DBA Student Handbook 2:
The Research Proposal
DBA Research Proposal Manual
Content
1. The Research Proposal Manual
1.1 Aims and objectives
1.2 Status
2. Introduction
2.1 An important new stage
2.2 A health warning
2.3 Handling this new task
3. Requirements of DBA research
3.1 Fundamental research requirements
3.2 DBA applied strategic research
3.3 Oversight of the DBA
3.4 DBA Research Committee
4. Your research proposal
4.1 The purpose of a research proposal
4.2 Development of your proposed research
5. Submitting the research proposal
5.1 Required format and submission process
5.2 Review process
6. Provision of a mentor
6.1 The discipline of reporting
6.2 The operation of reporting
7. Appendices
7.1 Developing your proposed research
7.2 Research development questions
7.3 The format of the research proposal
7.4 The abbreviated proposal as a basis for research development
7.5 DBA research proposal progress report
7.6 DBA research proposal feedback form
7.7 The research proposal timetable
7.8 Research Proposal Pro Forma
DBA Research Proposal Manual
1. The research proposal manual
1.1 Aims and objectives
The aim of this manual is to assist you through the process of research design
and up to the formal completion of this stage when you successfully submit a
research proposal to the DBA Research Committee. It sets out in part the
formal requirements for the programme. It also introduces the voluntary facility
of mentoring which you are encouraged to use and which seeks to assist you
in making the crucial early decisions in designing your research.
1.2 Status
The nature of this guide, in common with the other DBA guides, is to highlight,
amplify and explain this part of the programme with the purpose of assisting
you through the critical stage. It achieves this by being selective, to
emphasise points but not to be comprehensive; instead, to give focus. It
selects key points on the basis of what you might need. It repeats some of the
key points for emphasis. It may extend the description of the process with the
intention of helping you through it. Thus it seeks to abbreviate, recall, select,
focus attention, concentrate on structure, while attempting to avoid
duplication.
This approach to amplification means that this is a guide and not the ultimate
source of information. It is a guide and should not therefore be interpreted as
the final word on policy. On such matters you are encouraged to visit Heriot
Watt University & EBS websites to obtain documents for the definitive
regulations. The guide is based on the three Introduction to Business
Research (IBR) courses you have already completed. In order to underline the
interconnectivity between the guide and these courses, the major items have
been cross-referenced in this text.
The guide also seeks to add a personal dimension to the existing material. It
is specifically aimed at you with your experience of business and of managing
people. It attempts to empathise with you as you start this process. It draws
on personal experience of research as well as published material on the
research process.
2. Introduction
2.1 An important new stage
When you receive this manual, you are likely to have completed nine courses
in the study element and qualified for the MSc in Strategic Focus. In that
situation, you are ready to start on the first step of the research element of the
programme. This step entails submitting your research proposal to the DBA
Research Committee for approval. In short, you have reached the stage when
you commit yourself to the design of the research which forms the bulk of the
rest of the programme.
This is self-evidently an important stage. It is the start of a journey and a long
programme. You have enough knowledge and experience from your work and
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MBA study to know that the beginning is a crucial stage in the design of any
major project, as explained in the Project Management course. Almost for the
last time you are presented with a blank page on which you can register your
choices. It is a time for instance, when you can completely rewrite the
research statement contained in your application form in the light of
subsequent study and experience. A succinctly stated purpose and logically,
developed path are clearly of first importance.
There are other specific reasons for this importance. It is the stage when your
work is reported to the DBA Research Committee. It is a time when you
develop the habits which will stand you in good stead during the research
process. It is a time when you receive feedback from a mentor and the
Research Committee. The end product provides the basis on which the
supervisor is appointed. The nature of research is that the aims and objectives
are particularly crucial and ‘should not be changed once set and should only
be modified slightly if change becomes inevitable’ (IBR1:2.2.3).
2.2 A health warning
An issue, which is no different for this programme than for any other doctoral
programme, is that doctoral research is a long and difficult process. It requires
stamina when progress is slow, persistence when complications arise, the
ability to be a self-starter, to pursue ideas with enthusiasm and the skill to
think critically.
You have already demonstrated these qualities in an academic context during
the study element of the DBA and also when studying for your MBA, whether
at EBS or elsewhere. You will similarly have considerable experience of these
qualities in your career so far. You have therefore reason to be confident that
you possess these qualities. However, you should recognise that research is
a very different experience from studying courses or managing organisations.
A good course has a clear structure and a fixed end point. Research often
changes over time and can take a long time to complete. In your job, you work
with teams and delegate. In doctoral research, you are in a team of one, the
research has to be your own work, you have to do the work alone and you are
examined individually.
This will be a very different experience from studying and being examined on
courses in the study element. With the courses, the scope of study is defined
by the course. You have a full set of information on which to base your
learning. The examinations are focused on the content of the course.
Research is often a new concept. Research requires a whole different way of
looking at a problem. It is one thing to read a series of texts, understand them
and pass all the required examinations. It is quite another to design and
implement a research programme where detailed independent critical power
is required.
Most people respond well to the challenge of the difference, but you should be
aware that some do not. For some the open-ended nature of the task proves
DBA Research Proposal Manual
too much. For others, the difficulty is to deliver critical thinking. They are
accustomed to learning from the course and making the occasional original
comment. Being consistently critical of information and checking assumptions
may not be one of your strengths.
2.3 Handling this new task
You should not, however, be daunted by the task. Your abilities have already
been demonstrated. You have been prepared by the Introduction to Business
Research courses (which you may realise is a rare assistance in doctoral
programmes). These have given you tools which you can now use. You also
have the portfolio of subject area knowledge. The research proposal provides
you with a template to structure your work around.
You will make the task easier if you develop disciplined habits of research
planning and progress reporting. These form a cornerstone of the operational
design of the programme and are covered extensively in the Introduction to
Business Research courses. A model for the time schedule and the progress
reporting is to be found as an appendix to this document. Establishing this
discipline early on and forming the correct habits will be vital to the success of
this programme. Furthermore, you can adopt the approaches of self
assessment set out in the texts in the form of Personal Progression Reviews
in IBR1:2.7.
Although much of the Business School input is in terms of defining the
mechanisms by which you can perform the task, there are additional elements
that help. Mentoring, which is voluntary on your part, provides guidance and a
sounding board for your ideas as you work on them. Feedback on your
progress reports provides duly considered guidance.
3. Requirements of DBA research
3.1 Fundamental research requirements
Research requires independent thought, thorough investigation and critical thinking.
You set the parameters of your work. You choose the subject of study. You
select the way you are going to study that subject and the conclusions drawn
from the information you collect. Others do not set the parameters for study,
as for course material, coursework or examination in the study element of the
programme.
To research means to investigate thoroughly. It is not sufficient to satisfy your
own standards; you must be able to have answers to questions that others
may reasonably ask. For example, you may find assumptions that seem
obviously correct to you, may not be obvious to others, or may, on closer
inspection, actually be wrong. To be thorough, you need to spot those
assumptions and provide the justification or indicate that justification is
needed as part of the research.
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Furthermore, research requires critical thinking. The standards of enquiry in
research are high. Critical means to offer opinions or judgements on both the
literature and the research findings.
You are reminded of the University regulations that a doctoral thesis ‘shall
form a contribution to the knowledge of the subject and afford evidence of
originality, shown either by the discovery of new facts or by the exercise of
critical thinking’. The meaning and implications of these regulations for your
DBA research are fully discussed in IBR1:1.3.1. In summary, the main
criterion for the acceptance of a research topic is that it is relevant to the area
of strategic focus, and is sufficiently applied and can be researched to a
sufficient depth to allow the generation of a doctoral thesis which satisfies the
quality criteria for doctoral research at the University
3.2 DBA applied strategic research
DBA research is required to be applied and strategic, rendering the DBA
distinctively different from a PhD. The nature of the Edinburgh Business
School DBA is that it stresses applied research. The word “applied” can be
defined as to put to practical use. It is not sufficient to consider an abstract
subject of no obvious interest to the executive in the practice of management
and business. The subjects of research are intended to be useful to
managers. You may have considerable experience and often-significant
responsibilities in business and management; you are unlikely to want to
consider something divorced from the world you inhabit. You are much more
likely to want to investigate a subject which resonates with your experience,
your present work, or your aspirations. For further discussion of applied
research see IBR1: 4.2
DBA research is also strategic. Strategy is the essence of Strategic Planning
and the other Strategic Focus courses you have studied. Should you need
further clarification on the meaning of strategy, you may revisit these courses.
Furthermore, you have an understanding of the practice of strategy from your
work as you almost certainly have strategic responsibilities, or alternatively
report to or advise strategic decision makers. As discussed below, you have
the option of strengthening the link with Strategic Focus by choosing research
topics drawn from the subject itself.
3.3 Oversight of the DBA
The DBA Research Committee has primary oversight of DBA research. It sets
the standards for applied research and is the ultimate authority. The process
of oversight has been set up to ensure that the system is workable and gives
a timely response.
3.4 DBA Research Committee
The Committee is composed of senior faculty members of Edinburgh
Business School and Heriot-Watt University. It has at least one external
member, appointed by the University, who is normally a senior member of
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another UK university. The Research Committee meets regularly to consider
research proposals.
The DBA Research Committee considers all your submissions including
research proposal reports and the research proposals.
It can record concern at any time in response to a progress report and can:
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ask you and/or the mentor for more information;
issue any advice or directives it considers appropriate in steering
you towards applied research of DBA standard.
Though the role of the Research Committee is pivotal for the development of
your research, Heriot-Watt University has ultimate control of the examination
under which your research will finally be assessed.
4. Your research proposal
The essence of this stage is the production of a DBA research proposal,
which is a formal requirement of the programme. The DBA research approach
makes central use of the research proposal as the first stage of the research
development. You are required to prepare a research proposal for submission
to the DBA Research Committee and for it to accept and comment on. The
research proposal is both the end point of this stage and the kernel of the
entire research undertaking
4.1 The purpose of a research proposal
The research proposal serves many functions in that it:
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establishes standards of comprehensiveness;
ensures that the research meets requirements;
stimulates clarity of thought;
is a catalyst for the process of choice commitment requiring
clarity of definition and establishing a fixed point, a personal
milestone;
formalises the research, setting it out in detail, for
communication to others and providing an enduring reference
point for review;
establishes the basis for feedback and improvement.
The critical task when starting research is to set out the elements in a way
which helps you to understand the research and provides documentation for
others. Writing the research proposal is an essential part of the research
process, not only helping to clarify thoughts, but also making possible the
organisation of ideas into a coherent research strategy and methodology. The
research proposal must communicate your knowledge and understanding
both succinctly and effectively. You may have an excellent research strategy
DBA Research Proposal Manual
but struggle to communicate it effectively through the research proposal. You
should appreciate that it is very important for the research proposal to be
written in the most effective manner possible. If it is not, the Research
Committee will not accept it.
The preparation of a research proposal satisfies a need to think through and
plan the research carefully. Developing a research proposal is a process of
planning, designing and setting up the research, including placing it in context
and embedding it in the relevant literature. Proposal writing will force you to
structure and criticise each part of the research. IBR 1 provides you with the
skills to evaluate your own proposal.
The research proposal provides the basis on which others can review the
research for comment, encouragement and suggestions for improvement. It is
a document which sets out the intended research in a detailed way so that
others can understand, review critically and give feedback in a structured way.
The value of getting critical comment at this stage of the research (perhaps at
all stages) should not be underestimated. Feedback gives you the opportunity
of improvement. Another mind often sees things differently. The experience of
others and their knowledge of the field are likely to be invaluable inputs.
You should think about the research proposal very carefully before starting
work and allocate plenty of time for writing it. The necessary background work
and research could go on for several months before the research proposal is
written. Actually writing the research proposal could take anything from four or
five days to several weeks. A finished research proposal is a far more
sophisticated piece of work than the vague notices that you submitted when
asked for an indication of your research topic when applying for the DBA.
4.2 Development of your proposed research
The entire research proposal process described here aims to help you
develop your own DBA research. This section of the manual focuses on the
process of developing research ideas. It draws on many points from the
Introduction to Business Research courses but may add value by bringing the
elements together in one section.
You are encouraged to rewrite the description of the research which you
provided with your application.
During the early part of the development, you may find it helpful to use the
abbreviated research proposal format. This focuses on those parts of the
research proposal important for development. For example, the abbreviated
proposal requires a more limited skeletal literature review. This format does
not have any elements that are not in the full proposal. Its purpose is to
enable you to concentrate your effort in the early stages of development so
that when the key elements are decided, then you can flesh out the rest in the
full research proposal. The abbreviated research proposal is in Appendix 4.
DBA Research Proposal Manual
You will also find advice on developing your research in Appendix 1. This
seeks to share insights drawn from experience of developing one’s own
research and supervising or examining the work of others. Some of the
illustrations are personal but are not necessarily of less value for that.
Your own experience in business and management and what you have learnt
on the programme so far are likely to be powerful sources of research ideas.
This is especially true of the Edinburgh Business School DBA students who
often have more experience and are often more senior than students on other
DBA programmes. For this reason, you are asked to write informal answers to
two simple questions. One provides the opportunity to describe an experience
that interests you, and the other to identify ideas from the literature you have
already studied on the programme. Some of you will choose a topic from
something that interests you. Indeed, you are encouraged to do so, since you
are more likely to be imaginative and motivated about something you find
interesting. These research development questions are in Appendix 2.
At the outset of the research, you are required to complete a Research
Proposal Work Plan. Each period is two months. The work plan will be the
loadstone for your development work. A key question as you develop the plan
is how long you think you will need to complete the research proposal. You
may expect to complete the proposal in six months or may want longer. The
research proposal work plan is Appendix 7.
5. Submitting the research proposal
The research proposal is submitted and reviewed according to a standardised
process. The process is designed to ensure that there is a proper paper trail
which will satisfy ‘best practice’ quality standards and ensures that
submissions are dealt with in a structured fashion. Acceptance of the research
proposal by the EBS Research Committee is a crucial rite of passage.
5.1 Required format and submission process
The research proposal should be written on A4 paper, or its international
equivalent. Edinburgh Business School gives a ‘typical’ structure for the
research proposal, which you are strongly advised to follow. This structure,
with a brief explanation of its components, is set out in IBR 1: 6.4.2.1.
A summary of the format is set out in Appendix 3. You are entitled to use your
own proposal structure if you feel that the scope of the research and the
approaches to be adopted necessitates a different structure.
An advantage of using the standard format is that it corresponds closely to the
structure for the submission of the thesis which is set out in IBR3:7.4.1. It is
wise to seek to standardise the format you choose for the research proposal
with the structure you intend to use for the final thesis to enable the various
aspects of the research to form a coherent whole.
DBA Research Proposal Manual
Research proposals can be submitted electronically to dbaadmin@ebs.hw.ac.uk
but a paper version of the signed EBS DBA pro forma must also be
submitted. The pro forma is set out in Appendix 8.
5.2 Review process
The research proposal must be submitted to the DBA Research Committee
for approval. If the research proposal is not acceptable, it will be returned with
an indication of the further works required. You must continue to refine and
develop the research proposal until it reaches a standard acceptable to the
DBA Research Committee. You may only re-submit the research proposal
twice. If it is rejected for a third time you will almost certainly be asked to
withdraw from the programme to ensure you do not waste your time.
A significant amount of time is given to processing research proposals
because it is such a critical point in the development of the research. The
process for consideration of proposals and feedback from the Committee may
take eight weeks. This period is made up of four weeks for reading the
proposal, two weeks for comments to be distributed to the other members of
the Research Committee prior to its meeting, and two weeks for detailed
feedback. Therefore, a research proposal should be submitted on the first day
of the month preceding the meeting of the DBA Research Committee. For
example, a research proposal that you wish the DBA Research Committee to
consider at a meeting in March, has to be received by February 1st. Late
proposals will only be reviewed by the Research Committee meeting two
months later.
The DBA Research Committee meets to consider research proposals and
research proposal reports in alternate months. It meets in September,
November, January, March, May and July.
You should note that a research proposal report must be completed two
months before you intend to submit a research proposal. This is a condition
for a proposal to be considered.
6. Provision of a mentor
You are encouraged to take advantage of the mentoring provision because it
should help you choose your topic more swiftly. The purpose of mentoring is
to enable you to progress to submitting your research proposal to the
Research Committee as efficiently and effectively as possible. Mentoring will
assist you to build firm foundations for carrying out a useful piece of research
and for starting your subsequent work with your supervisor.
The mentor will provide you with general guidance for the duration of the
development of the research proposal. Nevertheless, mentoring is optional.
You may prefer to work with minimal interaction with the mentor. Furthermore,
the mentor acts in an advisory capacity; you may choose to disregard any
advice that is offered.
DBA Research Proposal Manual
Mentoring provides a skilled sounding board and a mirror for your ideas. You
could find a mentor to be an invaluable source of advice at the early stages of
research design when you will be making choices which condition the
following years of research. With mentoring, you will get early feedback on
your design. Mentors normally hold a doctorate, are actively engaged in
research and have supervised postgraduate research.
All contact with your mentor should be via the secure Mentoring section of the
Community Area at http://coursewebsites.ebsglobal.net/ which you will be
given access to upon payment of the research proposal fee. You and your
mentor are strongly encouraged to have a telephone conversation at the start
of the process in order to establish a positive base upon which ideas can be
discussed effectively. Most people find that a conversation, even by the
telephone, enhances subsequent dialogue conducted via the website. The
conversation increases the basis for understanding. If the conditions permit,
then a face-to-face meeting is desirable. You should only contact your
mentor through the website.
During mentoring, you have the opportunity of forming the habits of disciplined
working and reporting which will stand you in good stead for working with your
supervisor. The research proposal reports are part of this discipline. You can
expect to find the feedback from Edinburgh Business School gives you further
fresh ideas and insights which could considerably enrich the research.
The involvement of the mentor does not guarantee that a research proposal
will achieve a standard acceptable to the DBA Research Committee. Sadly,
some people find it very difficult to produce a satisfactory research proposal
whatever the support and advice the mentor has given them.
6.1 The discipline of reporting
In the same way that mentoring is a means of learning to work under
supervision; this is a time for you to become accustomed to the discipline of
completing progress reports. The progress report is an essential part of the
entire research system. Learning to do this from the start is a great boon.
While progress reporting is a standard process on all good doctoral
programmes, it is even more important on this programme where, for many,
the communication is not face-to-face.
Progress reports have an institutional and an individual function. At the
institutional level, they are necessary for the institution to see that you are
progressing well and that your work is within the range of quality and
timeliness required. They also provide the Committee with an overview of the
programme which it can use to identify needs for policy decisions and the
provision of resources. It is an integral part of the Quality Assurance process
which the University conducts.
DBA Research Proposal Manual
The function of the progress reports is to help you move your research along
and provide an extra level of expertise should this be required. Progress
reports are a student friendly process. Student progress in research is
complex and needs monitoring. Reports are used throughout the research
period to ensure that the research is developing correctly and within
acceptable timescales. Monitoring is there to help you, to provide discipline, to
pick up issues, which might otherwise cause loss of direction and to deal with
the issues before they become a problem. It allows the Research Committee
to provide you with feedback to help with your rate of progress and to identify
your particular needs.
The reporting process also gives you periodic opportunities to think through
your work systematically. This provides the opportunity for taking stock and
perhaps noticing some element which needs your extra attention, perhaps
because it is not progressing at the same rate as other elements.
Further discussion of progress reports is to be found in IBR2:4.6 which
particularly address the matter of progress reports during the literature review
stage, but the general principles apply to all progress reports.
6.2 The operation of reporting
Research Proposal Reports are written during the process of research
proposal development. These invite you to comment on your progress so far
and provide the basis for feedback from EBS. Reports are submitted, and
feedback received, as attachments through the secure Mentor site at
http://coursewebsites.ebsglobal.net/.
Research proposal reports are written at two-month intervals. The first report
is submitted two months into the research proposal period and subsequent
reports are written as the research proposal develops. The final research
proposal progress report must be submitted no less than two months before
the submission of the research proposal. If you intend to complete the
research proposal in six months, you would plan to submit two research
proposal progress reports, one at the end of month 2 and one at the end of
month 4. You would then submit the research proposal at the end of month
six.
The timing must be respected and late reports will be reviewed at the next
Committee meeting which will mean that feedback is seriously delayed
causing you avoidable inconvenience. The supervisor, when appointed, will
receive copies of report forms as a further piece of information about the
research and as evidence of how the research is developing.
The research proposal report has a simple format to facilitate the process.
This format is given in Appendix 5. The bi-monthly form asks you for your
objectives and key tasks for the two-month period being reported on, your
achievements, and your objectives and key tasks for the forthcoming twomonth period. Your report should be linked to the research proposal timetable
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in Appendix 7. The timetable should be submitted with your report showing
your progress and expected completion dates of the various sections of the
proposal.
In addition, you should undertake your own progress reviews in the form of
Personal Progression Reviews (PPR) periodically. You should start this early
in the research with the intention of forming the habit of doing PPRs
throughout the research. The PPR is considered in more detail in IBR1: 2.7
DBA Research Proposal Manual
7. Appendices
7.1 Appendix 1: Developing your proposed research
Introduction
Some would argue that the development of your research is the most critical
stage of all. It is the point of departure for a long journey. Comprehensive,
consistent, coherent and clear plans are the best guide. Detours due to
inadequate planning waste time, energy and motivation. The obvious moral is
to think through the proposal very carefully indeed. Most journeys have their
unexpected twists and turns and research is no exception. However, a well
thought through plan is likely to help you handle the unexpected. It could help
you to understand its nature. The sense of direction in the plan guides the
decision on how much to alter direction to account for the unexpected.
The following section is a personal experiential guide to discovering your
research topic. As it is drawn on years of undertaking, critically commenting,
and evaluating research, it is a personal statement. At the same time, it
generalises to an extent that it may not be precisely true for your own
situation.
Selecting the field
The start of research can be very important to you as an individual. The
choice you make could be the basis on which you do most of your future work.
It is a personal and important choice.
You have already expressed your research statement in your application and
you may be happily committed to that idea. This could be excellent because if
you are genuinely still committed to the idea after so much input from the
study element in strategic focus, the implication is that you have a sustainable
idea. However, the development stage is so crucial that you would be wise to
review your idea thoroughly, even if you think it right.
Choosing a subject that interests you
A major element in the selection of your topic should be your own selfinterests. As you, after all, are the principal beneficiary of the doctoral
research, it follows that you should consider how you can maximise the
benefit to yourself.
The benefit in an academic field could be to create a basis for future work. For
instance, a colleague who has been working in the field of regulated industries
did his doctorate on the effect of privatisation on the efficiency of the electricity
generation industry. This shaped his research work and he has become a
world expert in regulated industries. Note that the broad area is as important
as the narrow topic in the decision. The actual topic is likely to be narrow for
the basis of a career whereas the broad area is large enough to be an
appropriate basis.
Rather more esoterically, the choice of methodology shapes future work. You
may be attracted by a particular methodology. For instance, some famous
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researchers have made their careers around case study methodology. Most of
their papers are in this area. They probably think of research problems in
terms of case studies. They naturally gravitate to an interview technology.
Another colleague hankers after detailed databases in his work, which was
the style of his doctorate and because such data produce articles which are
widely regarded and therefore good for building academic reputation. This
particularly applies if you wish to become a professional researcher.
However, if you see your career being primarily as a research professional
then a critical question is how the chosen research can help you to succeed in
your management career. If you aspire to be a company chairman, then it
would be natural to choose a topic which involved interviewing people of
board level experience, probably including chairmen, and to choose a subject
which relates to the decisions of the board which would mean examining
strategic level decisions or the processes by which such decisions are taken.
It should be noted that the learning for a management career is likely to be
much wider than just that covered by the topic. In the process of collecting
data, the researcher is likely to witness events, meet people with particular
attributes and have discussions which provide insights in business and
management which the researcher will draw on in his or her own
management. For instance, fellow researchers in decision making in corporate
governance and multinational product management found that they learnt a
lot about how decisions are taken and how managers seek to influence the
decision process.
Clearly, you would prefer that the issue you study have a long-term life, so
that you can continue to mine the investment of your DBA work for several
years to come. This could be particularly important if you are considering an
academic career, but probably applies to any career that you choose. To
return to the research in electricity efficiency, it was evident that privatisation
and regulation would continue to be of interest as governments were faced
with the issue of providing utilities without having to incur costs to the
electorate in the form of unpopular taxation.
Furthermore, the doctorate is a long-term activity. Your feelings are likely to
change over time. There could be difficult periods when there are competing
pressures for your time, energy and imagination. There could be aspects
which stretch your skills to the limit. With this in mind, it is worth recognising
that you are more likely to sustain the effort if the subject captures your
interest. If the research idea resonates with your interests, then consistency of
purpose is more sustainable.
In addition in the field of study and probably in most areas of human
endeavour, we give of our best when we do something which attracts our
interest and imagination. If we are bored and find the subject dull, then the
outcomes are likely to be dull too.
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To return to the point of self-interest, it is perhaps wise to recognise that
although self-interest is the most important factor for you, the doctorate is
about more than that. As the regulations indicate, it is about making a
contribution to knowledge and about mastery of your subject. However,
neither of these important elements is inconsistent with the thought that this
should be achieved in a way that interests you personally.
Generating ideas
Following on from this theme that the subject of the doctorate should interest
you, there is the question of how to discover the subject. The interest may
come from what you have read or studied or from your experience.
Experience and the literature are possible sources of research ideas. During
your study, for the DBA you are likely to have seen a neat idea, a striking
concept. Before reaching this stage, you have taken management courses in
an MBA, and in the preparation for starting the DBA research. This concept
might appeal because it elegantly explains or at least articulates some
complexity or idea you have observed. Most seminal theories have that
quality.
As an experienced manager, it is likely that part of your interest will be related
to what you have lived and seen. You may have observed something that is
much more difficult in practice than one would expect in theory. You may have
observed that something is becoming a major issue in your business and you
would like to develop best practice. A researcher studied the introduction of
products into new markets which he had observed was inefficiently done even
in a best practice company.
For this reason you are asked at the earliest stage in the mentoring to reflect
on and to write about some aspect of theory and some experience which
attracted your attention. The hope is that, somewhere in the description of one
or other of these, you will be indicating an idea, which could be the basis of
your research. The description is likely to help the mentor to grasp where you
are coming from.
Nor should you distrust your interest. Some of this may seem very personal.
However, given that you have important experience and you have studied
several subjects in depth, your judgement of what is interesting is well
informed. The likelihood is that your sense of the subject is such that as the
research progresses some of the essential explanations will correspond to
what you expected. Maybe you will see the situation differently but the
essence could still be there. That is not to say everything will be as you
thought at the outset. Certainly there will be opinions which you will find with
further investigation were ill founded. The point is that something in your ‘gut’
feeling is likely to be core to the subject, principally because you already have
some expertise and this has guided your choice.
DBA Research Proposal Manual
Turning ideas into study topics
In the discussion, we have seen that there are broad subject areas and
narrow topics and it has been suggested in a preceding section that an
effective research strategy is to have a narrow topic in a rich broad subject
area. Moving from your general idea to both the topic and the subject area is a
process of analysis and conceptualisation.
A critical analytical approach is deconstruction. The idea is broken down into
constituent parts. The discovery of a research topic is a creative process
which combines lateral and analytical thinking. The WBS tool, explained in
further detail in IBR1:2.3, is useful for breaking down the elements of the field
as a process of de-construction.
There is also the point about challenging assumptions implicit in your
statement of the idea. At this stage, anything that is a start-point has to be
checked to see whether it is known to be true or is merely a hypothesis. There
is a possibility that, if you know the area well, then what seems a truth to you
is in fact an assumption for which you have anecdotal support from
experience, but which cannot be justified on empirical evidence. Research is a
process of challenge. Can the statements be justified? If not, then it is
possible that providing the evidence to test those statements could be the
research topic or at least part of it.
From the output of this process, the selected elements can be rebuilt and
reorganised to correspond to concepts. Conceptualisation is a process of
rebuilding and reorganising some of the components into different levels of
abstraction.
There is an art in seeing narrow research topics within broad subject areas.
This has been part of the discussion above in terms of interest. Choosing a
narrow topic is principally about the complexity of implementing research,
which is the subject of the next section.
Turning study topics into researchable propositions
This process turns directly to the doctorate and there is iteration between the
several components of the research. The full list of components is set out in
the research proposal.
The recommendation is that, in the early stages of development, you
concentrate on a key selection of the topics which are set out in the
abbreviated proposal in Appendix 3. The abbreviated form of the proposal
gives priority to background, research questions, aims and objectives, and
hypotheses. It also features the research paradigm and methodology,
significance, feasibility and references. Once the essence of the research has
been captured on the abbreviated form, you can naturally move on to
complete the research proposal in the full form as required.
DBA Research Proposal Manual
At the stage of developing researchable propositions, writing and
documentation are important since the process forces you to think through
ideas in depth, it tests clarity and consistency and also provides a concrete
output which can be discussed with others, constructively criticised and
improved.
At the stage of designing the research methodology, you may find it useful to
choose research sites with different characteristics because they provide a
basis for comparison and may supply a dimension that is significant to your
argument. The choice of research site could be another opportunity for you to
extend your interests. If you are curious about South Africa, for instance, and
can sensibly include it in your research design, then why not do so.
Researchable also means delivering on the objectives set for DBA. The
requirements for a DBA are clearly set out in manuals, official documents, and
Introduction to Business Research courses. As you approach a decision on a
topic for your research, you are advised to study these requirements. You
may find a small amendment to the research design will substantially increase
the research’s ability to deliver on the requirements.
Be cautious if you are working in the situation that you are investigating. There
is a huge difference between research and consultancy. A researcher, doing a
case study of good practice in a FTSE 40 company, received an offer to
present the findings to the CEO and decides to do so. However, there will be
conflicting objectives. The researcher will be seeking to discover how the
company works. The CEO will be interested in finding out from the research
how to do better. He may already know how the company works. He may at
least think he knows!
A similar issue arises in terms of access when some of the information comes
from within your area of authority. This information may be richer because you
have access. In this case the information you get from elsewhere may be
more superficial, creating an imbalance. If you are the boss, then the
information from within your department may already have been screened.
Worse still, you may be screening the information unconsciously because of
your own perceptions. You may see what you expect to see.
It is necessary at this point to underline the fact that failure to make choices at
this stage or decisions avoided may come to plague you later. For instance;
failure to be clear or to limit the scope of the research in the early stages, may
lead to a lot of wasted effort by way of collecting more data than necessary or
lack of clarity may lead to confusion as to what you are really looking at. It is a
false assumption that a bit of ambiguity causes no difficulty as it will be easy
to iron out as you go along. This is the design stage. It is akin to the
architectural plans for a building.
DBA Research Proposal Manual
Writing the proposal
At this stage you are ready to complete the full research proposal for
submission to the DBA Research Committee. The template for the proposal is
set out in the main part of the mentoring document.
7.2 Appendix 2: Research Development Questions
Informal questions about experience and theory, concept or models
These questions are intended for your benefit. The idea behind the questions
is that your choice is likely to be stimulated by your own interest and
experience. Please note that answering these questions should be not viewed
as a course assignment. Instead, you should seek to be relaxed and informal
because an unstructured style can prompt unexpected thoughts that can lead
to new insights and creative thinking. Write less than two sides on each.
A Question of Experience
Describe something from your business or management experience in the
past five years that caught your imagination. Why did it interest you? Do any
concepts or theories you have studied on DBA courses explain or otherwise
relate to this experience?
A Question of theory
Describe a management theory, model or concept that captured your
imagination on the DBA or other Master’s level courses. Give a reference,
which will enable EBS staff to identify the model. Why did this appeal to you?
How did it relate to your experience as a manager?
7.3 Appendix 3: The format of the research proposal
This is the format, which should be used for submitting the research proposal
to the DBA Research Committee
1. The Abstract
The abstract is a short and precise summary of the proposal. Most
research proposal abstracts need not be any larger than about 200
words. The abstract should be carefully written, and should use
keywords to help other researcher to find the work if it is relevant to
their area. The abstract should state the problem, its context and
significance, the general research methods used, the type of results
and their potential use.
2. The Summary
The summary should follow the same line of thought as the abstract.
Each important element in the abstract should be developed and
extended slightly in the summary. The summary is very important and
should generally be a minimum of about 200 words and a maximum of
about 1000 words.
DBA Research Proposal Manual
3. Background (literature review)
This is a mini-literature review of work previously published by other
researchers. It demonstrates that you are aware of the published work
in the chosen research area and has read the works of the main
authors and has used this knowledge in the development of the
research. It should place the current research proposal in the context
of the existing literature, and particularly in relation to any gaps in the
literature and how the current research is positioned in relation to these
gaps.
4. Research questions, aims, objectives and hypotheses
This section should state research aims and objectives, and any
operational hypotheses that have been adopted. The aims are the
overall outcomes that are desired. The objectives are the individual
actions necessary to achieve the aims. This section can be completed
in about 500 words.
5. Research paradigm and theoretical framework
This refers to intended paradigm (positivist or phenomenological) and
the theoretical framework.
6. Research methodology
This should give sufficient detail on the proposed research
methodologies and demonstrate why a particular methodology has
been chosen. Choice of methodology should be backed up by
references from the literature, where possible citing similar research
that has been carried out using similar methodologies.
7. Sample design and details of the data collection process
This should provide the necessary level of detail to describe what is
being done and why.
8. Accessibility
This should make clear what access has already been obtained and
what is still required to complete the research.
9. Research ethics
You should make it convincingly clear that ethical issues have been
thought through and the research is acceptable. This should make
clear if any assistance will be required and any assistance will be
consistent with the University’s regulation that the doctorate is
substantially the author’s own work.
It is your responsibility to ensure that your research is in accordance
with the ethical policies of Heriot-Watt University and if in doubt you
should seek the advice of your mentor/supervisor in the first instance.
Any breach of the ethics policy could result in your DBA degree not
being awarded or rescinded.
DBA Research Proposal Manual
10. Deliverables
This section should summarise each anticipated output
11. Significance
This small section is very important. It should make clear the
applicability of the research and also its relationship with other
research. It should pay particular attention to integration between
disciplines.
12. Resources required to implement research
13. Timetable of expected completion dates
This should show the expected completion date for each part of the
research. Any chart or diagram should be as clear as possible
14. References, bibliography, letters of support and appendices
As a general rule you should try to include all the major researchers
who are active in the field.
7.4 Appendix 4: The abbreviated proposal as a basis for research
development
This is the format, which may be used for the process of mentoring. It selects
issues to focus on at the developmental stage and groups’ issues around the
logic that exists at the critical stage. The fact that an element of the proposal
is not included in the abbreviated proposal does not indicate that it is less
important for the research, but merely that it is less significant at the
development stage of the proposal.
1. Background (literature review)
This should have sufficient of the mini-literature review to demonstrate
that key works have been consulted and suggest the place that the
proposed research might have in filling gaps in the literature.
2. Research questions, aims, objectives and hypotheses
This section should state research aims and objectives. , The aims are
the overall outcomes that are desired. The objectives are the individual
actions necessary to achieve the aims. It should also define the
research problem and the research question very precisely. At this
early developmental stage, you may prefer not to adopt hypotheses
3. Research paradigm and research methodology
This refers to intended paradigm (positivist or phenomenological) and
should give sufficient detail on the proposed research methodologies
and justify the choice of a particular methodology. There should be a
single sentence outline of sample design and data collection process
DBA Research Proposal Manual
4. Significance
This should make clear the applicability of the research and also its
relationship with other research.
5. Feasibility
This should cover any issues of accessibility, research ethics, resource
requirements that might affect the completion of the research. This
should be realistic about the likelihood of access.
6. References
This should give only key references relating to the literature review at
this stage
7. Other relevant factors
This should cover any other factors within the research proposal, not
included in this abbreviated version but which are of significance to this
research.
DBA Research Proposal Manual
7.5 Appendix Five: DBA research proposal progress report
DBA Research Proposal Manual
DBA Research Proposal Manual
7.6 Appendix Six: DBA research proposal feedback form
DBA Research Proposal Manual
7.7 Appendix 7
The research timetable showing expected completion dates
Actions
Period 1
Period 2
Period 3
Period 4
Period 5
Period 6
Abstract
Summary
Literature Review
Research Questions, Aims Objectives
& Hypothesis
Research Paradigm & Theoretical
Framework
Research Methodology
Sample Design & Details of Data
Collection
Accessibility
Research Ethics
Deliverables
Significance
Research Timetable
References, Bibliography, letters of
support & appendices
DBA Research Proposal Manual
Resources Required to Implement
Research
DBA Research Proposal Manual
7.8: Appendix Eight: Research proposal pro forma
Name:
SID
Version:
Degree Sought:
(i.e. First,
Resubmission, Final)
DBA in Strategic
Focus
Declaration
In accordance with the appropriate regulations I hereby submit my research proposal for
consideration by the DBA Research Committee and I declare that:
1)
2)
3)
4)
the proposal embodies the results of my own work and has been composed by myself
where appropriate, I have made acknowledgement of the work of others and have
made reference to work carried out in collaboration with other persons
I understand that as a student of the University I am required to abide by the
Regulations of the University and to conform to its discipline
my research is compliant with the University policy on ethics.
Signature of
Candidate:
Submission
Submitted By (name in capitals):
Signature of Individual Submitting:
Date Submitted:
Date: