thesis proposal for phd

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Proposal Overview and Format

Proposal committee, proposal hearing or meeting.

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Students are urged to begin thinking about a dissertation topic early in their degree program. Concentrated work on a dissertation proposal normally begins after successful completion of the Second-Year Review, which often includes a “mini” proposal, an extended literature review, or a theoretical essay, plus advancement to doctoral candidacy. In defining a dissertation topic, the student collaborates with their faculty advisor or dissertation advisor (if one is selected) in the choice of a topic for the dissertation.

The dissertation proposal is a comprehensive statement on the extent and nature of the student’s dissertation research interests. Students submit a draft of the proposal to their dissertation advisor between the end of the seventh and middle of the ninth quarters. The student must provide a written copy of the proposal to the faculty committee no later than two weeks prior to the date of the proposal hearing. Committee members could require an earlier deadline (e.g., four weeks before the hearing).

The major components of the proposal are as follows, with some variations across Areas and disciplines:

• A detailed statement of the problem that is to be studied and the context within which it is to be seen. This should include a justification of the importance of the problem on both theoretical and educational grounds.
• A thorough review of the literature pertinent to the research problem. This review should provide proof that the relevant literature in the field has been thoroughly researched. Good research is cumulative; it builds on the thoughts, findings, and mistakes of others.
• its general explanatory interest
• the overall theoretical framework within which this interest is to be pursued
• the model or hypotheses to be tested or the research questions to be answered
• a discussion of the conceptual and operational properties of the variables
• an overview of strategies for collecting appropriate evidence (sampling, instrumentation, data collection, data reduction, data analysis)
• a discussion of how the evidence is to be interpreted (This aspect of the proposal will be somewhat different in fields such as history and philosophy of education.)
• If applicable, students should complete a request for approval of research with human subjects, using the Human Subjects Review Form ( http://humansubjects.stanford.edu/ ). Except for pilot work, the University requires the approval of the Administrative Panel on Human Subjects in Behavioral Science Research before any data can be collected from human subjects.

Registration (i.e., enrollment) is required for any quarter during which a degree requirement is completed, including the dissertation proposal. Refer to the Registration or Enrollment for Milestone Completion section for more details.

As students progress through the program, their interests may change. There is no commitment on the part of the student’s advisor to automatically serve as the dissertation chair. Based on the student’s interests and the dissertation topic, many students approach other GSE professors to serve as the dissertation advisor, if appropriate.

A dissertation proposal committee is comprised of three academic council faculty members, one of whom will serve as the major dissertation advisor. Whether or not the student’s general program advisor serves on the dissertation proposal committee and later the reading committee will depend on the relevance of that faculty member’s expertise to the topic of the dissertation, and their availability. There is no requirement that a program advisor serve, although very often they do. Members of the dissertation proposal committee may be drawn from other area committees within the GSE, from other departments in the University, or from emeriti faculty. At least one person serving on the proposal committee must be from the student’s area committee (CTE, DAPS, SHIPS). All three members must be on the Academic Council; if the student desires the expertise of a non-Academic Council member, it may be possible to petition. After the hearing, a memorandum listing the changes to be made will be written and submitted with the signed proposal cover sheet and a copy of the proposal itself to the Doctoral Programs Officer.

Review and approval of the dissertation proposal occurs normally during the third year. The proposal hearing seeks to review the quality and feasibility of the proposal. The Second-Year Review and the Proposal Hearing are separate milestones and may not occur as part of the same hearing or meeting.

The student and the dissertation advisor are responsible for scheduling a formal meeting or hearing to review the proposal; the student and proposal committee convene for this evaluative period. Normally, all must be present at the meeting either in person or via conference phone call.

At the end of this meeting, the dissertation proposal committee members should sign the Cover Sheet for Dissertation Proposal and indicate their approval or rejection of the proposal. This signed form should be submitted to the Doctoral Programs Officer. If the student is required to make revisions, an addendum is required with the written approval of each member of the committee stating that the proposal has been revised to their satisfaction.

After submitting the Proposal Hearing material to the Doctoral Programs Officer, the student should make arrangements with three faculty members to serve on their Dissertation Reading Committee. The Doctoral Dissertation Reading Committee form should be completed and given to the Doctoral Programs Officer to enter in the University student records system. Note: The proposal hearing committee and the reading committee do not have to be the same three faculty members. Normally, the proposal hearing precedes the designation of a Dissertation Reading Committee, and faculty on either committee may differ (except for the primary dissertation advisor). However, some students may advance to Terminal Graduate Registration (TGR) status before completing their dissertation proposal hearing if they have established a dissertation reading committee. In these cases, it is acceptable for the student to form a reading committee prior to the dissertation proposal hearing. The reading committee then serves as the proposal committee.

The proposal and reading committee forms and related instructions are on the GSE website, under current students>forms.

Printing Credit for Use in GSE Labs

Upon completion of their doctoral dissertation proposal, GSE students are eligible for a $300 printing credit redeemable in any of the GSE computer labs where students are normally charged for print jobs. Only one $300 credit per student will be issued, but it is usable throughout the remainder of her or his doctoral program until the balance is exhausted. The print credit can be used only at the printers in Cubberley basement and CERAS, and cannot be used toward copying.

After submitting the signed dissertation proposal cover sheet to the Doctoral Programs Officer indicating approval (see above), students can submit a HELP SU ticket online at helpsu.stanford.edu to request the credit. When submitting the help ticket, the following should be selected from the drop-down menus for HELP SU:

Request Category :  Computer, Handhelds (PDAs), Printers, Servers Request Type :  Printer Operating System : (whatever system is used by the student, e.g., Windows XP.)

The help ticket will be routed to the GSE's IT Group for processing; they will in turn notify the student via email when the credit is available.

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• First Year (3rd Quarter) Review
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• Dissertation

How to Write a Dissertation Proposal | A Step-by-Step Guide

Published on 14 February 2020 by Jack Caulfield . Revised on 11 November 2022.

A dissertation proposal describes the research you want to do: what it’s about, how you’ll conduct it, and why it’s worthwhile. You will probably have to write a proposal before starting your dissertation as an undergraduate or postgraduate student.

A dissertation proposal should generally include:

• An introduction to your topic and aims
• A literature review  of the current state of knowledge
• An outline of your proposed methodology
• A discussion of the possible implications of the research
• A bibliography  of relevant sources

Dissertation proposals vary a lot in terms of length and structure, so make sure to follow any guidelines given to you by your institution, and check with your supervisor when you’re unsure.

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Table of contents

Step 1: coming up with an idea, step 2: presenting your idea in the introduction, step 3: exploring related research in the literature review, step 4: describing your methodology, step 5: outlining the potential implications of your research, step 6: creating a reference list or bibliography.

Before writing your proposal, it’s important to come up with a strong idea for your dissertation.

Find an area of your field that interests you and do some preliminary reading in that area. What are the key concerns of other researchers? What do they suggest as areas for further research, and what strikes you personally as an interesting gap in the field?

Once you have an idea, consider how to narrow it down and the best way to frame it. Don’t be too ambitious or too vague – a dissertation topic needs to be specific enough to be feasible. Move from a broad field of interest to a specific niche:

• Russian literature 19th century Russian literature The novels of Tolstoy and Dostoevsky
• Social media Mental health effects of social media Influence of social media on young adults suffering from anxiety

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Like most academic texts, a dissertation proposal begins with an introduction . This is where you introduce the topic of your research, provide some background, and most importantly, present your aim , objectives and research question(s) .

Try to dive straight into your chosen topic: What’s at stake in your research? Why is it interesting? Don’t spend too long on generalisations or grand statements:

• Social media is the most important technological trend of the 21st century. It has changed the world and influences our lives every day.
• Psychologists generally agree that the ubiquity of social media in the lives of young adults today has a profound impact on their mental health. However, the exact nature of this impact needs further investigation.

Once your area of research is clear, you can present more background and context. What does the reader need to know to understand your proposed questions? What’s the current state of research on this topic, and what will your dissertation contribute to the field?

If you’re including a literature review, you don’t need to go into too much detail at this point, but give the reader a general sense of the debates that you’re intervening in.

This leads you into the most important part of the introduction: your aim, objectives and research question(s) . These should be clearly identifiable and stand out from the text – for example, you could present them using bullet points or bold font.

Make sure that your research questions are specific and workable – something you can reasonably answer within the scope of your dissertation. Avoid being too broad or having too many different questions. Remember that your goal in a dissertation proposal is to convince the reader that your research is valuable and feasible:

• Does social media harm mental health?
• What is the impact of daily social media use on 18– to 25–year–olds suffering from general anxiety disorder?

Now that your topic is clear, it’s time to explore existing research covering similar ideas. This is important because it shows you what is missing from other research in the field and ensures that you’re not asking a question someone else has already answered.

You’ve probably already done some preliminary reading, but now that your topic is more clearly defined, you need to thoroughly analyse and evaluate the most relevant sources in your literature review .

Here you should summarise the findings of other researchers and comment on gaps and problems in their studies. There may be a lot of research to cover, so make effective use of paraphrasing to write concisely:

• Smith and Prakash state that ‘our results indicate a 25% decrease in the incidence of mechanical failure after the new formula was applied’.
• Smith and Prakash’s formula reduced mechanical failures by 25%.

The point is to identify findings and theories that will influence your own research, but also to highlight gaps and limitations in previous research which your dissertation can address:

• Subsequent research has failed to replicate this result, however, suggesting a flaw in Smith and Prakash’s methods. It is likely that the failure resulted from…

Next, you’ll describe your proposed methodology : the specific things you hope to do, the structure of your research and the methods that you will use to gather and analyse data.

You should get quite specific in this section – you need to convince your supervisor that you’ve thought through your approach to the research and can realistically carry it out. This section will look quite different, and vary in length, depending on your field of study.

You may be engaged in more empirical research, focusing on data collection and discovering new information, or more theoretical research, attempting to develop a new conceptual model or add nuance to an existing one.

Dissertation research often involves both, but the content of your methodology section will vary according to how important each approach is to your dissertation.

Empirical research

Empirical research involves collecting new data and analysing it in order to answer your research questions. It can be quantitative (focused on numbers), qualitative (focused on words and meanings), or a combination of both.

With empirical research, it’s important to describe in detail how you plan to collect your data:

• Will you use surveys ? A lab experiment ? Interviews?
• What variables will you measure?
• How will you select a representative sample ?
• If other people will participate in your research, what measures will you take to ensure they are treated ethically?
• What tools (conceptual and physical) will you use, and why?

It’s appropriate to cite other research here. When you need to justify your choice of a particular research method or tool, for example, you can cite a text describing the advantages and appropriate usage of that method.

Don’t overdo this, though; you don’t need to reiterate the whole theoretical literature, just what’s relevant to the choices you have made.

Moreover, your research will necessarily involve analysing the data after you have collected it. Though you don’t know yet what the data will look like, it’s important to know what you’re looking for and indicate what methods (e.g. statistical tests , thematic analysis ) you will use.

Theoretical research

You can also do theoretical research that doesn’t involve original data collection. In this case, your methodology section will focus more on the theory you plan to work with in your dissertation: relevant conceptual models and the approach you intend to take.

For example, a literary analysis dissertation rarely involves collecting new data, but it’s still necessary to explain the theoretical approach that will be taken to the text(s) under discussion, as well as which parts of the text(s) you will focus on:

• This dissertation will utilise Foucault’s theory of panopticism to explore the theme of surveillance in Orwell’s 1984 and Kafka’s The Trial…

Here, you may refer to the same theorists you have already discussed in the literature review. In this case, the emphasis is placed on how you plan to use their contributions in your own research.

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You’ll usually conclude your dissertation proposal with a section discussing what you expect your research to achieve.

You obviously can’t be too sure: you don’t know yet what your results and conclusions will be. Instead, you should describe the projected implications and contribution to knowledge of your dissertation.

First, consider the potential implications of your research. Will you:

• Develop or test a theory?
• Provide new information to governments or businesses?
• Challenge a commonly held belief?
• Suggest an improvement to a specific process?

Describe the intended result of your research and the theoretical or practical impact it will have:

Finally, it’s sensible to conclude by briefly restating the contribution to knowledge you hope to make: the specific question(s) you hope to answer and the gap the answer(s) will fill in existing knowledge:

Like any academic text, it’s important that your dissertation proposal effectively references all the sources you have used. You need to include a properly formatted reference list or bibliography at the end of your proposal.

Different institutions recommend different styles of referencing – commonly used styles include Harvard , Vancouver , APA , or MHRA . If your department does not have specific requirements, choose a style and apply it consistently.

A reference list includes only the sources that you cited in your proposal. A bibliography is slightly different: it can include every source you consulted in preparing the proposal, even if you didn’t mention it in the text. In the case of a dissertation proposal, a bibliography may also list relevant sources that you haven’t yet read, but that you intend to use during the research itself.

Check with your supervisor what type of bibliography or reference list you should include.

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Comprehensive Guidelines for Writing a PhD Thesis Proposal (+ free checklist for PhD Students)

This article provides comprehensive guidelines for writing a PhD thesis proposal for PhD students but it can also benefit masters students as well. It is a collation of previous articles written on how to write the different chapters of a proposal and how to format a PhD thesis proposal.

A PhD thesis proposal has three distinct sections, each of which is discussed below. The three sections include: the front matter, the main text and the back matter.

Front Matter of a PhD Thesis Proposal

Declaration by the candidate and approval of thesis, table of contents, list of figures, list of tables, list of abbreviations, acknowledgements, main text of the proposal, chapter 1: introduction, introduction to the chapter, background to the study, statement of the problem, justification of the study, significance of the study, objectives of the study and/or research questions, scope of the study, limitations and delimitations of the study, definition of terms, chapter summary, chapter 2: literature review, theoretical review, empirical review, conceptual framework, research gaps, chapter 3: research methodology, introduction, research design, population and sampling, data collection methods and tools, ethical considerations, data analysis, limitations of the study, back matter of the proposal, checklist for writing a phd thesis proposal, related articles.

The front matter has a number of pages, the requirements of which may vary from one academic institution to another. It is therefore important for PhD students to refer to their proposal manual when writing their thesis proposals. The front matter pages include:

The title page is the first page of the thesis. It includes: the title of the PhD thesis, the name of the PhD student, the school or department and university in which the study took place, the city and country in which the university is located, and lastly the month and year in which the degree was conferred.

Originality is very crucial for PhD-level theses and dissertations. In this section, the PhD candidate declares that his work has not been published elsewhere to the best of his knowledge. The declaration is followed by approval of thesis and includes the names of all those people who reviewed and approved the thesis. These could be the supervisors, the Head of Department/School and/or the Dean of the School of Graduate Studies. The wordings on this page may vary from one institution to another, it is therefore important for the candidates to refer to their handbooks.

The abstract is a short summary of the thesis, normally a paragraph in length. Abstracts can be structured or unstructured. A structured abstract is one that has headings and text below each heading, while an unstructured abstract does not have headings, it is written in paragraph form.

The table of contents provides the outline of the thesis and shows all the headings and sub-headings of the thesis and their page numbers.

The list of figures shows the titles of all the figures in the thesis and their page numbers.

Like the list of figures, the list of tables shows the titles of all the tables in the thesis and their page numbers.

All acronyms and their abbreviations used throughout the thesis should be highlighted in their own separate page titled list of abbreviations.

In a PhD thesis, it is mandatory to acknowledge all those who helped you in your PhD journey. These include: your supervisors, other faculty who either reviewed your work or gave advice, people who proofread your work, institutions that helped you gain access to your data, your research respondents, fellow colleagues etc.

Some PhD candidates dedicate their thesis to people who are dear to them, for instance, parents, siblings, spouse/partner, children etc. This section is however not mandatory.

The main text of thesis is the meat of the thesis and in most cases includes chapter one (introduction), chapter two (literature review) and chapter three (research methodology). This may also vary from one institution to another.

Chapter 1 of a thesis proposal has about 10 sections discussed below:

This is the first section of chapter 1 of a thesis proposal. It is normally short about a paragraph in length. Its purpose is to inform the readers what the chapter is all about.

This section is the longest in chapter 1 of a thesis proposal.

It provides the context within which the study will be undertaken.

It gives a historical explanation of the issue under investigation.

It is important to use existing data and statistics to show the magnitude of the issue. Grey literature (for instance, reports from the government, non-governmental organisations, local institutions and international organisations among others) play an important role when providing the background to the study.

The background is often written starting from a general perspective and narrows down to a specific perspective.

The background to the study should be clear and comprehensive enough such that your readers will be on the same page after reading the section, irrespective of their prior knowledge in your research topic.

While reviewing literature for this section, a good practice is to build mind maps that highlight the important concepts for the study topic and how those concepts relate to each other.

It is also referred to as problem statement or issue under investigation.

The statement of the problem is the elephant in the “chapter 1” room. It is what most students struggle with and the area that can make or break a proposal defense.

When writing the statement of the problem, start the section with the problem, as in: The problem (or issue) under investigation is ….

After stating the problem then follow it up with an explanation of why it is a problem.

For PhD students, the problem under investigation should be complex enough to warrant a doctoral-level study and at the same time it should add to the body of knowledge in your chosen field of study. The latter – addition to knowledge – is what distinguishes a PhD-level thesis from a Masters-level thesis.

While crafting the problem statement it is also important to remember that the problem will influence the research objectives and the research methodology as well. The student should therefore think through these aspects carefully.

The justification is used to address the need for conducting the study and addressing the problem. It therefore follows the problem statement.

It is also referred to as the rationale for the study and addresses the “why” of the study: Why does this problem warrant an investigation? What is the purpose for carrying out the study?

Whereas the justification of the study addresses the need for the study, the significance of the study highlights the benefits that would accrue after the study is completed.

The significance can be looked at from two perspectives:

• Academic perspective
• Practical perspective

For the academic perspective , the significance entails how the study would contribute to the existing body of knowledge in the chosen topic. Will it add to the methodology? Theory? New data? Will it study a population or phenomenon that has been neglected?

For PhD students, the addition to the body of knowledge is key, and should always be at the back of the student’s mind.

For the practical perspective , the significance of the study would be the impact and benefits that different stakeholders would derive from the findings of the study.

Depending on the study, the stakeholders may include: the Government, policymakers, different ministries and their agencies, different institutions, individuals, a community etc. This will vary from one study to another.

Research questions are the question form of the research objectives. Depending on your institution and/or department where you are doing your PhD you may have both objectives and research questions or either.

There are two types of objectives: the general objective and the specific objectives. The general objective is a reflection of the study topic while the specific objectives are a breakdown of the general objective.

Coming up with good research objectives is an important step of any PhD thesis proposal. This is because the research objectives will determine whether the research problem will be adequately addressed and at the same time it will influence the research methodology that the study will adopt.

Research objectives should therefore emanate from the research problem.

While crafting the objectives, think about all those things that you would like to accomplish for your study and if by doing them they will address the research problem in totality.

Once you’ve noted all those activities that you would like to undertake, group the like ones together so as to narrow them down to 4 or 5 strong objectives.

The number of research objectives that PhD students should come up with will be determined by the requirements of their institution. However, the objectives should be adequate enough such that a single paper can be produced from each objective. This is important in ensuring that the PhD student publishes as many papers as is required by their institution.

Objectives are usually stated using action verbs. For instance: to examine, to analyse, to understand, to review, to investigate… etc.

It is important to understand the meaning of the action verbs used in the research objectives because different action verbs imply different methodology approaches. For instance: to analyse implies a quantitative approach, whereas to explore implies a qualitative approach.

Therefore, if a study will use purely quantitative research methodology, then the action verbs for the research objectives should strictly reflect that. Same case applies to qualitative studies. Studies that use a mixed-methods approach can have a mix of the action verbs.

Useful tip: To have a good idea of the action verbs that scholars use, create an Excel file with three columns: 1) action verb, 2) example of research objective, and 3) research methodology used. Then every time you read a journal paper, note down the objectives stated in that paper and fill in the three columns respectively. Besides journal papers, past PhD theses and dissertations are a good source of how research objectives are stated.

Another important point to remember is that the research objectives will form the basis of the discussion chapter. Each research objective will be discussed separately and will form its own sub-chapter under the discussion chapter. This is why the complexity of the research objectives is important especially for PhD students.

The scope of the study simply means the boundaries or the space within which the study will be undertaken.

Most studies have the potential of covering a wider scope than stated but because of time and budget constraints the scope gets narrowed down.

When defining the scope for a PhD study, it should not be too narrow or too wide but rather it should be adequate enough to meet the requirements of the program.

The scope chosen by the student should always be justified.

Limitations refer to factors that may affect a study which are not under the control of the student.

Delimitations on the other hand are factors that may affect the study for which the student has control.

Limitations are therefore caused by circumstances while delimitations are a matter of choice of the student.

It is therefore important for the student to justify their delimitations and mitigate their study’s limitations.

Examples of study limitations:

• Political unrest in a region of interest: this can be mitigated by choosing another region for the study.
• Covid-19 restrictions may limit physical collection of data: this can be mitigated by collecting data via telephone interviews or emailing questionnaires to the respondents.

Examples of study delimitations:

• Choice of a particular community as the unit of the study: in this case the student should justify why that particular community was chosen over others.
• Use of quantitative research methodology only: in this case the student should justify why they chose the research methodology over mixed-methods research.

The definition of key terms used in the study is important because it helps the readers understand the main concepts of the study. Not all readers have the background information or knowledge about the focus of the study.

However, the definitions used should be the denotative definitions, rather than the connotative (dictionary) definitions. Therefore the context within which the terms have been used should be provided.

This is the last section of the introduction chapter and it basically informs the reader what the chapter covered.

Like the introduction to the chapter, the chapter summary should be short: about one paragraph in length.

This section is about a paragraph-long and informs the readers on what the chapter will cover.

In this section, the student is expected to review the theories behind his/her topic under investigation. One should discuss who came up with the theory, the main arguments of the theory, and how the theory has been applied to study the problem under investigation.

A given topic may have several theories explaining it. The student should review all those theories but at the end mention the main theory that informs his study while giving justification for the selection of that theory.

Because of the existence of many theories and models developed by other researchers, the student is expected to do some comparative analysis of the theories and models that are applicable to his study.

After discussing the theories and models that inform your study, the student is expected to review empirical studies related to his problem under investigation. Empirical literature refers to original studies that have been done by other studies through data collection and analysis. The conclusions drawn from such studies are based on data rather than theories.

This section requires critical thinking and analysis rather than just stating what the authors did and what they found. The student is expected to critique the studies he is reviewing, while making reference to other similar studies and their findings.

For instance, if two studies on the same topic arrive at contrary conclusions, the student should be able to analyse why the conclusions are different: e.g. the population of study could be different, the methodology used could be different etc.

There are two ways of organising empirical literature: chronological and thematic:

Chronological organisation of empirical literature review

In this method, the empirical literature review is organised by date of publication, starting with the older literature to the most recent literature.

The advantage of using this method is that it shows how the state of knowledge of the problem under investigation has changed over time.

The disadvantage of chronological empirical review is that the flow of discussion is not smooth, because similar studies are discussed separately depending on when they were published.

Thematic organisation of empirical literature review

In this method, like studies are discussed together.

The studies are organised based on the variables of the study. Each variable has its own section for discussion. All studies that examined a variable are discussed together, highlighting the consensus amongst the studies, as well as the points of disagreement.

The advantage of this method is that it creates a smooth flow of discussion of the literature. It also makes it easier to identify the research gaps in each variable under investigation.

While the choice between chronological and thematic empirical review varies from one institution to another, the thematic synthesis is most preferred especially for PhD-level programs.

After the theoretical and empirical review, the student is expected to develop his own conceptual framework. A conceptual framework is a diagrammatic presentation of the variables of a study and the relationship between those variables.

The conceptual framework is informed by the literature review. Developing a conceptual framework involves three main steps:

• Identify all the variables that will be analysed in your study.
• Specify the relationship between the variables, as informed by the literature review.
• Draw a diagram with the variables and the relationship between them.

The main purpose of conducting literature review is to document what is known and what is not known.

Research gaps are what is not yet known about the topic under investigation.

Your contribution to knowledge will come from addressing what is not yet known.

It is therefore important for PhD students to first review existing literature for their area of study before settling on the final topic.

Additionally, when reviewing literature, the student should review all of the most recent studies to avoid duplicating efforts. Originality is important especially for PhD studies.

There are different types of research gaps:

• Gaps in concepts or variables studied
• Gaps in research methodology
• Gaps in scope of study. These can be: Geographical scope e.g rural vs. urban; Time e.g. past vs. recent; and Demographics e.g. males vs. females, educated vs. uneducated etc

The first section is a brief introduction to the chapter, which highlights what the chapter is about.

This section discusses the research design that the study will use. The research design should be guided by the research questions the student wants to answer. The research design can be: quantitative, qualitative, or mixed-methods design.

In quantitative research, the study will collect, analyse and present numerical data in the form of statistics. The statistics can be descriptive, inferential, or a mix of both.

In qualitative research, the study collects, analyses and presents data that is in the form of words, opinions, or thoughts of the respondents. Its focus is on the lived-in experiences of the respondents with regard to the problem under investigation.

In mixed-methods research, the study uses a combination of quantitative and qualitative research methods. So some of the research questions render themselves to quantitative research, while others to qualitative research.

Each of these research designs has its pros and cons.

Population of study refers to the entire list of your subjects of interest. If the population is so small, the student can opt to include all the subjects in the study. However, if the population is large, it becomes difficult – both time-wise and resource-wise – to include all the subjects in the study.

A sample is a sub-set of the population of study from which data will be collected to enable the student understand the population.

Sampling is the process by which a sample is drawn from a population. There are two categories of sampling techniques, namely: random and non-random sampling. The use of either depends on your research design.

In this section, the student is expected to discuss in detail the type of data he will collect, that is, whether primary or secondary data (or both) and how he will go about collecting the data from the sample. The methods and tools used also depend on the research design. They include: questionnaires, interviews, focus group discussions, observation, and document review among others.

This section highlights the ethical considerations that would be followed during the data collection process. The ethical considerations vary from study to study and include:

Consent: the researcher should seek informed consent from the respondent before the data collection begins. For instance, when administering the questionnaire or conducting interviews, the researcher should start by informing the respondent what the study is about, how the respondent was selected, and the benefits of the study and then seek permission to continue with the study. The consent can be in written or oral form.

Compensation for participation: while participating in the study should be voluntary, some research have allowance for monetary compensation. The respondents should be informed of any plans to compensate them but after they have participated in the study, not before.

Confidentiality: the researcher should assure the respondents that their responses will be kept confidential.

Dissemination of the study findings with the respondents: there should be a plan for the student to disseminate the results of the study with the participants, for instance, through validation workshops or written publications.

Additionally, most academic institutions require their students to obtain ethical clearance for their research from the relevant authorities. Students should check if this requirement applies to them and follow the necessary procedure.

In this section, the student should discuss how the data collected will be analysed. Data analysis methods and techniques vary depending on whether the data is quantitative or qualitative.

For quantitative research , the interest of data analysis is the numbers which can be obtained through descriptive statistics and inferential statistics.

Descriptive statistics is usually the first step in analysing quantitative data. There are three categories of descriptive statistics: measures of frequency, measures of central tendency, and measures of variability.

Inferential analysis goes a step further and looks at whether the results from the sample can be generalised to the wider population. For studies that involve interventions, inferential analysis is used to check if the intervention has any impact on the population in which it was implemented.

The choice of data analysis technique will depend on the type of data the student has. For instance, a dependent variable that is continuous will use a different analysis technique from a dependent variable that is categorical in nature. Additionally, the choice of the data analysis technique should be guided by the research questions. The results from the analysis should be able to provide answers to the research questions posed.

For qualitative research, data analysis involves analysing the content of the interviews and focus group discussions. The content can be in different forms such as interview recordings and hand-written notes.

The recordings should be transcribed first and the notes should be organised well before analysis can take place.

The analysis of qualitative data involves coding the data, indexing the data and framing the data to identify the themes that emerge from the data.

Besides discussing the data analysis techniques, the student should mention the softwares that will be used for analysis. There are many softwares in the market that are used for quantitative data analysis (such as SPSS and STATA) and for qualitative data analysis (such as NVivo).

The last section in the research methodology chapter discusses the potential limitations of the study and how the limitations will be mitigated. An example of study limitation is low response rate of questionnaires, which can be mitigated through triangulation.

The limitations of the study will vary from one study to another and depend on the context within which the study is conducted.

The back matter has two main content: the references and the appendices.

The references should be done in accordance with the referencing style recommended by the institution, for instance APA, MLA, Harvard, Chicago etc.

Students can use the existing reference management tools such as Zotero, Mendeley, Citavi, RefWorks etc, which makes the whole exercise of inserting citations and compiling the reference list much easier than the manual method.

The appendices section lists all other materials pertaining to the study that were not included in the front matter. Depending on the study, these may include: the research protocol, a letter of introduction for the research, the questionnaire used for the study, the list of respondents etc.

I have prepared a free downloadable checklist for PhD students that they can use when writing their PhD thesis proposal.

How To Write Chapter 1 Of A PhD Thesis Proposal (A Practical Guide)

How To Write Chapter 2 Of A PhD Thesis Proposal (A Beginner’s Guide)

How To Write Chapter 3 Of A PhD Thesis Proposal (A Detailed Guide)

How To Format A PhD Thesis In Microsoft Word (An Illustrative Guide)

PhD Thesis Proposal Defense: Common Questions and Feedback

Grace Njeri-Otieno

Grace Njeri-Otieno is a Kenyan, a wife, a mom, and currently a PhD student, among many other balls she juggles. She holds a Bachelors' and Masters' degrees in Economics and has more than 7 years' experience with an INGO. She was inspired to start this site so as to share the lessons learned throughout her PhD journey with other PhD students. Her vision for this site is "to become a go-to resource center for PhD students in all their spheres of learning."

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How to write a good PhD proposal

Study tips Published 3 Mar, 2022  ·  5-minute read

Want to make sure your research degree starts smoothly? We spoke with 2 PhD candidates about overcoming this initial hurdle. Here’s their advice for how to write a good PhD proposal.

Writing your research proposal is an integral part of commencing a PhD with many schools and institutes, so it can feel rather intimidating. After all, how you come up with your PhD proposal could be the difference between your supervisor getting on board or giving your project a miss.

Let’s explore how to make a PhD research proposal with UQ candidates Chelsea Janke and Sarah Kendall. 

Look at PhD proposal examples

Look at other PhD proposals that have been successful. Ask current students if you can look at theirs.

Nobody’s asking you to reinvent the wheel when it comes to writing your PhD proposal – leave that for your actual thesis. For now, while you’re just working out how to write a PhD proposal, examples are a great starting point.

Chelsea knows this step is easier if you’ve got a friend who is already doing a PhD, but there are other ways to find a good example or template.

“Look at other PhD proposals that have been successful,” she says.

“Ask current students if you can look at theirs.”

“If you don’t know anyone doing their PhD, look online to get an idea of how they should be structured.”

What makes this tricky is that proposals can vary greatly by field and disciplinary norms, so you should check with your proposed supervisor to see if they have a specific format or list of criteria to follow. Part of writing a good PhD proposal is submitting it in a style that's familiar to the people who will read and (hopefully) become excited by it and want to bring you into their research area.

Here are some of the key factors to consider when structuring your proposal:

• meeting the expected word count (this can range from a 1-page maximum to a 3,000-word minimum depending on your supervisor and research area)
• making your bibliography as detailed as necessary
• outlining the research questions you’ll be trying to solve/answer
• discussing the impact your research could have on your field
• conducting preliminary analysis of existing research on the topic
• documenting details of the methods and data sources you’ll use in your research
• introducing your supervisor(s)  and how their experience relates to your project.

Please note this isn't a universal list of things you need in your PhD research proposal. Depending on your supervisor's requirements, some of these items may be unnecessary or there may be other inclusions not listed here.

Ask your planned supervisor for advice

Alright, here’s the thing. If sending your research proposal is your first point of contact with your prospective supervisor, you’ve jumped the gun a little.

You should have at least one researcher partially on board with your project before delving too deep into your proposal. This ensures you’re not potentially spending time and effort on an idea that no one has any appetite for. Plus, it unlocks a helpful guide who can assist with your proposal.

PhD research isn’t like Shark Tank – you’re allowed to confer with academics and secure their support before you pitch your thesis to them. Discover how to choose the right PhD supervisor for you.

For a time-efficient strategy, Chelsea recommends you approach your potential supervisor(s) and find out if:

• they have time to supervise you
• they have any funds to help pay for your research (even with a stipend scholarship , your research activities may require extra money)
• their research interests align with yours (you’ll ideally discover a mutual ground where you both benefit from the project).

“The best way to approach would be to send an email briefly outlining who you are, your background, and what your research interests are,” says Chelsea.

“Once you’ve spoken to a potential supervisor, then you can start drafting a proposal and you can even ask for their input.”

Chelsea's approach here works well with some academics, but keep in mind that other supervisors will want to see a research proposal straight away. If you're not sure of your proposed supervisor's preferences, you may like to cover both bases with an introductory email that has a draft of your research proposal attached.

Sarah agrees that your prospective supervisor is your most valuable resource for understanding how to write a research proposal for a PhD application.

“My biggest tip for writing a research proposal is to ask your proposed supervisor for help,” says Sarah.

“Or if this isn’t possible, ask another academic who has had experience writing research proposals.”

“They’ll be able to tell you what to include or what you need to improve on.”

Find the 'why' and focus on it

One of the key aspects of your research proposal is emphasising why your project is important and should be funded.

Your PhD proposal should include your major question, your planned methods, the sources you’ll cite, and plenty of other nitty gritty details. But perhaps the most important element of your proposal is its purpose – the reason you want to do this research and why the results will be meaningful.

In Sarah’s opinion, highlighting the 'why' of your project is vital for your research proposal.

“From my perspective, one of the key aspects of your research proposal is emphasising why your project is important and should be funded,” she says.

“Not only does this impact whether your application is likely to be successful, but it could also impact your likelihood of getting a scholarship .”

Imagine you only had 60 seconds to explain your planned research to someone. Would you prefer they remember how your project could change the world, or the statistical models you’ll be using to do it? (Of course, you’ve got 2,000 words rather than 60 seconds, so do make sure to include those little details as well – just put the why stuff first.)

Proofread your proposal, then proof it again

As a PhD candidate, your attention to detail is going to be integral to your success. Start practising it now by making sure your research proposal is perfect.

Chelsea and Sarah both acknowledge that clarity and writing quality should never be overlooked in a PhD proposal. This starts with double-checking that the questions of your thesis are obvious and unambiguous, followed by revising the rest of your proposal.

“Make sure your research questions are really clear,” says Sarah.

“Ensure all the writing is clear and grammatically correct,” adds Chelsea.

“A supervisor is not going to be overly keen on a prospective student if their writing is poor.”

It might sound harsh, but it’s fair. So, proofread your proposal multiple times – including after you get it back from your supervisor with any feedback and notes. When you think you’ve got the final, FINAL draft saved, sleep on it and read it one more time the next morning.

Still feeling a little overwhelmed by your research proposal? Stay motivated with these reasons why a PhD is worth the effort .

Want to learn more from Chelsea and Sarah? Easy:

• Read about Chelsea’s award-winning PhD thesis on keeping crops healthy.
• Read Sarah’s series on becoming a law academic .

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Thesis Proposal

In the thesis proposal, the PhD or DES student lays out an intended course of research for the dissertation.  By accepting the thesis proposal, the student’s dissertation proposal committee agrees that the proposal is practicable and acceptable, that its plan and prospectus are satisfactory, and that the candidate is competent in the knowledge and techniques required, and formally recommends that the candidate proceed according to the prospectus and under the supervision of the dissertation committee. It is part of the training of the student’s research apprenticeship that the form of this proposal must be as concise as those proposals required by major funding agencies.

The student proposes to a committee consisting of the student’s advisor and two other researchers who meet requirements for dissertation committee membership.  The advisor should solicit the prospective committee members, not the student. In cases where the research and departmental advisors are different , both must serve on the committee.

The student prepares a proposal document that consists of a core, plus any optional appendices. The core is limited to 30 pages (e.g., 12 point font, single spacing, 1 inch margins all around), and should contain sections describing 1) the problem and its background, 2) the innovative claims of the proposed work and its relation to existing work, 3) a description of at least one initial result that is mature enough to be able to be written up for submission to a conference, and 4) a plan for completion of the research. The committee commits to read and respond to the core, but reserves the right to refuse a document whose core exceeds the page limit. The student cannot assume that the committee will read or respond to any additional appendices.

The complete doctoral thesis proposal document must be disseminated to the entire dissertation committee no later than two weeks (14 days) prior to the proposal presentation. The PhD Program Administrator must be informed of the scheduling of the proposal presentation no later than two weeks (14 days) prior to the presentation. Emergency exceptions to either of these deadlines can be granted by the Director of Graduate Studies or the Department Chair on appeal by the advisor and agreement of the committee.

A latex thesis proposal template is available here .

PRESENTATION AND FEEDBACK

The student presents the proposal in a prepared talk of 45 minutes to the committee, and responds to any questions and feedback by the committee.

The student’s advisor, upon approval of the full faculty, establishes the target semester by which the thesis proposal must be successfully completed. The target semester must be no later than the eighth semester, and the student must be informed of the target semester no later than the sixth semester.

The candidacy   exam  must be successfully completed  before  the  proposal can be attempted.  The proposal must be completed prior to submitting the application for defense. [Instituted by full faculty vote September 16, 2015.]

Passing or failing is determined by consensus of the committee, who then sign the dissertation proposal form (sent to advisors by phd-advising@cs.  Failure to pass the thesis proposal by the end of the target semester or the eighth semester, whichever comes first, is deemed unsatisfactory progress: the PhD or DES student is normally placed on probation and can be immediately dismissed from the program. However, on appeal of the student’s advisor, one semester’s grace can be granted by the full faculty.

Last updated on October 16, 2023.

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President Bollinger announced that Columbia University along with many other academic institutions (sixteen, including all Ivy League universities) filed an amicus brief in the U.S. District Court for the Eastern District of New York challenging the Executive Order regarding immigrants from seven designated countries and refugees. Among other things, the brief asserts that “safety and security concerns can be addressed in a manner that is consistent with the values America has always stood for, including the free flow of ideas and people across borders and the welcoming of immigrants to our universities.”

This recent action provides a moment for us to collectively reflect on our community within Columbia Engineering and the importance of our commitment to maintaining an open and welcoming community for all students, faculty, researchers and administrative staff. As a School of Engineering and Applied Science, we are fortunate to attract students and faculty from diverse backgrounds, from across the country, and from around the world. It is a great benefit to be able to gather engineers and scientists of so many different perspectives and talents – all with a commitment to learning, a focus on pushing the frontiers of knowledge and discovery, and with a passion for translating our work to impact humanity.

I am proud of our community, and wish to take this opportunity to reinforce our collective commitment to maintaining an open and collegial environment. We are fortunate to have the privilege to learn from one another, and to study, work, and live together in such a dynamic and vibrant place as Columbia.

Mary C. Boyce Dean of Engineering Morris A. and Alma Schapiro Professor

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PhD Thesis Proposal

After passing the area process you must form a thesis committee and defend a thesis proposal. The proposal defense constitutes the ‘Ph.D. qualifying exam’ discussed in the University’s  Graduate Studies Bulletin  and  Regulations and Policies Concerning Graduate Studies.

Students must perform research that is a significant contribution to the field during their third year. This can be satisfied by:

• Writing a paper that is accepted in a respectable refereed conference or journal
• Producing a paper of similar quality (quality of paper judged by the dissertation advisory committee)
• Incorporating the contribution in the required thesis proposal

Dissertation Advisor and Preliminary Advisory Committee

Soon after passing the area process, you should concentrate on narrowing down your interests to more specific ideas, such as:

• “Truth Maintenance in Natural Language”
• “Collapsing Complexity Classes via Counting”
• “Parallel Visual Shape Recognition”
• “Latency Tolerance in Distributed Shared Memory Systems”

Part of this process will be exploring ideas with faculty and finding a dissertation advisor and a preliminary advisory committee.

All students must register their dissertation advisor and a preliminary advisory committee with the graduate coordinator  no later than December 31 in their third year.

Your advisor will play a major role of guiding you through the process of completing a PhD. Your advisor will:

• Help you in planning your thesis proposal defense
• Point you towards to appropriate literature
• Advise proposal-related (and other) research
• Read drafts of your proposal
• Giving general advice

The advisor also plays a crucial role in the actual exam itself. Choosing an advisor should not be done lightly; changing advisors can significantly delay completion of your studies.

The preliminary advisory committee must contain:

• Your dissertation advisor
• At least three University of Rochester faculty members holding the rank of at least assistant professor
• Three department members*

*This is a department requirement. Exceptions can be granted by the chair.

A faculty member from outside the department can also be included, and must be included when the final dissertation advisory committee is formed in the second term of the third year.

Thesis Topic

After choosing an advisor and a general category, the next step is to decide what you really want to do. This involves finding, with the help of your advisor, a suitable topic.

After choosing a topics students should search through literature to answer the following questions:

• What (if anything) has been done already?
• What has not been done?
• What are the major gaps in previous work?
• What are recognized “next steps”?

After you have a grasp of the area and the problem, you will need to outline how your research will address the problem. This outline should include ideas on:

• How the research will attack the problem
• What it will not attack
• How it will fit in with previous work
• What the essential contribution of the work will be

You should be actively engaged in research on the topic by the fall of your third year.

Dissertation Advisory Committee

Your preliminary advisory committee members will usually become your dissertation advisory committee. If your preliminary advisory committee had no outside member, you must bring one on board at this time.

The committee members should be Rochester faculty members holding the rank of at least assistant professor, and three should be from the Department of Computer Science. (For exceptions, see the section above on forming a preliminary advisory committee .)

Each member must sign your thesis proposal defense form immediately after the thesis proposal defense. Your advisor should promptly return this form to the graduate program secretary.

Producing a Thesis Proposal

This proposal should explain:

• The context of the problem
• The problem itself
• Previous approaches
• Your proposed research

You should also include a well-researched bibliography. The thesis proposal should be of high quality in style, content, and exposition.

The thesis proposal and all other publications you have written during the year should be distributed to the dissertation advisory committee at least ten days before your thesis proposal defense. Students should ideally distribute materials before even scheduling the defense.

The thesis proposal will usually describe your:

• Third-year research
• The specific research directions you will pursue in the immediate future
• The general research directions you will pursue in the more distant future
• The theme that will unify your research into a coherent PhD dissertation

The thesis proposal should demonstrate that you have acquired the skills needed to perform dissertation-quality research. You are expected to have performed new research of substantial strength and novelty since your area paper. Except in exceptional cases, this new research should be appropriate for inclusion in the dissertation.

The thesis proposal should demonstrate that you have the technical strength needed to do PhD-quality research, and the vision to see the “big picture” into which that research fits.

Furthermore, the thesis proposal should show that you not only know how to solve problems, but also how to frame the issues.

Finally, the thesis proposal should demonstrate that you have developed strong and insightful intuitions as to which research themes are promising. The thesis proposal defense serves to verify these points.

In short, the proposal, talk, and exam should demonstrate to the dissertation advisory committee that an entire dissertation is indeed likely to result within a reasonable time frame.

A successful thesis proposal is not a guaranteed formula for producing a successful dissertation. As the research progresses, the research goals may change dynamically, and some initial goals may be too hard to be solved within the time frame.

We therefore expect that the dissertation project will evolve to meet these contingencies, and that this evolution will be the primary topic of six-month reviews.

Scheduling the Thesis Proposal Defense

Once sufficient feedback on the thesis proposal has been gathered, you can schedule the Thesis Proposal Defense. This is best done early in the spring of the third year, though it can be done earlier, and must be done before the spring PAS.

When you are ready to schedule the thesis proposal defense, see the graduate program secretary to reserve a room and date, and to complete a Thesis Proposal Defense Appointment Form.

The graduate program secretary will not schedule more than two events in the same day—one in the morning and one in the afternoon—to ensure the availability of interested faculty members. Students should try to schedule events well in advance to make sure they meet the spring PAS deadline.

Defending the Thesis Proposal

A public presentation is a required part of the thesis proposal defense. It is a chance for you to publicly present your ideas to the community and for your committee to judge both the ideas and the presentation.

The presentation should take no more than an hour, and should concentrate on the proposed research and the current year’s research progress.

You should provide the department secretary with the date, time, place, and abstract of the talk at least ten days in advance. She will then advertise the talk to the faculty, staff, and students.

The actual exam, which will normally occur immediately following the public presentation, is a meeting of the dissertation advisory committee and the student. Other faculty may attend and freely question and comment.

The purpose of the exam is for the committee—now that it has read the thesis proposal and heard the public talk—to ask you further questions and give you feedback. Questions may address any aspect of the proposal, including the actual research, the larger problem, your familiarity with previous work, and your expected attack on specific sub-problems. In addition to direct feedback, the committee will also report to the PAS.

Acceleration

You may choose to attempt the third-year process in your second year. You will be expected to do so if you passed the area process during your first year. There are no delayed requirements in this case; accelerating simply amounts to completing the third-year hurdles one year early.

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Writing a PhD research proposal

The following guidance has been compiled to help you submit a high quality application that is targeted to the research strengths of The School of Law.

Choosing a research topic

PhDs are supposed to contain an element of originality and innovation. Originality need not mean that you explore a wholly new concept. For instance, it might also include applying new methods or new theories to existing scholarship on the topic. They also need to be backed up by logically reasoned evidence and argument – whether that is provided by theoretical or empirical sources.

The types of thesis that could be constructed:

An analysis of a specific area of law or criminology on which there is no significant existing literature. The lack of existing literature may be explained by the relative newness of the body of law and/or creation of institutions; or the previous lack of attention given to the practical impact of the chosen area of study. A thesis in this area might attempt to describe, explain and rationalise the development of this particular area of law and/ or critically analyse the content of the legal system being researched.

An analysis applying, analysing, or evaluating existing studies in a new context. For instance, one might extend a study of one jurisdiction to another, providing comparative evidence that tests the applicability of existing research and enables the existing theory to be challenged, reconsidered, or expanded upon.

An empirical study of  an area of law or criminology where there is existing doctrinal, conceptual, or theoretical literature, but limited empirical evidence to test those doctrines, concepts, or theories. Such an empirical study would still require a degree of originality but would be academically interesting if it offers a view of the area of study not previously attempted and/or allowed for an appraisal of the effectiveness of the law as it currently stands and is organised.

An in-depth critical study of a specific aspect of law or criminology. Such an examination may consist solely or mainly of library based or theoretical work, or include an element of socio-legal research. As well as recognising existing literature, such an approach needs to make clear how this project would build on and add to that work. The answer may be that the area of law or criminology has evolved or the work itself takes a very different approach to analysing the problem.

Before drafting a research proposal it is a good idea to consult with any academic contacts you already have for their feedback.

The Research Proposal

Applications must include an outline research proposal. If a proposal is submitted without a proposal it will be automatically rejected.

The application asks you to give a description of your research project, including the research questions to be addressed, the methodology to be used, the sources to be consulted and a brief timetable. Your proposal should be included in the application as a separate attachment, and distinguished from your supporting statement (if you include one).

There is no set format or page length for proposals, although to keep the proposal concise and clear while still providing enough information, we recommend limiting yourself to 1,500-2,500 words. Within your application it is useful to identify and bear in mind some or all of the following points:

It is important that you demonstrate clearly the area that you intend to research and provide some indication that you are already knowledgeable in the area that you intend to research. This can be achieved through suitable references and/or by supplying a bibliography to support your application.

Research is about more than collating knowledge already in the public domain. Within your application you should indicate how you intend to add to the knowledge that you will be uncovering. Examples of potential aims include: adding to existing theory; disproving previous understandings; a critique of the current legal position; a defended positive/negative prognosis of the impact of a new legal provision; new empirically obtained findings. You may find it helpful to express your research aims as questions to be answered, or as aims to fulfil by doing the research. Try to limit the number of aims of your study as much as possible.

A research application is more likely to be accepted if you can demonstrate that it has relevance and academic merit. Ultimately PhDs are awarded where a piece of work can demonstrate some originality and innovation. This should be explained within your application.

It is rare for an entirely original piece of research to be written. Therefore, the links with existing research should be made clear, as should the possibilities your work might open up for future research. You should provide some background to the research, exploring the wider literature and making as clear as possible what makes your proposed research original in the context of that literature.

In other words, how do you intend to undertake the research? Methods may include reviewing library-based resources or empirical research. If the latter, then what form – e.g. quantitative or qualitative analysis, and what evidence can you provide that you have the skills to undertake such research. These methods should be carefully considered in relation to the research aims and questions you are seeking to address in the proposed research.

You must consider the partnerships, knowledge exchange and impacts associated with your proposed research. If you already have collaborative arrangements in place with relevant external stakeholders then you should describe these and potentially also provide letters of support, in principle, if you have them. You should consider the likely impacts of your proposed research and how these will be achieved, as well as your plans for disseminating your research findings beyond academia.

If you are applying for WRDTP or WRoCAH scholarships, it is essential that you consider how your proposed research fits in with the research pathways or clusters of these two funders. The quality of your scholarship application will be judged partly by the fit of your research within these pathways or clusters.

Your application should not be too unrealistic as to what can be delivered. It is also wise to predict the likely challenges that you will face in undertaking the research and suggest ways in which those challenges can be overcome.

What to avoid

Research proposals should not be viewed as binding contracts. Most first-year PhD students adapt their research proposal once they start studying the topic in more depth and working with their supervisor. Nevertheless, a PhD proposal should amount to a coherent, intelligent, realistic and relatively well thought-out idea of an area of potential research.

The following errors should be avoided if possible:

Simplistic descriptions of an area of study should be avoided – eg ‘I want to research EU law’. The specific focus of the research must be clear.

Offer to review or analyse an area of law on which there is already a significant existing literature. PhDs should be attempting something more than bringing together knowledge that already exists.

Develop a research proposal primarily because the topic is or has been fashionable. Topics such as the legality of the war in Iraq, the operation of the International Criminal Court or the Human Rights Act 1998 remain extremely important areas of academic study, but as a PhD student it is going to be very difficult to say anything interesting, new or original about these topics.

Avoid trying to resolve grand problems in one thesis. The best research proposals tend to focus on discrete and well-confined subject areas.

Relying upon a comparison to provide the intellectual component of the proposal, whether that is a comparison between different institutions, different bodies of law or different countries. Comparative research proposals are worthy if properly thought out. If the comparison is between different legal systems for instance, in the submission it needs to be made clear why that comparison could be a useful one and what can be learnt from the comparison. For instance, you may be undertaking research in the UK and from Botswana, but that does not mean that there are any valid reasons why comparing the UK to Botswana is actually worthwhile in your subject area.

Relatedly, you should consider the research expertise of supervisors at the University of Sheffield, and the value that studying at Sheffield adds to your research. Generally a PhD submitted in a UK university should contribute to knowledge about the UK, or about global/international issues. If you want to research another country of jurisdiction, you need to provide a credible reason for why Sheffield is a good place to undertake that study, as opposed to an institution in that country.

Make sure that your methodology is as clear and specific as you can make it at this early stage. Proposals that say, “I will use qualitative methods” are unlikely to succeed because they suggest an ignorance of the diversity of qualitative methods. Ideally, you should be able to say something about: 

the methods you will use (e.g. surveys, documentary analysis, interviews, observation, ethnography, audio-visual methods...); 

the target populations of your research (eg, a study of criminal courts might seek to recruit judges, lawyers, ushers, defendants, police officers, or other actors. Which groups do you want to participate in your research, and why? The answer to this question should bear some relation to your research aims); and, 

If possible, the approximate number of participants you want to recruit for each method (for instance, you might want to conduct 10-15 interviews with each of two groups of participants, or to survey 500 people) and how they will be accessed/recruited. Try to be realistic about how long empirical research takes, and how many research participants it is possible to study.

How these chosen methods are likely to illuminate the research questions of the proposed research

Ethical considerations of the research in relation to things like informed consent, anonymity, the safeguarding of researchers and participants

It may not be possible to say much at this stage, but the more details you can provide, the clearer it will be that you have thought seriously about your research project, and the easier it will be for the School of Law to evaluate its feasibility.

Positive steps to take

When we make an offer we will do so on the basis of various considerations. Making an effort to foreshadow those considerations in your application is a good idea. It is advisable to submit a supporting statement alongside the research proposal. Issues to consider include:

Why did you choose to apply to the University of Sheffield?

Can you provide any evidence to suggest that you are capable of completing an extensive piece of research and have the character to undertake three years of study, on a relatively low income and with only supervisory support?

Does the research proposal fit into one of the areas in which the Law School has a speciality ? Often a proposal only needs minor adaptation to fall within an area the School can supervise, but to improve your chances of success it is worthwhile reviewing the academic profile of the various staff in the Law School before you submit an application.

If you are able, it would be helpful to have a look at some past PhD theses in your own area of interest which have been successfully submitted at a UK university. Most UK universities have copies in the library of all past successful PhDs, either as physical copies or in an online repository. 

The online application form requires you to provide some standard information about yourself and your past academic performance. Please ensure that this information is correct and that you provide evidence to support your qualifications.

The references that your referees provide are important sources of information for us. Wherever possible, it is helpful to provide (where possible) a reference from at least one academic who is aware of your research potential and has read some of your work.

Search for PhD opportunities at Sheffield and be part of our world-leading research.

What’s Included: Research Proposal Template

Our free dissertation/thesis proposal template covers the core essential ingredients for a strong research proposal. It includes clear explanations of what you need to address in each section, as well as straightforward examples and links to further resources.

The research proposal template covers the following core elements:

• Introduction & background (including the research problem)
• Literature review
• Research design / methodology
• Project plan , resource requirements and risk management

The cleanly-formatted Google Doc can be downloaded as a fully editable MS Word Document (DOCX format), so you can use it as-is or convert it to LaTeX.

PS – if you’d like a high-level template for the entire thesis, you can we’ve got that too .

Research Proposal Template FAQS

What types of research proposals can this template be used for.

The proposal template follows the standard format for academic research projects, which means it will be suitable for the vast majority of dissertations and theses (especially those within the sciences), whether they are qualitative or quantitative in terms of design.

Keep in mind that the exact requirements for the introduction chapter/section will vary between universities and degree programs. These are typically minor, but it’s always a good idea to double-check your university’s requirements before you finalise your structure.

Is this template for an undergrad, Master or PhD-level proposal?

This template can be used for a research project at any level of study. Doctoral-level projects typically require the research proposal to be more extensive/comprehensive, but the structure will typically remain the same.

How long should my research proposal be?

The length of a research proposal varies by institution and subject, but as a ballpark, it’s usually between 1,500 and 3,000 words.

To be safe, it’s best to check with your university if they have any preferences or requirements in terms of minimum and maximum word count for the research propsal.

How detailed should the methodology of the proposal be?

You don’t need to go into the fine details of your methodology, but this section should be detailed enough to demonstrate that your research approach is feasible and will address your research questions effectively. Be sure to include your intended methods for data collection and analysis.

Can I include preliminary data or pilot study results in my proposal?

Generally, yes. This can strengthen your proposal by demonstrating the feasibility of your research. However, make sure that your pilot study is approved by your university before collecting any data.

Can I share this template with my friends/colleagues?

Yes, you’re welcome to share this template in its original format (no editing allowed). If you want to post about it on your blog or social media, we kindly request that you reference this page as your source.

What format is the template (DOC, PDF, PPT, etc.)?

The research proposal template is provided as a Google Doc. You can download it in MS Word format or make a copy to your Google Drive. You’re also welcome to convert it to whatever format works best for you, such as LaTeX or PDF.

Do you have templates for the other chapters?

Yes, we do. We are constantly developing our collection of free resources to help students complete their dissertations and theses. You can view all of our template resources here .

Can Grad Coach help me with my dissertation/thesis?

Yes, you’re welcome to get in touch with us to discuss our private coaching services .

Further Resources: Proposal Writing

The template provides step-by-step guidance for each section of your research proposal, but if you’d like to learn more about how to write up a high-quality research proposal, check out the rest of our free proposal-related resources:

• Research Proposal 101
• Examples of research proposals
• How To Find A Research Topic
• How To Find A Research Gap
• Developing Your Golden Thread
• How To Write A Research Proposal
• 8 Common Proposal Writing Mistakes

You can also visit the Grad Coach blog for more proposal-related resources.

If you’d prefer 1-on-1 support with your research proposal, have a look at our private coaching service , where we hold your hand through the research process, step by step.

PhD Thesis Guide

This phd thesis guide will guide you step-by-step through the thesis process, from your initial letter of intent to submission of the final document..

All associated forms are conveniently consolidated in the section at the end.

Deadlines & Requirements

Students should register for HST.ThG during any term in which they are conducting research towards their thesis. Regardless of year in program students registered for HST.ThG in a regular term (fall or spring) must meet with their research advisor and complete the  Semi-Annual PhD Student Progress Review Form to receive credit.

Years 1 - 2

• Students participating in lab rotations during year 1, may use the optional MEMP Rotation Registration Form , to formalize the arrangement and can earn academic credit by enrolling in HST.599. 
• A first letter of intent ( LOI-1 ) proposing a general area of thesis research and research advisor is required by April 30th of the second year of registration.
• A second letter of intent ( LOI-2 ) proposing a thesis committee membership and providing a more detailed description of the thesis research is required by April 30th of the third year of registration for approval by the HST-IMES Committee on Academic Programs (HICAP).

Year 4 

• Beginning in year 4, (or after the LOI-2 is approved) the student must meet with their thesis committee at least once per semester.
• Students must formally defend their proposal before the approved thesis committee, and submit their committee approved proposal to HICAP  by April 30 of the forth year of registration.
• Meetings with the thesis committee must be held at least once per semester. 

HST has developed these policies to help keep students on track as they progress through their PhD program. Experience shows that students make more rapid progress towards graduation when they interact regularly with a faculty committee and complete their thesis proposal by the deadline.

Getting Started

Check out these resources  for finding a research lab.

The Thesis Committee: Roles and Responsibilities

Students perform doctoral thesis work under the guidance of a thesis committee consisting of at least three faculty members from Harvard and MIT (including a chair and a research advisor) who will help guide the research. Students are encouraged to form their thesis committee early in the course of the research and in any case by the end of the third year of registration. The HST IMES Committee on Academic Programs (HICAP) approves the composition of the thesis committee via the letter of intent and the thesis proposal (described below). 

Research Advisor

The research advisor is responsible for overseeing the student's thesis project. The research advisor is expected to:

• oversee the research and mentor the student;
• provide a supportive research environment, facilities, and financial support;
• discuss expectations, progress, and milestones with the student and complete the  Semi-Annual PhD Student Progress Review Form each semester;
• assist the student to prepare for the oral qualifying exam;
• guide the student in selecting the other members of the thesis committee;
• help the student prepare for, and attend, meetings of the full thesis committee, to be held at least once per semester;
• help the student prepare for, and attend, the thesis defense;
• evaluate the final thesis document.

The research advisor is chosen by the student and must be a faculty member of MIT* or Harvard University and needs no further approval.  HICAP may approve other individuals as research advisor on a student-by-student basis. Students are advised to request approval of non-faculty research advisors as soon as possible.  In order to avoid conflicts of interest, the research advisor may not also be the student's academic advisor. In the event that an academic advisor becomes the research advisor, a new academic advisor will be assigned.

The student and their research advisor must complete the Semi-Annual PhD Student Progress Review during each regular term in order to receive academic credit for research.  Download Semi Annual Review Form

*MIT Senior Research Staff are considered equivalent to faculty members for the purposes of research advising. No additional approval is required.

Thesis Committee Chair

Each HST PhD thesis committee is headed administratively by a chair, chosen by the student in consultation with the research advisor. The thesis committee chair is expected to:

• provide advice and guidance concerning the thesis research; 
• oversee meetings of the full thesis committee, to be held at least once per semester;
• preside at the thesis defense; 
• review and evaluate the final thesis document.

The thesis committee chair must be well acquainted with the academic policies and procedures of the institution granting the student's degree and be familiar with the student's area of research. The research advisor may not simultaneously serve as thesis committee chair.

For HST PhD students earning degrees through MIT, the thesis committee chair must be an MIT faculty member. A select group of HST program faculty without primary appointments at MIT have been pre-approved by HICAP to chair PhD theses awarded by HST at MIT in cases where the MIT research advisor is an MIT faculty member.**

HST PhD students earning their degree through Harvard follow thesis committee requirements set by the unit granting their degree - either the Biophysics Program or the School of Engineering and Applied Sciences (SEAS).

** List of non-MIT HST faculty approved to chair MIT thesis proposals when the research advisor is an MIT faculty member.

In addition to the research advisor and the thesis committee chair, the thesis committee must include one or more readers. Readers are expected to:

• attend meetings of the full thesis committee, to be held at least once per semester;
• attend the thesis defense; 

Faculty members with relevant expertise from outside of Harvard/MIT may serve as readers, but they may only be counted toward the required three if approved by HICAP.

The members of the thesis committee should have complementary expertise that collectively covers the areas needed to advise a student's thesis research. The committee should also be diverse, so that members are able to offer different perspectives on the student's research. When forming a thesis committee, it is helpful to consider the following questions: 

• Do the individuals on the committee collectively have the appropriate expertise for the project?
• Does the committee include at least one individual who can offer different perspectives on the student's research?  The committee should include at least one person who is not closely affiliated with the student's primary lab. Frequent collaborators are acceptable in this capacity if their work exhibits intellectual independence from the research advisor.
• If the research has a near-term clinical application, does the committee include someone who can add a translational or clinical perspective?  
• Does the committee conform to HST policies in terms of number, academic appointments, and affiliations of the committee members, research advisor, and thesis committee chair as described elsewhere on this page?

[Friendly advice: Although there is no maximum committee size, three or four is considered optimal. Committees of five members are possible, but more than five is unwieldy.]

Thesis Committee Meetings

Students must meet with their thesis committee at least once each semester beginning in the fourth year of registration. It is the student's responsibility to schedule these meetings; students who encounter difficulties in arranging regular committee meetings can contact Julie Greenberg at jgreenbe [at] mit.edu (jgreenbe[at]mit[dot]edu) .

The format of the thesis committee meeting is at the discretion of the thesis committee chair. In some cases, the following sequence may be helpful:

• The thesis committee chair, research advisor, and readers meet briefly without the student in the room;
• The thesis committee chair and readers meet briefly with the student, without the advisor in the room;
• The student presents their research progress, answers questions, and seeks guidance from the members of the thesis committee;

Please note that thesis committee meetings provide an important opportunity for students to present their research and respond to questions. Therefore, it is in the student's best interest for the research advisor to refrain from defending the research in this setting.

Letters of Intent

Students must submit two letters of intent ( LOI-1 and LOI-2 ) with applicable signatures. 

In LOI-1, students identify a research advisor and a general area of thesis research, described in 100 words or less. It should include the area of expertise of the research advisor and indicate whether IRB approval (Institutional Review Board; for research involving human subjects) and/or IACUC approval (Institutional Animal Care and Use Committee; for research involving vertebrate animals) will be required and, if so, from which institutions. LOI-1 is due by April 30 of the second year of registration and and should be submitted to HICAP, c/o Traci Anderson in E25-518. 

In LOI-2, students provide a description of the thesis research, describing the Background and Significance of the research and making a preliminary statement of Specific Aims (up to 400 words total). In LOI-2, a student also proposes the membership of their thesis committee. In addition to the research advisor, the proposed thesis committee must include a chair and one or more readers, all selected to meet the specified criteria . LOI-2 is due by April 30th of the third year of registration and should be submitted to HICAP, c/o Traci Anderson in E25-518.

LOI-2 is reviewed by the HST-IMES Committee on Academic Programs (HICAP) to determine if the proposed committee meets the specified criteria and if the committee members collectively have the complementary expertise needed to advise the student in executing the proposed research. If HICAP requests any changes to the proposed committee, the student must submit a revised LOI-2 for HICAP review by September 30th of the fourth year of registration. HICAP must approve LOI-2 before the student can proceed to presenting and submitting their thesis proposal. Any changes to the thesis committee membership following HICAP approval of LOI-2 and prior to defense of the thesis proposal must be reported by submitting a revised LOI-2 form to HICAP, c/o tanderso [at] mit.edu (Traci Anderson) . After final HICAP approval of LOI-2, which confirms the thesis committee membership, the student may proceed to present their thesis proposal to the approved thesis committee, as described in the next section.

Students are strongly encouraged to identify tentative thesis committee members and begin meeting with them as early as possible to inform the direction of their research. Following submission of LOI-2, students are required to hold at least one thesis committee meeting per semester. Students must document these meetings via the Semi- Annual PhD Student Progress Review form in order to receive a grade reflecting satisfactory progress in HST.ThG.

Thesis Proposal and Proposal Presentation

For MEMP students receiving their degrees through MIT, successful completion of the Oral Qualifying Exam is a prerequisite for the thesis proposal presentation. For MEMP students receiving their degrees through Harvard, the oral qualifying exam satisfies the proposal presentation requirement.

Proposal Document

Each student must present a thesis proposal to a thesis committee that has been approved by HICAP via the LOI-2 and then submit a full proposal package to HICAP by April 30th of the fourth year of registration. The only exception is for students who substantially change their research focus after the fall term of their third year; in those cases the thesis proposal must be submitted within three semesters of joining a new lab. Students registering for thesis research (HST.THG) who have not met this deadline may be administratively assigned a grade of "U" (unsatisfactory) and receive an academic warning.

The written proposal should be no longer than 4500 words, excluding references. This is intended to help students develop their proposal-writing skills by gaining experience composing a practical proposal; the length is comparable to that required for proposals to the NIH R03 Small Research Grant Program. The proposal should clearly define the research problem, describe the proposed research plan, and defend the significance of the work. Preliminary results are not required. If the proposal consists of multiple aims, with the accomplishment of later aims based on the success of earlier ones, then the proposal should describe a contingency plan in case the early results are not as expected.

Proposal Presentation

The student must formally defend the thesis proposal before the full thesis committee that has been approved by HICAP.

Students should schedule the meeting and reserve a conference room and any audio visual equipment they may require for their presentation. To book a conference room in E25, please contact Joseph Stein ( jrstein [at] mit.edu (jrstein[at]mit[dot]edu) ).

Following the proposal presentation, students should make any requested modifications to the proposal for the committee members to review. Once the committee approves the proposal, the student should obtain the signatures of the committee members on the forms described below as part of the proposal submission package.

[Friendly advice: As a professional courtesy, be sure your committee members have a complete version of your thesis proposal at least one week in advance of the proposal presentation.]

Submission of Proposal Package

When the thesis committee has approved the proposal, the student submits the proposal package to HICAP, c/o Traci Anderson in E25-518, for final approval. HICAP may reject a thesis proposal if it has been defended before a committee that was not previously approved via the LOI-2.

The proposal package includes the following: 

• the proposal document
• a brief description of the project background and significance that explains why the work is important;
• the specific aims of the proposal, including a contingency plan if needed; and
• an indication of the methods to be used to accomplish the specific aims.
• signed research advisor agreement form(s);
• signed chair agreement form (which confirms a successful proposal defense);
• signed reader agreement form(s).

Thesis Proposal Forms

• SAMPLE Title Page (doc)
• Research Advisor Agreement Form (pdf)
• Chair Agreement Form (pdf)
• Reader Agreement Form (pdf)

Thesis Defense and Final Thesis Document

When the thesis is substantially complete and fully acceptable to the thesis committee, a public thesis defense is scheduled for the student to present his/her work to the thesis committee and other members of the community. The thesis defense is the last formal examination required for receipt of a doctoral degree. To be considered "public", a defense must be announced to the community at least five working days in advance. At the defense, the thesis committee determines if the research presented is sufficient for granting a doctoral degree. Following a satisfactory thesis defense, the student submits the final thesis document, approved by the research advisor, to Traci Anderson via email (see instructions below).

[Friendly advice: Contact jrstein [at] mit.edu (Joseph Stein) at least two weeks before your scheduled date to arrange for advertising via email and posters. A defense can be canceled for insufficient public notice.]

Before the Thesis Defense 

Committee Approves Student to Defend: The thesis committee, working with the student and reviewing thesis drafts, concludes that the doctoral work is complete. The student should discuss the structure of the defense (general guidelines below) with the thesis committee chair and the research advisor. 

Schedule the Defense: The student schedules a defense at a time when all members of the thesis committee will be physical present. Any exceptions must be approved in advance by the IMES/HST Academic Office.

Reserve Room: It is the student's responsibility to reserve a room and any necessary equipment. Please contact imes-reservation [at] mit.edu (subject: E25%20Room%20Reservation) (IMES Reservation) to  reserve rooms E25-140, E25-141, E25-119/121, E25-521. 

Final Draft: A complete draft of the thesis document is due to the thesis committee two weeks prior to the thesis defense to allow time for review.  The thesis should be written as a single cohesive document; it may include content from published papers (see libraries website on " Use of Previously Published Material in a Thesis ") but it may not be a simple compilation of previously published materials.

Publicize the Defense:   The IMES/HST Academic Office invites the community to attend the defense via email and a notice on the HST website. This requires that the student email a thesis abstract and supplemental information to  jrstein [at] mit.edu (Joseph Stein)  two weeks prior to the thesis defense. The following information should be included: Date and time, Location, (Zoom invitation with password, if offering a hybrid option), Thesis Title, Names of committee members, with academic and professional titles and institutional affiliations. The abstract is limited to 250 words for the poster, but students may optionally submit a second, longer abstract for the email announcement.

Thesis Defense Guidelines

Public Defense: The student should prepare a presentation of 45-60 minutes in length, to be followed by a public question and answer period of 15–30 minutes at discretion of the chair.

Committee Discussion:  Immediately following the public thesis presentation, the student meets privately with the thesis committee and any other faculty members present to explore additional questions at the discretion of the faculty. Then the thesis committee meets in executive session and determines whether the thesis defense was satisfactory. The committee may suggest additions or editorial changes to the thesis document at this point.

Chair Confirms Pass: After the defense, the thesis committee chair should inform Traci Anderson of the outcome via email to tanderso [at] mit.edu (tanderso[at]mit[dot]edu) .

Submitting the Final Thesis Document

Please refer to the MIT libraries  thesis formatting guidelines .

Title page notes. Sample title page  from the MIT Libraries.

Program line : should read, "Submitted to the Harvard-MIT Program in Health Sciences and Technology, in partial fulfillment of the the requirements for the degree of ... "

Copyright : Starting with the June 2023 degree period and as reflected in the  MIT Thesis Specifications , all students retain the copyright of their thesis.  Please review this section for how to list on your title page Signature Page: On the "signed" version, only the student and research advisor should sign. Thesis committee members are not required to sign. On the " Accepted by " line, please list: Collin M. Stultz, MD, PhD/Director, Harvard-MIT Program in Health Sciences and Technology/ Nina T. and Robert H. Rubin Professor in Medical Engineering and Science/Professor of Electrical Engineering and Computer Science.

The Academic Office will obtain Professor Stultz's signature.

Thesis Submission Components.  As of 4/2021, the MIT libraries have changed their thesis submissions guidelines and are no longer accepting hard copy theses submissions. For most recent guidance from the libraries:  https://libguides.mit.edu/mit-thesis-faq/instructions  

Submit to the Academic Office, via email ( tanderso [at] mit.edu (tanderso[at]mit[dot]edu) )

pdf/A-1 of the final thesis should include an UNSIGNED title page

A separate file with a SIGNED title page by the student and advisor, the Academic Office will get Dr. Collin Stultz's signature.

For the MIT Library thesis processing, fill out the "Thesis Information" here:  https://thesis-submit.mit.edu/

File Naming Information:  https://libguides.mit.edu/

Survey of Earned Doctorates.  The University Provost’s Office will contact all doctoral candidates via email with instructions for completing this survey.

Links to All Forms in This Guide

• MEMP Rotation Form (optional)
• Semi-Annual Progress Review Form
• Letter of Intent One
• Letter of Intent Two

Final Thesis

• HST Sample thesis title page  (signed and unsigned)
• Sample thesis title page  (MIT Libraries)

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