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DAAD PHD PROPOSAL WRITING
WORKSHOP
26TH MARCH 2015
NAIROBI
PRESENTER: DR. N. W. MAKAU
PHYSICS/MATHS/ENGINEERING GROUP
(Slides adapted from previous DAAD proposal writing
workshop)
Thesis Research Proposal
The quality of a research proposal determines the
quality of the thesis research
Thus,
a) What is a research proposal?
b)What is the Purpose of a research proposal?
c) What is a good Layout of a research proposal?
2
Thesis Research Proposal
The purpose of a proposal is to ensure that:
i) The researcher focuses, plans and clearly defines their research area
ii) The researcher learns how to write a scientific proposal
iii) The researcher identifies a novel/clear research question.
There is however no proposal that is a fixed document, and the plans may change
in the course of doing research but still the proposal gives overall guidelines on the
research direction to follow.
3
Thesis Research Proposal
Proposal writing is beyond the act of just Stating
facts that a researcher wishes to communicate,
persuasively.
The Researcher must convince an expert referee that:
1) They know what they are talking about;
2) Their idea merits a positive response
3) Their research can be done in Realistic time and with
reasonable costs.
4) Out of many other cases, their project is the best to be
considered.
4
Thesis Research Proposal
In writing a proposal, you must ensure that you are:
1. Accurate
2. Clear
3. Realistic in presenting your ideas
4. Methodical in presentation
5. Clear communication, in case of
presentation.
5
Thesis Research Proposal
A research proposal must have the following key
points:
a) A clear explanation of proposed research (i.e stating
what research shall be done)
b) Methods, approaches and techniques to be used (i.e
explanation of how the research will be conducted)
c) Importance and/or Novelty of the research work (i.e
highlighting why the research should be done)
Thesis Research Proposal
The aim of a research proposal is to:
Demonstrate that the chosen topic addresses a significant scientific
problem or a significant contribution to knowledge in the chosen
area.
Show that a well planned schedule of activities is in place to enable
collection of data to address the identified problem
The chosen methods of analysing data have been carefully
established and they are suitable to the problem being addressed.
Proposal Expectation
The expectations of a research proposal are to:
1. Show that the researcher is involved in an authentic research with the aim
of discovering something worthwhile in a given scenario;
2. Connect the researcher’s proposed work with the work of others, while
proving that the he/she is familiar with major findings in the chosen area
of research;
3. Develop a significant theoretical framework/orientation;
4. Develop the researcher's methodological approach,
and
5. Demonstrate that the researcher has given some thought to the research
question/issue.
Features of a Good Research Proposal
1. Clearly explain the topic or research question;
2. Highlight the relevance of the research;
3. Give an indication that the candidate has done some
background research;
4. Suggest background topics that the researcher needs, within
the chosen area of research.
Attributes of a Good Research Proposal
Should be between 10 – 18 pages in double spacing, including
references, figures, Tables etc.
It must
1. Have the research problem clearly established;
2. Have clear objectives of the research;
3. Have the necessary methods for collecting data to solve the
problem clearly identified;
4. Have the approaches/techniques for analysing the data for the
appropriate research question clearly developed/stated.
5. Have clear timelines and budget for the research.
Layout of a Research Proposal
It should have
1. Title;
2. Abstract;
3. Introduction;
4. Literature review;
5. Rational/motivation for the research;
6. Statement of the problem i.e the research problem;
7. Justification and Significance of the study;
8. Objectives of the study(general & specific);
9. Methodology;
10. Expected results/findings (for thesis);
11. Summary;
12. References;
13. Workplan;
14. Budget;
15. Appendices (optional).
Sections of a Proposal
TITLE
A good title must be about 2 to 3 lines and it must be concise, descriptive
and clear.
A good title captures the reader’s attention and inclines them towards
reading the proposal
Example 1:
A three-year study of population decline in the spotted salamander (Ambystoma
maculata) following logging, road building and wetland mitigation near vernal pools
in a hardwood forest of northeastern Connecticut.
NOT A GOOD TITLE (HAS TOO MUCH DETAIL)
A study of population decline in the spotted salamander (Ambystoma maculata)
following logging in northeastern Connecticut.
A GOOD TITLE (CLEAR AND CONSISE)
http://www.writingcenter.uconn.edu/pdf/Research_Proposal_Writing.pdf
Sections of a Proposal
TITLE
Example 2:
Habitat models for use in rivers
NOT A GOOD TITLE (Lacks enough detail)
Validation of in-stream habitat models for the Fenton
River, Storrs, Connecticut
A GOOD TITLE (Concise and clear)
TITLE SHOULD BE ARRIVED AT, AFTER CONSULTATION
WITH SUPERVISOR.
(http://www.writingcenter.uconn.edu/pdf/Research_Proposal_Writing.pdf)
Sections of a Proposal
INTRODUCTION
Gives a summary of the problem the researcher intends
to address;
Highlights the solution to the problem;
Presents the benefits the reader shall get from the
solution and the costs involved for that solution
Sections of a Proposal
BODY
This gives the complete details of the problem and the solution;
Outlines how the project shall be conducted, by being broken into different
activities;
Clearly give the method(s) to be used to carry out the research, together with the
relevant equipment, materials, approaches;
A work plan (i.e when the research shall start and the anticipated completion date
with a clear set of activities;
A budget for the research is also included.
Sections of a Proposal
CONCLUSION (FOR THESIS)
1. This gives the general findings of the research, tied to
the problem statement, and the objectives;
2. Highlights the benefits of the research after the
solution to the research question has been found;
3. Suggests some actions to be taken, while being
Positive, confident and emphatic in tone.
Abstract
AN ABSTRACT SHOULD:
Give a brief statement of the topic, the research problem, the
rational/justification of the study, the procedure to be followed, and the
anticipated outcome.
It should also include the hypothesis (if any) and
description/summary of the main findings of the research (for thesis).
It should be about one to two paragraphs (in some cases it has no paragraphs!)
Recommended to be written after writing the proposal
a
Abstract (Contd)
It should
1. Highlight the scientific question and its significance;
2.Describe the data to be acquired and/or analysed
3. Describe the method of analysing the data
A good abstract should be about 300 words
Abstract (Contd.)
The merits of a research proposal are normally established
from the abstract.
Best abstracts are normally those that address the following:
1. First sentence in an abstract gives an introduction of the research topic and
the research problem;
2. The Second sentence gives an indication of the materials to be examined and
methods/procedures to be used to carry out the research;
3.Third sentence deals with the expected Findings/conclusions (namely, a brief of
the results, the application, the benefits of the findings/project.).
EXAMPLE OF AN ABSTRACT (good or bad?)
It is both natural and interesting to replace the ring of integers and field of real numbers with the
ring F[x] and the field F((1/x)) for a field F, and to try to use continued fractions in F((1/x)) to solve
Pell’s equation in F[x].
I hypothesized that the solvability of Pell’s equation in this context is equivalent to the eventual
periodicity of the associated continued fraction (a non-trivial constraint for infinite F) and that such
periodicity exhibits symmetry properties analogous to the classically studied case.
I proved my hypothesis, overcoming numerous obstacles not seen in the classical case, such as
non-trivial units and lack of order structure. The method applies in characteristic 2, using a
generalized form of Pell’s equation. The technique of proof is a mixture of non-Archimedean
methods and polynomial algebra, the central breakthrough being a close study of the properties of a
concept that I call a “reduced quadratic surd”. After proving some importance technical properties of
reduced surd, I show that eventual periodicity of continued fractions implies the specific periodic
and symmetric structure analogous to the classical case. I then use this result to prove that Pell’s
equation has solutions if and only if the associated continued fraction is periodic – a result not seen
in the classical theory.
As a result, the problem of Pell’s equation in F[x] and the periodicity structure of quadratic surds in
F((1/x)) is solved for arbitrary coefficient fields F, giving us interesting insight into the classical case.
(http://www.nwse.org/node/44, Accessed on 20th march 2014)
EXAMPLE OF AN ABSTRACT (good)
The operation of garden taps can pose a difficulty for many tap users. This
report describes and evaluates the range of possible design solutions the
design team has generated. A lack of commercially available solutions to the
problem was identified and three alternative solutions were subsequently
designed. Evaluation of the alternative solutions identified a tap handle
extension, named ‘Easy Tap’, as the optimal solution to the problem. This tap
handle extension consists of a channel-type attachment, onto which a vertical
tube is joined, which in turn supports a larger handle that is over twice the
length of the existing tap handle. 'Easy Tap' is able to slide onto the existing tap
handle, its over-size handle providing a greater torque-moment for the user
that overcomes the difficulty of operating the tap. A commercial evaluation
suggests that ‘Easy Tap' will not only be a possible design solution to the
problem but will also be a commercially viable solution to the problem.
1. Background problem
2. Purpose of report
3. Brief details of the approach/method
4. Important results and/or findings
5. Major conclusion
(http://unilearning.uow.edu.au/report/3bii1.htm,accessed on 20th march 2014 )l
EXAMPLE OF AN ABSTRACT (good or bad?)
DEVELOPMENT BY DESIGN AND TESTING OF A MINIATURE TO HARNESS
KINETIC ENERGY FROM AIRFLOW AROUND A MOVING AUTOMOBLE
This project presents a summary of a successful design, fabrication and
testing of wind turbines mounted on a car roof for the purpose of
extracting power from the kinetic energy (dynamic pressure) contained in
the wind flow around the car. The placement of the turbine was based on
aerodynamic considerations. Various design concepts were tested and
evaluated. Drag tests were conducted that showed the turbine did not
negatively impact vehicle performance. NACA (National Advisory
Committee for Aeronautics) ducts were evaluated and shown to offer
additional choice for turbine design and placement. The results obtained
from the tests conducted in this research demonstrate the feasibility for
the efficient extraction of energy from wind flow around an automobile.
Literature research consisting mainly of a review of NACA reports
supported the findings of this study.
(http://www.nwse.org/node/44, Accesed on 20th march 2014)
Abstract (to remember.)
A good abstract is normally a three sentence one, where:
First sentence gives an introduction of the research topic and the research problem;
The Second sentence gives an indication of the materials to be examined and
methods/procedures to be used to carry out the research;
Third sentence deals with the expected findings/conclusions (namely, a brief of
the results, the application, the benefits of the findings/project.).
Introduction
It is a form of the abstract that is presented in an
expanded format.
It should be about three to four paragraphs in length and it
includes a statement of the topic, giving the reader a
general idea of the subject and the specific topic. Further,
it;
1. Gives background details for the study required to
motivate the research question;
2. Highlights the importance/significance of the research;
3. Summarises the data series and the methods of analysing
the data.
Introduction
It further includes:
1. The research subject;
2. Brief review of relevant literature so as to
know the knowledge gap to fill;
3. Purpose/goals/aims of the study;
4. Scope of the study;
5. The audience for the study;
6. The usefulness of the research findings;
7. The general methods/approaches to be used.
Introduction
The Introduction addresses the following areas:
1. Clearly states the research question, or the purpose of the study.
2. It gives the context of the research problem and highlights its
importance.
3. It gives clearly the significance of the study and informs the
readers as to why the research has to be done.
4. It summarises the key issues in relation to the research question
and other sub-problems to be addressed by the study.
Introduction (Contd.)
1. Establishes the major independent and dependent variables of the study
i.e. identifies the phenomena which the research intends to investigate.
2.Clearly indicates the hypothesis or theory, if any.
NB: Exploratory or phenomenological research may not have any
hypotheses.
3. Sets the scope of the study so as to enable focussing the study.
4. May sometime describes major concepts.
Theoretical/Conceptual Framework
A Theoretical / conceptual framework elaborates the
research problem in relation to relevant literature.
It addresses:
1. Available research work and its connection to the
current topic
2. Applicable theoretical perspective(s)
3.Major ideas/constructs in the approach
4. Possible areas of inquiry that may be followed.
Theoretical/Conceptual Framework
Illustrates how the current study relates to the other works.
a) This includes a brief literature review;
b) Outline the kinds of theoretical sources that inform the research;
Gives the theoretical studies relevant to the research;
Shows the works which the researcher intends to base their study upon and
hence development of the theoretical/conceptual framework.
Background and Context
The Research Question ought to be placed under the background and context.
In so doing, the researcher must answer the questions of how and why the
research topic is vital and hence worth investigating, e.g,
a). Contextualizing the research question i.e how does it come about?
b) Mentioning its significance/justification, i.e what the findings would
be and the intended audience;
c) Making Reference to important issues that are related to the topic;
The background and context of the research problem may arise from the
researcher's own theoretical interests and thus its justification may be found
within the theoretical developments or related literature.
Literature Review
This gives a summary of previous findings related to the topic.
The researcher then establishes other researchers whose results
have a direct bearing to the current topic and evaluates them
accordingly.
Through this, the researcher identifies or establishes the knowledge
gap, and hence what his/her contribution would be.
A good literature review illustrates the importance of the research,
by highlighting the information that is already known and that which
is yet to be discovered in relation to the proposed research.
The researcher is expected to read widely to develop a good
literature review, with relevant previous studies being cited properly
in the text, and also listed accordingly in the Reference section.
Literature Review
In Reviewing Literature
a) Give a brief and concise overview of the current state of research
related to your research;
b) Refer to the most important and recent works of other workers;
c) Highlight the theoretical scope or the framework of ideas that you
shall use to support the study;
d) Illustrate your understanding of the ideas you are addressing and
understand their consequences;
e) Show the problem to be studied which forms the basis of the
research. The researcher needs to show how their research
shall contribute to the present body of knowledge;
f) Give a brief of the most important impact of your own work on the
topic (if applicable);
g) Refer to your own works that have a bearing on the present
research.
Literature Review
Important issues to address include:
a) What sort of studies have been done before?
b) What important methods need to be understood in relation to
the research?
c) What is the current state in relation to the study?
d) How has the current problem been addressed by other
researchers before?
e) How will your method relate/compare to/with previous
studies?
Literature Review (Contd.)
Purpose of literature review include:
a) Ensuring the researcher is aware of other people's
works and hence not trying to “reinvent the wheel”.
b) Acknowledge those who have done related works
before.
c) Ensure that the researcher understands the research
question, with regard to both theoretical and research
aspects.
Literature Review (Contd.)
d) Demonstrate a researcher's ability to evaluate available related
literature critically.
e) Shows a researcher's ability to understand available literature.
f) Ensures that the researcher develops new theoretical
understanding in relation to the conceptual framework.
g) Ensures that the reader is aware of the anticipated
contribution of the research to the existing body of knowledge
(i.e., addressing a vital theoretical aspect or the knowledge gap
to be addressed and hence the need for further research).
Literature Review (Contd.)
Shortcoming of a majority of PhD Literature
Reviews include:
a) Not organized and well structured;
b) Not focussed and flowing well;
c) Having lots of repetitions and too wordy/windy;
d) Not carrying out a good literature review to cite
important works in the relevant research area;
e) Citing works that one has not read.
Literature Review (Contd.)
a) Not keeping up with current/relevant research
developments;
b) Not evaluating cited literature critically;
c) Referencing to irrelevant or trivial literature;
d) Relying heavily on secondary sources;
e) Relying on a few references.
Statement of the Problem
This is the key to the research proposal
a) It establishes the nature of the problem to be
addressed by the research.
b) It must establish the knowledge gap to be filled.
c) Indicates the need for the research, in relation to
present situation, activities, experience and history of
the research in the chosen area.
d) It must specify the scope of the study.
Statement of the problem (Contd.)
a)It must indicate clearly the research problem/question to be addressed by
describing the main issues and other sub - problems to be tackled by the research
b) Must identify the importance of the problem
c) It must give a justification of the research problem
d) Illustrate the feasibility of the research problem
e) Create an interest to a reader in relation to the research.
f) Mention some of the anticipated scientific findings of the research.
Aims and Objectives
Helps in establishing what the results shall be
after the research is completed.
The aims/objectives must be tangible, achievable
and the findings should be measurable.
Give a list of major (general) and specific
(primary) objectives
Aims/Objectives (Contd.)
General/Major Objectives/goals
This is only ONE major broad aim of the research.
This covers the contribution of the thesis to what
contribution your work shall make to the body of
knowledge.
Specific objectives
These must be measurable
List the immediate achievable objectives.
specific objectives of the project should be about 5 at
most
Aims and Objectives (Contd.)
Objectives are expected to be SMART
Specific (clear and precise)
Measurable (i.e., Quantifiable)
Achievable
Reasonable and
Time bound
Significance & Justification
This highlights the advantages that shall accrue from the
research
This also highlights the reasons for achieving each of the
goals/objectives.
It shows the contribution to knowledge of the proposed
research.
It should give the reasons/rationale for carrying out the research
and why it is important /worthwhile to carry it out.
It is vital to give an indication of the scope of the study.
Methodology
This gives the methods/approaches/techniques to be
employed in the study and the rationale for using them.
The techniques/approaches/methods must be described
in some detail.
Informs the researcher on the plans to use to solve the
problem.
Gives an indication of the work-plan and the activities to
be carried out in the research.
It gives an indication of the assumptions to be made in
the study.
Methodology (Contd.)
Presentation of the methodology is heavily determined
by the research approach or even the research area such
as;
Referring to some accepted research method or
approach
Methodology must clearly describe the procedure in
which data shall be generated, analysed and reported
Methodology (Contd)
If the proposed study is quantitative in nature, the researcher
shall refer to method, data collection and analysis.
An action methodology however requires adequate planning of a
process and the outcomes of the different phases
In writing the methodology, a researcher must demonstrate a
clear understanding of the techniques/approaches available and
suitable for the specific problem.
Methodology (Contd)
In combining methodologies a researcher needs to demonstrate if
they shall:
a) Depend heavily on sources found majorly in libraries and/or
archives;
b) Consider applying a new method;
c) Develop a quantitative analysis that requires data processing;
At this stage, the researcher must identify the
approach suitable for their work.
Methodology (Contd.)
The issues to address while developing methodology
include:
a) Getting a clear understanding of the activities/tasks to be
carried out to realize the stated objectives.
b) Establishing clearly the materials/equipment /approaches to
be involved in the study.
c) Having a clear understanding of the data required for the
research and methods of its collection.
Methodology (contd.)
1. The researcher ought to be aware of the method
/process to be used to analyse the data (such as
plotting some graphs, modelling etc)
2. He/she must be aware of the timelines for the
research.
3. The researcher must be clear of the costs/budget
which should be placed at the section on budget.
4.The researcher must demonstrate/illustrate/argue that the
chosen method is the most appropriate for their specific research
problem
Results (Expected Outcome)
This section follows the actual data collection/experiment/modelling
and it involves:
Discussion section: Presents the findings of the study and outlines
the expected impact of the researcher's proposed research. It must
convey the findings enthusiastically without exaggerations.
It should highlight the merits of the findings of the research together
with the associated limitations and weaknesses of the study.
Significance of the study: This should illustrate the significance of
the study and its anticipated outcomes which must closely be linked
to the objectives.
Summary/Conclusions: This should be presented in a way that it
links the reader to the main goals/objectives of the study. It should
relate the outcomes and the research objectives and indicate
whether they were achieved or not. The stated problem ought to
have been addressed as proposed in the study.
References
A proposal must have a list of references from where
the works cited in the text came from. Different
formats may be used as illustrated below.
Examples: (include my references)
A. Longoni, C. Fiorini, C. Guazzoni, A. Gianoncelli, L. Struder, H. Soltau,
P. Lechner, A. Bjeoumikhov, J. Schmalz, N. Langhoff, R. Wedell and V.
Kolarik, IEEE Trans. Nucl. Sci. 43, 1001 (2002).
J. Ready, Industrial Applications of Lasers, 2nd. ed. Academic, New York, 1997.
Frisell, W, Human Biochemistry, Colier Macmillan Publishers, London, 1982.
References
Examples:
John, M; Laszlo, P. A, X-Ray Analysis, 2000, 22(8), 301-304.
Krasov K, Joubert J, Charles F. J., Biological applications of support vector
machines. J. Kinetics 2002; 16: 482–489.
Derry PM. Multivariate regression testing Res. 1974; 15: 104.
Kamau, M. L., and Njagi, K. C. (2004) A new non-interior continuation method
for solving a system of equalities and inequalities, Journal of Applied Mathematics
115: 52-50.
References - citing
Example – citation in text (using numbering)
Individual defects and impurities at grain boundaries in oxides can be analysed
by high resolution transmission electron microscopy (HRTEM) [5], Z-contrast imaging,
and electron energy loss spectroscopy (EELS), as well as using scanning transmission
electron microscopy (STEM) [6]. Studies on Co2+ and Cr3+ doped nanocrystalline TiO2
by HRTEM and electronic absorption spectroscopy have been done [7], and found that
the most important process for activating ferromagnetism in..
[5] Merkle K. L., “Quantification of atomic-scale grain boundary parameters by highresolution electron microscopy,” Ultramicroscopy, vol. 40, no. 3, pp. 281–290,
(1992).
[6] Browning N. and Pennycook S., “Direct experimental determination of the atomic
structure at internal interfaces,” Journal of Physics D: Applied Physics, vol. 29,
no. 7, p. 1779, (1996).
[7] Bryan J. D., Santangelo S. A., Keveren S. C., and Gamelin D. R., “Activation of
high-tc ferromagnetism in Co2+ : TiO2 and Cr3+ : TiO2 nanorods and nanocrystals
by grain boundary defects,” Journal of the American Chemical Society, vol. 127,
no. 44, pp. 15568–15574, (2005).
References - citing
However, a wider range for the experimental value of the band
gap of NiO is reported ranging from 3.5 eV to 4.0 eV (Kalam, et
al.,2012; Forti, et al., 2012; Reddy, et al., 2011; Sawaby, et al.,
2010; Chen, et al., 2005).
List references in alphabetical order in the reference section
Forti, M., Alonso, P., Gargano, P. and Rubiolo, G., (2012). Transition metals monoxides.
An LDA+U study. Procedia Materials Science 1 (2012) 230 – 234.
Kalam, A., Al-Sehemi, A. G., Al-Shihri, A. S., Du, G. and Ahmad, T., (2012). Synthesis
and characterization of NiO nanoparticles by thermal decomposition of nickel linoleate
and their optical properties. Materials characterization 68 (2012) 77-81.
Reddy, A. M., Reddy, A. S., Lee, K.-S. and Reddy, P. S. (2011). Effect of oxygen partial
pressure on the structural, optical and electrical properties of sputtered NiO films.
Ceramics International 37 (2011) 2837–2843.
References – citing in journals
1. A. Fujishima and K. Honda, Nature, 238, 37 (1972).
2. H. Kato, K. Asakusa and A. Kudo, J. Am. Chem. Soc., 125, 3082
(2003).
3. K. Maeda, K. Teramura, D. Lu, T. Takata, N. Saito, Y. Inoue and K.
Domen, Nature, 440, 295 (2006).
4. K. Domen, A. Kudo, T. Onishi, N. Kosugi and H. Kuroda, J. Phys.
Chem., 90, 292 (1986).
5. H. Kato and A. Kudo, J. Phys. Chem. B, 106, 5029 (2002).
Workplan and Timeline
This sections shows how the researcher has planned to
achieve the stated activities/tasks.
It outlines:
a) Diagrammatically illustrates the research stages
according to different timelines
b) Indicates the different stages for achieving certain
objectives
c) The expected findings at every stage, including giving seminars, attending
conferences in the course of research.
d) The time needed to draft and correct the thesis
Workplan and Timeline (Contd.)
A clear time line includes:
- The period of the pre-writing (no more
than a few months)
- A time schedule for writing each
chapter (should give about six to eight
weeks for each chapter)
- When to deliver a postgraduate seminar before
completion date.
Common Mistakes in Proposal Writing
a) Lack of provision of a proper contextualization of the
research question.
b) Inability to define the scope of the research.
c) Not citing major works in the chosen area of study.
d) Not presenting accurately the findings/contributions of other
researchers.
e) Not focusing on the specific research problem.
f) Inability to develop a convincing research proposal.
g) Relying heavily on minor or trivial issues and paying
little or no attention to details on important ones.
h) Incorrect citing of references.
I) A very long or short research proposal with no major
details.
j) Poor writing skills.