THE ELEMENTS OF A PROPOSAL

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THE ELEMENTS OF A PROPOSAL
(Adapted from Pajares, 2007)
I. Introduction and Theoretical Framework
A. “The introduction is the part of the paper that provides readers with the background information for the
research reported in the paper. Its purpose is to establish a framework for the research, so that readers
can understand how it is related to other research” (Wilkinson, 1991, p. 96). It sets the stage for the rest of
the proposal, captures interest, and provides a broad foundation on which to build.

C. If a researcher is working within a particular theoretical framework/line of inquiry, the theory or line of
inquiry should be introduced and discussed early, preferably in the introduction or literature review.
Remember that the theory/line of inquiry selected will inform the statement of the problem, rationale for the
study, questions and hypotheses, selection of instruments, and choice of methods. Ultimately, research
results will be discussed in terms of how they relate to the line of inquiry that undergirds the study.
D. Theories, theoretical frameworks, and lines of inquiry may be differently handled in quantitative and
qualitative endeavors.
1. “In quantitative studies, one uses theory deductively and places it toward the beginning of the plan for
a study. The objective is to test or verify theory. One thus begins the study advancing a theory,
collects data to test it, and reflects on whether the theory was confirmed or disconfirmed by the
results in the study. The theory becomes a framework for the entire study, an organizing model for
the research questions or hypotheses for the data collection procedure” (Creswell, 1994, pp. 87-88).
2. In qualitative inquiry, the use of theory and of a line of inquiry depends on the nature of the
investigation. In studies aiming at “grounded theory,” for example, theory and theoretical tenets
emerge from findings. Much qualitative inquiry, however, also aims to test or verify theory, hence in
these cases the theoretical framework, as in quantitative efforts, should be identified and discussed
early on.
II. Statement of the Problem
A. “The problem statement describes the context for the study and it also identifies the general analysis
approach” (Wiersma, 1995, p. 404).
B. “A problem might be defined as the issue that exists in the literature, theory, or practice that leads to a
need for the study” (Creswell, 1994, p. 50).
C. It is important in a proposal that the problem stand out—that the reader can easily recognize it.
Sometimes, obscure and poorly formulated problems are masked in an extended discussion. In such
cases faculty, second reviewers and/or committee members will have difficulty recognizing the problem.
For most people, this may be the most difficult part to get right. Not getting it correct means delays getting
started and then issues as the research progresses.
D. A problem statement should be presented within a context, and that context should be provided and briefly
explained, including a discussion of the conceptual or theoretical framework in which it is embedded.
Clearly and succinctly identify and explain the problem within the framework of the theory or line of inquiry
that undergirds the study. This is of major importance in nearly all proposals and requires careful attention.
It is essential in all quantitative research and much qualitative research.
E. State the problem in terms intelligible to someone who is generally sophisticated but who is relatively
uninformed in the area of your investigation. If it is clear to them and they can discuss it, maybe it is clear,
if not, you will need to try again until it is clear.
F. Effective problem statements answer the question “Why does this research need to be conducted.” If a
researcher is unable to answer this question clearly and succinctly, and without resorting to hyper
speaking (i.e., focusing on problems of macro or global proportions that certainly will not be informed or
alleviated by the study), then the statement of the problem will come off as ambiguous and diffuse.
G. For general conference proposals, the statement of the problem is generally incorporated into the
introduction; academic proposals for theses or dissertations should have this as a separate section.
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III. Purpose of the Study
A. “The purpose statement should provide a specific and accurate synopsis of the overall purpose of the
study” (Locke, Spirduso, & Silverman, 1987, p. 5). If the purpose is not clear to the writer, it cannot be clear
to the reader.
B. Briefly define and delimit the specific area of the research. Taking on too many topics or variables will
mean delays and the need for much greater testing to complete a proposal. You will revisit this in greater
detail in a later section.
C. Foreshadow the hypotheses to be tested or the questions to be raised, as well as the significance of the
study. These will require specific elaboration in subsequent sections.
D. The purpose statement can also incorporate the rationale for the study. Some faculty or committees prefer
that the purpose and rationale be provided in separate sections, however.
E. Key points to keep in mind when preparing a purpose statement.
3. Incorporate a sentence that begins with “The purpose of this study is . . .” This will clarify your own
mind as to the purpose and it will inform the reader directly and explicitly.
4. Clearly identify and define the central concepts or ideas of the study. Some faculty and committee
Chairs may prefer a separate section to this end. When defining terms, make a judicious choice
between using descriptive or operational definitions. Unclear or unfamiliar terms in the subject area
must be clearly defined preferably earl on in the proposal.
5. Identify the specific method of inquiry to be used.
6. Identify the unit of analysis in the study.
IV. Questions and Hypotheses
A. Questions are relevant to normative or census type research (How many of them are there? Is there a
relationship between them?). They are most often used in qualitative inquiry, although their use in
quantitative inquiry is becoming more prominent. Hypotheses are relevant to theoretical research and are
typically used only in quantitative inquiry. When a writer states hypotheses, the reader is entitled to have
an exposition of the theory that lead to them (and of the assumptions underlying the theory). Just as
conclusions must be grounded in the data, hypotheses must be grounded in the theoretical framework.
B. A research question poses a relationship between two or more variables but phrases the relationship as a
question; a hypothesis represents a declarative statement of the relations between two or more variables
(Kerlinger, 1979; Krathwohl, 1988). If it is unknown whether a relationship or correlation exists, the
question may be: To investigate whether or not a relationship exists between X and Y variables.
C. Deciding whether to use questions or hypotheses depends on factors such as the purpose of the study,
the nature of the design and methodology, and the audience of the research (at times even the taste and
preference of committee members, particularly the Chair).
D. The practice of using hypotheses was derived from using the scientific method in social science inquiry.
They have philosophical advantages in statistical testing, as researchers should be and tend to be
conservative and cautious in their statements of conclusions (Armstrong, 1974).
E. Hypotheses can be couched in four kinds of statements.
1. Literary null—a “no difference” form in terms of theoretical constructs. For example, “There is no
relationship between support services and academic persistence of non-traditional-aged college
women.” Or, “There is no difference in school achievement for high and low self-regulated students.”
2. Operational null—a “no difference” form in terms of the operation required to test the hypothesis. For
example, “There is no relationship between the number of hours non-traditional-aged college women
use the student union and their persistence at the college after their freshman year.” Or, “There is no
difference between the mean grade point averages achieved by students in the upper and lower
quartiles of the distribution of the Self-regulated Inventory.” The operational null is generally the
preferred form of hypothesis-writing.
3. Literary alternative—a form that states the hypothesis you will accept if the null hypothesis is rejected,
stated in terms of theoretical constructs. In other words, this is usually what you hope the results will
show. For example, “The more that nontraditional-aged women use support services, the more they
will persist academically.” Or, “High self-regulated students will achieve more in their classes than low
self-regulated students.”
4. Operational alternative—Similar to the literary alternative except that the operations are specified. For
example, “The more that non-traditional-aged college women use the student union, the more they
will persist at the college after their freshman year.” Or, “Students in the upper quartile of the Selfregulated Inventory distribution achieve significantly higher grade point averages than do students in
the lower quartile.”
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F. In general, the null hypothesis is used if theory/literature does not suggest a hypothesized relationship
between the variables under investigation; the alternative is generally reserved for situations in which
theory/research suggests a relationship or directional interplay.
G. Be prepared to interpret any possible outcomes with respect to the questions or hypotheses. It will be
helpful if you visualize in your mind’s eye the tables (or other summary devices) that you expect to result
from your research (Guba, 1961).
H. Questions and hypotheses are testable propositions deduced and directly derived from theory (except in
grounded theory studies and similar types of qualitative inquiry).
I. Make a clear and careful distinction between the dependent and independent variables and be certain they
are clear to the reader. Be excruciatingly consistent in your use of terms. If appropriate, use the same
pattern of wording and word order in all hypotheses.
V. Review of the Literature
A. “The review of the literature provides the background and context for the research problem. It should
establish the need for the research and indicate that the writer is knowledgeable about the area” (Wiersma,
1995, p. 406).
B. The literature review accomplishes several important things.
1. It shares with the reader the results of other studies that are closely related to the study being
reported (Fraenkel & Wallen, 1990).
2. It relates a study to the larger, ongoing dialogue in the literature about a topic, filling in gaps and
extending prior studies (Marshall & Rossman, 1989).
3. It provides a framework for establishing the importance of the study, as well as a benchmark for
comparing the results of a study with other findings.
4. It “frames” the problem earlier identified.
C. Demonstrate to the reader that you have a comprehensive grasp of the field and are aware of important
recent substantive and methodological developments.
D. Delineate the “jumping-off place” for your study. How will your study refine, revise, or extend what is now
known?
E. Avoid statements that imply that little has been done in the area or that what has been done is too
extensive to permit easy summary. Statements of this sort are usually taken as indications that the writer is
not really familiar with the literature. If you are going to be critical, ensure that the comments are supported
and justified. You need to add value and not take any away.
F. In a proposal, the literature review is generally brief and to the point. Be judicious in your choice of
exemplars—the literature selected should be pertinent and relevant (APA, 2010). Select and reference
only the more appropriate citations. Make key points clearly and succinctly.
VI. The Design–Methods and Procedures
B. “The methods or procedures section is really the heart of the research proposal. The activities should be
described with as much detail as possible, and the continuity between them should be apparent”
(Wiersma, 1995, p. 409).
C. Indicate the methodological steps you will take to answer every question or to test every hypothesis
illustrated in the Questions/Hypotheses section.
D. All research is plagued by the presence of confounding variables (the noise that covers up the information
you would like to have). Confounding variables should be minimized by various kinds of controls or be
estimated and taken into account by randomization processes (Guba, 1961). In the design section,
indicate the variables you propose to control and how you propose to control them, experimentally or
statistically, and the variables you propose to randomize, and the nature of the randomizing unit (students,
grades, schools, etc.).
E. Be aware of possible sources of error to which your design exposes you. You will not produce a perfect,
error free design (no one can). However, you should anticipate possible sources of error and attempt to
overcome them or take them into account in your analysis. Moreover, you should disclose to the reader the
sources you have identified and what efforts you have made to account for them.
F. Sampling
1. The key reason for being concerned with sampling is that of validity—the extent to which the
interpretations of the results of the study follow from the study itself and the extent to which results
may be generalized to other situations with other people (Shavelson, 1988).
2. Sampling is critical to external validity—the extent to which findings of a study can be generalized to
people or situations other than those observed in the study. To generalize validly the findings from a
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sample to some defined population requires that the sample has been drawn from that population
according to one of several probability sampling plans. By a probability sample is meant that the
probability of inclusion in the sample of any element in the population must be given a priori. All
probability samples involve the idea of random sampling at some stage (Shavelson, 1988). In
experimentation, two distinct steps are involved.
Random selection—participants to be included in the sample have been chosen at random
from the same population. Define the population and indicate the sampling plan in
detail.
Random assignment—participants for the sample have been assigned at random to one of
the experimental conditions.
3. Another reason for being concerned with sampling is that of internal validity—the extent to which the
outcomes of a study result from the variables that were manipulated, measured, or selected rather
than from other variables not systematically treated. Without probability sampling, error estimates
cannot be constructed (Shavelson, 1988).
4. Perhaps the key word in sampling is representative. One must ask oneself, “How representative is
the sample of the survey population (the group from which the sample is selected) and how
representative is the survey population of the target population (the larger group to which we wish to
generalize)?”
5. When a sample is drawn out of convenience (a nonprobability sample), rationale and limitations must
be clearly provided.
6. If available, outline the characteristics of the sample (by gender, race/ethnicity, socioeconomic status,
or other relevant group membership).
7. Detail procedures to follow to obtain informed consent and ensure anonymity and/or confidentiality.
G. Instrumentation
1. Outline the instruments you propose to use (surveys, scales, interview protocols, observation grids). If
instruments have previously been used, identify previous studies and findings related to reliability and
validity. If instruments have not previously been used, outline procedures you will follow to develop
and test their reliability and validity. In the latter case, a pilot study is nearly essential.
2. Since selection of instruments in most cases provides the operational definition of constructs, this is a
crucial step in the proposal. For example, it is at this step that a literary conception such as “selfefficacy is related to school achievement” becomes “scores on the Mathematics Self-Efficacy Scale
are related to Grade Point Average.” Strictly speaking, results of your study will be directly relevant
only to the instrumental or operational statements (Guba, 1961).
3. Include an appendix with a copy of the instruments to be used or the interview protocol to be
followed. Also include sample items in the description of the instrument.
4. For a mailed survey, identify steps and reasonable timelines to be taken or followed in administering
and following up the survey to obtain a high response rate.
H. Data Collection
1. Outline the general plan for collecting the data. This may include survey administration procedures,
interview or observation procedures. Include an explicit statement covering the field controls to be
employed. If appropriate, discuss how you obtained entrée.
2. Provide a general outline of the time schedule you expect to follow.
I. Data Analysis
1. Specify the procedures you will use, and label them accurately (e.g., ANOVA, MANCOVA, HLM,
ethnography, case study, grounded theory). If coding procedures are to be used, describe in
reasonable detail. If you triangulated, carefully explain how you went about it. Communicate your
precise intentions and reasons for these intentions to the reader. This helps you and the reader
evaluate the choices you made and procedures you followed.
2. Indicate briefly any analytic tools you will have available and expect to use (e.g., Ethnograph,
NUDIST, AQUAD, SAS, SPSS, SYSTAT).
3. Provide a well thought-out rationale for your decision to use the design, methodology, and analyses
you have selected.
VII. Limitations and Delimitations
A. Limitations identify potential weaknesses of the study. Think about your analysis, the nature of self-report,
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your instruments, and the sample. Think about threats to internal validity that may have been impossible to
avoid or minimize—explain.
B. Delimitations address how a study will be narrowed in scope, that is, how it is bounded. Explain what you
are not doing and why you have chosen not to do so —the literature you will not review (and why not), the
population you are not studying (and why not), the methodological procedures you will not use (and why
you will not use them). Limit your delimitations to the things that a reader might reasonably expect you to
do but that you, for clearly explained reasons, have decided not to do.
VIII. Significance of the Study
A. Indicate how your research will refine, revise, or extend existing knowledge in the area under investigation.
Note that such refinements, revisions, or extensions may have substantive, theoretical, or methodological
significance. Think pragmatically (i.e., cash value).
B. Most studies have two potential audiences: practitioners and professional peers. Statements relating the
research to both groups are in order.
C. This can be a difficult section to write. Think about implications—how results of the study may affect
scholarly research, theory, practice, educational interventions, curricula, counselling, policy.
D. When thinking about the significance of your study, ask yourself the following questions.
1. What will results mean to the theoretical framework that framed the study?
2. What suggestions for subsequent research arise from the findings?3. What will the results mean to
the practicing educator?
3. Will results influence programs, methods, and/or interventions?
4. Will results contribute to the solution of educational problems?
5. Will results influence educational policy decisions?
6. What will be improved or changed as a result of the proposed research?
7. How will results of the study be implemented, and what innovations will come about?
IX. References
A. For all projects follow APA guidelines regarding use of references in text and in the reference list.
B. Only references cited in the text are included in the reference list; however, exceptions can be found to this
rule. For example, some faculty committees may require evidence that you are familiar with a broader
spectrum of literature than that immediately relevant to your research. In such instances, the reference list
may be called a bibliography.
C. Some faculty or committees require that reference lists and/or bibliographies be “annotated,” which is to
say that each entry be accompanied by a brief description, or an abstract. You should remain flexible
throughout the research process.
Appendices
The need for complete documentation generally dictates the inclusion of appropriate appendices in
proposals (although this is generally not the case as regards conference proposals). Appendices follow
references in formal papers.
The following materials are appropriate for an appendix.

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References
American Psychological Association (APA).(2010). Publication manual of the American Psychological Association
(Sixth Edition). Washington, DC: Author.
Armstrong, R. L. (1974). Hypotheses: Why? When? How? Phi Delta Kappa, 54, 213-214.
Creswell, J. W. (1994). Research design: Qualitative & quantitative approaches. Thousand Oaks, CA: Sage.
Creswell, J. W. (2003). Research design: Qualitative & quantitative approaches(2nded). Thousand Oaks, CA:
Sage.
Creswell, J. W. (2009). Research design: Qualitative & quantitative approaches(3rded). Thousand Oaks, CA:
Sage.
Guba, E. G. (1961, April).Elements of a proposal. Paper presented at the UCEA meeting, Chapel Hill, NC.
Pajares, F. (2007).Elements of a proposal.
Fraenkel, J. R. & Wallen, N. E. (1990).How to design and evaluate research in education. New York: McGraw-Hill.
Kerlinger, F. N. (1979). Behavioral research: A conceptual approach. New York: Holt, Rinehart, & Winston.
Krathwohl, D. R. (1988).How to prepare a research proposal: Guidelines for funding and dissertations in the social
and behavioral sciences. Syracuse, NY: Syracuse University Press.
Locke, L. F., Spirduso, W. W., & Silverman, S. J. (1987).Proposals that work: A guide for planning dissertations
and grant proposals (2nd ed.). Newbury Park, CA: Sage.
Marshall, C., & Rossman, G. B. (1989).Designing qualitative research: Newbury Park, CA: Sage.
Shavelson, R. J. (1988). Statistical reasoning for the behavioral sciences (second edition). Boston: Allyn and
Bacon.
Wiersma, W. (1995).Research methods in education: An introduction (Sixth edition). Boston: Allyn and Bacon.
Wilkinson, A. M. (1991). The scientist’s handbook for writing papers and dissertations. Englewood Cliffs, NJ:
Prentice Hall.

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