In
rare cases, the variances requested by a committee member are sub-
stantial and far-reaching, and the committee member is adamant. The
committee chairperson, in that case, may need to call a full committee
254 Chapter 8
meeting to attempt to resolve the matter. The overriding consideration
must be that the student receives fair treatment. In extreme cases, the
student may need to lodge a grievance through the channels provided
by the particular college or university.
A truism to which we referred above has it that an ounce of
prevention is worth a pound of cure. That certainly is accurate for the
writing of the initial complete draft. The more care exercised in put-
ting the first full draft together, the easier it should be to incorporate
the changes, deletions, and additions into an even-flowing document.
Chairpersons tend to impress that notion on students from the outset.
In addition to the three major kinds of assistance students can
expect from chairpersons during this coordinative stage, there are
countless other little ways in which a spirit of confidence and support
can be conveyed. Some advisors maintain an “open-ear” policy, en-
couraging the student to telephone to discuss any problem that may
be temporarily troublesome. Others describe and explain their own
effective work habits, giving students opportunities to test them for
themselves. Still others deliberately reinforce productive behavior on
the part of students and then discuss with them how and why they did
so. Whether they employ these or other procedures, advisors who are
remembered as good models are the ones who offer advice and techni-
cal assistance in connection with the review of the first draft that help
the student over rough spots, who show respect for other committee
members, and whose help enhances the quality of the report.
Rewriting the First Draft
Most experienced writers on professional and academic subjects agree
that they can improve first drafts by laying them aside for a week or
10 days and then rereading them, editing during the second reading.
Our recommendation, therefore, is to rewrite the first draft in a two-
step process (if rewriting proves necessary).
First, go through and make all of the corrections and changes
that were agreed to in the coordinating session with the chairperson.
Then, put the material aside for a week or two. (Most students have
plenty of other things they can do in the interim, such as obligations
they have postponed while concentrating on the T/D.) During this
255Writing the Manuscript
time, it is a good practice to arrange a rereading by others, some of
whom, as we suggested above, are expert in clear prose composition
and who are not specialists in the student’s field.
As a second step, after an interlude, begin with the title page and
read through the entire document, editing again for clarity and accu-
racy. Again, we emphasize the enormous help that a good word-process-
ing program can be in such editing. Recheck all references. Delete
excess words. Check every compound and every complex sentence to
ascertain if it would be more readable if broken into simple sentences.
Critically examine each paragraph that takes more than half a page to
see if it might better be broken into two or shortened by leaner writ-
ing. Look again at transition points from topic to topic and from chap-
ter to chapter. If they are not present, construct short summaries and
introductions as route markers to lead the new reader over the trail of
reasoning that the writer can easily follow now without landmarks
because it is so familiar.
Chapter 10 contains suggestions about writing style adapted
from statements by editors of major professional journals. The hints
are intended primarily for would-be writers for journals, of course,
but they are equally applicable to T/D writing when the focus is on
fat-free prose.
Finally, in the rewriting, attention should be paid to the material
in the next section of this chapter. While some T/Ds must go through
several drafts before presentation for final defense, the student who is
alert to committee member advice and technical assistance and who
approaches rewriting in an orderly way will face fewer disappoint-
ments.
WHEN THE WRITING IS FINISHED
There are really two different final drafts of the T/D. The first is the
one that the student defends before the final oral examination commit-
tee. The second is the document that is accepted and entered into the
school’s records as part of the fulfillment of the degree requirements.
The difference between the two is a function of the amount and kinds
of changes that prove necessary as a consequence of the battering the
study takes in the final oral session. Some emerge virtually unscathed.
256 Chapter 8
Others, although ultimately approvable, may need major repairs. More
is said about this when the final oral examination itself is discussed.
In the meantime, what appears next can be taken as relevant to both
final documents.
The Student’s Standards
The standards a student shows in writing do not emerge suddenly;
earlier work with term papers and the like reveal the patterns of writ-
ing behavior the student brings to the task. In some cases, an excellent
foundation has been laid in prior work, but for some students, the
basics of composition are shaky, to say nothing of skills essential for
scholarly writing.
Obviously, it takes even more than ordinary intellectual prowess
and determination for a student weak in written expression to attain
acceptance for advanced study. More often than not, students with that
handicap find that the overview is an almost insurmountable hurdle. It
can be questioned, of course, whether sheer ability to communicate
well in writing should be a determining criterion. We would want the
option to make exceptions if other circumstances appeared to warrant
it, but when the ability to master the mechanics and styles of high-
quality written communication is demonstrably within the student’s
range of potential, we would argue for holding it as a requisite for
T/D preparation.
Students’ standards for language usage and mechanics are, as
noted, predictable from earlier samples of written work. A great deal
of disappointment can be avoided, therefore, if faculty members will
maintain high criteria for quality of writing in all courses and seminars
and simply not accept sloppy and inaccurate sentence structure, spell-
ing, punctuation, capitalization, paragraphing, and other recognized el-
ements of correct writing. Both carelessness and ignorance are reme-
diable, and the process should not be deferred until research work
starts.
Equally important are the students’ standards for the content, the
thought processes, and the arguments that should tie the T/D into a
coherent, complete report of the study, from inception to conclusions
and implications. These standards, too, are not likely to flower in the
257Writing the Manuscript
context of research proposal and report writing unless they were
rooted, nourished, and budding during prior professional and aca-
demic study.
The standards that students internalize can be influenced by ex-
ample. A direct and straightforward way to provide positive influence
is to bring students into frequent contact with high-quality original
research reports in all of their courses. Discussions with students sug-
gest that a great many of them never see or touch an actual T/D before
beginning work on one. Even then, they may review them principally
for hints on how to set up a table of contents, chapters, and chapter
subheadings.
We urge that students be introduced early to investigative studies
and to the rationale for their place in preparation for roles in the
learned professions. The use of T/Ds as models for scholarly writing
is part of that theme. It is not a panacea, of course. Actual remedial
instruction in composition may be essential for certain students before
they can be fully admitted to advanced study. However, the early and
consistent employment of selected, illustrative T/Ds offers students
both a most promising and a readily accessible means to exemplify
high standards of quality for mechanics, process, and substance in
professional and academic authorship.
The Chairperson’s Standards
We queried experienced chairpersons about how they acquired the
standards they use in judging the merits of student research. Also, we
listened to their views on which criteria ought to be applied in deter-
mining whether a document is ready to be presented for the final oral
examination session.
Senior professors frequently regarded their own preparation for
student research direction and committee work as less than satisfac-
tory. It was too frequently based on incidental, spotty, and haphazard
personal experience. What they learned, they said, was picked up, for
the most part, from observing what other chairpersons did and by
occasionally asking questions. Thus, inconsistency could be expected
in standards from one to another chairperson. With recognition of the
insecure basis for their views, however, chairpersons did say that they
258 Chapter 8
look for the following characteristics as far as student research writing
is concerned:
The problem is clearly stated and well conceptualized.
Ideas are communicated in clear, readable language.
The student demonstrates significant analytical skills.
The writing is succinct, not verbose.
The presentation is well organized.
The thought processes are well defined and internally consistent.
Not every chairperson will consider these six statements to be
either an essential or a sufficient list by which to assess the adequacy
of T/D writing. Also, they may not be objective or operational
enough, in the view of some, to form the basis for a rating scale. Yet,
the odds seem to be good that most of those items will be high in the
priorities of chairpersons when they judge the quality of writing, and
that documents that fall short on them will be returned to the student
for more work.
The advisor cannot be expected to teach the fundamentals of
composition. There may be occasional basic errors the advisor will
detect and correct in the student’s writing. But, the ability to write
plain prose that is grammatically correct seems to be a reasonable
prerequisite, not something to be learned from the advisor.
Another important role for the advisor, though, consists of in-
creasing the student’s awareness of the desirability to attain high stan-
dards of quality in writing with maximum economy and precision. By
economy is meant using only as many words as are necessary. We are
all familiar with sentences that ramble, repeat, and trap our thoughts
in a tangle of verbiage. Improved mastery of the simple declarative
sentence in writing should be one of the outcomes of T/D study for
students. It is well within the scope of the advisor’s authority and
responsibility to keep that goal before the student.
Precision in writing also calls for attention. Students who are
otherwise fluent and even creative writers often need more of the dis-
cipline that scholarly writing requires. For instance, a student reports
that the literature review included “reading everything that Robert
Browning wrote.” The student may need to be asked if the review did
not actually include only “reading all of Robert Browning’s known
259Writing the Manuscript
published works, as listed in [a given reference].” Another student
may write that “Americans were the first to make a landing on the
moon.” That student may need to be shown that a more precise (an
altogether accurate) statement is that “Americans were the first to set
foot on the moon.” This form of polishing is a very important kind of
instruction the student should expect from the advisor and committee
members. It extends from making the title say exactly what is in-
tended, through creating table headings, stating the problem, writing
footnotes, and drawing conclusions to the phrasing of the implications
of the investigation.
The College or University’s Standards
We were unable to find any statements, as such, that colleges or uni-
versities published as standards for satisfactory writing in a T/D. The
same is true for professional schools. Many institutions and schools
do require compliance with certain style guides. The inference can be
drawn that adherence to the style guide, coupled with correct spelling,
usage, grammar, and punctuation, would meet the standards for the
mechanics of composition.
In a more general sense, several professional schools do exercise
a form of quality control. At the University of Michigan’s School of
Education, for instance, a sample of T/Ds is drawn from each year’s
crop for special review. The selected T/Ds are sent to a jury of ac-
knowledged leaders at other locations for assessment. The letter that
accompanies the documents asks for a critical analysis of each and a
rating as to its worthiness. The responses are then distributed to all
faculty members, with the expectation that the faculty’s future stan-
dards and actions will be influenced constructively by the reports of
these annual checks. In another professional school, it was reported
that one associate dean perused every T/D approved by final oral
committees. They numbered over 200 per year. Aside from the almost
incredible amount of reading that entailed, there were no indications
that systematic feedback occurred. It may have been felt that simply
the knowledge that someone in authority would look at all the prod-
ucts would stimulate efforts toward higher quality.
Actually, apart from either recommended or required style
guides, most higher education institutions’ standards seem to be no
260 Chapter 8
more and no less than an amalgam of the various views of the faculty
members who serve on T/D committees. We found no evidence that
the amalgam is analyzed to determine where it constitutes a consensus
on anything. In short, the institutional criterion for satisfactory writing
appears to be whatever a final oral committee approves. Neither con-
comitant with nor beyond the committee’s positive decision did we
find any other check on quality.
School and Departmental Standards
Even a casual examination of T/Ds from different units in a school
will reveal some variations in what is acceptable. One expects, of
course, differences in topics, and that has been discussed elsewhere in
this book. There are also understandable differences in sources, em-
phasis, terminology, and investigative methodology from one division
or department to another. Studies about very early childhood may de-
pend heavily on more or less quantified information supplied by third
parties who observe the infants and toddlers. Investigations involving
teenaged youths may, in contrast, draw mainly on data generated by
or from the adolescents themselves, such as autobiographies or test
responses. Research on supervision may use material drawn from in-
teraction analysis. Work in administration and management may em-
ploy actuarial information, costs, and other facts. Trend analyses in
history or in political science may use library resources, primarily,
although all of the above depend heavily on library facilities, too.
But, even though sharp substantive and procedural differences
legitimately appear, the quality of student research writing ought not
vary significantly from one school or department to another or from
one document to another in the same school or department. When it
does, the most probable culprit is the faculty, who failed to establish
and abide by standards. The immediate losers, in that case, are the
students because inferior work will not be discriminated from high-
quality work. The distinguished products of excellent students will be
diminished through association with the shoddy work of others. The
students who offer inadequately written T/Ds will not be informed
that they are weak, and the ones who could do better will not be
helped to improve. The long-range losers are the school or department
261Writing the Manuscript
and the higher education institution for they, over the years, come to
be judged mainly by the products of their graduates.
Thus, the generators and guardians of T/D writing standards are
and should be all of the faculty members of the higher education insti-
tution. The graduate faculty, that elect group vested with the power
to guide and approve, should spearhead the total thrust for superior
writing.
Application of Standards with Objectivity
Ultimately, the decision about whether the T/D is in final form, ready
for submission for the final oral examination, is the decision of the
student. It is a decision that, ideally, should have the full concurrence
of the chairperson, but that is not always the case. If the student insists
that the T/D needs no further work, even though the chairperson does
not agree, the student’s choice should prevail. And, both the advisor
and the student may feel that their view is objective.
As noted, high on every priority list of scholarly qualities is an
attitude of objectivity. It includes objectivity both about one’s own
work and about the work of others. It is not divorced from a humane
attitude, for that, too, deserves a high priority on the same list. But,
objectivity is a distinct quality. It allows one to make clear decisions
about the degree of credibility to be assigned to any academic or pro-
fessional matter. It is behind every reasoned evaluation. Objectivity
allows the weighing of variables that can make the difference between
sound judgment and sheer guesswork. Objectivity is a chief determi-
nant of the confidence one has that one’s present procedures and fu-
ture projections have substantial foundations. Objectivity is a neces-
sary precondition to believability.
Surely objectivity is emphasized in many ways in the course of
collegiate preparation. Many students probably possess highly devel-
oped levels of objectivity as part of their entry behavior when they
start T/D work. One of the tasks of the research advisor is to deter-
mine the degree to which that quality is already present in the student
and reinforce and strengthen it as needed until it is firmly established.
One of the questions that should be answered in the affirmative by
the committee before final approval is given is: “Has the student con-
262 Chapter 8
sistently demonstrated an adequate level of objectivity in professional
and academic matters?”
The chairperson is obligated to ascertain that the student is aware
of all the objective standards that may legitimately be used to measure
the product. Also, the chairperson is responsible for informing the
student objectively how and in what ways the proposed T/D does or
does not measure up.
The usual outcome of the application of standards is a happy one
in which the student moves ahead to the next step with confidence
that the chairperson is fully supportive. In such cases, the confidence
usually proves to be fully justified.
SUMMARY
This chapter is chiefly about writing, with suggestions about how to
accomplish it with dispatch and with superior results. Writing includes
attention both to mechanics and to clear exposition of thought. The
judicious use of both advice and technical assistance is advocated.
The significance of institutional roles, regulations, and standards is
emphasized, as are the roles of various persons in providing guidance
and interpretations. The meaning of objectivity and its applications
are discussed. The preeminent position of the student in decision mak-
ing is made clear, as is the high stake both student and institution have
in the production of excellent student research.
9
Defense of the Thesis or Dissertation
QUICK REFERENCE TO ANSWERS TO SPECIFIC QUESTIONS
1. How is the final oral exam structured? 263–266
2. How can I prepare for the examining committee? 266–269
3. What are my responsibilities in the oral defense? 268–276
4. How are decisions made about my success in the
final oral exam? 277–279
The research project is not finished until the student has submitted to
an examination on it, made whatever adjustments are shown to be
needed as a consequence of that examination, and received a signed
statement of faculty committee approval. This chapter deals with those
matters, how they are to be carried out, and the factors that influence
and guide faculty decision making.
STRUCTURE OF THE ORAL EXAMINATION
The oral examination in most institutions is the final procedural step
in student evaluation in the degree process. It concentrates on the
study, the findings, and the interpretation of the findings. However,
questions regarding the academic and professional preparation of the
candidate may also legitimately arise.
In the historic tradition of great European universities, the rite of
passage from the rank of student to the community of scholars was
marked by hours and even days of examination by established schol-
263
264 Chapter 9
ars. Invitations would be issued to learned persons throughout the
country to attend, and every visiting scholar felt obliged to ask erudite
questions. The candidate was expected to respond promptly and to be
able to defend the response as long as the questions were in the candi-
date’s field of expertise. The candidate was seeking admission to the
community of scholars who had already earned the high distinction of
being titled “master” or “doctor” (Haskins, 1957; see also the Intro-
duction).
Modern examinations follow the European tradition, but differ in
several details. In most contemporary cases, the examining committee
focuses on the evidence of scholarship before it. The time set aside
for the final defense is usually too brief to allow the committee to do
much more than that. Today, most final oral examinations are con-
ducted in two- to three-hour sessions. Those present are usually lim-
ited to the candidate and the committee, with perhaps one or two guest
scholars or student observers.
Another major difference between examinations in early Euro-
pean universities and those of today in the United States is in recourse
by the student for perceived bias or injustice. There was little opportu-
nity for that up to a few decades ago. Now, universities have well-
established grievance procedures that students may invoke if they be-
lieve they have been treated unfairly.
Scenario of the Examination*
The candidate and the committee meet at a designated time in an ap-
propriate room. Each committee member has prepared for the exami-
nation by examining the work presented and by making note of any
items needing clarification or questions to be asked.
The chairperson begins the session by asking the candidate to
make a brief statement about the results and findings of the research,
after which each member of the committee is encouraged to ask ques-
tions or make comments. The candidate responds, when appropriate,
*This describes the bare bones of a typical scenario. Students are advised to flesh out the sce-
nario with the advisor well before the examination date. The content of the rest of this chapter
can be helpful in doing that.
265Defense of the Thesis or Dissertation
to the questions or comments. At the end of the appointed time, the
candidate is asked to leave the room while the committee discusses
which decision it should make on the basis of a review of the docu-
ment and the final oral examination, as well as any other information
relevant to the academic competence of the candidate. Then, the can-
didate is brought back into the room, the chairperson announces the
committee’s decision, and a short discussion ensues concerning the
conditions attached to the decisions, if any. At this point, the defense
and the oral exam are considered over. The purpose of the final de-
fense has been accomplished, namely, to establish whether the candi-
date has qualitatively and quantitatively met the standards of the insti-
tution and the faculty in the completion of the research and in the
program of studies.
Criteria for Excellence
An excellent oral defense is one for which it is clear to the committee
that the candidate has prepared well. The document presented is a
good example of discursive prose. The answers to the committee
questions are concise, clear, to the point, and informative. The oral
presentation is tightly reasoned. The impression made on the commit-
tee is one of quiet confidence and competence. There is little doubt at
the end that the candidate has the ability and integrity to carry on
competent research without detailed direction from a senior colleague.
The Evaluation Procedure
Final defense committees commonly use four options in deciding which
action to take after the examination. Two of the options are unusual:
The committee may approve the T/D as executed, or it may deny ap-
proval. Both decisions are extreme in the sense that they seldom happen
and in the sense that they have a powerful effect on the student.
The other two options are the withholding of approval until ma-
jor revisions are made or approval with minor modification. These are
discussed in other sections of this chapter.
Whichever option is chosen by the committee, there must be
specific reasons for it, and those reasons must be stated. The commit-
tee’s decision and the reasons for it should be made clear to the stu-
266 Chapter 9
dent and summarized by the chairperson for the committee and the
candidate at the end of the session.
PREPARATION FOR THE EXAMINING COMMITTEE SESSION
Examining committee sessions require preparation and prior planning,
perhaps several months in advance. Refer to the time line for compli-
ance with local rules on this. The preparation is the responsibility of
a number of persons, but the two principal roles belong to the candi-
date and the chairperson of the committee.
Chairperson’s Responsibilities
Before a committee examination can be firmly scheduled, the research
advisor must be satisfied with the draft of the T/D that is to be the
basis for the final oral examination. This draft then is sent to the rest
of the committee for review. It should, in the student’s mind, be con-
sidered a final draft. It should include changes and should have recon-
ciled conflicts raised by committee members in earlier draft reviews.
If the advisor at this stage seems too strict or too demanding in
the eyes of the student, it is good to remember that the advisor’s repu-
tation is also at stake. Sending the draft to committee means that the
advisor has reviewed it carefully and critically and believes that it is
ready for committee review.
After the committee has received the final draft, the advisor sets
aside a reasonable amount of time for the committee to review the
document. We suggest at least two weeks if there is no specific time
set in local regulations.
If the advisor has been successful in helping the student put to-
gether a well-formulated and well-written report, the committee will
usually not request further revisions prior to the examination. How-
ever, one or more members may request improvements in a more for-
mal way during the meeting of the examining committee.
Time, Location, and Notice of Examination
We recommend that the advisor circulate copies of the final draft
along with a memorandum that gives notice of the time, location, and
267Defense of the Thesis or Dissertation
membership of the meeting of the final defense examining committee.
This may be made the candidate’s responsibility, but the chairperson
should then oversee it. The university process for notifying students
and the faculty committee of the time and place of the meeting usually
includes some procedure also to notify other members of the graduate
faculty and to allow them to read the T/D before the meeting. They
can then attend with some knowledge of the subject and can assess
the document against the standards of the institution.
Preview of Procedures for Student
It is good form for the advisor to preview procedures with the student.
The student is often unaware of role expectations in the committee
meeting, is unsure of preparation that should be made, and is not
knowledgeable about the support or nonsupport of the advisor during
the examining committee meeting. These, and any other matters raised
by the candidate, ought to be very thoroughly discussed in the advi-
sor’s office. The advisor may offer some advice about the steps the
candidate might take to prepare for the final defense.
The advisor should make sure that the candidate has gone
through all the mechanical steps that accompany the final stages of
the T/D process and eventual graduation. The two persons might again
go over the limitations of the study—limitations that are unavoidable
and not remediable at this point. Problems may be anticipated in this
preview session, but the role of the advisor should be to make the
candidate feel at ease and in control. After all, the candidate has done
the best work possible, and the advisor has approved what was done;
although the product may not be perfect, it is their expectation that a
favorable outcome will result.
This is a good opportunity for the advisor to review the formali-
ties of the session, how questions will be asked, how long the session
is likely to be, and, as well, a description of how the advisor will chair
the session, including a perception of the advisor’s role as chairperson
of the examining committee. Finally, there ought to be some frank
talk about the role of the candidate in the session and how that role
might be seen as functional to the achievement of the goal. We pro-
vide our recommendations regarding the role of the student subse-
268 Chapter 9
quently. It is also valuable at this point to read again what we said
(see Chapter 6) about the overview meeting for much of it applies.
Candidate Responsibilities
The first responsibility of the candidate is to be well prepared. The
second is to be completely frank and open with the advisor about the
problems and weaknesses of the study and any other possible difficult
issues, from the point of view of the student, that may come up in the
final defense. This committee session will have more of the atmo-
sphere of a scholarly examination than any prior meeting of the group.
Students must be ready for that and all that it implies about student-
faculty interactions during the examination.
Availability of Needed Equipment
At some examining committee sessions, the candidate needs a special
room or special equipment such as an overhead projector or computer-
connected projector for the final defense. This may include equipment
used during the overview plus additional items. Whatever the equip-
ment required, it is the candidate’s responsibility to check with the
chairperson to ascertain if it is permitted in the examining committee
session. If so, it is the candidate’s responsibility to obtain the equip-
ment and place it in the examining room before the session and to
make sure it works. It is also the responsibility of the candidate
to schedule the room with the concurrence of the chairperson of the
T/D examining committee.
Freedom to Observe Oral Defense Examinations
The final defense ordinarily is publicly announced and is open to eli-
gible members of the university community who wish to observe it.
Graduate students and faculty should be especially welcome. An open
and public final defense is in the finest scholastic tradition.
Use of Simulation for Preparation
Once there is a recognized structure and procedure to the final defense
committee meeting, a fairly realistic simulation can be designed. Stu-
269Defense of the Thesis or Dissertation
dents can work together to constitute an examining committee, simu-
late the whole meeting from beginning to end, and even pass, fail, or
amend the candidate’s presentation. In a simulation, fellow students
often ask harder questions and grill a candidate with less mercy than
faculty in the same situation. A candidate who has been through a
number of tough simulations will probably have anticipated the ques-
tions that will be asked in the real defense and will have formulated
thoughtful answers.
The simulation process can be carried to a fine art. Students from
the candidate’s department can assume the roles of specific members
of the committee, reflect their backgrounds and research interests, and
predict many of their questions. Having gone through the final draft
of the T/D, the student-colleagues who are playing the roles of mem-
bers of the committee often should be able to perceive any weaknesses
in the study and anticipate the queries expected of faculty examiners.
Simulation is also educational for those who help. These students will
then have an opportunity to model their behavior on a colleague who
may be a little more advanced.
We recommend beginning simulation sessions early in the final
writing stages. If unanswered questions or gaping holes in early drafts
become evident, they can be repaired before the document goes to the
committee.
In summary, the best preparation for the final defense is a docu-
ment written and argued so tightly that there is very little room for
embarrassing questions. Committees like such T/Ds because they are
well done and because the committee can spend most time during the
defense exploring the implications of the study and looking to the
future research needs it reveals rather than tinkering with errors in
grammar, style, research design, or methodology.
CONDUCT OF THE ORAL EXAMINATION
If there is sound preparation, it is unlikely that the final oral will hold
any great threat. In many cases, the final defense is seen as a pro
forma meeting. That condition prevails when the student investigator
has produced an excellent study, fulfilled the promises made in the
proposal, worked closely with advisors, and communicated fully with
270 Chapter 9
committee members. In such cases, the advisor and committee
members have a common view that the graduate research was well
done. The final defense then becomes what many faculty hope for
in every case —a lively and informed discussion of an important
problem and field of interest in which the candidate and faculty
participate essentially as colleagues. The discussion focuses on the
growing edge of research, explores the implications of the results
of the study, examines the interdisciplinary effects of the study find-
ings, and brainstorms new research ideas to push back the frontiers
of knowledge, understanding, and professional practice. Such final
orals are exciting and enjoyable for everyone; in the best of circum-
stances, they become the focus of interest and intellectual excite-
ment of a much broader circle of scholars than just the committee.
In our view, this is a state of constructive intellectual ferment to
be sought at colleges and universities that aspire to be “great” or
“excellent.”
Role of the Chairperson
If the chairperson is also the research advisor, there is some role con-
flict inherent in the examining committee session. The advisor has
worked very closely with the candidate and finally approved the work
in a form to come before the committee. Hard as one may try, it is
impossible to be completely disinterested in the outcome of the pro-
cess. For many advisors, the candidate’s product becomes almost a
part of the advisor.
The committee chairperson role has expectations that are some-
what different from those of the research advisor. The chairperson is
expected to conduct the session in an impartial way. The role is not
one of defense of the candidate or defense of the chairperson’s own
deep involvement in the work of the candidate. The role is rather that
of an impartial judge, who assures a fair and open hearing for the
candidate, and for each member of the examining committee, even the
most junior. The chairperson has the obligation to set the conditions
and guide the process so that all the participants can come to a fair,
equitable, and reasoned decision as to the best course of action under
the circumstances.
271Defense of the Thesis or Dissertation
Balanced Participation
The oral examination should be equitable and evenhanded with re-
spect t o all parties. The perso n chiefly responsible for maintain ing
that eq uilibrium is the chairperson. Balanced participation means,
operationally, th at every per son on the committee has a fair and
equal chance to ask questions and make comments. It also means
that the candidate has a fair and equal chance to respond to questio ns
or comments and to p ut forward others when appropriate. It means
that al l members of the committee have the same opportunity to par-
ticipate.
If the persons who have roles in the oral examination feel that
the session has been partial, biased, unbalanced, or unfair, the results
of that feeling may well spill over to create other committee problems
and perhaps other problems for the candidate. Moreover, such feelings
may well engender formal grievances.
Tone of the Session
As the convener and as the presiding university official, the chairper-
son is in the position to set the tone of the meeting. It is a serious
undertaking, most of all for the candidate who has invested so much
in the study, and the session is expected to have a serious and a mod-
erately formal quality. The most important tone, however, is conveyed
by the verbal and nonverbal behavior of faculty. The behavior should
indicate that the individual faculty member cares so much, values so
much, the candidate’s work that no effort was spared to read it care-
fully, and that while the faculty member is supportive of the candi-
date, nothing short of excellent work will be allowed to pass the com-
mittee. It is best if this tone can be established and maintained from
the beginning by the chairperson.
If there are observers, the chairperson is responsible for arrang-
ing seating for them that separates them physically from the candidate
and the committee members. Also, the observers should be addressed
by the chairperson before the examination begins to explain that com-
ments, questions, or other forms of participation or expression by
them are to be reserved while the examination is in session.
272 Chapter 9
Clarification of Questions
The chairperson is also looked to for clarification of technical or sub-
stantive questions on the T/D and on the examining committee pro-
cess. For example, if the student’s work has been part of a larger
program of investigation directed by a faculty member, the degree to
which the student has been able to maintain independence would be a
reasonable area of inquiry. As another example, suppose the student
has made significant use of a consultant from another university. What
kind of monitoring has that consultant’s participation had from com-
mittee members? For a third example, what if the candidate is deaf
and will be using an interpreter to facilitate communication during the
committee examination session? How can one be certain of accurate
interpretation?
It is essential to anticipate such questions and to have explana-
tions readily accessible before the session if one is in the role of chair-
person. In cases when the questions are clearly for the candidate, the
clarification role of the chairperson may be simply to supply a com-
munication link between a faculty question and a student’s attempt to
understand the question. In any case, the role of the chairperson does
not include answering faculty questions clearly directed at the candi-
date concerning either the investigation or what the candidate has
learned through the program.
Signaling Completion of Examination
There is no magic number of minutes the session is required to last.
Based on our data, the total time, from calling the meeting to order to
notification of the candidate of the outcome, typically ranges between
one and one-half and two and one-half hours. After every faculty
member has had a chance to ask questions of the candidate, and the
candidate to respond and ask questions, the chairperson should be able
to sense that the time for ending the examination is drawing near. The
chairperson should then try, without being arbitrary, to bring the ses-
sion to a close. There are always individuals who may find it difficult
to stop talking; dealing with those individuals within the context of
an oral examination is the responsibility of the chairperson.
273Defense of the Thesis or Dissertation
Committee Member Roles
The role of the committee member is to be a judge of quality. Specifi-
cally, it is to ascertain if the quality of the T/D is sufficient to admit
the candidate to the ranks of those holding an honors, graduate mas-
ter’s, or doctoral degree. In our view, this is the essential element of
the role. It is carried out in a number of ways.
The oral examination certainly does give the committee a chance
to ascertain the quality of the document and the quality of the stu-
dent’s work. If judgments that influence the outcome go beyond that,
the committee is treading on thin ice.
The candidate’s lifestyle, political orientation, or championship
of popular or unpopular causes all are beyond the purview of the final
defense committee with respect to the mores of present-day academia.
The issue may seem different, however, if the candidate is known to
be engaged in dishonest, unprofessional, or illegal activities. But, even
here, committees are reluctant to make judgments, in this situation,
on anything very much beyond the written and the oral presentations.
They tend to see such judgments as outside their role unless the activi-
ties have to do with the research itself.
Committees do assess the depth and range of the candidate’s
knowledge about the document at hand and the methodology used to
do the study. If the candidate cannot answer detailed questions about
his or her work, including the review of the literature and the method-
ology, committee members should delve deeper to ascertain reasons
for this apparent ignorance.
One important thing the committee members look for is the con-
gruence between the promises made in the proposal and what appears
in the final draft of the study. The committee exercises approval over
any changes the student makes in the study plan after the overview
committee has met and approved the proposal. If the approved pro-
posal has the attributes of a contract, then both parties must adhere to
it. Therefore, the committee will be looking at the final draft to deter-
mine if the approved proposal has been carried out in the conduct of
the study.
Students sometimes assume that the acceptance of the final draft
by the committee for the purpose of the oral examination signals its
274 Chapter 9
acceptance as a document of sufficient quality to meet all the require-
ments of the university and the committee. This is a false assumption.
What the committee action means, in fact, is that the members indi-
vidually have reviewed the draft carefully and are satisfied that it is
good enough to provide a basis for an oral examination. Problems that
remain with the final draft will be brought out at the examination.
They may or may not be communicated to the student or the advisor
beforehand. That depends on the time constraints on the individuals,
whether there is good communication among them, and whether the
problems were actually identified earlier. Some issues do not surface
until there is the interplay of minds during the examination itself. In
any case, the problems that remain in the draft that goes to the com-
mittee will be worked out in committee and may become a part of the
substantive revisions that must be made before the document is finally
approved.
Role of the Candidate
Preparation is the key to success. The final oral examination is the
culmination of a long preparation process. The candidate has been
guided in pre-T/D study by an academic advisor, a person who is
usually a member of the committee. The candidate has thoroughly
reviewed the literature, designed the methodology, and conducted the
study under the guidance of the advisor and committee. Finally, the
T/D was written with the advice and consultation of the whole com-
mittee. Every committee member had a chance to see it and comment
on it before the final defense meeting. With all that background, there
should be no great surprises, and the final defense should go
smoothly.
Yet, it is not uncommon to find important problems at the end.
Why? We have made a list of three main reasons reported by col-
leagues and from our own experience.
1. The advisor has been misled about how much of the work—the
design, the literature review, the data gathering, and analysis (in-
cluding the knowledge base from which these are drawn)—was
really done or understood by the candidate. Because of that, seri-
275Defense of the Thesis or Dissertation
ous weaknesses come out at the final oral examination and then
are pursued by the committee, often to the point at which it be-
comes acutely embarrassing and uncomfortable for everyone.
2. The advisor errs in allowing the candidate to come to the final
defense before the research is thoroughly and carefully done and
before it represents a work of excellence. Sometimes, the candi-
date is convinced that he or she is ready for the final defense and
convinces the advisor of this when, in fact, there is a good deal
more work to do. Often, there is pressure of time, such as a statute
of limitations, a baby due, an upcoming job in another city, or a
tenure decision to be made on the candidate who is a faculty
member at another institution. Sometimes, there is simply a factor
of fatigue, when the advisor and the student have revised the work
over and over again and, in effect, throw themselves on the mercy
of the committee.
3. Occasionally, the candidate is unrealistic in assessing personal
skills, ability, commitment, or the amount of time and detailed
work required to complete the T/D, and the advisor is unsuccess-
ful in communicating with the candidate about the problems. The
advisor then decides to bring the full force of committee rejection
to bear to convince the candidate.
The role of the candidate in the final defense meeting is impor-
tant. In our view, the role is one of openness, honesty,andmature
expertise. Openness about the data and problems of the study is the
only ethical way to approach this final test. Honesty is the one most
important attribute of a researcher. Maturity motivates candidates
to do their own work, accept the responsibility for all that was done
in the study, live up to the promises made at the time of the pro-
posal, and treat colleagues in an ethical and unbiased, objective
manner.
Responsiveness of a positive, constructive kind is another essen-
tial attribute. The final defense is not the place to become “defensive.”
It is a time for calm, reasoned responses to questions or suggestions.
When a response is appropriate, a direct, to-the-point answer is usu-
ally best. There is nothing fatal about a straight “I don’t know” when
that is the simple truth, either, although that response often should not
276 Chapter 9
be necessary. In most cases, th e candidate’s thorough knowledge o f
a fairly specialized subject a rea means that the candi date has the
most expert knowle dge in the co mmittee room. There is no reason,
though, for the candidate to fl aunt that knowledge. Such behavior is
unnecessary and dy sfunctiona l. The time f or the candidate to ex-
pound w ith great er udition and wisdom is (if at all) after the award -
ing of the degree, not during the defense of the researc h for the
degree.
In addition to responding to questions and comments of the com-
mittee, the candidate’s role includes that of note taker regarding
changes suggested by the committee during the oral examination.
Sometimes, this responsibility can be delegated to a fellow graduate
student who is sitting in on the oral examination. The chairperson and
committee members take notes, too. In any case, the responsibility
lies with the candidate to see that, in one way or another, the job is
done. Remember, too, that not all changes proposed during the exami-
nation survive the critical appraisal of the full committee during the
committee’s end-of-session deliberations. It is what is conveyed to the
candidate by the chairperson after the examination that really counts
as far as required changes are concerned. It is the candidate’s role to
raise any question if suggestions for change agreed on in committee
are not clear. It is also within the student’s role to defend against
suggested changes in the T/D that seem unfair, inconsistent with the
promises of the research proposal or overview, unethical, or untenable
in light of the research. Of course, one would want to be very careful
in resisting suggested changes, and perhaps substantial reliance on the
views of the chairperson would be appropriate at this point. In our
experience, however, there have been very few cases in which a final
defense committee suggested a change that was not also seen as desir-
able by the candidate.
All the above chores are simplified if a voice-activated tape re-
corder is switched on during the examination. It may be under the
control of the chairperson, with the tape remaining in that person’s
custody. It could then be listened to by the candidate afterward for
the purpose of ensuring that the committee’s requirements regarding
changes and additions are clearly understood and verified.
277Defense of the Thesis or Dissertation
DECISION MAKING REGARDING THE ORAL DEFENSE
Applying Criteria for Approval
The criteria for approval the committee uses should be made explicit.
The T/D evaluation form (Fig. 5-1) was designed to help achieve that
purpose. It is useful both at this point as a last-minute check before
the final defense and earlier in the T/D process as the draft version is
being written. It seems essential to us that all criteria that have signifi-
cant weight be stated on the T/D evaluation form. The committee
owes that to the candidate, to the institution, and to themselves.
Ambiguities and hidden agendas create misunderstandings and
disputes; clarity and openness help to prevent them. We recommend
the T/D evaluation form at this point as a summative evaluation form
as we recommended it for formative evaluation throughout the prepa-
ration phases.
Conditional Approval
There are two forms of conditional approval. If the document is ac-
ceptable but minor revisions are needed, the committee will simply
indicate where changes should be made and rely on the candidate and
the research advisor to make the alterations. Under these circum-
stances, the candidate makes the minor revisions, submits them for a
final review by the research advisor, and then circulates the corrected
copy to the committee. Committee members sign and the chairperson
sends the document to the appropriate university office.
The second level of provisional approval is much more tenta-
tive. It may be used with a final draft that h as major problems, but
ones that the candidate unders tands and can probably c lear up in a
reasonable time. In this case, the candida te is instru cted to carr y out
the major changes a nd to bring t he complete T/D or the altered por-
tions back to a committee meeti ng or for approval by ind ividual
members. This form of provisional approval is short of failure, but
if the revisions are not a sufficient impro vement over what the com-
mittee reviewed at the oral examination, the candidate simply does
not pas s.
278 Chapter 9
The process of getting back to the committee varies, but in any
case, the responsibility is on the candidate to make the substantial
revisions on a timely basis and get them to the advisor and, after
advisor approval, back to the committee. In such cases, individual
committee members do not sign the approval form until completely
satisfied that the revised document reflects credit on the candidate, the
advisor, the committee, and the university.
Formal Voting
Practice varies from institution to institution, but usually a final oral
committee is comprised of an odd number of members, which implies
that a vote, if taken, should not be a tie. Usually, only members of
the graduate faculty may vote, although others, even from outside the
institution, may serve on the committee. Whether the chairperson
votes depends on the institution, as does the issue of whether a passing
vote must be unanimous, simply a majority, or a specified number of
votes.
Our experience and research indicate that there is seldom an is-
sue about the vote. The committee tends to work as a group and, with
the help of the chairperson, arrives at a consensus acceptable to all. If
one member, or a minority of members, is adamant about a point or
decision, usually the committee hears all the arguments, weighs the
issues, and comes to a conclusion that seems fair.
A committee can be persuaded to take an action by one member
if that member’s arguments are good enough and if those arguments
support fairness and the concept of high quality in graduate research
standards. Usually, the committee chairperson knows what the formal
votes will be before passing the official approval form around because
agreement on the wisest course of action has been reached by voice
vote in committee. When the committee members sign the formal ap-
proval form, they are, however, casting formal votes that become a
matter of record and for which they are accountable.
Notification and Interpretation to the Candidate
At the end of the oral defense, the candidate should clearly understand
the decision of the committee. Sometimes, that decision has to be
279Defense of the Thesis or Dissertation
interpreted to the student. The situation may be stressful, or the stu-
dent may simply not understand the implications of the decision.
A common point of misunderstanding, we have found, is when
the committee is calling for major revisions and the student hears the
call in terms of minor modifications that can be accomplished in a
short time. Committees usually remain calm and quiet, at least in front
of the candidate, and speak in low tones and short sentences. The
atmosphere of the final defense session may mislead the candidate to
believe everything is going well when in fact it is not.
The research advisor ought to make clear to the student at the
end of the meeting the decision of the committee. A good procedure
is to have the candidate recount what was decided and what changes
are being required in the draft. Further sessions should also be sched-
uled with the advisor and, if advisable, with individual committee
members to check progress. This keeps the candidate focused on the
future rather than on rehashing the committee meeting. Some self-pity
is natural and human, particularly if the final oral examination did not
go well, but it is dysfunctional. It is best for the candidate to start
immediately on what remains to be done.
FOLLOW-UP AFTER APPROVAL OR DISAPPROVAL
Usually, the follow-up period is one of extremes of feeling on the part
of the candidate. If the study is approved, the candidate may be so
happy that it is easy to forget to make the revisions and do the other
procedural things that are necessary before graduation is a reality. If
the results of the oral examination seemed disastrous, the candidate
may understandably exhibit avoidance behavior with respect to the
whole process and everyone attached to it. Neither extreme is func-
tional or task oriented with respect to reaching that difficult, time-
consuming goal everyone agreed to at the beginning. The thing to do
is to start picking up the pieces immediately.
Candidate and Research Advisor’s Roles
Whatever happened at the defense, the advisor’s role is to help the
candidate calm down, reassess, reevaluate, and redirect toward what-
280 Chapter 9
ever it takes to reach the goal. Failing the oral defense is not necessar-
ily irretrievably final.
Candidates have renegotiated with their committee and redone
the same or different research with success. It takes more time. Some-
times, it means learning new skills, taking additional courses, and the
appointment of a new committee, but it can be and often has been
done.
On the other hand, it may be that the candidate cannot muster
the resources, cannot take the time, or is too discouraged to begin
again. In that case, the advisor has a counseling role to help the candi-
date arrive at a realistic self-perception. It may also be possible for
the candidate to do better in another department or another university
or school.
Even when the T/D has been approved, there are usually some
revisions to make, and sometimes these are substantial. All of the
rules of the university, too, concerning the filing of abstracts, cor-
rected copies, and binding as well as rules concerning the mechanics
of actually becoming a graduate of the university, have to be followed
after the successful examination session. Both the candidate and the
advisor have to guard against the temptation to let things slide because
the major work has been done. For both, whether the time is one of
sadness after disapproval or happiness after approval, this period is
one that should be devoted to reexamination of original goals, the
determination of the relevancy of these goals in light of the final de-
fense committee’s decision, and, if appropriate, the renewed determi-
nation to reach the goals.
Disseminating the Results of the Study
In major universities, dissertations are copyrighted, microfilmed, and
indexed in Dissertation Abstracts. There is a fee attached to these
services. The copyright is designed to protect the author’s work from
use by others without permission. Microfilming and indexing the doc-
ument through the University Microfilms process makes it available
to other scholars and to libraries for review and even purchase. In
using University Microfilms, the author agrees to permit these uses
and, under certain circumstances, receives a royalty. The author is
often offered the opportunity to have the dissertation listed in the sur-
281Defense of the Thesis or Dissertation
vey of earned doctorates awarded in the United States, and these
forms are available at universities that grant earned doctorates.
University Microfilms will make available to authors printed
copies of the abstract of the dissertation written by the author. These
abstracts can be used effectively to disseminate the results of the
study. In some cases, a dissertation will be accepted for inclusion in
one of the storage and retrieval systems mentioned above. This can
bring wide dissemination. Abstracts may also be sent to professional
societies having a professional interest in the subject of the disserta-
tion for printing in their publications.
Professional societies provide another dissemination opportunity.
In almost every case there are annual meetings where authors read
papers. There are journals and reviews of research that publish not
only some of the papers given at the annual meetings, but also manu-
scripts submitted for review by the journal. While a journal would
rarely publish a whole thesis or dissertation as such, it may be happy
to publish an article or chapter from one. For publication, revision is
usually necessary to make the work fit into the style and format of
the journal.
We recommend using the professional societies for dissemina-
tion purposes because the process not only makes the study available
to others, but also contributes to the recognition, security, and stand-
ing of the author. In fact, we recommend that the advisor and candi-
date explore the possibility of sharing findings, when appropriate,
even before the completion of the T/D. For a student to give a paper
at an academic or professional meeting is a great learning experience.
Often, the help of the research advisor is critical to providing the op-
portunity.
Finally, there are some investigations that by their nature lend
themselves to publication commercially. Historical studies, for exam-
ple, sometimes find their way into a book or a number of articles. If
the work has enough general interest or is topical at the time of publi-
cation, it may be successful commercially. This means it will sell as
a general work, as a textbook, or as a professional work of merit. In
this case, the author may be on the way to more publications and
some success as a writer. All of these possibilities are addressed in
more detail in the next chapter.
282 Chapter 9
SUMMARY
This chapter explains the process of T/D defense, including the oral
examination, suggestions for preparing the examining committee ses-
sion, and the conduct of the oral examination. The kinds of decisions
and how they may be arrived at are discussed. Finally, the need for
follow-up after the final defense and the need to disseminate results
are described.
10
The Completed Thesis or Dissertation
and Future Growth
QUICK REFERENCE TO ANSWERS TO SPECIFIC QUESTIONS
1. How can my T/D lead to more publications? 284–286
2. What are some good writing guidelines? 286–291
3. How does one get published? 288–294
4. What are my responsibilities to professional
improvement? 294–298
Faculty members believe students should do theses and dissertations
for future-oriented reasons. Some are
To add to the body of knowledge necessary to solve the many prob-
lems with which academics and professionals now grapple, like
undereducation, job dissatisfaction, unemployment, crime, acci-
dents, and others
To establish the ability to write about professional and academic disci-
pline data in ways understandable to people who need such in-
formation
To prepare the student for participation in research as part of a career
Plainly, the faculty members who told us those things in inter-
views or through their writing envisioned links between what might
be learned during the completion of research and certain tasks students
would need to perform during their future careers. Also, there was a
283
284 Chapter 10
clear indication that the results of research ought to lead to possible
resolutions of current or future problems. The question, then, is not
whether there should be a tie between student investigations and fu-
ture work, but rather the question is how best to encourage that view-
point and to implement it actively.
Myers (1993) says it well:
What is needed is serious contemplation of the achievement,
thoughtful consideration of what changes the achievement will
bring to the self-concept of the student, and reinforcement of
the sense of ownership of both the product and the process just
completed. Without dedicated attention—largely on the part of
the sponsor—to the final step in this developmental task, the
meaning of the enterprise can be lost. (p. 336)
AFTER THE RESEARCH IS APPROVED
The last four decades brought marked changes from the days when
completed T/Ds were simply covered and sewn together by a local
bookbinder. Distribution then included a copy for each committee
member’s office shelf and two for the institution’s library. A national
list of T/Ds was published occasionally, and interlibrary loan was the
only means of wider dissemination.
Now, almost all dissertations and many theses find their way
onto microfilm and can be obtained readily at a modest cost. Also,
many are referenced in databases that can be searched by computer.
Storage, search, and retrieval resources and procedures are as common
now as library card files have traditionally been. With access so con-
venient, why go to the trouble of revising the document for another
form of publication? There are several widely acknowledged reasons.
Learning to write for publication is valuable in itself for it devel-
ops a set of skills that can enhance all written communication. Mem-
bers of the academic disciplines and the professions must be able to
write material that is well organized, clear, and interestingly stated.
Memoranda, directions, reports, letters, evaluations, policies, propos-
als, regulations, lesson plans—the list of styles and forms of written
expression in which scholars must perform well is almost endless.
285The Completed T/D and Future Growth
Security and recognition are often tied to publication productiv-
ity. In higher education, one of the criteria for continuation of employ-
ment and ultimately for permanent tenure relates to the quality and
quantity of authored articles and books. (It is important to remind
oneself here that sheer publication does not give assurance of job se-
curity. The published material must be of high quality, there must be
enough of it, and other characteristics such as teaching ability are
weighed, too. But, publications are essential if the criterion of quality
and extent of published work is to be assessed at all.) It is also true
that initial and continued employment and promotion in research and
development centers, state and federal agencies, and other public and
private positions can be influenced positively by growth in one’s own
list of scholarly writings in print.
Career exploration and direction, opportunities for testing new
paths, can be significant outcomes from reworking the T/D for possi-
ble publication of a book, article, or monograph. Some learn for the
first time that they enjoy editorial activity, and that they have hitherto
unrealized capabilities for it. Others, during the rewriting, find their
interest kindled or quickened in planning a programmatic set of inves-
tigations based on the research already done. This may be only one
step from seeking and obtaining financial backing for a several-year
research-and-development effort. Also, others are turned in new direc-
tions by job or consultation offers that come to them because of the
interest generated in prospective employers by initial and follow-up
publications stemming from their research.
The Internet offers a world of resources whether one is actively
seeking or simply thinking about career moves on completion of the
doctorate. One of the good places to start is a Web site called Careers
and Jobs, and it is free (http://www.starthere.com/jobs/). It is one of
the most exhaustive sets of databases available. It includes academic
posts, and it has links to other Web sites. If college and university
teaching or administration are the primary concerns, try the Chronicle
of Higher Education site (http://chronicle.com/chronicle). Search can
be either by field of interest or geographical location. Both Web sites
were retrieved and reviewed on May 17, 2002.
Contributions to knowledge may, of course, be found directly in
the research reports themselves by anyone who searches them out, but
286 Chapter 10
it is the nature of the T/D that it is phrased very carefully. Committee
members tend to counsel restraint both in what is said and in how it
is phrased. Some committee members may urge the candidate to cut
loose in the final draft, particularly in the section on implications. By
that time, though, the candidate is writing with such ingrained caution
that boldness is out of the question. Thus, a journal article may afford
the first real opportunity to be more daring, to point out more explic-
itly how the results and conclusions might be used to add to wisdom
and to improve practices. Appearance in the forum of public print also
invites comment and discussion, so important to the weighing and
balancing that ought to take place before new concepts or changes are
fully accepted.
Dissemination of new information still lags. Great gaps yawn
between where knowledge is located (e.g., in T/D pages) and where
that knowledge ought to be if it is to be used. Publication is one way
to narrow those gaps. In addition to the conventional print forms, the
delivery of papers or participation in panel discussions is another
means of dissemination. Writers who cite relevant T/Ds in their own
publications are aiding in dissemination, too. (It was mentioned pre-
viously that publication could reinforce academic and professional se-
curity and recognition. The same is true of citation. A large number
of citations of a scholar’s work in the publications of others suggests
that their work has extraordinary significance.) The T/D supplies an
excellent database from which to disseminate new ideas, information,
or concepts, whether through print, oral presentation, or via citations.
Committee members and other faculty members who encourage stu-
dents in those directions are making a contribution to both the students
and to their professions.
WRITING FOR PUBLICATION
Few thrills match the first acceptance of an article for publication. It
is a great feeling for the author, and it can rightly be a prideful event
for the faculty members who tutored and encouraged the author. Sur-
prisingly, relatively few publications about professional or academic
publication appear in any field’s literature. Etzold’s (1976) article is
287The Completed T/D and Future Growth
one of the rare ones to address the matter seriously. It provides a
tightly knit and thought-provoking process guide to the writing, sub-
mission, and acceptance of scholarly manuscripts. It offers practical
assistance that can benefit both beginners and experienced writers.
Guidelines on Writing
A brief set of guidelines on writing for publication follows. It draws
in part on Etzold’s (1976) suggestions, in part on our own experience,
and in part on what colleagues told us. The outline has two major
components, one dealing with writing the article and the other with
getting the article published.
Writing the Article: Writing the article calls for particular attention
to three procedures.
First is deciding on the form in which the content will be pre-
sented. Journals tend not to employ the conventional T/D format for
articles. They prefer shorter pieces; they often merge the problem
statement and the literature review, and in many other ways, journal
articles have organizational qualities of their own. What they have in
common, though, and what successful manuscripts require, is a sys-
tematic sequence of content that enhances communication of con-
cepts. The structure (outline) decided on ought to reflect one’s scheme
for proceeding in an orderly way with the different components and
facets of the topic. Preplanned organization should be flexible. Some
excellent ideas occur while writing, and it should be possible to fold
them into the article’s outline as they occur.
This is the time to review your computer files, checking each
one for items and ideas you think could be worked into the article you
have in mind. Also, this is the time to start a new outline to fill in and
store in your computer, this time an outline for an article.
Second, the article should begin with and maintain a firm fix on
its main theme. Every paragraph or larger section ought to move that
same theme ahead, building on the foundation of the earlier para-
graphs or sections.
William Strunk Jr. (Strunk and White, 1979) said it best in The
Elements of Style:
288 Chapter 10
Vigorous writing is concise. A sentence should contain no unnec-
essary words, a paragraph no unnecessary sentences, for the same
reason that a drawing should have no unnecessary lines and a ma-
chine no unnecessary parts. This requires not that the writer make
all his sentences short, or that he avoid all detail and treat his
subjects only in outline, but that every word tell. (pp. ix–x)
Anything that deviates from the main line of development should
be reexamined to bring it into the main current of the article, to justify
it as a necessary side step, or to eliminate it. One can help oneself to
monitor the forward movement of the text by posing these questions:
Does the first sentence of every paragraph stick to the core theme of
the article? Does it follow sensibly the first sentence in the immedi-
ately preceding paragraph?
Third, make absolutely sure that all grammatical, spelling, and
other mechanical and structural composition details reflect preferred
practice in contemporary usage. Quality of expression and correct us-
age can be upgraded for almost everyone by taking advantage of the
standard features of most word processor programs. These not only
can call the attention of the writer to such basics as correct spelling,
but also can offer synonyms and even check a manuscript for overuse
of trite phrases. All of that help, and more, can be had almost automat-
ically if the proper commands are entered into the keyboard.
Correct language cannot make an otherwise weak article into a
good one. But, few factors can distract an editor from the positive
qualities of a manuscript as quickly and as emphatically as sloppy and
inaccurate writing.
Successful authors reach out for the counsel of friends, associ-
ates, previous teachers, and others who promise honest and energetic
criticism plus suggestions to remedy the defects they detect. It is ex-
tremely unusual that the first draft of a manuscript turns out to be the
one that ought to be submitted to a journal editor.
Achieving Publication: The article, once written, calls for tuning in
on a number of conditions that influence editorial acceptance. Three
of the main variables are discussed briefly.
First, pick a periodical to match your topic. Ask your commit-
tee members to make suggestions. Journals that cater to social work
289The Completed T/D and Future Growth
studies seldom find room for reports of studies in engineering or busi-
ness.
If a paper has a focus on a matter of interest to professionals
only in one state or only in one region (i.e., the Nebraska Association
of School Psychologists), then a journal that deals mainly with that
state or region’s concerns would be the target of choice. If the article
is a theory, opinion, or development piece, it would be better aimed
at a publication that is known to carry many such articles rather than
at one with an annual index of titles that shows only statistical studies.
One good source of information on the characteristics of publications
is the Directory of Scholarly and Research Publishing Opportunities,
carried in most public libraries.
Another way to find opportunities is to use your search engine,
enter publishing opportunities, and follow leads. Also, review jour-
nals, in hard copy or in electronic format, to find topics and areas in
which they publish. Often, this is done quickly on the computer by
searching, using key words that describe your dissertation. Once you
find the journal articles that appear to be close to your topic, you have
found journals that may be interested in publishing on that topic.
Then, look up the journals and find their requirements for publication.
Second, find out what author guidelines, if any, the chosen jour-
nal provides. If the information does not appear in each issue of the
journal itself, write or call the editor and make an inquiry. Henson
(1993) reviewed the practices of 54 journal editors. He reported:
Few beginning writers realize the importance of making their man-
uscripts fit the requirements of the target journals. Put bluntly, the
editors will not alter their journals to fit your manuscript. (p. 801)
We have adapted and constructed in the section following this one a
sample set of notes that might be supplied to prospective authors by
a simulated journal.
Third, be ready to try another journal if the first choice rejects
the manuscript outright. Peters and Ceci (1980) offer evidence from a
cleverly designed and executed investigation that rejections are often
the result of differences in judgment on the part of editors rather than
lack of merit in a proposed article. We believe that it is a rare topic
that cannot be matched sooner or later with the publication interests
290 Chapter 10
of more than one journal. Usually, too, whether the rejection is out-
right or conditional, the author is given the main reasons for the deci-
sion. By taking those reasons as constructive criticisms, it is often
feasible to prepare an improved draft that may be accepted on a sec-
ond go-round.
There is a great deal of competition for journal space. Editors of
high-quality periodicals annually receive many times the number of
articles that they can publish. Standards for acceptance grow in rigor
each year as more and more journals state their criteria more explic-
itly. An increased number of journals use a referee system that screens
potential articles through groups of volunteer associate editors who
are specialists in the journals’ domain of special interest. Achieving
publication, therefore, depends in large measure on doing a superior
job of putting together a well-composed, tightly organized manuscript
and directing it to a periodical, the style and publishing interest of
which match the article’s content.
Scholarly Publications in Electronic Format
A number of scholarly, refereed journals now publish electronically,
and that number increases each year. Paper remains the major venue
and will not disappear any time soon, but good reasons support the
growth of the electronic medium. Therefore, it may be to the advan-
tage of today’s T/D students and their mentors to make inquiries about
how one prepares and submits to editors who govern electronic jour-
nal publications.
If you wish to publish articles in electronic journals, you can use
electronic journal aggregators and services to find sites and publishing
information. Many university library home pages have lists of elec-
tronic journals and how to access them. An example is the Johns Hop-
kins University’s project MUSE home page (http://muse.jhu.edu),
which provides access to over 100 journals in the humanities, social
sciences, and mathematics.
Research libraries increasingly have access to full-text recent is-
sues of scholarly journals. For example, the University of Pittsburgh
University Library System (ULS) has electronic, full-text access to
recent issues of the following Carfax titles:
291The Completed T/D and Future Growth
African Studies
Arabic and Middle Eastern Literatures
Cambridge Journal of Education
Compare
Counselling Psychology Quarterly
Defense Analysis
European Planning Studies
Journal of Latin American Cultural Studies
Journal of Pacific History
Journal of Southern Europe and the Balkans
Labor History
New Political Science
Open Learning
Pretexts: Literary and Cultural Studies
Prometheus
Regional Studies: The Journal of the Regional Studies
Association
Research in Science and Technological Education
Studies in Higher Education
British Educational Research Journal
Bulletin of Hispanic Studies
Debatte
The European Legacy
Global Society
Journal of Contemporary China
Journal of Further and Higher Education
Journal of Iberian and Latin American Studies
Journal of Political Ideologies
Strategies: Journal of Theory, Culture and Politics
These journals may be accessed through the Electronic Journals listing
on your university library’s web site. They are available to the entire
university community.
At the same time, keep in mind that a group of publication-
related issues like copyright, full-text presentation, fair use, library
marketing, and reprint policy may yet remain unresolved in connec-
tion with this format.
292 Chapter 10
Illustrative Guidelines for Articles or Papers
We have simulated guidelines that could have relevance for all who
are trying to write for professional journals. They cover guidelines for
manuscript preparation. They will not fit every journal, but study of
them will help illustrate the similarities and differences between T/D
style and article style.
These guidelines are useful, also, if you want to prepare a paper
for distribution at a conference or to colleagues. Following them will
help to produce an article that reads well and is a consistent, unified
publication.
1. Select the time perspective. Write in the present tense or in the
past or future, but be consistent.
2. Write in the active voice: “Jones believes that clear enunciation
helps to communicate well” rather than “It is believed by Jones
that....”
3. Keep sentences simple, short, and logical. (Rambling, convo-
luted, page-long sentences turn people off.) Write with known
peers in mind—not abstract “scholars.”
4. Employ subheads to break copy into readable segments and to
guide readers in making transitions. One subhead per three typed
pages is a minimum rule.
5. Avoid quotations unless they are essential or unique in style.
Identify the fact and the source. Provide copyright permission
for quotations of 50 or more words and for charts or figures or
models.
6. Make use of the graphics capability of your computer both to
present concepts and to clarify procedures or methods used.
Consult key sources for displaying data and for showing very
complex theoretical constructs (Tufte, 1990).
7. Extract the most quotable brief statements (for use as highlights
at tops or sides of pages), at least one for every three pages.
8. Keep footnotes to a minimum. Put them at the end of the manu-
script in the order in which they appear. They are appropriate to
acknowledge the basis of the study (e.g., doctoral dissertation,
paper presented at a meeting, and so on); a grant or other finan-
293The Completed T/D and Future Growth
cial support; scholarly review or assistance in conducting the
study or preparing the manuscript.
9. The reference list cites only works that are referred to in the
article. Every work cited in the text must be listed in the refer-
ences. A bibliography cites other works for background. Do not
duplicate items on the reference list in the bibliography.
10. State the names and correct titles of institutions of all authors.
List them in author order on the last page of the manuscript.
11. On a separate cover page include professional biographical in-
formation: name, title, unit within larger institution or organiza-
tion or legal name of the institution or organization, and mailing
address.
12. Prepare the manuscript double spaced on one side, with margins
of at least 1.25 inches. Do not reduce. Send the original and one
clear copy.
13. If human or animal subjects have been used in the study, include
a statement (or a photocopy) indicating that the investigation
was approved by the appropriate human or animal subjects re-
view committee at your institution.
14. Identify specifically any computer programs and any individual
consultants employed in statistical analyses reported in the
manuscript.
15. Copies of signed, dated, and witnessed release forms should be
included for any photographs of humans to be used, and care
should be taken to conceal identities.
16. In your cover letter to the editor, offer to provide a disk copy
of your manuscript. This often speeds reviews by readers and
facilitates technical editing to the journal’s requirements.
17. If you have the copyright to your material and wish to retain it,
make your desire clear immediately to the editor. Many journals
insist on receiving assignment of the copyright as a precondition
for publication. It is appropriate and ethical to negotiate for the
arrangement you wish prior to review of your manuscript.
18. A dissertation or thesis is considered a publication. Thus, any
article based on a dissertation or thesis should cite the disserta-
tion or thesis in the article’s text and reference list.
294 Chapter 10
These directions illustrate the principle that journals have their
own preferences for mode of expression. Guidelines, on the one hand,
help publications to maintain and express their own journalistic styles
and, on the other hand, offer assistance to the author while the manu-
script is still in the early stages of composition. The guidelines for
periodicals may vary markedly, one from another, as reflections of
their differing editorial policies and purposes. Thus, it is advisable to
obtain and to work directly from the guidelines of the particular publi-
cation to which the article will be directed.
IMPROVEMENT OF ONE’S PROFESSIONAL
OR ACADEMIC DISCIPLINE
Part of the rationale for requiring research projects is that students
who complete them are, as a consequence, better prepared to bring
about improvements in their fields. The same rationale holds that the
studies themselves, if disseminated and applied, can influence change
for the better.
Research and Professional Improvement
Guba (1967), in analyzing the relation of educational research in gen-
eral to educational improvement, said the following:
Ideally, research develops the basic findings, the “new truths,”
the empirical data, upon which improvement decisions should be
based. In education we have been singularly shortsighted in the
past in constructing mechanisms by which research products are
moved into practice. (p. 12)
While Guba’s sentiment applied to educational research, it seems
to us to have relevance for investigative studies in general. The new
truths, also, may arise as a result of taking new looks at old data,
seeing things from changed perspectives. Students, while still engaged
in the research process, should be guided by their advisors to think of
the possibilities of weaving the results of their work into the fabric of
their field’s future. That task ought to be kept before students as a
responsibility. Now, students and advisors too often tend to close the
295The Completed T/D and Future Growth
door on research activity as if it is a completed episode that stops with
the faculty committee signoff after the final oral examination. Instead,
students should be guided to see their approved theses and disserta-
tions as points of transition, not simply ends in themselves.
There is solid evidence that journal publication does follow
shortly after the dissertation is completed for many graduates. For
example, Schuckman (1987) studied publications by recent Ph.D. re-
cipients in psychology and biology. It was not uncommon for three to
five publications per student to appear within four years after gradua-
tion, although a substantial number did not publish at all in that same
time period.
Schuckman also produced evidence that the number of postdoc-
toral publications per student was not related to gender. Not only was
there no significant relationship between frequency of publication and
male or female gender, but also it did not seem to matter whether the
student’s advisor was male or female. In other words, Schuckman’s
(1987) study provided no evidence for the belief that the sex of the
graduate student’s advisor had a significant impact on the student’s
publication rate following graduation.
The encouragement of publication by graduates is a major re-
sponsibility of advisors and committee members according to the pro-
fessors we interviewed. Many advisors wished graduates would ask
them to help in moving the dissertation, or a study based on it, into
the mainstream of journal articles.
Translation into Theory and Practice
We emphasize, again, the obligation to put the findings of both T/D
and other research and development into the hands of potential users.
That obligation includes the analysis, interpretation, “repackaging,”
and dissemination of research results and other pertinent information
for a variety of specific, nonresearch audiences. The main purpose is
to provide operating agencies and individuals with a sound and grow-
ing research and development information base for evaluating and
modifying current programs or planning and implementing new ones.
Students amass data of various kinds in the process of their re-
search. Some are about people; some are about things like books or
296 Chapter 10
other objects, about procedural policies, or about schedules. Still more
are about interactions of people and things, such as how new planets are
born, how teachers design individualized education programs, the atti-
tudes of citizens toward public welfare and tax es, or the d yna mic s of
collective bargaining. Taken together, enormous quantities of data are col-
lected an d proces sed in some way annually. For the most part, the infor-
mation is seldom used again after serving its function once in a T/D.
Yet, if it is accessible, it has many additional potential uses. Ac-
cessibility is becoming less and less a problem, with increases in the
understanding and the technology necessary for easy and inexpensive
data storage and retrieval. Knowledge availability systems have bur-
geoned with computers, modems, on-line search capabilities, fax ma-
chines, and a large variety of software becoming common as part of
the library service and in schools, homes, offices, businesses, and
other public and private organizations.
Thus, one of the significant contributions of student research
may well be found in the data collection itself, quite apart from the
specific use to which the information may have been put in the partic-
ular T/D for which it was gathered and processed. The contribution is
ready, low-cost access to significant amounts of the raw material for
inquiry, concept building, hypothesis testing, and decision making.
While it is still uncommon, a related and preferred development
in student research is to build into the process itself an appreciation
for the importance of what Guba (1967) called a “linking mechanism”
between the T/D and practice. This calls for enlarging greatly on the
implications section of the document and devoting an entirely new
section to a presentation on the potential applied significance of the
investigation’s outcomes. After the development of the implications
material, the student is almost certain to feel a greater stake in build-
ing on the scholarly insights and know-how engendered during the
design, conduct, and reporting of the research itself.
FOLLOW-UP STUDIES BASED ON T/D RESEARCH
Completion of the T/D can bring relief from taut nerves and a strong
temptation to turn away from the tension source. Sensitive committee
297The Completed T/D and Future Growth
members, aware of that syndrome, prepare advisees to recognize and
to think about other, more positive ways to glide from student-
researcher to researcher-student, a more mature form of the scholarly
species. That transition can be fostered by guiding the advisee to pre-
pare for questions in the final oral examination that bear on which
follow-up investigations the findings ought to stimulate. It is only one
step from that to helping the advisee to sketch procedures that could
be used to pursue the suggested studies.
Potential studies that capture and hold students’ interest after the
T/D is finished vary in kind. Three forms of follow-up do kindle more
than ordinary interest: those that replicate, those that expand, and
those that refine instruments.
Replication is a great research need. The literature is replete with
one-shot studies, many with possible significance but with sample,
locale, or other limitations that minimize generalizability. Even with
results of investigations that are broadly applicable, replication is usu-
ally needed in additional settings to create a critical mass capable of
firing an adoption of changed mood in the enormous bodies of schol-
arly community and business systems. There are, of course, some
studies that, by their nature, cannot be replicated. For them, closely
related, companion investigations are needed to confirm and extend
the credibility of the originals.
Expansion presses the original research work outward to new
horizons. It answers questions like, How much further will this princi-
ple reach? Where else can what has been found have influence? What
other professional practices are amenable to study and analysis in this
way? How does what has been uncovered in this study link to other
scientific laws or academic concepts? Expansion carries the implica-
tion of a programmatic approach to additional inquiry stemming from
the T/D findings and motivated by them.
Instrument refinement is a possibility for further study when the
student research requires the use of ratings, scales, questionnaires,
tests, observation schemes, interview protocols, apparatus, formulas,
or other tangible data collection aids. Sometimes, too, the study itself
may not involve instrumentation, but it may unearth reasons why ex-
isting tests, scales, or similar items should be improved.
298 Chapter 10
Replication, expansion, and instrumental improvements are only
three directions that follow-up studies can take. Whether one or more
of these paths or others seem feasible, it cannot be overemphasized
that committee members have the obligation to try consciously to en-
gage the creative imagination of their students in thinking about fol-
low-up. This needs to be done early in T/D work, too, and reinforced
frequently if it is to carry the student through the typical tendency to
let down after final approval.
REINFORCEMENT FOR FOLLOW-UP
Two of the most effective motivators for degree-seeking students are
financial support and faculty approval. Strategic patterning of these
can create powerful forces that foster continued research activity sub-
sequent to T/D completion. The following is a list of a number of
possible ways to join reward systems to follow-up activities on the
part of students:
When financial support is given during research, whether as tuition
remission, job opportunities, or outright grants, include in the
application and the award statement language that indicates ex-
pectation that follow-up will be done.
Establish as standard practice a post-T/D approval committee meeting
that is devoted to consideration of possible follow-up work. The
agenda could include
Student ideas about possible follow-up activities
Governmental or private foundation resources
Suggestions about journals for submission
Organizations or agencies interested in the kind of investiga-
tion done by the student
Identification of other faculty members doing related research
Practical suggestions for making a start on follow-up
Hold competitions for best T/Ds. Provide for a sufficient number of cate-
gories, with several awards in each category, to ensure that all truly
meritorious studies receive recognition. Include students as judges.
Arrange for student presentations about their completed research to
local audiences of other students and of faculty members. Pre-
299The Completed T/D and Future Growth
sentations can range from class or seminar discussions to formal
papers at colloquia or in faculty meetings. In all cases, make it
a requirement that at least one-third of the presentation deal with
potential or planned follow-up activities.
Publish a school periodical that contains summaries of completed stu-
dent investigations. A necessary part of each summary may be
the student’s projections about possible related continuing re-
search activity.
Hold an annual school or departmental event (luncheon, dinner, one-
day conference) that highlights graduates who have published
articles, presented papers, or carried on studies that built on stu-
dent research they completed in the recent past.
One of the most frequently voiced concerns of advisors is that
too many students have become discouraged from continuing research
by the time they complete the T/D. Some end up embittered by the
experience, rendered hostile to anything that relates to research. Ap-
proximately 40 years ago, James (1960) made the essential point this
way:
It is important to keep the candidate...in mind. Some candi-
dates are treated so harshly that, for them, research study in later
years is something carefully to be avoided....Itisofmajor im-
portance that the candidate’s efforts to identify a problem, to
plan and carry out the research, to present the results, and to
defend...results among...older professional colleagues
should constitute a “success experience,” and not a passage
through purgatory. (p. 148)
We carry James’s notion a step further by emphasizing the po-
tential positive impact of thoughtfully designed end-of-mission activi-
ties. It is to be hoped, of course, that pleasant experiences will pre-
dominate all along the student research trail. If there are substantial
difficulties, it is to be expected that committee members will help
students work their ways through the difficulties objectively, without
abrading feelings in the process. Finally, we encourage the deliberate
employment of reparative and rewarding professional acknowledg-
ment and encouragement to enhance the likelihood that the solid satis-
300 Chapter 10
factions of inquiry and investigation will remain dominant in those
who complete T/Ds.
FUTURE TRENDS
During 1973 and 1974, the Educational Testing Service (1974) re-
ported on the trends in graduate education in its report Flexibility for
the Future. Significant for T/D study were these summary recom-
mended actions:
That the practice of evaluating all graduate schools and their
faculties in terms of research be re-examined;
That all doctoral students spend time doing off-campus work re-
lated to their major fields;
That efforts to recruit women and minority group members for
faculty positions be intensified;
That faculty be allowed more time for seeking solutions to soci-
ety’s major problems; and
That institutional policies governing such matters as student resi-
dency and fellowships be made more flexible. (p. 63)
Each of those recommendations remains as fresh today as when
they were first made. Without exhausting the possibilities, these are
some examples. About the first recommendation, one could ask what
role student research has and should have in that reexamination. As
for the second, to what extent might that recommendation be instru-
mental in promoting student studies in off-campus settings, with atten-
dant influence on the nature of T/D topics? The third recommendation
not only opens the way to studies of women and minority persons’
recruitment itself, but also promises to bring more subjects of concern
to women and minority groups into the pool of potential student re-
search topics.
The fourth recommendation focuses on faculty time for address-
ing the world’s chief problems. For the professions, that immediately
suggests investigations that attack such national problems as aging,
union-management relations, education for literacy and values, and
studies about population control, to name only a few. The academic
disciplines have at least as urgent an agenda.
301The Completed T/D and Future Growth
With regard to the last of the five recommendations, two difficult
problems for T/D students are embedded in it: residency and financial
support. Residency usually refers to the time spent in study while on
the campus. It is increasingly difficult for students to continue in resi-
dence (so defined) while conducting research, particularly dissertation
work, because of the extended period of time often entailed. The chief
problem is financial support for the student and the student’s research
during that period. Moreover, when financial support is available from
the higher education institution, it is usually in exchange for perform-
ing some task other than the T/D work. Thus, the student is the captive
of the job for which the payment is given; that captivity effectively
limits the range of action of the student to investigate certain potential
topics. More flexibility in residency requirements and financial sup-
port are objectives worth pursuing.
SUMMARY
This chapter begins to chart some of the largely unexplored terrain
beyond the formal completion of graduate research work. The contri-
butions of such investigations to the growth of the individual student
are discussed on the one hand, and on the other hand, the functions
of the T/Ds in the development of the professions and academic disci-
plines are considered. Suggestions are made for how faculty members
and students may further their own development by means of intelli-
gently planned activities coincident with and following the conclusion
of the officially prescribed research process.
Appendix A: Suggested Proposal
and Project Guidelines
The following outline suggestions supplement material that appears in
the text about structuring proposals for either qualitative or quantita-
tive research theses and dissertations. It is possible to combine parts
of these outlines, to add or delete parts, and, of course, to create new
outlines. As we have said, there is no fixed recipe for outlining re-
search projects. There is no substitute for thought. These are exam-
ples, only, of ways to structure thought and problems.
The outlines illustrate ways to set up frameworks for thinking
through various types of problems or issues of significance to the pro-
fessional and academic disciplines. It can be seen that they all have a
common theme: the identification and specification of some matter
for study and the orderly process of working toward a solution. Stu-
dents are encouraged to adapt these, and others that appear in the text,
to suit the particular studies they wish to address.
Example A: Empirical Investigation Outline
I. Statement of the problem
A. The general concern that makes this a matter of significant
and current interest.
B. The specific practical problem that needs to be researched
to enhance practice or understanding, design policy, or de-
termine action.
303
304 Appendix A
II. The theoretical framework
A. Name(s) and brief description(s) of relevant theory(ies) to
be utilized in approaching the problem.
B. Review of major concepts and their interrelationships de-
rived from existing theoretical work.
III. Review of literature
A. Discuss how the theoretical framework or its components
have been used in existing empirical studies.
B. Relate the literature review to the utilization of concepts in
the current study. Show how existing literature points to
the need for the specific investigation proposed.
IV. Methodology
A. The research problem—the statement of a relationship to
be tested (general hypothesis). In some cases of explor-
atory research, it may not be appropriate to formulate
hypotheses. Instead, state precise research questions with
a specification of variables to be included.
1. Specification of variables: Give objective definitions
of each variable that will be controlled, measured, or
manipulated.
2. Specification of interrelationships between variables:
The dependent variable(s) (goal or result), the inde-
pendent variables (factors that relate to the goal or re-
sult), and the intervening variables.
B. The specific working hypotheses.
1. Break down the general hypothesis and state specifi-
cally the exact type of relationship expected between
the independent and dependent variable(s).
2. State the exact type of relationship expected between
each of the identified subpopulations and each of the
subresults expected. (How will the introduction of in-
tervening variables affect the general results?)
C. Operational definitions: Define each term in the statement
of the relationship to be tested so that it is carefully de-
limited. This includes each of the variables of concern and
the population under study.
D. Limitations and delimitations: Specify each under the ap-
propriate subheading.
305Suggested Proposal and Project Guidelines
E. Procedures.
1. Procedures for collecting data.
a. General plan: State in words and provide a dia-
gram, if feasible.
b. Population and sample: Indicate how selected and
criteria used.
c. Data and instrumentation: Include all relevant
data and instruments.
d. Mode of analysis: Describe both the techniques
and their application.
e. Time schedule: Utilize a time line or PERT (pro-
gram evaluation and review technique) format.
2. Pretest and results.
Overview takes place here.
V. Collection, analysis, and interpretation of data
A. Collection of data.
B. Processing and tabulation.
C. Carrying out appropriate tests for analysis.
D. Interpretation of data.
VI. Summary and conclusions
A. Generalizations from research results to theoretical frame-
work.
B. Serendipitous findings.
C. Practical implications of research results (professional de-
velopment, for practice, for policy, for action, and so
forth).
D. Limitations of the study.
E. Implications for further research and practice.
Example B: Policy Analysis Investigation Outline
I. Statement or definition of the problem
A. The general concern(s) that make(s) this a significant
problem of current interest.
B. The specific point(s) of focus of this proposed study within
the general concern(s).
II. Conceptualizing the problem for analysis
306 Appendix A
A. Outlining the dimensions or the parameters of the factors
of concern.
B. Demonstrating the interrelationships of these factors for a
general framework of approach.
III. Relevant literature: Discussing sources, including theories and
principles, from which the problem conceptualization was
derived, including any studies that have been used or can
be related to the problem conceptualization or some aspect
of it
IV. Specifying the process of analysis
A. The specific questions or propositions to guide the analytic
effort.
B. The concepts or variables that will be used systematically
in the analytic effort.
C. Operational definitions of concepts.
D. Strategy or design for making inferences about data.
V. Procedures
A. For collecting evidence or data.
1. General design.
2. Sources of evidence or data.
3. Instruments or techniques for collecting/extracting ev-
idence or data.
4. Mode of analysis planned.
Overview takes place here.
VI. Collection and analysis of evidence or data
A. Carrying out the library and/or field research.
B. Carrying out the specified mode of analysis.
C. Analysis and interpretation of findings.
VII. Summary and conclusions
A. Relating the findings to the original conceptualization of
the problem.
B. Serendipitous findings.
C. Specifying the implications of the study for the policy con-
cern.
D. Suggesting further efforts in policy analysis with some
specific reference to limitations of the present study.
307Suggested Proposal and Project Guidelines
Example C: Theoretical Synthesis Investigation Outline
I. Statement of the problem
A. The general concern(s) that makes it relevant and desirable
to attempt a synthesis of a particular body of knowledge or
theory or of two or more related theoretical or conceptual
perspectives.
B. Describe the specific points of focus of this effort within
the general concern(s).
II. Developing a framework for theoretical synthesis
A. A concise but comprehensive overview of the major con-
cepts in the knowledge, conceptual, or theoretical body
(ies) of concern.
B. Specification of the perceived problems or gaps in knowl-
edge, conceptual, or theoretical coherence.
III. Relevant literature: A preliminary review of existing conceptual
and theoretical work in the area of concern(s), including key
empirical studies employing relevant concepts and theoretical
constructs
IV. Methodology
A. Specifying the problem for synthesis.
1. Identifying the specific dimensions to be addressed in
the synthesis (e.g., conceptual confusion, conceptual
conflicts, conflict in research findings relevant to
theory).
2. Operational definitions.
a. Of major concepts.
b. Of variables standing for concepts as used in re-
search.
3. Strategy or design for synthetic efforts (identifying the
relevant population of sources and how they will be
sampled, if appropriate).
B. Procedures for collecting and analyzing relevant informa-
tion for synthesis.
1. Sources of analysis for conceptually and theoretically
relevant material.
2. Sources of relevant research to shed light on concep-
308 Appendix A
tual or theoretical adequacy or to assist in resolving
conceptual or theoretical conflict.
3. Techniques for extracting systematic information from
secondary sources.
4. Planned mode(s) of analysis.
Overview takes place here.
V. Collection and analysis of information
A. Carrying out the library and related informational source
research.
B. Carrying out the specified mode(s) of analysis.
C. Analysis and interpretation of results of inquiry: Toward a
conceptual and theoretical synthesis.
VI. Summary and conclusions
A. Presenting a new model for conceptual or theoretical ap-
proach(es) on the basis of the inquiry.
B. Specifying the implications for the further study of profes-
sional problems or issues under the guidance of the new
model.
C. Suggesting the implications for further concept or theory
building with specific reference to limitations of the pres-
ent study.
Appendix B: Course Outline
This course outline is designed for faculty who teach or plan to teach
courses on thesis or dissertation research and preparation. The outline
below is the result of years of development by several faculty mem-
bers with many classes and students.
This course outline is designed for faculty who teach or plan to
teach courses on thesis or dissertation research and preparation. The
outline below is the result of years of development by several faculty
members with many classes and students.
Students are expected to be important contributors to the seminar
learning process and thus are required to review critically their own
work, the work of their peers, and dissertations completed by others.
The experience of the authors has been that the overwhelming major-
ity of those who successfully complete the course successfully defend
the overview proposal in committee.
RESEARCH SEMINAR DEPARTMENT
OF ADMINISTRATIVE
AND POLICY STUDIES APS 3090
Term: Fall
Time: 4:30–7:10 Wednesday
Place: 5P51 WWP Hall
Instructor: James Mauch, mauch@pitt.edu
Telephone: 648-7104
309
310 Appendix B
Seminar Objective and Content
The objective of the instructor is to help students use research as a
tool in developing theses and dissertation proposals.
The seminar is concerned with the problems of designing and
conducting dissertation research. More specifically, the course is de-
signed to assist the student with the following:
1. A critical review of selected studies.
2. Identificatio n of the trends in the body of research to beco me f ami l-
iar with current concerns as well as to point out research needs.
3. Identification and formulation of researchable problems.
4. Development of a research design that employs appropriate meth-
odology for dealing with the formulated problem.
5. Experiential learning through a simulated presentation of the
overview to a committee comprised of class members and the
instructor.
Who Should Take the Course
The seminar is appropriate for students who are nearing the end of
required graduate study and who are ready to begin serious work on
thesis or dissertation proposals. Thus, the instructor assumes that each
student
1. Has successfully completed the required courses in research
methodology and disciplined inquiry.
2. Has identified a research topic that is acceptable to the research
advisor.
3. Has established a schedule that will make it possible to be in
frequent contact with the research advisor about the topic as it
develops.
4. Has established a schedule that will permit concentrated work
over the time of the term, having as a firm goal the completion
of the overview proposal in draft form by the end of the seminar.
Evaluation
This seminar is designed for graduate students who are prepared to
engage in serious and scholarly preparation of a research proposal.
311Course Outline
Students in this course are expected to assume a collegial role, and
their substantive and methodological contributions to class discussions
and colleagues’ work are expected to be substantial, scholarly, and
informative.
Given the above, and the fact that grades are required, evaluation
will be based partly on the quality and relevance of class contribu-
tions, including evidence that members of the class have read, under-
stood, and are able to critique the readings.
Therefore, it should be clear that a commitment is necessary.
Student presence and contribution is important and is required for a
successful class. Students should not waste the time and money of
others by coming to class unprepared or by failing to be present to
contribute insight into the work of colleagues. Unexcused absences
are evidence of lack of commitment to study. Absences and incom-
plete work will be part of evaluation and may result in an incomplete
or failing grade. If a student cannot make the commitment or is un-
willing to undergo the discipline of class requirements, the first meet-
ing of the class is the point at which it is appropriate to drop the class.
Each student will be asked to demonstrate computer proficiency
or attend a computer workshop designed to demonstrate the uses of
the computer in the development, design, writing, and execution of the
proposal. Those who are already computer literate will be expected to
learn to use software designed to help write proposals and scholarly
papers.
An acceptable research proposal must be submitted before the
course is successfully completed. This means that a proposal draft,
acceptable to the research advisor, must be submitted to the instructor
before a letter grade is awarded.
Text
Mauch, J. E., and Birch, J. W. (1998). Guide to the successful thesis
and dissertation (4th ed.). New York: Marcel Dekker.
In addition, each student is asked to have available a style man-
ual acceptable to the university, school, or department. Students will
be required to conform to one style manual in completing class assign-
ments. The following style manuals may be used:
312 Appendix B
American Psychological Association. (2001). Publication manual (5th
ed.). Washington, DC: Author.
Turabian, Kate L. (I 996). A manual for writers of term papers, theses
and dissertations (6th ed.). Chicago: University of Chicago
Press.
Course Assignments
Assignment 1: Describe your topic to be developed as an overview
proposal. It should be one page or less, single spaced. Include name
and date, title, problem statement, and proposed methodology. Prepare
sufficient copies to be distributed to the class for the discussion. Each
seminar participant will provide written comments to the writer of the
description. Each person will be given a short period to discuss the
project during the seminar and to receive additional feedback from
the other participants.
Assignment 2: Each student will be required to attend a workshop
designed to provide experience in using the computer to search the
university on-line library catalog, which contains over half a million
citations. In addition, during this same class, students will have the
opportunity to do computer searching of a bibliographic database pro-
grammed for retrieval.
Assignment 3: Based on comments from class, prepare the introduc-
tion and problem chapter of your proposal. This is a draft. Concentrate
on writing clearly what you want to tell the reader in three or four
pages. Substance and clarity are more important than format. Avoid
“big” words; use your own language. Make enough copies for class
so all can read and critique.
Assignment 4: Based on comments from class, continue, as above,
with the review of the literature. This could be 20 pages easily, but
more important than length is the submission of something for col-
leagues to review.
Assignment 5: Review and evaluate three theses or dissertations rel-
evant to the chosen topic. Prepare a written critique of each, one or
313Course Outline
two pages in length. Be prepared to present this in class. You may
find the evaluation Fig. 5-1 on pages 145–147 useful.
Assignment 6: Based on comments from class, continue as above
with the research design.
Assignment 7: Based on comments from class, continue as above
with the preparation of the reference list.
Assignment 8: Develop a research proposal (overview) to be pre-
sented to a simulated overview committee composed of class mem-
bers. It should be a minimum of 15 pages, maximum of 25. Copies
should be available one week prior to the presentation to the commit-
tee. Follow the overview outline in the text.
Each student will be assigned to serve as a research advisor and
as a committee member for other students. Research topics should
also be discussed with student advisors as soon as possible.
Assignment 9: Review of the literature, research design, and bibli-
ography. When the parts have been put together, revised, and shared
with the research advisor, they become the draft overview.
The dates of assignments may vary with the scheduling of in-
structional resources.
RESEARCH SEMINAR SCHEDULE
Meeting
Class dates Content/assignments
1 8/27 Introduction, objectives, assignments.
Read Chapters 1 and 2 for next class.
Begin library search for Assignment 5.
2 9/3 Description of proposed research. Assign-
ment 1 due. Read Chapters 3 and 4
for next class.
3 9/10 Research sources. Assignment 2.
4 9/17 Introduction and problem statement. As-
signment 3. Chapter 5.
314 Appendix B
5 9/24 Review of the literature. Assignment 4.
Chapter 6.
6 10/1 Dissertation critique. Assignment 5.
Chapter 7.
7 10/8 Critiques, continued. Assignment 5.
Chapter 8.
8 10/15 Research design. Assignment 6. Chapter
9.
9 10/22 Reference list. Assignment 7. Chapter
10.
10 10/29 Completion of draft research proposal to
share with class. Assignment 8.
11 7/5 Assignment 9, simulated overviews:
1.______________
2.______________
12 11/12 1.______________
2.______________
13 11/19 1.______________
2.______________
14 12/3 1.______________
2.______________
15 12/10 Class evaluation and review.
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Index
Advisor
change of, 69
choosing, 28–29, 69
as committee chairperson, 69,
252–254
defined, 10
ethical behavior, 45–51, 231–233
as mentor, 227–233
research standards of, 57–62
role of, 32, 69, 153, 185–186
Advisor, research, 35–38
change of, 64
choosing, 36–38, 61–63
interaction with, 42–43
as mentor, 43–44, 230–233
as model, 44–45
relationship with students, 42–45
responsibilities of, 48–61
role, 4, 38, 185, 194
scholarly standards, 257–262
327
Animal subjects, 227
Appendices, 138
Authorship, 230–233
Bibliography, 138–139, 141, 207
Chairperson (see also Advisor,
research)
as coordinator, 252–254
defined, 10
as mentor, 159–160
as principal investigator, 231–232
responsibilities, 188–194, 266
role, 270–272, 257–259
College
honors programs, 2–4, 23
standards, 259–261
Committee, thesis and dissertation,
143–165
approval of, 249, 277, 168–169
328 Index
[Committee, thesis and dissertation]
defined, 10, 143
members communications, 150–151
procedures, 152–155
relationship with students, 144–150,
194–196, 249
roles, 54–57, 143–144, 156–168,
192–194, 249–254, 273–274
selection of, 151–156
size, 155–156
Communication, 149–151, 183
Computer, 204–219
applications, 98–99
data analysis, 120–121, 140–141,
217–219
data files, 117–118, 208–210
data gathering, 204–219
searches, 84–93, 118–119, 117–
118, 140–141, 201–203
Confidentiality, 219
Consultation, 183–185
Contents, table of, 107, 239, 249–251
Control, 230–233
Copyright, 181–182
Data
collection, 136–137, 204–212
recording, 206–207
simulation, 203–204
Defense, final oral, 262–265
administrative arrangements,
264–269
approval of, 277–279
candidate, role of, 274–277,
279–281
chair, role of, 270–272, 279–281
conduct of, 269–270
follow-up, 279–281
history of, 263–264
procedures, 264, 267–269
structure of, 263–264
Definitions, 115–116, 292–293
Delimitations, 114–115
Disciplines, academic and profes-
sional, 11–15, 106–108
Dissertation
appendices, 138
defined, 9–15
differences from theses, 60–61
evaluation, 144–147
failure to complete, 233–236
follow-up, 285–286, 296–300
format, 237–240
funding, 227–233
future trend, 290–291, 300–301
practices in universities, 222–227
preparation, 240–241, 247–262
publication of, 285–294, 296–298
quality, 13–17
relevance of, 59
table of contents, 239–240
as a teaching device, 27–30, 46–48
technical assistance, 244–247
Editing, 248–250
Ethics, 51–54, 57–58, 220–223
Evaluation, dissertation or thesis, 144–
148, 249–250, 265–266
Faculty, graduate, 64
Foreign students, 28–29, 62, 77–82
Funding, 230–233
Honors programs, 2–4, 23
Human subjects, 220–227
Hypotheses, 111–114, 121–124
Informed consent, 225–227
Instrumentation, 134–135
Intellectual property, 181–182
Internet sources, 85–96
Journals, publication in, 286–294
Libraries, 84–86, 122–123, 173–174
Limitations, 114–115
329Index
Literature review, 86–93, 116–123,
207–217
Manuscript preparation, 257–262
Masters, 3–4, 24–25
Mentor, 43–44, 227–233
Notes
systematic data recording, 206–
207
taking of, 209–211
Objectives of dissertation
faculty, 20, 32–33
institutional objectives, 29
student, 27–28
Outlines, 104–109, 210–211
Overview
administrative arrangements, 183–
184, 186–188
approval, 167–168, 182–183
committee, 168–169, 174–180,
183–185, 193–195
as a diagnostic, 171–176
document, 169
as learning experience, 175–177
meeting, 167–171, 176–177,
186–198
outcomes, 173–175, 179–180,
196–198
preparation, 167–169, 178–179,
183–185
purpose, 170–171
records, 190–191
table of contents, 107, 169
topic, search for, 74–76, 83–84,
93–94, 171–175
Permission, 219–220
Pilot study, 21, 136
Privacy, 219–220
Problem statement, 109–111
Professionalism, 294–296
Proposal
advisor role, 69
definitions, 115–116
development of, 67, 83–84
evaluation, 144–147
format, 106–108
outline, 101–105, 108–109,
168–170
preparation, 84–86, 97–99
problem statement, 109
rationale, 109
regulations, 99–100, 168–170
research questions, 111–112
review of the literature, 111–118
style, 100–104
table of contents, 107
theoretical framework, 109–114
topic selection, 71–80, 93–94
university guidelines, 99–100
Records, 206–207
confidentiality, 219–220
Replication, 297–298
Research
defined, 123
design and methodology, 118–120,
123–135, 203–204
ethics, 220–227
human subjects, 220–227
hypotheses, 111–114, 123–124
informed consent, 225–227
procedures, 133–134, 284–286
qualitative, 17–23
quantitative, 19–33, 126–133
questions, 111–114
review of, 116–118
scholarly, 30–32, 123–126,
257–262
sensitive materials, 76–77
Students
foreign, 28–29, 77–82
needs, special, 70–71
330 Index
[Students]
objectives, 27–28
progress of, 67–68, 233–236
research, 13–17, 26
roles, 274–276
standards, 256
Style manuals, 86, 100–104, 207–
208
Table of contents, examples of, 107,
239–240
Technical assistance, 7–9
Terminology, 9–11, 115–116
Theory, 111–114
Thesis
characteristics, 60–66
contents, 239–240
defined, 9–13
evaluation, 144–147
format, 237–240
honors, 23–24
masters, 24–25
objectives, 27–30
[Thesis]
publication, 286–290, 292–294,
296–298
relevance, 59
Time management, 5–7, 67–69, 199–
203, 231
Topic
appropriateness of, 74–76, 84, 231
feasibility of, 77–79
generation of, 93–94
personal interest in, 72, 82, 231
practicality, 77–79, 82–84
relevance, 82–84
selection, 72–76, 231
Writing
aids, 20
clarity in, 162–163
draft, 240, 247–251, 254–256
organizing, 240
outline in, 239–240
publication, 284–285
revisions, 248
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Guide Thesis Guide Thesis (Department of Internal Affairs New Zealand)

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Completed 30 September 2020

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