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![FUNCTIONS OF A PROPOSAL 17
The Proposal afJustification for
the Study
Asound argument, a well-grounded or firmly-backed claim, is one which will stand up
to criticism . . . [and] deserve[s] a favourable verdict. (Toulmin, 1958, p. 8)
Researchers employ theory, method, evidence, and reasoning to produce find-
ings they claim are important and relevant to the questions of interest. The rea-
soning producing the findings and relating them to the problem constitutes an
argument that is the heart of the dissertation proposal. This argument justifies
conducting the study and supports the meaning and utility of the results
found. The primary function of the dissertation proposal, then, is to provide
this
justification for the inquiry.
Therefore, in doing the study, the student develops the following points
into a reasoned argument:
1. Why it is worth studying what will be studied.
2. Whatis already known, how that relates to the proposed study, and how
it coalesces into an argument for:
a. an extrapolation of past knowledge to predict the outcome of the
study,
b. or, if not a prediction, some anticipation of possible outcomes,
c. or knowledge of where to look for results,
d. or knowledge of what area to study in order to likely attain payoff.
(If much is known about what is to be researched, a, above, is possible.
With less prior knowledge, one falls back to b, with still less to c, and
finally to d.)
3. How the study will proceed: what method will be used; data gathered;
and situations, circumstances, and persons involved.
4. How those data represent future situations, circumstances, and/or per-
sons in sucha way as to relate usefully and meaningfully to the problem,
question, or area of investigation proposed.
As might be expected, these points relate to the proposal as well as to the
dissertation study itself. The first three points are covered in the proposal, the
fourth in the dissertation report. As discussed in the next chapter, designing
the proposal as a chain of reasoning is an effective way of providing a strong
justification for the dissertation study.
The Proposal as Work Plan
This is the most common function a proposal serves. It sets forth what work
will be done, why, and with what anticipated result. Most proposals include a
scope of work, alist of activities, and possibly a time line and budget. These in-](https://image.slidesharecdn.com/24755943-250514090930-dcce508b/85/How-To-Prepare-A-Dissertation-Proposal-David-R-Krathwohl-Nick-L-Smith-41-320.jpg)
![principle of that act; a principle which, unquestionably, he and his
friends would never have acted upon; but which others have
since acted upon, with a violence which has brought us to the
brink of ruin.
[4] In p. 19. he calls liberty “a freedom from all restraints
except such as established law imposes for the good of the
community.” But this addition can make no difference of any
consequence, as long as it is not specified where the power is
lodged of judging what laws are for the good of the community.
In countries where the laws are the edicts of absolute princes,
the end professed is always the good of the Community.
[5] “The laws against Papists have been extremely severe. New
dangers may arise; and if at any time another denomination of men
should be equally dangerous to our civil interests, it would be
justifiable to lay them under similar restraints.” Page 17.—In
another part of this sermon the great men in opposition (some of
the first in the kingdom in respect of rank, ability, and virtue) are
described as a body of men void of principle, who, without
regarding the relation in which they stand to the community, have
entered into a league for advancing their private interest, and
“who are held together by the same bond that keeps together the
lowest and wickedest combinations.”—Was there ever such a
censure delivered from a pulpit? What wonder is it that the
Dissenters should come in for a share in his Grace’s abuse?—Their
political principles, he says, are growing dangerous.—On what
does he ground this insinuation? He is mistaken if he imagines
that they are all such delinquents as the author of the following
tracts, or that they think universally as he does of the war with
America. On this subject they are, like other bodies of men in the
kingdom, of different opinions.—But I will tell him in what they
agree.—They agree in detesting the doctrines of passive
obedience and non-resistance. They are all Whigs, enemies to
arbitrary power, and firmly attached to those principles of civil
and religious liberty which produced the glorious Revolution and
the Hanoverian succession.—Such principles are the nation’s best
defence; and Protestant Dissenters have hitherto reckoned it their
glory to be distinguished by zeal for them, and an adherence to
them. Once these principles were approved by men in power. No
good can be expected, if they are now reckoned dangerous.
[6] That is, the missionaries of the society in America.—The
charter of the society declares the end of its incorporation to be](https://image.slidesharecdn.com/24755943-250514090930-dcce508b/85/How-To-Prepare-A-Dissertation-Proposal-David-R-Krathwohl-Nick-L-Smith-56-320.jpg)
![“propagating the gospel in foreign parts, and making provision for
the worship of God in those plantations which wanted the
administration of God’s word and sacraments, and were
abandoned to atheism and infidelity.” The chief business, on the
contrary, of the society has been to provide for the support of
episcopalianism in the northern colonies, and particularly New-
England, where the sacraments are more regularly administered,
and the people less abandoned to infidelity, than perhaps in any
country under heaven. The missionaries employed and paid by
the society for this purpose, have generally been clergymen of
the highest principles in church and state. America, having been
for some time very hostile to men of such principles, most of
them have been obliged to take refuge in this country; and here
they have, I am afraid, been too successful in propagating their
own resentments, in misleading our rulers, and widening the
breach which has produced the present war.
[7] I am sorry to mention one exception to the fact here
intimated. The new constitution for Pensilvania (in other respects
wise and liberal) is dishonoured by a religious test. It requires an
acknowledgment of the divine inspiration of the Old and New
Testament, as a condition of being admitted to a seat in the
House of Representatives; directing however, at the same time,
that no other religious test shall for ever hereafter be required of
any civil officer.—This has been, probably, an accommodation to
the prejudices of some of the narrower sects in the province, to
which the more liberal part have for the present thought fit to
yield; and, therefore, it may be expected that it will not be of long
continuance.
Religious tests and subscriptions in general, and all
establishments of particular systems of faith, with civil
emoluments annexed, do inconceivable mischief, by turning
religion into a trade, by engendering strife and persecution, by
forming hypocrites, by obstructing the progress of truth, and
fettering and perverting the human mind; nor will the world ever
grow much wiser, or better, or happier, till, by the abolition of
them, truth can gain fair play, and reason free scope for exertion.
The Archbishop, page 11, speaks of christianity as “insufficient to
rely on its own energies; and of the assistances which it is the
business of civil authority to provide for gospel truths.”—A worse
slander was never thrown on gospel truths. Christianity disdains
such assistances as the corrupted governments of this world are
capable of giving it. Politicians and statesmen know little of it.](https://image.slidesharecdn.com/24755943-250514090930-dcce508b/85/How-To-Prepare-A-Dissertation-Proposal-David-R-Krathwohl-Nick-L-Smith-57-320.jpg)
![Their enmity has sometimes done it good; but their friendship, by
supporting corruptions carrying its name, has been almost fatal to
it.
[8] In 1742, after the resignation of Sir Robert Walpole.
[9] Sir Francis Bacon was the second Attorney-General who sat
in the House of Commons; but, to prevent its being drawn into a
precedent, the House would not admit him, till they had made an
order, that no Attorney-General should for the future be allowed
to sit and vote in that House.—In conformity to this order,
whenever afterwards a member was appointed Attorney-General,
his place was vacated, and a new writ issued. This continued to
be the practice till the year 1670, when Sir Heneage Finch
(afterwards Earl of Nottingham) being appointed Attorney-General,
he was allowed by connivance to preserve his seat, which
connivance has been continued ever since.—I give these facts not
from any enquiry or knowledge of my own, but from the authority
of a friend, who is perhaps better informed than any person in
the kingdom on every subject of this kind.
[10] The following facts will shew, in some degree, how this
change has been brought about.—For ten years ending Aug. 1,
1717 (a period comprehending in it a general war abroad; and
the demise of the crown, the establishment of a new family, and
an open rebellion at home) the money expended in secret
services amounted only to 279,444l.—For ten years ending Feb.
11, 1742, it amounted to no less a sum than 1.384,600; of which
50,077l. was paid to printers of News-papers and writers for
government; and a greater sum expended, in the last six weeks
of these ten years, than had been spent in three years before
Aug. 1710.—See the Report of the Committee appointed March 23,
1742, to enquire into the conduct of Robert Earl of Orford, printed
in the Journals of the House of Commons, vol. 24, p. 295, 296,
300.—One passage, in this report, contains remarks, so much to
my present purpose and so important, that I cannot help copying
it.—“There are no laws particularly adapted to the case of a
minister who clandestinely employs the money of the public, and
the whole power and profitable employments that attend the
collecting and disposing of it, against the people: And, by this
profusion and criminal distribution of offices, in some measure
justifies the expence that particular persons are obliged to be at,
by making it necessary to the preservation of all that is valuable
to a free nation. For in that case, the contest is plain and visible.](https://image.slidesharecdn.com/24755943-250514090930-dcce508b/85/How-To-Prepare-A-Dissertation-Proposal-David-R-Krathwohl-Nick-L-Smith-58-320.jpg)
![F
without Religious and Civil Liberty he is a poor and abject animal,
without rights, without property, and without a conscience, bending
his neck to the yoke, and crouching to the will of every silly creature
who has the insolence to pretend to authority over him.—Nothing,
therefore, can be of so much consequence to us as Liberty. It is the
foundation of all honour, and the chief privilege and glory of our
natures.
In fixing our ideas on the subject of Liberty, it is of particular use
to take such an enlarged view of it as I have now given. But the
immediate object of the present enquiry being Civil Liberty, I will
confine to it all the subsequent observations.
SECT. II.
Of Civil Liberty and the Principles of Government.
rom what has been said it is obvious, that all civil government, as
far as it can be denominated free, is the creature of the people.
It originates with them. It is conducted under their direction; and
has in view nothing but their happiness. All its different forms are no
more than so many different modes in which they chuse to direct
their affairs, and to secure the quiet enjoyment of their rights.—In
every free state every man is his own Legislator.[11]—All taxes are
free-gifts for public services.—All laws are particular provisions or
regulations established by common consent for gaining protection and
safety.—And all Magistrates are Trustees or Deputies for carrying
these regulations into execution.
Liberty, therefore, is too imperfectly defined when it is said to be
“a Government by Laws, and not by Men.” If the laws are made by
one man, or a junto of men in a state, and not by common consent, a
government by them does not differ from Slavery. In this case it
would be a contradiction in terms to say that the state governs itself.
From hence it is obvious that Civil Liberty, in its most perfect
degree, can be enjoyed only in small states, where every](https://image.slidesharecdn.com/24755943-250514090930-dcce508b/85/How-To-Prepare-A-Dissertation-Proposal-David-R-Krathwohl-Nick-L-Smith-67-320.jpg)
![confederacy be formed by the appointment of a Senate consisting of
Representatives from all the different states. Let this Senate possess
the power of managing all the common concerns of the united
states, and of judging and deciding between them, as a common
Arbiter or Umpire, in all disputes; having, at the same time, under its
direction, the common force of the states to support its decisions.—
In these circumstances, each separate state would be secure against
the interference of foreign power in its private concerns, and,
therefore, would possess Liberty; and at the same time it would be
secure against all oppression and insult from every neighbouring
state.—Thus might the scattered force and abilities of a whole
continent be gathered into one point; all litigations settled as they
rose; universal peace preserved; and nation prevented from any
more lifting up a sword against nation.
I have observed, that tho’, in a great state, all the individuals that
compose it cannot be admitted to an immediate participation in the
powers of legislation and government, yet they may participate in
these powers by a delegation of them to a body of representatives.
—In this case it is evident that the state will be still free or self-
governed; and that it will be more or less so in proportion as it is
more or less fairly and adequately represented. If the persons to
whom the trust of government is committed hold their places for
short terms; if they are chosen by the unbiassed voices of a majority
of the state, and subject to their instructions; Liberty will be enjoyed
in its highest degree. But if they are chosen for long terms by a part
only of the state; and if during that term they are subject to no
controul from their constituents; the very idea of Liberty will be lost,
and the power of chusing representatives becomes nothing but a
power, lodged in a few, to chuse at certain periods, a body of
Masters for themselves and for the rest of the Community. And if a
state is so sunk that the majority of its representatives are elected
by a handful of the meanest[12] persons in it, whose votes are
always paid for; and if also, there is a higher will on which even
these mock representatives themselves depend, and that directs](https://image.slidesharecdn.com/24755943-250514090930-dcce508b/85/How-To-Prepare-A-Dissertation-Proposal-David-R-Krathwohl-Nick-L-Smith-69-320.jpg)
![in its rulers, is enslaved.—Nothing, therefore, can be more absurd
than the doctrine which some have taught, with respect to the
omnipotence of parliaments. They possess no power beyond the
limits of the trust for the execution of which they were formed. If
they contradict this trust, they betray their constituents, and dissolve
themselves. All delegated power must be subordinate and limited.—
If omnipotence can, with any sense, be ascribed to a legislature, it
must be lodged where all legislative authority originates; that is, in
the People. For their sakes government is instituted; and their’s is the
only real omnipotence.
I am sensible, that all I have been saying would be very absurd,
were the opinions just which some have maintained concerning the
origin of government. According to these opinions, government is
not the creature of the people, or the result of a convention between
them and their rulers: But there are certain men who possess in
themselves, independently of the will of the people, a right of
governing them, which they derive from the Deity. This doctrine has
been abundantly refuted by many[13] excellent writers. It is a
doctrine which avowedly subverts Civil Liberty; and which represents
mankind as a body of vassals, formed to descend like cattle from
one set of owners to another, who have an absolute dominion over
them. It is a wonder, that those who view their species in a light so
humiliating, should ever be able to think of themselves without
regret and shame. The intention of these observations is not to
oppose such sentiments; but, taking for granted the reasonableness
of Civil Liberty, to shew wherein it consists, and what distinguishes it
from its contrary.—And, in considering this subject, as it has been
now treated, it is unavoidable to reflect on the excellency of a free
government, and its tendency to exalt the nature of man.—Every
member of a free state, having his property secure, and knowing
himself his own governor, possesses a consciousness of dignity in
himself, and feels incitements to emulation and improvement, to
which the miserable slaves of arbitrary power must be utter
strangers. In such a state all the springs of action have room to](https://image.slidesharecdn.com/24755943-250514090930-dcce508b/85/How-To-Prepare-A-Dissertation-Proposal-David-R-Krathwohl-Nick-L-Smith-73-320.jpg)
![operate, and the mind is stimulated to the noblest exertions[14].—
But to be obliged, from our birth, to look up to a creature no better
than ourselves as the master of our fortunes; and to receive his will
as our law—What can be more humiliating? What elevated ideas can
enter a mind in such a situation?—Agreeably to this remark; the
subjects of free states have, in all ages, been most distinguished for
genius and knowledge. Liberty is the soil where the arts and
sciences have flourished; and the more free a state has been, the
more have the powers of the human mind been drawn forth into
action, and the greater number of brave men has it produced. With
what lustre do the antient free states of Greece shine in the annals
of the world? How different is that country now, under the Great
Turk? The difference between a country inhabited by men and by
brutes is not greater.
These are reflexions which should be constantly present to every
mind in this country.—As Moral Liberty is the prime blessing of man
in his private capacity, so is Civil liberty in his public capacity. There
is nothing that requires more to be watched than power. There is
nothing that ought to be opposed with a more determined resolution
than its encroachments. Sleep in a state, as Montesquieu says, is
always followed by slavery.
The people of this kingdom were once warmed by such
sentiments as these. Many a sycophant of power have they
sacrificed. Often have they fought and bled in the cause of Liberty.
But that time seems to be going. The fair inheritance of Liberty left
us by our ancestors many of us are willing to resign. An abandoned
venality, the inseparable companion of dissipation and extravagance,
has poisoned the springs of public virtue among us: And should any
events ever arise that should render the same opposition necessary
that took place in the times of King Charles the First, and James the
Second, I am afraid all that is valuable to us would be lost. The
terror of the standing army, the danger of the public funds, and the
all-corrupting influence of the treasury, would deaden all zeal, and
produce general acquiescence and servility.](https://image.slidesharecdn.com/24755943-250514090930-dcce508b/85/How-To-Prepare-A-Dissertation-Proposal-David-R-Krathwohl-Nick-L-Smith-74-320.jpg)
![I cannot help observing farther, that the slavery of a people to
internal despots may be qualified and limited; but I don’t see what
can limit the authority of one state over another. The exercise of
power in this case can have no other measure than discretion; and,
therefore, must be indefinite and absolute.
Once more. It should be considered that the government of one
country by another, can only be supported by a military force; and,
without such a support, must be destitute of all weight and
efficiency.
This will be best explained by putting the following case.—There
is, let us suppose, in a province subject to the sovereignty of a
distant state, a subordinate legislature consisting of an Assembly
chosen by the people; a Council chosen by that Assembly; and a
Governor appointed by the Sovereign state, and paid by the
Province. There are, likewise, judges and other officers, appointed
and paid in the same manner, for administering justice agreeably to
the laws, by the verdicts of juries fairly chosen.—This forms a
constitution seemingly free, by giving the people a share in their
own government, and some check on their rulers. But, while there is
a higher legislative power, to the controul of which such a
constitution is subject, it does not itself possess Liberty, and
therefore cannot be of any use as a security to Liberty; nor is it
possible that it should be of long duration. Laws offensive to the
Province will be enacted by the Sovereign State. The legislature of
the Province will remonstrate against them. The magistrates will not
execute them. Juries will not convict upon them; and consequently,
like the Pope’s Bulls which once governed Europe, they will become
nothing but forms and empty sounds, to which no regard will be
shewn.—In order to remedy this evil, and to give efficiency to its
government, the supreme state will naturally be led to withdraw the
Governor, the Council, and the Judges[15] from the controul of the
Province, by making them entirely dependant on itself for their pay
and continuance in office, as well as for their appointment. It will](https://image.slidesharecdn.com/24755943-250514090930-dcce508b/85/How-To-Prepare-A-Dissertation-Proposal-David-R-Krathwohl-Nick-L-Smith-76-320.jpg)
![despots, a good one will sometimes arise. But bodies of men
continue the same; and have generally proved the most unrelenting
of all tyrants.
A great writer before[16] quoted, observes of the Roman Empire,
that while Liberty was at the center, tyranny prevailed in the distant
provinces; that such as were free under it were extremely so, while
those who were slaves groaned under the extremity of slavery; and
that the same events that destroyed the liberty of the former, gave
liberty to the latter.
The Liberty of the Romans, therefore, was only an additional
calamity to the provinces governed by them; and though it might
have been said of the citizens of Rome, that they were the “freest
members of any civil society in the known world;” yet of the subjects
of Rome, it must have been said, that they were the completest
slaves in the known world.—How remarkable is it, that this very
people, once the freest of mankind, but at the same time the most
proud and tyrannical, should become at last the most contemptible
and abject slaves that ever existed?](https://image.slidesharecdn.com/24755943-250514090930-dcce508b/85/How-To-Prepare-A-Dissertation-Proposal-David-R-Krathwohl-Nick-L-Smith-81-320.jpg)
How To Prepare A Dissertation Proposal David R Krathwohl Nick L Smith
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- 5. How to Preparea Dissertation Proposal Suggestions for Students in Education & the Social and Behavioral Sciences oe ie David R. Krathwohl & NickL. Smith ae
- 7. How to Preparea Dissertation Proposal
- 9. How to Preparea Dissertation Proposal Suggestions for Students in Education and the Social and Behavioral Sciences David R. Krathwohl Nick L. Smith Distributed by Syracuse University Press
- 10. Copyright © 2005by David R. Krathwohl and Nick L. Smith All Rights Reserved First Edition 2005 05 06 07 08 09 10 Se 4b 3 Dil The paper used in this publication meets the minimum requirements of American National Standard for Information Sciences—Permanence of Paper for Printed Library Materials, ANSI Z39.48-1984.co™ ISBN 0-8156-8141-0 Produced and distributed by Syracuse University Press, Syracuse, New York 13244-5160 The author suggests cataloguing as follows: LB2369.K73 2005. Manufactured in the United States ofAmerica
- 11. Contents Illustrations xi Preface xiii PARTONE: Concepts Fundamental to Proposal Writing 1 1. WhatIsaProposal? 3 Definition of a Proposal 3 Typical Dissertation Proposal Sections 6 Overview ofthe Dissertation Proposal Process 6 Preparing Yourself 6 Preparing the Proposal z Worksheet 1.1: Self-Assessment 10 Worksheet 1.2: Environmental Assessment 13 2. The Functions of a Dissertation Proposal 15 The Functions ofthe Proposal in the Dissertation Process 15 The Proposal as Justification for the Study 17 The Proposal as Work Plan 17 The Proposal as Evidence ofAbility 18 The Proposal as Request for Committment 18 The Proposalas Contract 18 The Proposal as Evaluative Criterion 19 The Proposal as Partial Dissertation Draft 20 Summary 22 How Functions Differ with Different Kinds ofInquiry 22 Prespecified vs. Emergent Studies 23 General vs. Local Findings 24 Worksheet 2.1: Proposal Function Review 30 3. The Proposal as a Chain of Reasoning 31 The Proposal as a Chain ofReasoning 31 The Chain ofReasoning in Studies with Generalizable Findings 32 The Links in the Chain 32
- 12. vi CONTENTS Details oftheLinks from Procedure to Data 34 Four Useful Characteristics ofthe Chain Analogy 36 Relation ofthe Chain Analogy to the Proposal 38 The Chain ofReasoning in Development and Problem-Solving Studies 39 Worksheet 3.1: Chain ofReasoning Analysis 42 PART TWO: AdviceCommonto Most Proposals 43 4. The Description of the Problem 45 The Problem ofthe Problem 46 Problem Statement 47 Related Research 49 What toInclude 50 Search Strategies and Information Sources 52 Use ofthe Internet and World Wide Web — 52 Research Strategies Before the Internet 54 Relevant Information Sources Appropriate to Successively Specific Stages ofProblem Definition 58 Save Steps and Time with Your Computer—An Example 58 Quantitative Literature Summaries 62 Questions, Hypotheses, or Models? 64 Descriptions ofWhere to Look and Questions 65 Hypotheses 66 Models 67 Worksheet 4.1: Characteristics of a Good Dissertation Topic 69 Worksheet 4.2: What to Look for in Reviewing Literature for a Dissertation Worksheet 4.3: Characteristics of aGood Proposal Statement 73 5. The Method Section 75 Section 1: General Considerations 76 Adapt the Material on Method to Your Study 76 71 The Method Section Flows from the “Questions, Hypotheses, or Models” Section Operationalizing Terms May Result in New Conceptualizations 79 Restrain the Design to Realistic Limits 80 Eliminate Plausible Alternative Explanations 82 Design Efficiency 86 Give Special Care to Those Sections Critical to Your Research Method 87 Section 2: Developing the Subsections ofMethod 87 Participants—Population and Sample 88 Situation 90 Focus ofAction—Treatment(s), Independent and Dependent Variable(s) Records—Instrumentation and Observations 91 Comparison and Contrast—The Basis for Sensing Attributes or Changes Time Schedule—The Specification ofthe Procedure 96 90 95 76
- 13. CONTENTS vii Problems inData Collection 96 Analysis 98 Expected End Product 98 An Alternative Dissertation Format: Articles Ready for Publication 99 Worksheet 5.1: Study Methods Review 100 6. Ensuring Feasibility and Other Proposal Parts 102 Time Schedule or Work Plan 103 Graphic Depictions ofthe Work Plan 105 Assurance ofCompetence 108 Assurance ofAccess 109 Assurance ofObservance ofEthical Considerations 110 Budget and/or Sources ofFinancial Support 111 Other Parts ofthe Proposal 112 Appendix 112 Abstract 113 Title 114 Last Steps Before Submitting for Approval 114 A Final Check and Review 114 Preparing the Final Copy 114 Funding 115 Writing the Proposal after You Are Well into the Study 115 Worksheet 6.1: Assurances Review 118 PART THREE: Advice Specific to Particular Kinds of Studies 119 7. The Special Requirements of Proposals Using Qualitative Approaches: Emergent, Qualitative, Philosophical, Historical 121 Section 1: Qualitative Method Studies 122 The Special Problems ofEmergent Study Proposals 122 A Checklist for Qualitative Method Study Proposals 124 The Focus or Question and Its Rationale 126 Sample ofPersons, Sites, and Situations 127 Qualitative Orientation 128 Researcher’s Qualifications 129 Data Collection 130 Data Analysis 132 Ensuring Ethical Procedure 135 Worksheet 7.1: Review ofProposals Using Emergent Qualitative Approaches 136 Section 2: Philosophical and Historical Study Proposals 137 The Nature ofthe Proposal 137 The Conceptual Roots ofthe Study 138 Your Conceptual Contribution 138
- 14. vill CONTENTS The Assumptionson Which Your Study Proceeds 139 The Criteria by Which Your Study Is to Be Judged = 139 In Any Kind ofStudy, How Much Is Enough? 141 Worksheet 7.2: Review ofProposals Using Philosophical and Historical Approaches 142 8. The Special Requirements of Proposals Using Quantitative Approaches: Experimental, Causal Modeling, Meta-Analysis 143 Section 1: Experiments 143 Rationale 144 Hypotheses 144 Design or Procedure 144 Analysis ofthe Data 153 Section 2: Causal Modeling 154 Worksheet 8.1: Review ofProposals Using Experimental and Causal Modeling Approaches 155 Section 3: Meta-Analysis 156 Special Requirements of a Meta-Analysis Proposal 157 Worksheet 8.2: Review ofProposals Using Meta-Analysis Approaches 162 . The Special Requirements of Proposals Using Qualitative and/or Quantitative Approaches: Survey, Evaluation, Development, Demonstration 163 Section 1: Sample Surveys 164 Problem 164 Review ofPrevious Research 165 Design 166 Data Analysis 170 Worksheet 9.1: Review ofProposals Using Sample Survey Methods 172 Section 2: Evaluation Studies 173 Audiences 173 Who Defines Program Goals or Standards? 175 What Evaluation Orientation Do You Bring to the Study? 176 Formative or Summative? 178 Describe the Research Method 179 Worksheet 9.2: Review ofProposals for Evaluation Studies 180 Section 3; Development Studies (e.g., Curriculum, Equipment, Instrument Software, and Methodology) 179 Special Emphases in the Problem Statement 181 Who Will be Involved? 182 Describe the Development Process 182 Work Plan 183 Whether and How Thoroughly to Evaluate the Product 183 yf
- 15. CONTENTS Protection ofYour EndProduct 183 Worksheet 9.3: Review ofProposals for Development Studies 185 Section 4: Demonstration and Action Research Studies 184 Demonstration Projects 186 Worksheet 9.4: Review ofProposals for Demonstration Studies 190 Action Research Projects 189 Worksheet 9.5: Review ofProposals for Action Research Studies 194 PART FOUR: Additional Considerations 195 10. Other Things to Consider 197 What IfThis Book's Advice and That ofMy Committee Differ? 197 Literature Review 197 Statement ofHypotheses 198 I’m Having Trouble Getting Started, What DoIDo? — 199 Is There Enough Detail? 199 Is the Hasty Reader Signaled to Critically Important Proposal Parts? 199 How Shall IShow My Competence? 200 When Shall I Get My Chairperson’s Reaction toa Draft? 201 AFinal Review 202 Worksheet 10.1: Checklist ofSections of a Dissertation Proposal 203 PART FIVE: Annotated Proposals 207 11. An Annotated Dissertation Proposal Using Qualitative Methods 209 The Change Process in Men Who Batter Women by Bill Warters 210 12. An Annotated Dissertation Proposal Using Quantitative Methods 231 A Study of the Effectiveness of Concept Mapping in Improving Problem Solving by Katherine L. Beissner 232 13. A Quantitative Dissertation Proposal with Student Annotations 252 Self-Directed Learning’s Impact on MBA Students and Their Attitudes Toward Personal Development by Thomas D. Phelan =252 PART $S1xX: FundedProposals 265 14. Finding Funding 267 Search Current Grants 268 Federal 268 Foundations 268 Use Professional Associations 269 Examine Successful Proposals 269 Use Your Institution's Grants Support Office 270 1X
- 16. Xx CONTENTS Additional Readings275 References 279 Index 285 About the Authors 290
- 17. Illustrations FIGURES SL Dude Bo. 3.4. 4.1. 6.1. 6.2. The chain ofreasoning in the presentation of findings (adapted from Krathwohl, 1998/2004, with suggestions from John T. Behrens) 33 Detail of the connections between the Procedure and Data links 34 The connections in the chain of reasoning between the Procedure and Datalinks 35 The complete chain of reasoning with all the labels (adapted from Krathwohl, 1998/2004, with suggestions from John T. Behrens) —37 Sources of information in a literature search (adapted from Krathwohl, 1988) 53 Illustrative Gantt Chart for sample survey study 105 Asample survey’s work plan created with Microsoft Word using flowchart forms from AutoShapes in the Drawing toolbar with text inserted by control (Macintosh, for PC, right) clicking it and choosing “add text” from the pop- up menu (graphic adapted from Krathwohl, 1988, p.76) 107 TABLES 2.45 mF 4.1. Laks 8.1. A summary of how the functions of a proposal are the same and different for prespecified and emergent studies 25 The chain of reasoning in development and problem solving studies —_40 Relevant references and reference sources at entry points in the literature search that are increasingly close toa specified problem 59 A checklist of topics and subtopics that should be included in a qualitative method proposal together with where examples of the items may be found in the Warters’ proposal, chapter11 125 Matrix showing the combinations of variations in whole-part learning with variations in massed vs. distributed practice. Studies to be included in the meta-analysis would be sorted into the blank cells 159 x1
- 18. xii Gale ILLUSTRATIONS The Solomon Four-GroupDesign as adapted for this study 259 WORKSHEETS doe 12 PN, Saks 4.1, 4.2. 4.3. oe 6.1. Zale Likes Soh. 8 wale 9.2. 92: 9.4. 9:3. LO a: Self-Assessment 10 Environmental Assessment 13 Proposal Function Review — 30 Chain of Reasoning Analysis 42 Characteristics of a Good Dissertation Topic . 69 What to Look for in Reviewing Literature fora Dissertation 71 Characteristics of aGood Proposal Problem Statement 73 Study Methods Review 100 Assurances Review 118 Review of Proposals Using Emergent Qualitative Approaches 136 Review of Proposals Using Philosophical and Historical Approaches Review of Proposals Using Experimental and Causal Modeling Approaches — 155 Review of Proposals Using Meta-Analysis Approaches 162 Review of Proposals Using Sample Survey Methods 172 Review of Proposals for Evaluation Studies 180 Review of Proposals for Development Studies 185 Review of Proposals for Demonstration Studies 190 Review of Proposals for Action Research Studies 194 Checklist of Sections of a Dissertation Proposal 203 142
- 19. Preface CHAPTER CONTENTS How ShouldYou Read This Book? —xiii An Assembly Manual witha Difference xv What Do We Assume You Bring to Reading the Book? xv What Is Distinctive about This Book? xvi HOW SHOULD YOU READ THIS BOOK? This book will guide you through the steps of drafting a dissertation proposal. It is an assembly manual that will (1) identify and explain the components of a dissertation proposal, (2) assist you in constructing the needed elements, and (3) guide you in combining the pieces to produce a complete and convincing proposal. There are several ways you can use this book. “T learn best when you tell me what to do, give me some examples to study, and then show me how to practice it.” “7 like to figure out how to do things for myself from some examples and then check my process against the instructions to be sure I didn’t miss anything.” “An example and achecklist are worth a thousand words of instruction!” Would you just as soon be given instructions and then see some illustra- tions of their use? Or are you one of those people who learns best from exam- ples? Or does your preference depend on the material you are mastering? Depending on how you prefer to learn, you may want to read this book’s chap- ters in an atypical order. Let us explain why this is so. This book is organized into six parts. Part 1 deals with the definition of a proposal, its different functions, and the basic logic that underlies many stud- ies. Everyone should start with it. xiti
- 20. Xiv PREFACE Part 2presents the core elements of any proposal, the problem statement and the method statement, while part 3 shows how those elements are modi- fied to convey the strengths of particular kinds of studies, such as qualitative investigations, experimental tests, demonstrations, etc. Part 4 both explains the additional material needed to complete a full pro- posal and discusses the process of getting your proposal reviewed and approved. Part 5 reproduces three actual student proposals of different types (chapters: 11, Warters; 12, Beissner; and 13, Phelan) with interspersed annota- tions that refer back to the advice given in parts 2, 3, and 4. Part 6 discusses getting the proposal funded. Most of us expect to have a procedure explained and then be shown exam- ples of its application. Those of you who prefer this will want to proceed by reading parts 1, 2, 3, and 4 in order, looking ahead to see how those ideas are implemented in the annotated student proposals of part 5. We have provided worksheets at the end of each chapter in parts 1, 2, 3, and 4 to help you make practical use of the material you have just read. If you empathized with the quotes above about starting with examples, however, after reading part 1, you may want to proceed to part 5, first working through the examples and then reading parts 2, 3, and 4 to see in more detail the rationale for the annotations. If you learn best by working on specific tasks re- lated to a problem, then you may want to pay particular attention to the work- sheets at the end of each chapter. They will help you work through each step in the process and give you a checklist for reviewing your progress. Maybe you'll want to work back and forth between the parts as you pro- ceed. Since parts 2 and 3 frequently cite examples in the annotated proposals of part 5 to show what is meant by their advice, and since part 5 indicates where in parts 2 and 3 the topic of the annotation is covered, it is easy to move back and forth between them. So you may choose this alternative. See what works best for you. Remember that this is a “how-to-do-it” instruction manual. You don’t read an instruction manual just once, but alternately refer to different sections as you encounter various parts of the assembly process. For example, if you are designing a quantitative experimental study as part of your dissertation, you will probably need to refer repeatedly to part 3, chapter 8, on experiments and to the corresponding sample proposal in part 5, chapter 12. Read through the book once, then use it selectively to assemble your own proposal. If you are reading the book selectively, concentrating on those parts that seem most relevant to your situation, you may miss two discussions of impor- tance. One concerns the problem of “how much is enough for a dissertation.” While this is discussed in the context of philosophical and historical studies, it can be a problem in almost any type of study, so include pp. 139-41 in your reading. Include as well pp. 115-16 that refer to the problem of doing the pro-
- 21. PREFACE XV posal afterthe dissertation is started, which you may consider doing. Also don’t forget to consult part 6 if you anticipate needing additional resources to support your work. AN ASSEMBLY MANUAL WITH A DIFFERENCE We have referred to this book as an assembly manual. But where our usual con- ception of a manual is something that guides you mechanically through a se- ries of steps, this manual is much more than that. We want you to understand the “why” of what is called for, how your proposal can advance your relations with your faculty mentors, how each part of the proposal fits into and con- tributes to a larger whole, and the logic that constitutes the larger whole that will be represented in your proposal. If you understand the “whys” and bear in mind the logic of the larger picture, then as you formulate the steps in your pro- posal you will be able to creatively translate what is suggested here into what you propose to do. So, yes, this is an assembly manual, but one with a difference. WHAT DO WE ASSUME YOU BRING TO READING THE BOOK? An assembly manual, whether for assembling a child’s swing set, a new com- puter system, or a dissertation proposal, must assume that the user has all the needed materials, tools, and skills at hand to do the work. In writing this book, we too have had to make certain assumptions about what background you bring to it. Specifically, we assume: 1. You already have a dissertation topic or know enough about a possible topic that you can sort among the various dissertation proposal formats to find the one or those few that are relevant to your study. In order to develop an effective proposal, you must tailor it to the specific details of a particular problem. 2. You have had enough research background and are willing to look up the appropriate references when you come across a research aspect you don’t un- derstand, so that we don’t have to make this both a research text as well as a “how-to” manual. We make the first assumption because we start the book at that point in the dissertation process where you either are close to having a topic or already have one. For this reason, we did not include a chapter on finding a dissertation topic. If you are still looking for one, reading chapter 5, “Finding a Problem,” in Krathwohl (1998/2004) or a similar chapter in a research methods book may help you. Why the second assumption? Because in order to include all the back- ground provided in a research methods text would have produced a book re- quiring you to reinforce your bookshelf. When providing advice regarding a
- 22. XVi PREFACE part ofthe proposal, we try to supply enough detail for you to know what to write about and how to describe it without going into the detail you would ex- pect to find in a research text. A good example of the boundaries of this book’s coverage is the matter of ruling out alternative explanations. If you are explaining a phenomenon, you don’t want your explanation to be rivaled by a plausible alternative. We have supplied one or two examples so that you are clear about what we mean by al- ternative explanations. But there are many, many others we don’t mention. If you don’t know the ones to protect against in your study, you need to find out about them by reviewing a research methods text, studying prior research, or consulting a fellow researcher. Another boundary example: As a proposal assembly manual, this book will demonstrate how the results of your literature review should be used in the proposal to strengthen your research argument, but it will not provide in- struction on how to conduct literature searches. Further, the book emphasizes the importance of clear, direct, well-written English in producing a convincing proposal, but does not offer instruction in how to write well. The goal of this book, therefore, is to help you with the specific task of assembling an effective dissertation proposal, and so it assumes you either have certain required re- lated knowledge and skills or will seek out and acquire them. WHAT IS DISTINCTIVE ABOUT THIS BOOK? Here are some of the distinctive aspects of this book: 1. The definition ofa proposal and the variety ofits functions. We all have some idea of what a proposal is, but chapters 1 and 2 challenge you to consider it more broadly. The definition presented in chapter 1 is curious and thought pro- voking, deals with both attitude and content, and has implications for how the proposal is written. The different functions a proposal can serve described in chapter 2 also affect how it is written, as well as how it is judged by various audiences. 2. How the chain ofreasoning organizes and integrates the proposal. One of the most important functions of the proposal is to present a rationale for the study. Chapter 3 shows how the presentation of that rationale (as well as how you later present the findings of your study) is analogous to a particular pattern of metal chain, its properties and characteristics. Keeping the chain analogy in mind helps you develop a strong and integrated proposal. 3. How to write the various parts ofthe proposal is described in detail. Chapters 4 and 5 describe in considerable detail what is to be included in the core sections of the proposal. Chapter 4 describes how you present what you hope to study and shows how it builds on past research. Chapter 5 indicates how you de- scribe what you will operationally do in pursuing the problem. Chapter 6 pro- vides the various assurances that your chair, committee, and institution need in
- 23. PREFACE xvii order tofeel confident that you have appropriate background knowledge, ade- quate understanding of your procedure, every intent to observe ethical cau- tions, and adequate time and fiscal resources. Chapter 10 gives tips and invites consideration of other aspects of the process not covered elsewhere. 4. How to adapt the typical proposal format to a wide variety of types ofstudies. Chapters 7 through 9 discuss how the proposal differs depending on the types of studies that can be pursued for the doctorate. Chapter 7 does this for qualita- tive studies such as case studies, philosophical and conceptual studies, and his- torical investigations. Chapter 8 does the same for quantitative investigations such as experimental, causal modeling, and meta-analysis studies. Chapter 9 likewise covers studies that combine both qualitative and quantitative ap- proaches such as sample survey studies, evaluation studies, development proj- ects, and demonstration and action projects. 5. The inclusion ofannotated sample proposals. Because so much can be learned from examples, this book includes not just one, but three annotated proposals, each different with respect to method and topic. 6. Worksheets for working through the proposal development process. The work- sheets provided with each chapter help you put the material just presented into actual practice. Collectively, they guide you through the development process and provide you with criteria for checking your progress. In this book, we have provided a variety of paths and tools to help you in putting together a convincing and effective dissertation proposal. Become fa- miliar with the entire volume, so you can refer to the separate chapters as needed in assembling your proposal. Remember that complicated products often require refitting and reassem- bly until the parts fit just as you want them. Developing a dissertation proposal is a complicated and difficult task, but with persistence, you can produce a pro- posal to be proud of. Good luck!
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- 25. PART ONE Concepts Fundamentalto Proposal Writing Before preparing your proposal, you should become familiar with the informa- tion in this part; it provides concepts fundamental to all proposals. It may also broaden your conception of what proposals are and the variety of problems they encompass. This part consists of three chapters: Chapter 1 defines a dissertation proposal in terms you may not have considered. Chapter 2 describes the functions that are served by proposals and how these functions may vary depending on the kind of problem posed. A funda- mental function served by all proposals is the presentation of an argument to justify conducting the study. Chapter 3 describes how presenting that argument is like a chain of reason- ing and explores some of the consequences of that analogy for writing the proposal.
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- 27. Cre AD Relers Re1 What Is a Proposal? CHAPTER CONTENTS Definition of a Proposal 3 Typical Dissertation Proposal Sections 6 Overview of the Dissertation Proposal Process 6 Preparing Yourself 6 Preparing the Proposal 7 Worksheet 1.1: Self-Assessment 10 Worksheet 1.2: Environmental Assessment 13 DEFINITION OF A PROPOSAL What is a proposal? “That’s obvious,” you say, “let’s get on with it!” We would agree with you, except that it always pays to have a precise idea of where one is going; it makes it so much easier to get there! So here are some things to consider: e What you will be proposing as your dissertation research has never been done exactly as you propose to do it. So you, your doctoral chairperson, and your committee! are sharing some risk if it is approved. Shared decision making is a much more appropriate frame of mind when pro- fessional reputations, energy, time, and resources are ventured by both sides. e Sharing the decision making takes maximum advantage of your chair- person’s and committee’s ability to test the worth of the ideas you pro- 1. Institutions vary; some require a committee that works with a chairperson to guide the student’s work, some require only a chairperson, or advisor, and use readers to review the final product. All, how- ever, require someone who serves as a mentor. Throughout this book we will refer to the mentor as chairperson, and those who work with her as the committee. Note also that because of the lack of a neu- tral pronoun, masculine and feminine forms will be used randomly throughout the book to avoid the awkward “he/she” and “his/her” forms of expression. 3
- 28. 4 CONCEPTS FUNDAMENTALTO PROPOSAL WRITING pose. Students who approach the presentation of their ideas more as a hurdle requiring a strong sales pitch than as a chance to try them out lose this advantage. A sales job may not stand up on sober reflection, but a carefully formu- lated problem is more likely to. Indeed, if you later need to make sub- stantial changes or get help or additional resources, a solidly based document is more likely to result in the chairperson’s and committee’s se- rious commitment to the project—a stance conducive to getting the help you need. Further, proposal development is part of the process of build- ing your relationship with your chairperson in particular and your com- mittee in general. You want those relations to be solid! If, even though you have presented your ideas adequately, your chair- person (and/or your committee) turns the proposal down for substan- tive reasons, she may have done you a favor (although it may take a bit of time to realize it). You may have been saved from venturing a substantial amount of your time and energy in a useless quest. Shared decision mak- ing may save you a misstep. As noted below, you will have chosen your dissertation chairperson and committee members for their experience and special qualifications for making the judgments needed to guide and improve the quality of your work. Since they also function as gatekeepers to the profession, some students may view them with apprehension. In reality, faculty want good ideas to succeed. Indeed, having accepted membership on your committee, they want you to succeed. In addition to their interest in you as a person, your success reflects favorably on them! Keeping their concern for you in mind results in a more positive attitude; let that attitude show through in your writing! All of the above assumes that in the proposal you presented your case in such a way that the chairperson and committee could fully encounter it and could make what you consider a fair judgment based on their perceptions of the ideas and actions that you intend. Someone once said, “Books exist in the minds of readers. It really doesn’t matter what the author intended at all.” Of course it matters! It matters a great deal to you. You want what “exists in the minds of readers” to be what you meant. It is because the reviewer’s image of both the proposal and the proposer is so often not what was intended—the case for the study was not made as well as it could have been—that books like this have value. Adequate and appropriate presentation of an idea is a skill that can be learned. This book’s intent is to help you learn it. So we have begun defining a proposal by explaining some considerations underlying it. To help you with the material that follows, however, we need a more explicit definition, one that is compatible with the considerations with which we began yet amplifies and specifies what is to be done. So, what is a proposal?
- 29. in WHAT ISA PROPOSAL? 5 ‘Detina. —— Basically, adissertation proposal describes a plan of work to learn something of real or potential significance about an area of interest. It is a logical presentation. Its opening problem statement draws the reader into the plan: showing its significance, describing how it builds upon previous work (both substantively and methodologically), and out- lining the investigation. The overall plan of action flows from the problem statement: specific steps are described in the methods section, their sequence is illuminated graph- ically in the work plan (and, if one is included, by the time schedule), and their feasibil- ity is shown by the availability of resources. The enthusiasm of the proposal carries the reader along; the reader is impressed with the proposal’s perspective on the problem, is reassured by the technical and scholarly competence shown, and is provided with a model of the clarity of thought and writing that can be expected in the final write-up. The reader comes away feeling that the opportunity to support this research should not be missed. Perhaps you are thinking, “That is a great definition, but hardly compatible with all the talk about not being a sales pitch!” Not true. First, it simply recog- nizes that if you are not enthusiastic about your ideas, you cannot expect others to be. Material can be written interestingly and still presented with integrity. Your writing doesn’t have to be boring to be good. Second, the definition points out that the proposal is an integrated chain of reasoning that makes strong logical connections between your problem state- ment and the coherent plan of action you are proposing to undertake. This point is discussed further in chapter 3. Third, as this modified definition makes clear, it is not only your idea and action plan that are subject to consideration, but also your capability to suc- cessfully carry them through. Alright now, let’s pull it together and add a few realities. Once more, “What is a proposal?” Your dissertation proposal is an opportunity for you to present your idea and proposed actions for consideration in a shared decision-making situation. You, with all the in- tegrity at your command, are helping your chairperson and/or doctoral committee to see how you view the situation, how the work you propose fills a need, how it builds on what has been done before, how it will proceed, how pitfalls will be avoided, why pit- falls not avoided are not a serious threat, what the consequences of your efforts are likely to be, and what significance they are likely to have. It is a carefully prepared, enthusiastic, interestingly written, skillful presentation. Your presentation displays your ability to assemble the foregoing materials into an internally consistent chain of reasoning. Is that what you thought a proposal was? Well, whether it was or not, now you know where we want to go. And that makes it easier to get there. Helping you get there is what this book is about.
- 30. 6 CONCEPTS FUNDAMENTALTO PROPOSAL WRITING TYPICAL DISSERTATION PROPOSAL SECTIONS The content and format of dissertation proposals vary across institutions, de- partments, and committees. Some have strict requirements or formal guide- lines, while others allow the student considerable latitude. Although we present a range of alternatives, to learn what is expected of you, you should search out your school’s officially stated requirements, review prior proposals accepted in your department, and discuss expectations with your chairperson. A conventional format of a completed dissertation consists of five chapters: Chapter 1: Problem Statement Chapter 2: Literature Review Chapter 3: Method Statement Chapter 4: Study Results Chapter 5: Interpretation and Conclusions Some departments therefore expect the dissertation proposal to consist of the first three chapters of the final dissertation, either in annotated outline form, substantially developed, or possibly even in full draft form. (The reasons for some of these requirements are discussed further in the next chapter.) Stu- dents are often allowed, or even encouraged, to develop a prospectus prior to the development of the full proposal. The prospectus provides an overview of the same topics as the Problem Statement, Literature Review, and Method Statement, but in a much abbreviated two—to ten-page presentation. A prospectus is especially useful for initiating discussions about possible disser- tation studies, recruiting dissertation committee members, and soliciting po- tential study participants. OVERVIEW OF THE DISSERTATION PROPOSAL PROCESS Producing a dissertation proposal involves not only preparing the proposal document, but also preparing yourself to do the dissertation research. Preparing Yourself Before even considering a dissertation proposal, of course, you have spent sev- eral years of graduate education preparing to do a dissertation study. You will continue to improve your knowledge and skills throughout the proposal de- velopment process, the actual dissertation study, and the rest of your profes- sional career. At this point, the key question is, “How prepared are you to begin the proposal development process?” To what extent have you already: Developed a research interest? Completing a dissertation requires a major time, resource, and ego investment; do you have a dissertation topic of sufficiently strong personal in- terest? If not, how close are you to finding one?
- 31. WHAT IS APROPOSAL? 7 Accumulated required knowledge? Do you have or do you still need to attain adequate knowledge about the phenomena and problem of interest? About how others have studied this problem? About your own motivation, inquiry skills, work style and pref- erences? Acquired Necessary Skills? Considering your possible research, do you have, or will you need to develop, sufficient skills to conduct literature searches, design studies, develop instrumentation, create interventions and treatments, collect and analyze data, commu- nicate orally and in technical writing, use computers and technology, and manage re- sources and time? Garnered Adequate Resources? Do you have, or can you obtain, the resources needed to develop the proposal, including technical assistance (including a chairperson), study resources, and sufficient time, financial, and personal support to develop the proposal? How well prepared should you be before starting to develop the proposal, as opposed to developing the needed knowledge and skills as you work on the proposal? The answer varies, and this is a good question to discuss with your chairperson, researchers working in your area of interest, and fellow students already past the proposal development stage. Part of what makes doing dissertations interesting is the occurrence of the unexpected. So you can’t prepare for every eventuality, but adequate prepara- tion makes the process easier. Therefore, we have provided Worksheet 1.1: Self- Assessment and Worksheet 1.2: Environmental Assessment to help you review your readiness to begin drafting the dissertation proposal. Think of them as as- sembly-manual lists that ensure you will have the necessary parts when you begin the assembly process. There are a variety of ways of gaining this assurance. Additional course work is often the fastest and most efficient way to make major improvements in knowledge or skills, but also consider independent study, tutoring, workshops and short-term training sessions, and consultant help. If, more than further in- struction, you need increased experience with your topic of interest and how to research it, then consider apprenticeships, volunteer positions, on-the-job training, and, of course, pilot testing some of your preliminary ideas. Nothing improves a proposal like drawing on your own personal experiences of what does and does not work. Preparing the Proposal So you are ready to start on the proposal; how do you proceed? It is true that your proposal will typically follow a logical chain of reasoning from problem to literature review to method, etc. But, depending on circumstances, the process of its preparation may start in any number of places such as reviewing the liter-
- 32. 8 CONCEPTS FUNDAMENTALTO PROPOSAL WRITING ature, investigating research methods, or working to understand the problem better through observation or pilot studies. The central task of the proposal preparation process is to transform a per- sonal interest into a researchable problem: dissertation studies are typically constructed, not discovered. They develop through a process of reading, writ- ing, review and discussion, rewriting, further discussion, additional reading, redrafting, and so on. The work of this process is thinking; the proposal docu- ment records the results of that thinking. ¢ Reading is important; read selectively and critically to gain understand- ing and insight. e Writing is important; use it as a means of clarifying and making explicit your own ideas so you can communicate them to others. e Reviews and discussions are important; use them to capture the strengths and repair the weaknesses of your and others’ thinking. You redraft and rethink, move from problem analysis to method considera- tions and back again, until an acceptable balance of study importance, technical quality, and practical feasibility is reached. Although this describes the internal process of proposal development, there are also common external milestones of progress. While this process varies, the following describes typical events in developing a dissertation proposal. 1. After relevant course work, extensive reading, and informal conversa- tions, the student either verbally tries out or drafts an initial “think piece” about a possible dissertation topic. 2. The student works with the chairperson through successive drafts to de- velop a short but adequate prospectus. 3. The prospectus is used to feel out potential committee members regard- ing their interest, the student's likely compatibility with them, and their suggestions for further revisions. 4. The student works with the chairperson and committee to further de- velop the problem and method statements. 5. The chairperson and committee give the student provisional approval for initial field and development work. 6. The student works to develop the full proposal, possibly including de- velopment of instrumentation, interventions, or treatments; initial qual- itative fieldwork; development and submission of Institutional Review Board clearances; and the design and conduct of pilot tests. 7. The student increasingly interacts with professional colleagues: peers for personal support, other researchers for procedural advice, and methodologists for assistance with instrument development, data col- lection, analysis plans, etc.
- 33. WHAT IS APROPOSAL? 9 8. With the chairperson’s prior approval, the student presents and defends the full dissertation proposal, either at a meeting of just the committee or possibly at a public oral defense. 9. After making requested revisions, obtaining all required permissions and approvals, and possibly submitting the proposal for external fund- ing, the student proceeds to implement the proposal and conduct the dissertation research. There are also subtle aspects of this process not made explicit in the above steps that require an understanding of the variety of functions the proposal serves in addition to providing one a “green light” on the road to a degree—a topic we take up in the next chapter.
- 34. © WORKSHEET 1.1 Self-Assessment Am IReadyto Begin the Dissertation Proposal? For each item in the table, rate your level of preparation, and note how you could become better prepared to begin working on the dissertation proposal. (Continued on next page)
- 35. WORKSHEET 1.1 (cont.) mi sie (Continuedon next page) 11
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- 37. WORKSHEET 21.2 Environmental Assessment WhatResources Are Available? For each item in the table, rate how sufficient the resource is, and note what steps you can take to increase needed resources before starting on the proposal. Bik Ribs ane (Continued on next page) 13
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- 39. GHeArP TD BE Ry2 The Functions of a Dissertation Proposal CHAPTER CONTENTS The Functions of the Proposal in the Dissertation Process 15 The Proposal as Justification for the Study 17 The Proposal as Work Plan 17 The Proposal as Evidence of Ability 18 The Proposal as Request forCommitment 18 The Proposal as Contract 18 The Proposal as Evaluative Criterion 19 The Proposal as Partial Dissertation Draft 20 Summary 22 How Functions Differ with Different Kinds of Inquiry 22 Prespecified vs. Emergent Studies 23 General vs. Local Findings 24 Worksheet 2.1: Proposal Function Review 30 In this chapter, we review the various functions a proposal can serve in the dis- sertation process, and how those functions may differ depending on the type of inquiry being proposed. Student examples illustrate some of these differences. THE FUNCTIONS OF THE PROPOSAL IN THE DISSERTATION PROCESS Anna! was proud of her new dissertation proposal. It had been completed just two weeks after she had started her doctoral program; in fact, approval by a faculty commit- tee was required before she could officially begin her doctoral studies. Having learned about the kind of research her mentors conducted, she had indicated her desire to do similar research, and, after discussing possible projects, had agreed to the work de- scribed in her new dissertation proposal. The eight-page statement, which had been 1. Because the student examples provided throughout the book are based on actual cases, names and personal details have been changed to preserve confidentiality. 15
- 40. 16 CONCEPTS FUNDAMENTALTO PROPOSAL WRITING drafted by two faculty members who were to serve as her mentors and supervisors, in- cluded a description of the background of the problem, research questions, and a gen- eral scope of proposed work. Anna’s name did not appear in the document because it would be submitted for funding by her mentors. On receiving the grant, they would employ her for the next four years to study, design, implement, evaluate, and produce research related to alternative coaching procedures for teacher professional develop- ment in four international settings. In contrast, after more than two years of doctoral courses, Laura was still uncertain about her dissertation topic. Her interests were varied, and she had approached several faculty members about the possibility of their working with her. Because she was an outstanding student, most faculty members expressed interest and support, but asked for greater clarity about the nature of her possible research. After choosing an advisor who had agreed to help her through the proposal development process, she decided to conduct extensive field interviews and collect other data in order to find a focus within her general concern, the professional development of medical personnel. As she learned more, however, her shifting interests were reflected in multiple proposal revisions and a changing cast of possible faculty mentors. Finally, after months of difficult fieldwork, Laura produced an extensive dissertation proposal that reflected considerable sophisti- cation about the topic of her research and enabled her to gain the agreement of several faculty members to assist her. Anna’s story reflects an instance in which a dissertation proposal is simply a statement of planned work out of which the student’s deeper understanding is to emerge as the problem is engaged (indeed, it is quite possible that the plan of work will change as the work unfolds). This pattern, where the faculty set the problem, is more common in the natural and physical sciences. Laura’s story reflects significant understanding of her research problem. This pattern, where the student sets the problem, is common in the social sciences and hu- manities and is the pattern to which the bulk of this book is addressed. In both cases, however, the proposal provides a set of boundaries for actually doing the dissertation work. Clearly, boundary setting is one role of the proposal, and that enters into some of the other multiple purposes the proposal may play in the dissertation process. This chapter identifies seven possible functions: ¢ Justification for the dissertation study ¢ Work plan ¢ Evidence of ability ¢ Request for commitment ¢ Contract e Evaluative criterion ¢ Partial dissertation draft
- 41. FUNCTIONS OF APROPOSAL 17 The Proposal afJustification for the Study Asound argument, a well-grounded or firmly-backed claim, is one which will stand up to criticism . . . [and] deserve[s] a favourable verdict. (Toulmin, 1958, p. 8) Researchers employ theory, method, evidence, and reasoning to produce find- ings they claim are important and relevant to the questions of interest. The rea- soning producing the findings and relating them to the problem constitutes an argument that is the heart of the dissertation proposal. This argument justifies conducting the study and supports the meaning and utility of the results found. The primary function of the dissertation proposal, then, is to provide this justification for the inquiry. Therefore, in doing the study, the student develops the following points into a reasoned argument: 1. Why it is worth studying what will be studied. 2. Whatis already known, how that relates to the proposed study, and how it coalesces into an argument for: a. an extrapolation of past knowledge to predict the outcome of the study, b. or, if not a prediction, some anticipation of possible outcomes, c. or knowledge of where to look for results, d. or knowledge of what area to study in order to likely attain payoff. (If much is known about what is to be researched, a, above, is possible. With less prior knowledge, one falls back to b, with still less to c, and finally to d.) 3. How the study will proceed: what method will be used; data gathered; and situations, circumstances, and persons involved. 4. How those data represent future situations, circumstances, and/or per- sons in sucha way as to relate usefully and meaningfully to the problem, question, or area of investigation proposed. As might be expected, these points relate to the proposal as well as to the dissertation study itself. The first three points are covered in the proposal, the fourth in the dissertation report. As discussed in the next chapter, designing the proposal as a chain of reasoning is an effective way of providing a strong justification for the dissertation study. The Proposal as Work Plan This is the most common function a proposal serves. It sets forth what work will be done, why, and with what anticipated result. Most proposals include a scope of work, alist of activities, and possibly a time line and budget. These in-
- 42. 18 CONCEPTS FUNDAMENTALTO PROPOSAL WRITING dicate how the student plans to proceed. The work plan allows faculty to judge the investigation’s importance, feasibility, efficiency, and likely success. The material in the following sections of this book will assist you in developing a strong work plan. The Proposal as Evidence of Ability A dissertation proposal may also serve as evidence of ability—the student's knowledge of the topic, understanding of the relevant literature, grasp of ap- propriate inquiry procedures and methods, analytic and design skills, and, cer- tainly, organizational and writing skills are all reflected in the proposal. A student who produces a strong proposal in these respects can have greater con- fidence that she is indeed prepared to undertake the proposed inquiry. And the faculty, by assessing the proposal’s clarity, organization, attention to detail, originality, and level of sophistication, can judge the student’s current state of readiness and her need for additional preparation, support, or supervision. Both Anna’s and Laura’s dissertation proposals served as work plans, but only Laura’s was used as a means of providing evidence of her ability to carry out the planned research. Her proposal helped to certify to the faculty that, after months of extensive investigation and fieldwork, she was prepared to proceed with the full study. In Anna’s doctoral program, students were ex- pected to develop all needed abilities as the dissertation proceeded. When she started her dissertation, Anna did not yet have the abilities needed to write “her” proposal. The Proposal as Request for Commitment As mentioned earlier, a draft prospectus may be used to identify persons who might serve as collaborators, consultants, or participants in the inquiry. A more complete version may be used to solicit faculty participation on the dissertation committee. Either of these versions may be useful in gaining the approval of gatekeepers of sites from which one hopes to collect data. Often they like to see it in less than final form so they may suggest changes. This both makes the proj- ect more acceptable to them and gives them a sense of partial ownership of it. The latter is equally true of faculty being sought as dissertation committee members. As noted below, it also commits the faculty to helping the student meet the challenges the project will present. A full draft of the proposal may be used to seek financial or institutional support. The Proposal as Contract A proposal may come to serve as a contract as it changes from a request for commitment to an accepted agreement of work to be done. Approval of the proposal may entail faculty and institutional obligation to provide support, re- sources, and ultimately a doctoral degree if the work is completed as pro-
- 43. FUNCTIONS OF APROPOSAL 19 posed.” Because approval by the dissertation committee may constitute an in- stitutional contract to accept the basic elements of the proposal, a dissertation committee may be particularly careful to ensure that the proposed study is well designed, complies with institutional guidelines and local norms, and is feasible. Both Anna’s and Laura’s proposals served as requests for commitment and subse- quently as contracts, but in different ways. In accepting their proposals, the students were expected to conduct the work as outlined in their respective documents. Anna’s proposal contained less detail, providing her greater room for subsequent change, but less direction on how to proceed, making her more dependent on her mentors. Laura’s proposal was very procedurally specific and detailed, reflecting a direction she had cho- sen and was now committed to seeing through. In both cases, the faculty made commitments to work with the student, but Anna’s men- tors were agreeing to provide intensive training, consultation, and supervision in her conduct of a study related to their own research. Laura had used early versions of her proposal to identify and solicit faculty to work with her. Her committee was serving more at her invitation to assist in a dissertation that was to be primarily under her di- rection and initiative. Anna’s proposal included guaranteed financial support; Laura was promised only the resources of faculty time and expertise. The Proposal as Evaluative Criterion Once accepted, a dissertation proposal can become an evaluative criterion used to judge the direction and quality of the ensuing work. The more specific and detailed the proposal is, the more likely it will be used to monitor the progress of the inquiry. The student may be expected to implement the study as planned, inform the faculty of further details as she works them out, and pro- vide justification when seeking approval for any major changes to the study as proposed. The proposal may also serve as an evaluative criterion in judging the quality of the final dissertation report. Consider Laura’s and Anna’s situations: Because of the detail contained in Laura’s proposal, it was used as an evaluative crite- rion to monitor the progress and direction of her work. As her proposal continued to evolve, periodic restatements of the proposal were produced to ensure that she and her committee all shared the same understanding of the direction of her work. Although she was not forced to comply with the formally accepted proposal, she was required to document and justify any subsequent changes. Further, her proposal did include sub- stantial sections of what were expected to be the first three chapters of her final report. 2. In some institutions, once the student's dissertation committee has formally accepted the pro- posal, all subsequent reviewers, even at the final dissertation hearing, must accept the basic design deci- sions contained in the accepted proposal.
- 44. 20 CONCEPTS FUNDAMENTALTO PROPOSAL WRITING Anna’s proposal contained only an outline of work to be conducted over a four-year pe- riod, and so was not a strong criterion for judging either the progress or the final report of her dissertation. Because she had not written the proposal, it also provided no prior information on the nature or quality of her final report. Other examples: Jerry’s dissertation committee criticized his final report as not living up to the high quality of work that he had shown in his proposal. They felt he had not taken his study seriously enough and that, in an attempt to finish quickly, he had not done his best work. (Note: Dissertation standards may be adjusted to what can be expected of each individual.) Reviewers at her final dissertation defense criticized Lilly for implementing a study de- sign with serious flaws. Since she had identified many of these flaws herself when she reviewed prior research in her proposal, it was charged that she had already given evi- dence that she knew better. Franklin, an international student, had returned home to collect data after his proposal had been approved. He made several major changes to his study design without prior faculty approval. He provided a strong, convincing argument at his defense, however, that the approved proposal design had turned out to be infeasible in his home setting. His study changes gave evidence of his mastery of inquiry design principles and were applauded by his dissertation committee. A committee member, anticipating using the proposal to monitor and eval- uate the implementation of the dissertation study, may request greater proce- dural detail. A similarly concerned committee member may suggest that the student write the proposal to show sensitivity to possible changing conditions, flexibility to meet them, and, perhaps, how likely deviations from plans will be handled. A student, knowing how others may use the proposal as a criterion to judge her work, uses the opportunity to suggest the basis on which she wants to be judged and to describe the amount of flexibility from plans she anticipates needing. The Proposal as Partial Dissertation Draft Each student must adjust the final dissertation format to fit his study. As out- lined in chapter 1, however, the conventional pattern employs five chapters: ¢ The first chapter covers what will be studied and why it is worth study- ing. It may also foreshadow what is to come in the remainder of the document. e The second chapter reviews how far previous researchers have taken the
- 45. FUNCTIONS OF APROPOSAL 21 area and how the study relates to and builds on what they have done, both substantively and methodologically. e The third chapter describes the study method and design. ¢ The fourth chapter describes what was found and presents the data processed so their meaning can be assessed. ¢ The fifth chapter interprets what was found in terms of the original study aims. In some cases, dissertation advisors ask for a proposal that amounts to a partial dissertation draft—the first three chapters: statement of problem, re- view of the literature, and description of method.’ Presumably, if there are sub- sequently no significant changes in the study’s process or design, these three early chapter drafts can be used in the final dissertation report with only minor modifications. For the faculty, a full three-chapter proposal provides the strongest basis for several of the functions of a proposal discussed above (for example, evi- dence of ability, contractual obligation, and subsequent evaluative criterion). For the student, substantial initial work is required without formal assurance that the study being planned will be acceptable, but once such a proposal is ap- proved, the student is well on his way to completing the entire study. More often, however, proposals provide a sketchier coverage of the study than the development of chapters implies. This better fits the level of knowl- edge of the student at the time the proposal is written, as well as allowing for the almost inevitable adjustments required later to fit newly revealed realities. This is less true, however, if the preparation of the proposal is preceded by a pilot study. For empirical studies, a pilot test enables the researcher to cycle through the entire study on a small scale so that an improved argument, in- quiry process, and set of questions can be developed for the dissertation pro- posal. Let’s look at Dana’s pilot test study as an example of this sequence. In simplified terms, Dana suspected that undergraduates would do better in philoso- phy classes if they produced study outlines of the various philosophers’ positions they were studying. She developed an argument based on research and theory in cognitive processing, instructional design, and the structural nature of philosophy, which sup- ported her claim that having the student construct outlines would improve both under- standing and recall of philosophical positions. She then designed a study to test her claims. She had an instructor teach students in a philosophy course how to construct study outlines, and, in a comparable course, the 3. Some advisors prefer a four-chapter dissertation format in which the problem statement and lit- erature review are combined in the first chapter. In such cases, the proposal covers only the first two dis- sertation chapters, thus covering the same items.
- 46. 22 CONCEPTS FUNDAMENTALTO PROPOSAL WRITING same instructor had the students study as they usually did. Dana then ran apilot test of her study and compared results from the students’ course examinations in the two classes. She found no difference between the two groups. At this point, Dana reexamined why she may have obtained the results she did. Was her argument flawed? (Perhaps outlining really didn’t improve performance.) Was the study process she had used a poor way to test her claims? (Perhaps students in both groups already used outlining, or perhaps the course examinations were not a good measure of the kind of increased understanding that outlining provides.) Did the in- structor attend more carefully to the class taught outlining? . Dana then went back to the research and theory on the topic, and clarified and strength- ened her argument about what outlining should do and why. She developed more care- ful procedures to rule out the alternative explanations she was encountering (such as more clearly defining the difference in treatments) and developed better measures of the impact of outlining. Because of her pilot test experience, Dana’s subsequent data collection and defense of her claims were based on a much more sophisticated argu- ment and collection of evidence. When Harry was asked at his final dissertation defense what was the one most important thing he had learned from his work, he responded in jest, “How to do this study right!” Seriously, however, that is probably one of the most important lessons you will learn from your dissertation study; pilot test- ing can help you learn it sooner and can dramatically increase the quality of your proposal and final study. Summary A dissertation proposal may serve several functions, then: as justification for the study, as work plan, as evidence of ability to conduct inquiry, as a request for commitment, as the basis for contractual agreements, as an evaluative crite- rion for judging the progress and final product, and even as a report of the por- tion of the dissertation work already completed. Anna’s and Laura’s proposals illustrate two different ways in which a proposal may serve some of these func- tions; there are, of course, countless other variations. All proposals share in common the first of these functions—they provide an argument that the pro- posed inquiry addresses a problem worth investigating, in a feasible way, and it is likely to produce meaningful and useful information. Proposals provide a justification for pursuing the proposed inquiry. HOW FUNCTIONS DIFFER WITH DIFFERENT KINDS OF INQUIRY An ever widening array of dissertation options reflects, in part, both the diver- sification of methods in the social sciences over the past half-century and the in- creased application of social science procedures to the solution of social
- 47. FUNCTIONS OF APROPOSAL 8} problems. As the range of acceptable dissertation inquiry has grown, some functions of the proposal are less important for certain kinds of studies, while other functions are more emphasized. We examine this variability in terms of (1) the extent to which the study can be planned in advance (prespecified vs. emergent studies), and (2) the extent to which study findings are intended to have general or more local application (general vs. local findings). Prespecified vs. Emergent Studies Some studies are painstakingly planned in advance; others are tailored as the inquiry progresses. In prespecified studies, the questions of interest, arguments supporting the inquiry, and specific procedures of the inquiry are worked out at the beginning of the investigation. Once the design is established, the researcher implements the study, adhering to the original plan as closely as possible. Much of the tra- ditional empirical research in the social sciences is of this kind. Emergent) studies have a long tradition in the humanities and in some branc the social sciences. In emergent studies, the questions of interest, supporting arguments, and procedural details are worked out as the study pro- ceeds. Such studies are most frequently employed to investigate natural varia- tion, to study phenomena afresh and/or in all their normal complexity, or to explore phenomena to see what can be learned. Emergent designs may also be used because researchers lack prior knowledge of the phenomenon, method- ological tools are inappropriate or lacking, or situational control is inadequate to conduct a prespecified study. Studies need not be one or the other but may blend the two strategies, in- tentionally or inadvertently. A prespecified study may become more emergent as field controls break down, new information suggests that initial assump- tions were incorrect, or unstable conditions demand greater researcher flexibil- ity. Ronnie implemented an experimental study of the impact of a film-editing course on students’ spatial visualization abilities. When the pretest measures showed that the control group was already scoring higher than the treatment group, instead of both groups starting out equally, Ronnie responded by mak- ing his design more investigative. He included additional data collection points and qualitative impact measures. Other studies intentionally start as emergent and exploratory and then be- come increasingly prespecified as background investigations and pilot testing clarify which specific questions are most meaningful, important, and feasible to study. Laura’s study of the professional development of medical personnel followed this latter approach. After months of emergent fieldwork and study of prior research, she accumulated sufficient understanding of the important is- sues and methodological constraints to develop a focused, prespecified design. The nature of the phenomenon being examined also influences whether a more prespecified or more emergent strategy is the best choice. Suppose you
- 48. 24 CONCEPTS FUNDAMENTALTO PROPOSAL WRITING were interested in knowing more about how different personality types re- spond to chronic stress. You might choose as your dissertation to conduct a meta-analysis (combining results of comparable studies into a single index) of the considerable empirical literature that relates elevated blood pressure to such personality characteristics as level of affect expression and defensiveness. A prespecified design that summarized the extent of the available literature, specified the criteria for selecting studies for review, and stated the analytic procedures to be used would provide a strong proposal and an efficient work plan. Instead, you might choose to study the psychological and physical effects of prolonged unemployment. In this case, a more emergent design of following selected individuals through extended periods of unemployment might be more revealing. The kinds of data collected would depend, in part, on what the individuals in the study were experiencing. Note that the prespecified vs. emergent distinction is not synonymous with the common division of qualitative (e.g., interpretivist, naturalistic, ethno- graphic) vs. quantitative (e.g., behaviorist, postpositivist, experimental, statis- tical) approaches. Some ethnographic and systematic qualitative studies employ relatively prespecified designs, while some single-subject and inves- tigative quantitative studies use relatively more emergent designs. Although qualitative studies most frequently employ emergent designs and quantitative studies most commonly use prespecified designs, there are numerous exam- ples of the converse. Functions ofthe Proposal in Prespecified and Emergent Studies Proposals function differently between prespecified and emergent studies. Because of greater detail on specific tasks, time lines, and budgets, prespecified proposals are better suited to provide an argument for the anticipated results and to serve as a work plan, as a basis for contractual commitments, and as an evaluative criterion. Proposals for emergent studies allow greater respon- siveness to changes in the study context and incremental understanding of the phenomenon of interest. Both types of proposals serve the functions of providing evidence of the student's ability and of soliciting commitment. Differences across prespecified and emergent studies are summarized in Table 2.1 on the next page. General vs. Local Findings Some studies emphasize production of findings that generalize beyond the in- stance and circumstances in which the study was done—generalizable find- ings. Other studies emphasize the solution of problems in a particular setting—local findings. Let us examine the nature of such studies and implica- tions for functions of the proposal, beginning with those seeking generalizable findings.
- 49. FUNCTIONS OF APROPOSAL B5 TABLE 25 A Summary of How the Functions of a Proposal Are the Same and Different for Prespecified and Emergent Studies Proposal Function Provides an argument for conducting the study. Describes a work plan. Provides evidence of student's ability. Serves as a request for commitment. Serves as a contract. Serves as an evaluative criterion. Provides partial dissertation draft. Prespecified Studies Emergent Studies Yes, fully elaborated argument is expected. Yes, usually with detailed timeline, and resource analysis. Yes, but argument also emerges as study is completed. Includes as much as is feasible at time of approval (with pilot study, it may be fairly complete). Yes, but includes only general purpose, approach, boundaries, rules for proceeding, possible outcomes, and maximum resource expenditure. Yes, quality work must be demonstrated. Yes, quality work must be demonstrated. Yes, and may also request field entry, data-site approvals, or financial aid. Yes, extensive detail provides Possibly, if extensive detail provided initially and few subsequent changes made. strong basis for monitoring work. Yes, for both process and product. Yes, and may also request field entry, data-site approvals, or financial aid. No, or only weakly, since only general boundaries and parameters are specified. No, or only weakly, since few design details are specified. No, initial statement is insufficient and subject to considerable change.
- 50. ie 26 CONCEPTS FUNDAMENTALTO PROPOSAL WRITING Studies Emphasizing Generalizable Findings _ —~ “Empirical Studies Keeatepiual tudies Sample Suey Philosophical Experimental Historical Case Study Methodological What is considered acceptable dissertation inquiry differs by discipline, in- stitution, department, and dissertation committee. In many doctoral programs that prepare researchers to work in academic settings, the dissertation is to be a form of research, resulting in generalizable findings. These are findings that apply to (and therefore could be replicated with) other persons, situations or contexts, treatments, observations or measures, study methods or designs, and times. Further, in the social sciences it is often expected that most dissertations will be empirical, that is, gathering data from or about persons. They typically employ such methods as sample survey designs; experimental /quasi-experimental de- signs; longitudinal designs; case study/single-subject designs; qualitative designs; meta-analytic/secondary data analysis designs; and so on. An example of an empirical study seeking generalizable knowledge was described earlier—Dana’s investigation of whether the use of study outlines helps students understand philosophy. In contrast, some forms of dissertation research employ conceptual methods to investigate philosophical, historical, methodological, or theoretical topics, but are still concerned with producing generalizable findings. In these doctoral programs, dissertations are judged according to the established canons of so- cial science or the humanities relevant to each particular domain. Although topics for dissertations of this type are often more abstract and narrowly fo- cused on issues of academic importance, the proposal must still show the student’s familiarity with prior research and research method. David had a full fellowship for the last year of his dissertation, and he spent almost the entire year reading, studying, and writing. He seldom left his apartment except to shop, exercise, and socialize with a few close friends. He met with his dissertation advisor whenever possible. David’s dissertation task was to clarify the forms of reasoning that could be used in making evaluative judgments about social and educational programs. In his proposal, he had to convince colleagues in a narrow professional area that his problem had substantial intellectual merit and that he was capable of making a signifi- cant contribution to the problem’s solution. Although he was seeking generalizable knowledge, few individuals outside this narrow area could judge the importance of the problem or its likely solution (certainly no one in David's family could understand why he chose to spend so much time studying such an arcane issue).
- 51. FUNCTIONS OF APROPOSAL D7 Consider, for the moment, how the faculty viewed these respective proposals of con- ceptual and empirical research designed to produce generalizable results. Since David was doing conceptual analysis, his proposal had no plan for empirical data collection and only a very modest method statement. His proposal was accepted late in the disser- tation process. It consisted primarily of his progress to date, offered as evidence of his ability to work on the problem. Neither David nor the faculty knew how long the study might take or whether an acceptable solution would be found. (By the way, David pub- lished a major portion of his research within one year after defending his dissertation!) Similar to David’s work, only a few of Dana’s fellow researchers were capable of assess- ing her arguments based on prior research in cognitive psychology and instructional design. Her ability to conduct her proposed research had already been established, however, through collaborative studies she had done with faculty and her pilot study experience. In reviewing her proposal, her committee members were most concerned with the strength of her study design, the quality of the measurement instruments, and the logistics of actually collecting the data in the field. Functions ofthe Proposal in Studies Emphasizing Generalizable Findings Generalizable findings may be located by both prespecified and emergent studies. The nature of the generalities found by the strategies may differ, how- ever, with those from the prespecified tending to be abstract and more inde- pendent of context whereas emergent study findings oftenare heavily context dependent. Indeed, in emergent studies, the extent of generality is often left to the interpretation of the reader, with descriptions rather than conclusions re- sulting from the study. The functions played by the proposal are largely determined by whether it more closely resembles prespecified or emergent. Prespecified empirical stud- ies are usually expected to result in generalizable findings. Experiments and sample surveys have been common approaches, with proposals expected to be fully developed statements serving all the functions described above. In emer- gent studies, the function of the proposal as argument, work plan, contract, and evaluative criterion is weak or nonexistent. Therefore, the functions of giving evidence of ability and requesting commitment on the part of faculty become more critical. Studies Emphasizing Local Findings—Application Studies Development Studies Problem-Solving Studies Measuring Instruments Cost Analysis Curriculum Evaluation Software Diffusion
- 52. 28 CONCEPTS FUNDAMENTALTO PROPOSAL WRITING Many doctoral programs prepare practitioners who are more concerned with the application of knowledge in specific contexts. In these programs, the dissertation is often a process of development resulting in a needed product with demonstrated effectiveness, such as a measurement instrument, a piece of equipment, a curriculum, computer software, a policy, or a program or inter- vention. Such studies tend to be prespecified so that all the functions of the pro- posal are important. Some application dissertations are explicitly problem solving in nature—for example, action-oriented studies, evaluations, need assessments, diffusion studies, and cost analysis studies. Application dissertations may be as broad as the development and testing of anew K-12 mathematics curriculum or as nar- row as the evaluation of a local substance abuse program. Application disserta- tion proposals are expected to emphasize social relevance and utility and the use of existing knowledge to address a practical problem. They must show fa- miliarity with the practical issues involved and give evidence of the student’s interpersonal and managerial skills that are often as important as technical and analytic skills in doing such studies. Functions ofthe Proposal in Application Studies Proposals for application studies are likely to emphasize the functions of re- quest for commitment, giving evidence of ability, and describing the evaluative criteria against which the problem solution should be judged. Philip worked in the human resource development area of a large utility company. His dissertation involved the development and testing of a training intervention designed to encourage employees to take greater responsibility for their own professional devel- opment. There was little question of Philip’s ability to do the study he proposed, since he had been a corporate trainer for many years and planned to conduct the study ina setting he knew well—the corporation where he currently worked. Further, his study was based on a major theory of adult learning of which his dissertation chairperson was a nationally known proponent. Much of the dissertation committee’s discussion of Philip’s proposal concerned the lo- gistical problems of implementing a complex quasi-experimental design in a practical setting. Because Philip planned to conduct his training intervention with corporate em- ployees taking classes offered by alocal college, he had to obtain permissions and pro- tection of human subject clearances from his corporation, the local college, as well as his own university. Initial approvals had to be renegotiated when the corporation became concerned about potential employee union objections and possible conflict-of-interest charges arising from the use of corporate resources to conduct personal (dissertation) research. Dealing with such problems took as much of Philip’s time as clarifying his ar- guments that his intervention would indeed ameliorate the existing staff development problem. Clearly, the functions of request for commitment and evidence of relevant abilities were important for Philip’s proposal.
- 53. FUNCTIONS OF APROPOSAL 29 Dissertations may be a blend. For example, constructing a measurement in- strument or developing an instructional CD-ROM may be each a dissertation in itself or may be parts of a test of an instructional learning theory. Anna’s dis- sertation proposal involved her in a sequence of tasks, including development of instructional materials, evaluation of a training intervention, research on cultural differences, etc. The prospect of combining the dissertation study with ongoing job respon- sibilities has appeal, but two half-time jobs often add up to more than one full- time job—pleasing two (or more) masters simultaneously. The dissertation committee may encourage the student in one direction, the job setting in a dif- ferent one, usually at a faster pace. Janeen left the university for a well-paying job at a research corporation that was doing a study very similar to her approved proposal. She continued with only minor changes, but the intellectual ownership of her results had to be renegotiated since the corporation legally owned the work. You can see why faculty members pay particular attention to matters of field relationships, time lines, and control of the study when reviewing propos- als for application dissertations. <a Think about which of the various functions your dissertation proposal will be expected to serve. Worksheet 2.1: Proposal Function Review is provided to help you. Also think about the kind of study you might propose (prespecified vs. emergent) and the kind of findings you hope to produce (general vs. local), and then fill in those sections of the worksheet relevant to your plans. Be sure to re- view prior accepted proposals similar to the studies you are considering and to discuss expectations about the proposal with your chairperson and committee members. Since the primary function of every dissertation proposal is to justify the proposed study, we next consider in chapter 3 how viewing the proposal as a chain of reasoning facilitates that task, especially for those studies emphasizing generalizable findings.
- 54. 30 CONCEPTS FUNDAMENTALTO PROPOSAL WRITING WORKSHEET 2.1 Proposal Function Review What Are Expectations for My Proposal? For the type(s) of study you expect to propose for your dissertation, describe the extent to which your proposal will be expected to serve each of the functions identified. It may be helpful to consult faculty advisors, more senior dissertation students, and prior local disser- tation proposals. To What Extent Will My Proposal Need To... ? Provide an argument for justifying my study? Include a work plan? Provide evidence of my ability to do the study? Serve as a request for commitment to work with me? Serve as a contract for how my study is to be conducted? Be used later to judge the quality of my dissertation work? Serve as a partial draft of my final dissertation report?
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- 56. principle of thatact; a principle which, unquestionably, he and his friends would never have acted upon; but which others have since acted upon, with a violence which has brought us to the brink of ruin. [4] In p. 19. he calls liberty “a freedom from all restraints except such as established law imposes for the good of the community.” But this addition can make no difference of any consequence, as long as it is not specified where the power is lodged of judging what laws are for the good of the community. In countries where the laws are the edicts of absolute princes, the end professed is always the good of the Community. [5] “The laws against Papists have been extremely severe. New dangers may arise; and if at any time another denomination of men should be equally dangerous to our civil interests, it would be justifiable to lay them under similar restraints.” Page 17.—In another part of this sermon the great men in opposition (some of the first in the kingdom in respect of rank, ability, and virtue) are described as a body of men void of principle, who, without regarding the relation in which they stand to the community, have entered into a league for advancing their private interest, and “who are held together by the same bond that keeps together the lowest and wickedest combinations.”—Was there ever such a censure delivered from a pulpit? What wonder is it that the Dissenters should come in for a share in his Grace’s abuse?—Their political principles, he says, are growing dangerous.—On what does he ground this insinuation? He is mistaken if he imagines that they are all such delinquents as the author of the following tracts, or that they think universally as he does of the war with America. On this subject they are, like other bodies of men in the kingdom, of different opinions.—But I will tell him in what they agree.—They agree in detesting the doctrines of passive obedience and non-resistance. They are all Whigs, enemies to arbitrary power, and firmly attached to those principles of civil and religious liberty which produced the glorious Revolution and the Hanoverian succession.—Such principles are the nation’s best defence; and Protestant Dissenters have hitherto reckoned it their glory to be distinguished by zeal for them, and an adherence to them. Once these principles were approved by men in power. No good can be expected, if they are now reckoned dangerous. [6] That is, the missionaries of the society in America.—The charter of the society declares the end of its incorporation to be
- 57. “propagating the gospelin foreign parts, and making provision for the worship of God in those plantations which wanted the administration of God’s word and sacraments, and were abandoned to atheism and infidelity.” The chief business, on the contrary, of the society has been to provide for the support of episcopalianism in the northern colonies, and particularly New- England, where the sacraments are more regularly administered, and the people less abandoned to infidelity, than perhaps in any country under heaven. The missionaries employed and paid by the society for this purpose, have generally been clergymen of the highest principles in church and state. America, having been for some time very hostile to men of such principles, most of them have been obliged to take refuge in this country; and here they have, I am afraid, been too successful in propagating their own resentments, in misleading our rulers, and widening the breach which has produced the present war. [7] I am sorry to mention one exception to the fact here intimated. The new constitution for Pensilvania (in other respects wise and liberal) is dishonoured by a religious test. It requires an acknowledgment of the divine inspiration of the Old and New Testament, as a condition of being admitted to a seat in the House of Representatives; directing however, at the same time, that no other religious test shall for ever hereafter be required of any civil officer.—This has been, probably, an accommodation to the prejudices of some of the narrower sects in the province, to which the more liberal part have for the present thought fit to yield; and, therefore, it may be expected that it will not be of long continuance. Religious tests and subscriptions in general, and all establishments of particular systems of faith, with civil emoluments annexed, do inconceivable mischief, by turning religion into a trade, by engendering strife and persecution, by forming hypocrites, by obstructing the progress of truth, and fettering and perverting the human mind; nor will the world ever grow much wiser, or better, or happier, till, by the abolition of them, truth can gain fair play, and reason free scope for exertion. The Archbishop, page 11, speaks of christianity as “insufficient to rely on its own energies; and of the assistances which it is the business of civil authority to provide for gospel truths.”—A worse slander was never thrown on gospel truths. Christianity disdains such assistances as the corrupted governments of this world are capable of giving it. Politicians and statesmen know little of it.
- 58. Their enmity hassometimes done it good; but their friendship, by supporting corruptions carrying its name, has been almost fatal to it. [8] In 1742, after the resignation of Sir Robert Walpole. [9] Sir Francis Bacon was the second Attorney-General who sat in the House of Commons; but, to prevent its being drawn into a precedent, the House would not admit him, till they had made an order, that no Attorney-General should for the future be allowed to sit and vote in that House.—In conformity to this order, whenever afterwards a member was appointed Attorney-General, his place was vacated, and a new writ issued. This continued to be the practice till the year 1670, when Sir Heneage Finch (afterwards Earl of Nottingham) being appointed Attorney-General, he was allowed by connivance to preserve his seat, which connivance has been continued ever since.—I give these facts not from any enquiry or knowledge of my own, but from the authority of a friend, who is perhaps better informed than any person in the kingdom on every subject of this kind. [10] The following facts will shew, in some degree, how this change has been brought about.—For ten years ending Aug. 1, 1717 (a period comprehending in it a general war abroad; and the demise of the crown, the establishment of a new family, and an open rebellion at home) the money expended in secret services amounted only to 279,444l.—For ten years ending Feb. 11, 1742, it amounted to no less a sum than 1.384,600; of which 50,077l. was paid to printers of News-papers and writers for government; and a greater sum expended, in the last six weeks of these ten years, than had been spent in three years before Aug. 1710.—See the Report of the Committee appointed March 23, 1742, to enquire into the conduct of Robert Earl of Orford, printed in the Journals of the House of Commons, vol. 24, p. 295, 296, 300.—One passage, in this report, contains remarks, so much to my present purpose and so important, that I cannot help copying it.—“There are no laws particularly adapted to the case of a minister who clandestinely employs the money of the public, and the whole power and profitable employments that attend the collecting and disposing of it, against the people: And, by this profusion and criminal distribution of offices, in some measure justifies the expence that particular persons are obliged to be at, by making it necessary to the preservation of all that is valuable to a free nation. For in that case, the contest is plain and visible.
- 59. It is, whetherthe Commons shall retain the third state in their own hands; while this whole dispute is carried on at the expence of the people, and, on the side of the minister, out of the money granted to support and secure the constitutional independence of the three branches of the legislature.—This method of corruption is as sure, and, therefore, as criminal a way of subverting the constitution as by an armed force. It is a crime, productive of a total destruction of the very being of this government; and is so high and unnatural, that nothing but the powers of parliament can reach it; and, as it never can meet with parliamentary animadversion but when it is unsuccessful, it must seek for its security in the extent and efficacy of the mischief it produces.” P. 395. The obstructions which this committee met with in their enquiry proved that the crime they here describe in such emphatical language, had even then obtained that very security, in the extent of the mischief it produced, which, they observe, it was under a necessity of seeking. OBSERVATIONS on the NATURE of CIVIL LIBERTY, the PRINCIPLES of GOVERNMENT, AND THE JUSTICE and POLICY
- 60. OF THE WAR withAMERICA. Quis furor iste novus? quo nunc, quo tenditis⸺ Heu! miseri cives? non Hostem, inimicaque castra, ⸺ Vestras Spes uritis. Virg. By RICHARD PRICE, D. D. F. R. S. THE EIGHTH EDITION, With Corrections and Additions. LONDON: Printed for T. Cadell, in the Strand. M.DCC.LXXVIII.
- 61. I PREFACE TO The FIRST EDITION. nthe following Observations, I have taken that liberty of examining public measures, which, happily for this kingdom, every person in it enjoys. They contain the sentiments of a private and unconnected man; for which, should there be any thing wrong in them, he alone is answerable. After all that has been written on the dispute with America, no reader can expect to be informed, in this publication, of much that he has not before known. Perhaps, however, he may find in it some new matter; and if he should, it will be chiefly in the Observations on the Nature of Civil Liberty, and the Policy of the War with America. February 8th, 1776.
- 62. T PREFACE TO The FIFTH EDITION. hefavourable reception which the following Tract has met with, makes me abundant amends for the abuse it has brought upon me. I should be ill employed were I to take much notice of this abuse: But there is one circumstance attending it, which I cannot help just mentioning.—The principles on which I have argued form the foundation of every state as far as it is free; and are the same with those taught by Mr. Locke, and all the writers on Civil Liberty who have been hitherto most admired in this country. But I find with concern, that our Governors chuse to decline trying by them their present measures: For, in a Pamphlet which has been circulated by government with great industry, these principles are pronounced to be “unnatural and wild, incompatible with practice, and the offspring of the distempered imagination of a man who is biassed by party, and who writes to deceive.” I must take this opportunity to add, that I love quiet too well to think of entering into a controversy with any writers; particularly, nameless ones. Conscious of good intentions, and unconnected with any party, I have endeavoured to plead the cause of general liberty and justice: And happy in knowing this, I shall, in silence, commit myself to that candour of the public of which I have had so much experience. March 12th, 1776.
- 63. CONTENTS. Page PART I. SECT. I.Of the Nature of Liberty in general. 2 SECT. II. Of Civil Liberty and the Principles of Government. 6 SECT. III. Of the Authority of one Country over another. 19 PART II. SECT. I. Of the Justice of the War with America. 34 SECT. II. Whether the War with America is justified by the Principles of the Constitution. 48 SECT. III. Of the Policy of the War with America. 50 SECT. IV. Of the Honour of the Nation as affected by the War with America. 87 SECT. V. Of the Probability of succeeding in the War with America. 94
- 64. O OBSERVATIONS, &c. ur Coloniesin North America appear to be now determined to risk and suffer every thing, under the persuasion, that Great Britain is attempting to rob them of that Liberty to which every member of society, and all civil communities, have a natural and unalienable title. The question, therefore, whether this is a right persuasion, is highly interesting, and deserves the careful attention of every Englishman who values Liberty, and wishes to avoid staining himself with the guilt of invading it. But it is impossible to judge properly of this question without just ideas of Liberty in general; and of the nature, limits, and principles of Civil Liberty in particular.—The following observations on this subject appear to me of some importance; and I cannot make myself easy without offering them to the public at the present period, big with events of the last consequence to this kingdom. I do this, with reluctance and pain, urged by strong feelings, but at the same time checked by the consciousness that I am likely to deliver sentiments not favourable to the present measures of that government, under which I live, and to which I am a constant and zealous well-wisher. Such, however, are my present sentiments and views, that this is a consideration of inferior moment with me; and, as I hope never to go beyond the bounds of decent discussion and expostulation, I flatter myself, that I shall be able to avoid giving any person reason for offence. The observations with which I shall begin, are of a more general and abstracted nature; but being necessary to introduce what I have principally in view, I hope they will be patiently read and considered. SECT. I. Of the Nature of Liberty in General.
- 65. I n order toobtain a more distinct view of the nature of Liberty as such, it will be useful to consider it under the four following general divisions. First, Physical Liberty.—Secondly, Moral Liberty.—Thirdly, Religious Liberty.—And Fourthly, Civil Liberty.—These heads comprehend all the different kinds of Liberty. And I have placed Civil Liberty last, because I mean to apply to it all I shall say of the other kinds of Liberty. By Physical Liberty I mean that principle of Spontaneity, or Self- determination, which constitutes us Agents; or which gives us a command over our actions, rendering them properly ours, and not effects of the operation of any foreign cause.—Moral Liberty is the power of following, in all circumstances, our sense of right and wrong; or of acting in conformity to our reflecting and moral principles, without being controuled by any contrary principles.— Religious Liberty signifies the power of exercising, without molestation, that mode of religion which we think best; or of making the decisions of our own consciences respecting religious truth, the rule of our conduct, and not any of the decisions of our fellow-men. —In like manner; Civil Liberty is the power of a Civil Society or State to govern itself by its own discretion, or by laws of its own making, without being subject to the impositions of any power, in appointing and directing which the collective body of the people have no concern, and over which they have no controul. It should be observed, that, according to these definitions of the different kinds of liberty, there is one general idea, that runs through them all; I mean, the idea of Self-direction, or Self-government.—Did our volitions originate not with ourselves, but with some cause over which we have no power; or were we under a necessity of always following some will different from our own, we should want Physical Liberty. In like manner; he whose perceptions of moral obligation are controuled by his passions has lost his Moral Liberty; and the most common language applied to him is, that he wants Self-government.
- 66. He likewise who,in religion, cannot govern himself by his convictions of religious duty, but is obliged to receive formularies of faith, and to practise modes of worship imposed upon him by others, wants Religious Liberty.—And the Community also that is governed, not by itself, but by some will independent of it, wants Civil Liberty. In all these cases there is a force which stands opposed to the agent’s own will; and which, as far as it operates, produces Servitude.—In the first case, this force is incompatible with the very idea of voluntary motion; and the subject of it is a mere passive instrument which never acts, but is always acted upon.—In the second case; this force is the influence of passion getting the better of reason; or the brute overpowering and conquering the will of the man.—In the third case; it is Human Authority in religion requiring conformity to particular modes of faith and worship, and superseding private judgment.—And in the last case, it is any will distinct from that of the Majority of a Community, which claims a power of making laws for it, and disposing of its property. This it is, I think, that marks the limit between Liberty and Slavery. As far as, in any instance, the operation of any cause comes in to restrain the power of Self-government, so far Slavery is introduced: Nor do I think that a preciser idea than this of Liberty and Slavery can be formed. I cannot help wishing I could here fix my reader’s attention, and engage him to consider carefully the dignity of that blessing to which we give the name of Liberty, according to the representation now made of it. There is not a word in the whole compass of language which expresses so much of what is important and excellent. It is, in every view of it, a blessing truly sacred and invaluable.—Without Physical Liberty, man would be a machine acted upon by mechanical springs, having no principle of motion in himself, or command over events; and, therefore, incapable of all merit and demerit.—Without Moral Liberty, he is a wicked and detestable being, subject to the tyranny of base lusts, and the sport of every vile appetite.—And
- 67. F without Religious andCivil Liberty he is a poor and abject animal, without rights, without property, and without a conscience, bending his neck to the yoke, and crouching to the will of every silly creature who has the insolence to pretend to authority over him.—Nothing, therefore, can be of so much consequence to us as Liberty. It is the foundation of all honour, and the chief privilege and glory of our natures. In fixing our ideas on the subject of Liberty, it is of particular use to take such an enlarged view of it as I have now given. But the immediate object of the present enquiry being Civil Liberty, I will confine to it all the subsequent observations. SECT. II. Of Civil Liberty and the Principles of Government. rom what has been said it is obvious, that all civil government, as far as it can be denominated free, is the creature of the people. It originates with them. It is conducted under their direction; and has in view nothing but their happiness. All its different forms are no more than so many different modes in which they chuse to direct their affairs, and to secure the quiet enjoyment of their rights.—In every free state every man is his own Legislator.[11]—All taxes are free-gifts for public services.—All laws are particular provisions or regulations established by common consent for gaining protection and safety.—And all Magistrates are Trustees or Deputies for carrying these regulations into execution. Liberty, therefore, is too imperfectly defined when it is said to be “a Government by Laws, and not by Men.” If the laws are made by one man, or a junto of men in a state, and not by common consent, a government by them does not differ from Slavery. In this case it would be a contradiction in terms to say that the state governs itself. From hence it is obvious that Civil Liberty, in its most perfect degree, can be enjoyed only in small states, where every
- 68. independent agent iscapable of giving his suffrage in person, and of being chosen into public offices. When a state becomes so numerous, or when the different parts of it are removed to such distances from one another, as to render this impracticable, a diminution of Liberty necessarily arises. There are, however, in these circumstances, methods by which such near approaches may be made to perfect Liberty as shall answer all the purposes of government, and at the same time secure every right of human nature. Tho’ all the members of a state should not be capable of giving their suffrages on public measures, individually and personally, they may do this by the appointment of Substitutes or Representatives. They may entrust the powers of legislation, subject to such restrictions as they shall think necessary, with any number of Delegates; and whatever can be done by such delegates within the limits of their trust, may be considered as done by the united voice and counsel of the Community.—In this method a free government may be established in the largest state; and it is conceivable that by regulations of this kind, any number of states might be subjected to a scheme of government, that would exclude the desolations of war, and produce universal peace and order. Let us think here of what may be practicable in this way with respect to Europe in particular.—While it continues divided, as it is at present, into a great number of independent kingdoms whose interests are continually clashing, it is impossible but that disputes will often arise which must end in war and carnage. It would be no remedy to this evil to make one of these states supreme over the rest; and to give it an absolute plenitude of power to superintend and controul them. This would be to subject all the states to the arbitrary discretion of one, and to establish an ignominious slavery not possible to be long endured. It would, therefore, be a remedy worse than the disease; nor is it possible it should be approved by any mind that has not lost every idea of Civil Liberty. On the contrary.—Let every state, with respect to all its internal concerns, be continued independent of all the rest; and let a general
- 69. confederacy be formedby the appointment of a Senate consisting of Representatives from all the different states. Let this Senate possess the power of managing all the common concerns of the united states, and of judging and deciding between them, as a common Arbiter or Umpire, in all disputes; having, at the same time, under its direction, the common force of the states to support its decisions.— In these circumstances, each separate state would be secure against the interference of foreign power in its private concerns, and, therefore, would possess Liberty; and at the same time it would be secure against all oppression and insult from every neighbouring state.—Thus might the scattered force and abilities of a whole continent be gathered into one point; all litigations settled as they rose; universal peace preserved; and nation prevented from any more lifting up a sword against nation. I have observed, that tho’, in a great state, all the individuals that compose it cannot be admitted to an immediate participation in the powers of legislation and government, yet they may participate in these powers by a delegation of them to a body of representatives. —In this case it is evident that the state will be still free or self- governed; and that it will be more or less so in proportion as it is more or less fairly and adequately represented. If the persons to whom the trust of government is committed hold their places for short terms; if they are chosen by the unbiassed voices of a majority of the state, and subject to their instructions; Liberty will be enjoyed in its highest degree. But if they are chosen for long terms by a part only of the state; and if during that term they are subject to no controul from their constituents; the very idea of Liberty will be lost, and the power of chusing representatives becomes nothing but a power, lodged in a few, to chuse at certain periods, a body of Masters for themselves and for the rest of the Community. And if a state is so sunk that the majority of its representatives are elected by a handful of the meanest[12] persons in it, whose votes are always paid for; and if also, there is a higher will on which even these mock representatives themselves depend, and that directs
- 70. their voices: Inthese circumstances, it will be an abuse of language to say that the state possesses Liberty. Private men, indeed, might be allowed the exercise of Liberty; as they might also under the most despotic government, but it would be an indulgence or connivance derived from the spirit of the times, or from an accidental mildness in the administration. And, rather than be governed in such a manner, it would perhaps be better to be governed by the will of one man without any representation: For a representation so degenerated could answer no other end than to mislead and deceive, by disguising slavery, and keeping up a form of Liberty when the reality was lost. Within the limits now mentioned, Liberty may be enjoyed in every possible degree; from that which is complete and perfect, to that which is merely nominal; according as the people have more or less of a share in government, and of a controuling power over the persons by whom it is administered. In general, to be free is to be guided by one’s own will; and to be guided by the will of another is the characteristic of Servitude. This is particularly applicable to Political Liberty. That state, I have observed, is free, which is guided by its own will; or, (which comes to the same) by the will of an assembly of representatives appointed by itself and accountable to itself. And every state that is not so governed; or in which a body of men representing the people make not an essential part of the Legislature, is in slavery.—In order to form the most perfect constitution of government, there may be the best reasons for joining to such a body of representatives, an Hereditary Council consisting of men of the first rank in the state, with a Supreme executive Magistrate at the head of all. This will form useful checks in a legislature; and contribute to give it vigour, union, and dispatch, without infringing liberty: for, as long as that part of a government which represents the people is a fair representation; and also has a negative on all public measures, together with the sole power of imposing taxes and originating
- 71. supplies; the essentialsof liberty will be preserved.—We make it our boast in this country, that this is our own constitution. I will not say with how much reason. Of such Liberty as I have now described, it is impossible there should be an excess. Government is an institution for the benefit of the people governed, which they have power to model as they please; and to say, that they can have too much of this power, is to say, that there ought to be a power in the state superior to that which gives it being, and from which all jurisdiction in it is derived.— Licentiousness, which has been commonly mentioned, as an extreme of liberty, is indeed its opposite. It is government by the will of rapacious individuals, in opposition to the will of the community, made known and declared in the laws. A free state, at the same time that it is free itself, makes all its members free, by excluding licentiousness, and guarding their persons and property and good name against insult. It is the end of all just government, at the same time that it secures the liberty of the public against foreign injury, to secure the liberty of the individual against private injury. I do not, therefore, think it strictly just to say, that it belongs to the nature of government to entrench on private liberty. It ought never to do this, except as far as the exercise of private liberty encroaches on the liberties of others. That is; it is licentiousness it restrains, and liberty itself only when used to destroy liberty. It appears from hence, that licentiousness and despotism are more nearly allied than is commonly imagined. They are both alike inconsistent with liberty, and the true end of government; nor is there any other difference between them, than that the one is the licentiousness of great men, and the other the licentiousness of little men; or that, by the one, the persons and property of a people are subject to outrage and invasion from a King, or a lawless body of Grandees; and that, by the other, they are subject to the like outrage from a lawless mob.—In avoiding one of these evils, mankind have often run into the other. But all well constituted governments guard
- 72. equally against both.Indeed of the two, the last is, on several accounts, the least to be dreaded, and has done the least mischief. It may be truly said, that if licentiousness has destroyed its thousands, despotism has destroyed its millions. The former, having little power, and no system to support it, necessarily finds its own remedy; and a people soon get out of the tumult and anarchy attending it. But a despotism, wearing the form of government, and being armed with its force, is an evil not to be conquered without dreadful struggles. It goes on from age to age, debasing the human faculties, levelling all distinctions, and preying on the rights and blessings of society.—It deserves to be added, that in a state disturbed by licentiousness, there is an animation which is favourable to the human mind, and which puts it upon exerting its powers. But in a state habituated to a despotism, all is still and torpid. A dark and savage tyranny stifles every effort of genius; and the mind loses all its spirit and dignity. Before I proceed to what I have farther in view, I will observe, that the account now given of the principles of public Liberty, and the nature of an equal and free government, shews what judgment we should form of that omnipotence, which, it has been said, must belong to every government as such. Great stress has been laid on this, but most unreasonably.—Government, as has been before observed, is, in the very nature of it, a Trust; and all its powers a delegation for gaining particular ends. This trust may be misapplied and abused. It may be employed to defeat the very ends for which it was instituted; and to subvert the very rights which it ought to protect.—A Parliament, for instance, consisting of a body of representatives, chosen for a limited period, to make laws, and to grant money for public services, would forfeit its authority by making itself perpetual, or even prolonging its own duration; by nominating its own members; by accepting bribes; or subjecting itself to any kind of foreign influence. This would convert a Parliament into a conclave or junto of self-created tools; and a state that has lost its regard to its own rights, so far as to submit to such a breach of trust
- 73. in its rulers,is enslaved.—Nothing, therefore, can be more absurd than the doctrine which some have taught, with respect to the omnipotence of parliaments. They possess no power beyond the limits of the trust for the execution of which they were formed. If they contradict this trust, they betray their constituents, and dissolve themselves. All delegated power must be subordinate and limited.— If omnipotence can, with any sense, be ascribed to a legislature, it must be lodged where all legislative authority originates; that is, in the People. For their sakes government is instituted; and their’s is the only real omnipotence. I am sensible, that all I have been saying would be very absurd, were the opinions just which some have maintained concerning the origin of government. According to these opinions, government is not the creature of the people, or the result of a convention between them and their rulers: But there are certain men who possess in themselves, independently of the will of the people, a right of governing them, which they derive from the Deity. This doctrine has been abundantly refuted by many[13] excellent writers. It is a doctrine which avowedly subverts Civil Liberty; and which represents mankind as a body of vassals, formed to descend like cattle from one set of owners to another, who have an absolute dominion over them. It is a wonder, that those who view their species in a light so humiliating, should ever be able to think of themselves without regret and shame. The intention of these observations is not to oppose such sentiments; but, taking for granted the reasonableness of Civil Liberty, to shew wherein it consists, and what distinguishes it from its contrary.—And, in considering this subject, as it has been now treated, it is unavoidable to reflect on the excellency of a free government, and its tendency to exalt the nature of man.—Every member of a free state, having his property secure, and knowing himself his own governor, possesses a consciousness of dignity in himself, and feels incitements to emulation and improvement, to which the miserable slaves of arbitrary power must be utter strangers. In such a state all the springs of action have room to
- 74. operate, and themind is stimulated to the noblest exertions[14].— But to be obliged, from our birth, to look up to a creature no better than ourselves as the master of our fortunes; and to receive his will as our law—What can be more humiliating? What elevated ideas can enter a mind in such a situation?—Agreeably to this remark; the subjects of free states have, in all ages, been most distinguished for genius and knowledge. Liberty is the soil where the arts and sciences have flourished; and the more free a state has been, the more have the powers of the human mind been drawn forth into action, and the greater number of brave men has it produced. With what lustre do the antient free states of Greece shine in the annals of the world? How different is that country now, under the Great Turk? The difference between a country inhabited by men and by brutes is not greater. These are reflexions which should be constantly present to every mind in this country.—As Moral Liberty is the prime blessing of man in his private capacity, so is Civil liberty in his public capacity. There is nothing that requires more to be watched than power. There is nothing that ought to be opposed with a more determined resolution than its encroachments. Sleep in a state, as Montesquieu says, is always followed by slavery. The people of this kingdom were once warmed by such sentiments as these. Many a sycophant of power have they sacrificed. Often have they fought and bled in the cause of Liberty. But that time seems to be going. The fair inheritance of Liberty left us by our ancestors many of us are willing to resign. An abandoned venality, the inseparable companion of dissipation and extravagance, has poisoned the springs of public virtue among us: And should any events ever arise that should render the same opposition necessary that took place in the times of King Charles the First, and James the Second, I am afraid all that is valuable to us would be lost. The terror of the standing army, the danger of the public funds, and the all-corrupting influence of the treasury, would deaden all zeal, and produce general acquiescence and servility.
- 75. F SECT. III. Of theAuthority of one Country over another. rom the nature and principles of Civil Liberty, as they have been now explained, it is an immediate and necessary inference that no one community can have any power over the property or legislation of another community, which is not incorporated with it by a just and adequate representation.—Then only, it has been shewn, is a state free, when it is governed by its own will. But a country that is subject to the legislature of another country, in which it has no voice, and over which it has no controul, cannot be said to be governed by its own will. Such a country, therefore, is in a state of slavery. And it deserves to be particularly considered, that such a slavery is worse, on several accounts, than any slavery of private men to one another, or of kingdoms to despots within themselves.— Between one state and another, there is none of that fellow-feeling that takes place between persons in private life. Being detached bodies that never see one another, and residing perhaps in different quarters of the globe, the state that governs cannot be a witness to the sufferings occasioned by its oppressions; or a competent judge of the circumstances and abilities of the people who are governed. They must also have in a great degree separate interests; and the more the one is loaded, the more the other may be eased. The infamy likewise of oppression, being in such circumstances shared among a multitude, is not likely to be much felt or regarded.—On all these accounts there is, in the case of one country subjugated to another, little or nothing to check rapacity; and the most flagrant injustice and cruelty may be practised without remorse or pity.—I will add, that it is particularly difficult to shake off a tyranny of this kind. A single despot, if a people are unanimous and resolute, may be soon subdued. But a despotic state is not easily subdued; and a people subject to it cannot emancipate themselves without entering into a dreadful, and, perhaps, very unequal contest.
- 76. I cannot helpobserving farther, that the slavery of a people to internal despots may be qualified and limited; but I don’t see what can limit the authority of one state over another. The exercise of power in this case can have no other measure than discretion; and, therefore, must be indefinite and absolute. Once more. It should be considered that the government of one country by another, can only be supported by a military force; and, without such a support, must be destitute of all weight and efficiency. This will be best explained by putting the following case.—There is, let us suppose, in a province subject to the sovereignty of a distant state, a subordinate legislature consisting of an Assembly chosen by the people; a Council chosen by that Assembly; and a Governor appointed by the Sovereign state, and paid by the Province. There are, likewise, judges and other officers, appointed and paid in the same manner, for administering justice agreeably to the laws, by the verdicts of juries fairly chosen.—This forms a constitution seemingly free, by giving the people a share in their own government, and some check on their rulers. But, while there is a higher legislative power, to the controul of which such a constitution is subject, it does not itself possess Liberty, and therefore cannot be of any use as a security to Liberty; nor is it possible that it should be of long duration. Laws offensive to the Province will be enacted by the Sovereign State. The legislature of the Province will remonstrate against them. The magistrates will not execute them. Juries will not convict upon them; and consequently, like the Pope’s Bulls which once governed Europe, they will become nothing but forms and empty sounds, to which no regard will be shewn.—In order to remedy this evil, and to give efficiency to its government, the supreme state will naturally be led to withdraw the Governor, the Council, and the Judges[15] from the controul of the Province, by making them entirely dependant on itself for their pay and continuance in office, as well as for their appointment. It will
- 77. also alter themode of chusing Juries on purpose to bring them more under its influence: And in some cases, under the pretence of the impossibility of gaining an impartial trial where government is resisted, it will perhaps ordain, that offenders shall be removed from the Province to be tried within its own territories: And it may even go so far in this kind of policy, as to endeavour to prevent the effects of discontents, by forbidding all meetings and associations of the people, except at such times, and for such particular purposes, as shall be permitted them. Thus will such a Province be exactly in the same state that Britain would be in, were our first executive magistrate, our House of Lords, and our Judges, nothing but the instruments of a foreign democratical power; were our Juries nominated by that power; or were we liable to be transported to a distant country to be tried for offences committed here, and restrained from calling any meetings, consulting about any grievances, or associating for any purposes, except when leave should be given us by a Lord Lieutenant or Viceroy. It is certain that this is a state of oppression which no country could endure, and to which it would be vain to expect, that any people should submit an hour without an armed force to compel them. The late transactions in Massachuset’s Bay are a perfect exemplification of what I have now said. The government of Great Britain in that Province has gone on exactly in the train I have described; till at last it became necessary to station troops there, not amenable to the civil power; and all terminated in a government by the Sword. And such, if a people are not sunk below the character of men, will be the issue of all government in similar circumstances. It may be asked—“Are there not causes by which one state may acquire a rightful authority over another, though not consolidated by an adequate Representation?”—I answer, that there are no such
- 78. causes.—All the causesto which such an effect can be ascribed are Conquest, Compact, or Obligations conferred. Much has been said of the right of conquest; and history contains little more than accounts of kingdoms reduced by it under the dominion of other kingdoms, and of the havock it has made among mankind. But the authority derived from hence, being founded on violence, is never rightful. The Roman Republic was nothing but a faction against the general liberties of the world; and had no more right to give law to the Provinces subject to it, than thieves have to the property they seize, or to the houses into which they break.— Even in the case of a just war undertaken by one people to defend itself against the oppressions of another people, conquest gives only a right to an indemnification for the injury which occasioned the war, and a reasonable security against future injury. Neither can any state acquire such an authority over other states in virtue of any compacts or cessions. This is a case in which compacts are not binding. Civil Liberty is, in this respect, on the same footing with Religious Liberty. As no people can lawfully surrender their Religious Liberty, by giving up their right of judging for themselves in religion, or by allowing any human beings to prescribe to them what faith they shall embrace, or what mode of worship they shall practise; so neither can any civil societies lawfully surrender their Civil Liberty, by giving up to any extraneous jurisdiction their power of legislating for themselves and disposing their property. Such a cession, being inconsistent with the unalienable rights of human nature, would either not bind at all; or bind only the individuals who made it. This is a blessing which no one generation of men can give up for another; and which, when lost, a people have always a right to resume.—Had our ancestors in this country been so mad as to have subjected themselves to any foreign Community, we could not have been under any obligation to continue in such a state. And all the nations now in the world who, in consequence of the tameness and folly of their predecessors, are subject to arbitrary power, have a right to emancipate themselves as soon as they can.
- 79. If neither conquestnor compact can give such an authority, much less can any favours received, or any services performed by one state for another.—Let the favour received be what it will, Liberty is too dear a price for it. A state that has been obliged is not, therefore, bound to be enslaved. It ought, if possible, to make an adequate return for the services done to it; but to suppose that it ought to give up the power of governing itself, and the disposal of its property, would be to suppose, that, in order to shew its gratitude, it ought to part with the power of ever afterwards exercising gratitude. —How much has been done by this kingdom for Hanover? But no one will say that on this account, we have a right to make the laws of Hanover; or even to draw a single penny from it without its own consent. After what has been said it will, I am afraid, be trifling to apply the preceding arguments to the case of different communities, which are considered as different parts of the same Empire. But there are reasons which render it necessary for me to be explicit in making this application. What I mean here is just to point out the difference of situation between communities forming an Empire; and particular bodies or classes of men forming different parts of a Kingdom. Different communities forming an Empire have no connexions, which produce a necessary reciprocation of interests between them. They inhabit different districts, and are governed by different legislatures.—On the contrary. The different classes of men within a kingdom are all placed on the same ground. Their concerns and interests are the same; and what is done to one part must affect all.—These are situations totally different; and a constitution of government that may be consistent with Liberty in one of them, may be entirely inconsistent with it in the other. It is, however, certain that, even in the last of these situations, no one part ought to govern the rest. In order to a fair and equal government, there ought to be a fair and equal representation of all that are governed; and as far as this is
- 80. wanting in anygovernment, it deviates from the principles of Liberty, and becomes unjust and oppressive.—But in the circumstances of different communities, all this holds with unspeakably more force. The government of a part in this case becomes complete tyranny; and subjection to it becomes complete slavery. But ought there not, it is asked, to exist somewhere in an Empire a supreme legislative authority over the whole; or a power to controul and bind all the different states of which it consists?—This enquiry has been already answered. The truth is, that such a supreme controuling power ought to exist no-where except in such a Senate or body of delegates as that described in page 8; and that the authority or supremacy of even this senate ought to be limited to the common concerns of the Empire.—I think I have proved that the fundamental principles of Liberty necessarily require this. In a word. An Empire is a collection of states or communities united by some common bond or tye. If these states have each of them free constitutions of government, and, with respect to taxation and internal legislation, are independent of the other states, but united by compacts, or alliances, or subjection to a Great Council, representing the whole, or to one monarch entrusted with the supreme executive power: In these circumstances, the Empire will be an Empire of Freemen.—If, on the contrary, like the different provinces subject to the Grand Seignior, none of the states possess any independent legislative authority; but are all subject to an absolute monarch, whose will is their law; then is the Empire an Empire of Slaves.—If one of the states is free, but governs by its will all the other states; then is the Empire, like that of the Romans in the times of the republic, an Empire consisting of one state free, and the rest in slavery: Nor does it make any more difference in this case, that the governing state is itself free, than it does, in the case of a kingdom subject to a despot, that this despot is himself free. I have before observed, that this only makes the slavery worse. There is, in the one case, a chance, that, in the quick succession of
- 81. despots, a goodone will sometimes arise. But bodies of men continue the same; and have generally proved the most unrelenting of all tyrants. A great writer before[16] quoted, observes of the Roman Empire, that while Liberty was at the center, tyranny prevailed in the distant provinces; that such as were free under it were extremely so, while those who were slaves groaned under the extremity of slavery; and that the same events that destroyed the liberty of the former, gave liberty to the latter. The Liberty of the Romans, therefore, was only an additional calamity to the provinces governed by them; and though it might have been said of the citizens of Rome, that they were the “freest members of any civil society in the known world;” yet of the subjects of Rome, it must have been said, that they were the completest slaves in the known world.—How remarkable is it, that this very people, once the freest of mankind, but at the same time the most proud and tyrannical, should become at last the most contemptible and abject slaves that ever existed?
- 82. I PART II. n theforegoing disquisitions, I have, from one leading principle, deduced a number of consequences, that seem to me incapable of being disputed. I have meant that they should be applied to the great question between this kingdom and the Colonies which has occasioned the present war with them. It is impossible, but my readers must have been all along making this application; and if they still think, that the claims of this kingdom are reconcileable to the principles of true liberty and legitimate government, I am afraid, that nothing I shall farther say will have any effect on their judgments. I wish, however, they would have the patience and candour to go with me, and grant me a hearing some time longer. Though clearly decided in my own judgment on this subject, I am inclined to make great allowances for the different judgments of others. We have been so used to speak of the Colonies as our Colonies, and to think of them as in a state of subordination to us, and as holding their existence in America only for our use, that it is no wonder the prejudices of many are alarmed, when they find a different doctrine maintained. The meanest person among us is disposed to look upon himself as having a body of subjects in America; and to be offended at the denial of his right to make laws for them, though perhaps he does not know what colour they are of, or what language they talk.—Such are the natural prejudices of this country.—But the time is coming, I hope, when the unreasonableness of them will be seen; and more just sentiments prevail. Before I proceed, I beg it may be attended to, that I have chosen to try this question by the general principles of Civil Liberty; and not
- 83. by the practiceof former times; or by the Charters granted the colonies.—The arguments for them, drawn from these last topics, appear to me greatly to outweigh the arguments against them. But I wish to have this question brought to a higher test, and surer issue. The question with all liberal enquirers ought to be, not what jurisdiction over them Precedents, Statutes, and Charters give, but what reason and equity, and the rights of humanity give.—This is, in truth, a question which no kingdom has ever before had occasion to agitate. The case of a free country branching itself out in the manner Britain has done, and sending to a distant world colonies which have there, from small beginnings, and under free legislatures of their own, increased, and formed a body of powerful states, likely soon to become superior the parent state.—This is a case which is new in the history of mankind; and it is extremely improper to judge of it by the rules of any narrow and partial policy; or to consider it on any other ground than the general one of reason and justice.— Those who will be candid enough to judge on this ground, and who can divest themselves of national prejudices, will not, I fancy, remain long unsatisfied.—But alas! Matters are gone too far. The dispute probably must be settled another way; and the sword alone, I am afraid, is now to determine what the rights of Britain and America are.—Shocking situation!—Detested be the measures which have brought us into it: And, if we are endeavouring to enforce injustice, cursed will be the war.—A retreat, however, is not yet impracticable. The duty we owe our gracious sovereign obliges us to rely on his disposition to stay the sword, and to promote the happiness of all the different parts of the Empire at the head of which he is placed. With some hopes, therefore, that it may not be too late to reason on this subject, I will, in the following Sections, enquire what the war with America is in the following respects. 1. In respect of Justice. 2. The Principles of the Constitution. 3. In respect of Policy and Humanity. 4. The Honour of the Kingdom.
- 84. T And lastly, TheProbability of succeeding in it. SECT. I. Of the Justice of the War with America. he enquiry, whether the war with the Colonies is a just war, will be best determined by stating the power over them, which it is the end of the war to maintain: And this cannot be better done, than in the words of an act of parliament, made on purpose to define it. That act, it is well known, declares, “That this kingdom has power, and of right ought to have power to make laws and statutes to bind the Colonies, and people of America, in all cases whatever.”— Dreadful power indeed! I defy any one to express slavery in stronger language. It is the same with declaring “that we have a right to do with them what we please.”—I will not waste my time by applying to such a claim any of the preceding arguments. If my reader does not feel more in this case, than words can express, all reasoning must be vain. But, probably, most persons will be for using milder language; and for saying no more than, that the united legislatures of England and Scotland have of right power to tax the Colonies, and a supremacy of legislation over America.—But this comes to the same. If it means any thing, it means, that the property and the legislations of the Colonies, are subject to the absolute discretion of Great Britain, and ought of right to be so. The nature of the thing admits of no limitation. The Colonies can never be admitted to be judges, how far the authority over them in these cases shall extend. This would be to destroy it entirely—If any part of their property is subject to our discretion, the whole must be so. If we have a right to interfere at all in their internal legislations, we have a right to interfere as far as we think proper.—It is self-evident, that this leaves them nothing they can call their own.—And what is it that can give to any people such a supremacy over another people?—I have already examined the
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