Assignment Number 3
Introduction, Background and Significance, Terms, and Summary
Objectives
Upon completion of this assignment, you will be able to:
- Successfully write an introduction to a research study.
- Develop a background and significance for a research study.
- Develop limitations and assumptions for a proposed research study.
- Select terms which should be developed in a definition of terms.
- Know the purpose of having summaries of chapters.
Reading Assignment
- Pyrczak and Bruce, pp. 35-44,45-62, 63-71 and 73-90 (6th, 7th, and 8th editions).
- Lang and Heiss, pp. 136-146 and 147-152.
- Isaac and Michael pp. 239-243.
- Turney and Robb pp. 21-31 (attached).
- Tuckman pp. 299-309.
- Material presented on the web.
Evaluation Successful completion of this assignment can be achieved by answering the following questions in typed format.
- Most research studies have an introduction presented prior to the statement of the problem. Why is this done?
- Why is background and significance used in research study?
- What are the four ways to show the need for undertaking a study?
- Why are limitations used in a research study?
- Why are assumptions used in a research study?
- What terms should be included in a definition of terms section?
- Why should a summary be included at the end of Chapter 1 of a research study?
THE RESEARCH PROPOSAL
The preparation of a research proposal is a prerequisite for conducting a formal research study. Regardless of whether one is conducting descriptive, historical, or experimental research, the proposal is fundamental, for few people are so sophisticated in conducting research that they can bypass this step in the research process.
The research proposal, or agendum, is a systematic plan, which brings together in organized form the preliminary planning that will be needed to accomplish the purpose of the projected study. In addition to presenting a descriptive account of the procedures and materials that are needed in the study, the proposal also serves two other important functions: It provides a blueprint by which the study can be directed; and it provides the means by which the study can later be evaluated.
Although much time and effort are required in preparing the proposal, an important advantage is gained from this task, for the initial plan is often improved through the constructive criticism, comments, and suggestions of other researchers who review the proposal. These critics may be directors of institutional research, the student's major advisor or advisory committee, research and statistical specialists, or other experienced researchers.
Since the agendum usually goes through a developmental phase in which deficiencies are corrected, an acceptable proposal is usually the result of several modifications. In most cases these modifications are the result of suggestions that the critics have given to the researcher after having read an earlier version of the proposal.
Essentially, research proposals can be categorized into three major groups. This division is based primarily on the type of study to be done and the purpose for doing it. The most common proposal is the type that is written by the graduate student for perusal by his adviser or research committee. This type of agendum is usually done in preparation for the master's thesis or doctoral dissertation. The writing of the proposal is considered an important first step in conducting research; therefore, it is a general requirement of most graduate schools for beginning researchers.
The second type of agendum is one that a researcher submits to a private or governmental agency. College faculty members and private researchers write most of the proposals in this category. Whether financial support is given depends upon the judgment of the reviewers with regard to the merit of the projected study as presented by the proposal.
Finally, in the third category is the agendum that is written by a school or college faculty member who seeks institutional aid or a faculty research grant. Since more money is now available for research than in the past, more administrators are encouraging their faculties to investigate areas of interest and concern in the field of education. This emphasis has been especially prevalent at the higher education level but is becoming more common at other levels. Teachers in many school districts have been asked to write an agenda and to forward them to the superintendent or to the school research committee for approval in conducting applied research within their own classrooms. As expected, proposals of this type are usually less detailed than the proposals in the other two categories.
PREPARING THE RESEARCH PROPOSAL
Regardless of the purpose, the research proposal must adhere to certain specifications that are basic to good research. Therefore, even though the format may differ, the essential elements of good research should appear in each proposal.
To help the researcher write the agendum, most governmental and private agencies and institutions of higher learning provide a list of requirements that state specifically the procedures to be filled. An example of such a set of requirements follows.
Procedures in Preparing Research Proposals
The research proposal should contain the following elements and should conform to the following specification:
THE TITLE. Enough information should be given in the title to identify the study; however, caution must be taken to see that the title is not tool long or too involved.
STATEMENT OF THE PROBLEM. This section should be primarily an expansion of the title and should be a simple declarative sentence there should be included a brief description of the major subdivision or aspects of the problem stated in general terms.
HYPOTHESES. Hypotheses are projections of the possible outcomes of the research and are not biased prestatements of conclusions. They present a framework for the analysis of the problem in relation to the plan of attack and indicate how the projected research must lead to one or another set of conclusions.
BACKGROUND AND SIGNIFICANCE OF THE STUDY. The theoretical and empirical framework from which the problem arises must be briefly described. A short statement of the value of the study and possible applications of the results is necessary. Also, the citation of a limited number of authorities to support the researcher's proposal may help in establishing the significance of the study.
DEFINITION OF TERMS. Only technical terms or words and phrases having special meanings should be defined.
LIMITATIONS OF THE STUDY. The boundaries of the study should be clearly stated in terms of the areas to which the conclusions will be confined. Reasons should be given for all limitations.
BASIC ASSUMPTIONS. Certain defensible assumptions may be necessary to the identification and clarification of a problem. In some cases separate treatment is desirable; in other instances the assumptions may be treated in connection with other topics. A defense should be offered for any assumption.
PROCEDURES FOR COLLECTING DATA. A complete, precise description should be given for instruments, materials, or devices used in the collection of data. Reasons should be provided for the selection made. There should be a detailed, step-by-step description of the ways in which data are to be collected. This description should include detailed information on the precise data to be collected, the population or sources to be used, sampling procedures, if any, and any other information necessary to further clarify the procedure.
PROCEDURES FOR TREATING DATA. It is necessary to describe precisely and specifically the way in which data are to be organized. The steps and techniques used to analyze and interpret the data should be presented in detail and should be defended.
In addition to the suggested specifications found above, other factors need to be considered in writing the proposal. Some institutions or agencies specify a maximum number of pages that the final draft of the proposal may contain and caution the researcher not to exceed that amount. Usually, the text of the proposal is expected to contain between 12 and 20 pages, but this may vary widely.
Personal information about the researcher is requested by most institutions, especially for agenda in the first and second categories mentioned previously. This information usually includes the researcher's educational background, school experience, and expertise, if any. Most of the proposals written by graduate students are submitted for degree requirements; therefore, besides the other information, the student could include courses completed, grades received, and the names of his advisory committee members.
Let us now consider the previously listed elements of the research proposal and how they should be presented in the text of the proposal. Although the following discussion will pertain primarily to those proposals that are written by graduate students, the suggestions and examples have considerable application to the other types as well.
The Title
Care should be taken in selecting the title for the proposal, because it is usually the same title that will be used later for the research study. In selecting a title, the researcher should consider several things. First, the title should be specific to the area of study, but should not be too lengthy or too involved. It must be remembered that the proposal study cannot completely be presented in the title.
Consider the following as an example of a title that is too lengthy:
AN APPRAISAL OF THE ELEMENTARY TEACHER EDUCATION PROGRAM AT WESTERN STATE UNIVERSITY BY PRESENT AND FORMER STUDENTS WHO ARE AT THREE LEVELS ACCORDING TO THEIR SCORES ON THE WESTERN STATE UNIVERSITY EXAMINATION, ROCHEACH'S DOGMATISM SCALE, GRADE-POINT AVERAGES, AND STUDENT TEACHING GRADES.
Whereas some of the information in the title is necessary to identify the study, certainly not all of it is needed. It would seem that the title AN APPRAISAL OF THE ELEMENTARY TEACHER EDUCATION PROGRAM AT WESTERN STATE UNIVERSITY would give sufficient information about what kind of study it is.
Secondly, the title should indicate the topic of the study, but should not be so broad as to be nebulous. For example, the title AN APPRAISAL OF A COLLEGE PROGRAM is too general. One does not know by the title what kind of college is being appraised. It could be a college within a university, a teacher's college, or a liberal arts college. To improve the title the researcher would need to state which college of what type of college is involved in the study.
Thirdly, the language in the title should be professional in nature but not pedantic. Although it is recognized that technical terms and professional jargon are sometimes necessary in a title, the researcher should not go out of his way to impress others with his professional vocabulary. The title A CONCEPTUALIZATION OF A THEORETICAL EXEMPLAR OF ANALYSIS OF DEVIANT DIDACTIC DISCOURSE is an excellent example of the overuse of pompous words. A more fitting title would be: A MODEL FOR ANALYZING DIFFERENT LEVELS OF CLASSROOM TALK.
Although these examples are a bit exaggerated, they do show the need for a clear, succinct title that gives sufficient information. The following titles have been judged to meet the criteria stated earlier:
TELEVISION VIEWING HABITS OF TEXAS JUNIOR HIGH SCHOOL STUDENTS
A STUDY OF ANXIETY OF UNDERACHIEVING FIRST-GRADE STUDENTS
ATTITUDES OF HIGH SCHOOL TEACHERS TOWARD RACIAL INTEGRATION IN THE SECONDARY SCHOOLS OF ALABAMA
A COMPARISON BETWEEN TWO METHODS OF TEACHING NINTH-GRADE COMPOSITION
AN ANALYSIS OF PROBLEMS OF HIGH SCHOOL SENIORS AS INDICATED BY THE MOONEY PROBLEM CHECK LIST
A COMPARISON OF VOCABULARY LEVELS IN FIVE ELEMENTARY READING TEXTBOOK SERIES
THE PREDICTIVE VALUE OF ENTRANCE TESTS AT LOWHEIGH UNIVERSITY
A FOLLOW-UP STUDY OF SCHOOL DROPOUTS IN THE BOISE, IDAHO SCHOOL DISTRICT
Statement of the Problem
The same criteria for selecting the title should be kept in mind by the researcher when he writes the statement of the problem--clear, simple, and concise statements are preferable. Whereas the title is seldom stated in the form of a question, the statement of the problem sometimes appears as a question. The question is used to bring the problem into greater focus, and in some cases, both the declarative sentence and the question are used. This is generally done when there are subproblems within the larger, major problem. An example of this is:
The central problem of this study is to determine how present and former students of the Elementary Teacher Education Program at Western State University appraised professional aspects of the total program they were receiving or have received in their teacher education preparation.
The fundamental task that is basic to this major purpose is that of selecting a method that will reveal most accurately the present and former students' appraisals of the elementary teacher education program. Subproblems are indicated by the following questions:
- What are the factors that differentiate the courses named by the students as being the most and least valuable?
- What are the major strengths of the elementary teacher education program as indicated by the students at three levels of experience?
- What are the major weaknesses of the elementary teacher education program as indicated by the students at three levels of experience?
Hypotheses
Hypotheses are formulated to explain observed facts, conditions, or behavior and to serve as a guide in the research process. These statements may or may not be accurate; therefore, each hypothesis is individually tested to determine whether it is tenable.
Although one may state hypotheses about a given situation, this does not mean that these statements are acceptable for research purposes, since there may be several conditions that are considered necessary if hypotheses are to be used correctly by researchers. Some suggested guides for developing hypotheses are:
- Hypotheses should be developed specifically in terms of the present investigation rather than in terms of broad, unrestricted generalities.
- Hypotheses should be made only when they can be tested.
- Hypotheses should, whenever possible, show a stated relationship among variables in the study.
- Hypotheses should be stated in clear, concise, and understandable language.
For example, let us evaluate the following hypothesis using the above criteria: Good listeners are good readers. This statement is a hypothesis according to the definition; but it does not adequately meet the four stated conditions. Even though it vaguely indicates a relationship among the variables, this statement does not fulfill the other requirements. As presently stated, it would not be acceptable as a research hypothesis. The following version of the previous hypothesis meets the four conditions:
Students in the upper quarter of their class, according to their scores on the S.T.E.P Listening Test, will achieve significantly higher scores in reading achievement as measured by the Iowa Silent Reading Comprehension Test than students receiving scores in the lower quarter on the listening test.
For research purposes, this revised statement is an improvement over the original hypothesis because it is stated in terms that are restricted, testable, related, and exact.
Research hypotheses may also be stated in the "null" form. A null hypothesis is a nondirectional hypothesis that states that no difference or no relationship exists. An example of a null hypothesis follows:
There will be no significant difference between group means for students on the Iowa Silent Reading Comprehension Test who rank in the upper quarter of their class on the S.T.E.P. Listening Test and those who rank in the lowest quarter.
Should the results of such a study indicate that the students in the upper quarter of their class, according to their listening scores, in fact scored significantly higher on the reading test, the null hypothesis would be rejected. However, if no significant difference in the reading scores existed, the null hypothesis would be retained.
There is some disagreement among researchers concerning the value of this type of Hypothesis. Since the null form does not attempt to predict the outcomes or results of a study, those who criticize this type of Hypothesis stress that it is "too timid." They argue that a researcher should indicate the direction of the outcomes of his study whenever possible. They further argue that predicting the results of a study is less awkward in phrasing a relationship, or lack of one, than in using the "no difference" phrase that is common in the null form.
On the other hand, the proponents who urge the use of the null form in writing hypotheses emphasize the fact that the researcher must remain unbiased throughout his research efforts. The null hypothesis is defined on this basis because the researcher neither predicts nor indicates any preconceived attitude that might influence his behavior during the conduct of the study.
Since there is some disagreement among researchers concerning the value and use of the null hypothesis, a researcher writing his proposal may wish to seek guidelines from the appropriate institution or agency. In the case of students, they may consult their major advisor or research committee for this information.
Background and Significance of the Study
In this section of the proposal the researcher will demonstrate that he has an understanding of his study in a theoretical framework. Based on this foundation the researcher justifies the need for, and the value of, his study. One way to accomplish this is to document the need for the study by presenting the supporting statements of other researchers.
A second way of showing the need for a study is to reveal the lack of information about a research topic, but in doing this, the researcher has the obligation of defending the value and worth of such a study. This is particularly true in cases in which there is a paucity of information available to the researcher.
A third means of establishing a need for a research study is to show the time lapse between the previous research study and the present one. A replication of earlier studies is sometimes justified when new knowledge, techniques, or conditions indicate a need for updating the study.
A fourth and final way is to reveal that there are gaps in the knowledge supplied by other research studies and to show how the present study will augment the findings of the other studies.
Definition of Terms
All terms that might be ambiguous or esoteric should be clarified in this section of the proposal. A clear understanding of the use of terms in the research study is important in communicating the correct idea. For example, the term elementary sequence has no exact, universal meaning. Therefore, it should be defined according to the use it will have for a particular study. For example, this term may be defined in the following way:
Elementary Sequence -- This term refers to a sequence of eight courses in elementary education that are required of all elementary education majors at Western State University.
Another example is that of the term evaluation. It was defined in one research study to mean "the total efforts of all of the individuals involved to appraise a teacher education program." However, during the course of the study the researcher also used the term student evaluation, making it necessary to define how these two terms -- evaluation and student evaluation -- differed.
This section of the research proposal also would call attention to the use of a shortened or abbreviated form of a title or name. Instead of referring to the title Elementary Teacher Education Program at Western State University each time, the following statement could be made:
The Program -- This term refers to the Standard Four-Year Elementary Teacher Education Program at Western State University.
When in doubt about the meaning of technical terms in the fields of education, psychology, and sociology, the researcher may wish to consult the following sources: The Dictionary of Education, edited by Carter V. Good; The Comprehensive Dictionary of Psychological and Psychoanalytical Terms, edited by Horace B. English and Eva C. English; and The Dictionary of Sociology, edited by H.P. Fairchild. Each of these dictionaries is a valuable and necessary source for definitions of technical terms.
Limitations of the Study
Every research study is likely to have certain limitations, and it is the researcher's obligation to report those factors that impose limitations upon his study. Two major categories into which the limiting factors can be classified are conceptual (or definitional) and methodological.
The conceptual or definitional limitations are present in any study in which "global terms" are used but are not carefully defined. Such terms as ":achievement," "learning," "motivation," "personality," and "intelligence" are examples of global terminology. Since each of these terms can be used in many different ways, the researcher must define them in the specific way that he plans to use them.
Some researchers find it necessary to develop their own terminology. This alternative is permissible provided that the terms or concepts are specifically defined.
The methodological limitations of a study are those limiting factors that affect the procedures of, and interpretations by, the researcher in conducting his research. These limiting factors may be evident in the sampling procedures, the techniques of data collection and analysis, the development of measuring instruments and their use in the study, and so forth.
A frequent methodological error committed by beginning researchers is the failure to acknowledge in the statement of limitations, that the findings of their research are limited by factors and conditions affecting their study. For example, a researcher who is doing a study based on data collected by means of a questionnaire should acknowledge that the validity of his findings will depend upon such factors as an adequate return of questionnaires by the respondents, the mood of the respondents when they complete the questionnaires, and the quality of the questionnaire items. Regardless of the type or number of limitations that are involved, the researcher must list all important limitations of the study to demonstrate that they exist.
Basic Assumptions
An assumption is a representative statement of an idea that is accepted as true. In a research situation, statements of this type are referred to as basic assumptions because they are the foundation upon which the research study is based. They are written to reveal what the researcher, and other, theorize to be true in the study to be conducted; moreover, they are also written to indicate those factors affecting the study that are necessarily unalterable.
When writing basic assumptions one must give serious consideration to the defensibility of each statement. This defense should be based upon logic, empirical evidence (objective data), or authoritative sources. Unless at least one of these criteria is evident, the basic assumption cannot be defended and, therefore, should not be accepted.
For example, in the study An Appraisal of the Elementary Teacher Education at Western State University, mentioned earlier in this chapter, the basic assumptions and the reasons for selecting them were:
- Student appraisals should supplement administration and faculty evaluations of the Program.
This assumption was based on the logic that one cannot conduct a complete evaluation without including all who are involved; therefore, based on this reasoning student responses are needed to give a complete picture of attitudes toward the Program.
- Present and former students can and do make appraisals of the type of education they are receiving or have received.
This assumption was based on empirical evidence by both present and former students who were more than willing to express their views about the education they were receiving or had received in college. This fact was documented in a review of the literature of other appraisal studies as well as in a pilot research study.
- An instrument can be devised that will permit the subjects to report their appraisals accurately.
This assumption was based on the statements of authorities in the field of tests and measurements and upon the observations of researchers who have refined appraisal instruments in pilot studies through the suggestions of participants.
Certainly, the value of any study would be debatable if its basic assumptions were questionable; therefore, researchers in writing their proposals should select their basic assumptions with care and be particularly aware of certain common errors. The first of these is the failure to state all of the basic assumptions that are relevant to the study. This occurs when an assumption is implicitly accepted without being explicitly stated. This situation is sometimes found in questionnaire studies, in which necessary assumptions have been taken for granted without being designed as basic assumptions of the study. For example, the belief that participants' responses to; questionnaire items are based on their "real" or "true" feelings is basic to any questionnaire study. Perhaps this belief cannot be adequately defended, but the researcher is obligated to state this assumption.
The second error concerns irrelevant assumptions. These are assumptions that are neither applicable nor necessary to the study. An example of this would be a supposition about the age of participants and the effect it has on their behavior, although age is unimportant to the conduct of the study.
The third error is that of using unsubstantiated assumptions. This involves making an assumption that cannot be defended by any of the criteria stated earlier in this section. The neophyte researcher who develops and used his own test in his research sometimes commits this error when he assumes too mush about the instrument. Without having determined its validity and reliability, the researcher cannot assume that it is a valid and reliable instrument. To avoid making an unsubstantiated assumption the researcher should go through the process of validating his instrument or use another instrument that has been already validated (a valid instrument is one that measures what it is purported to measure). Having done this, the researcher can make a basic assumption about the instrument that he will use in his study.
Procedures for Collecting Data
Any discussion of the procedures for collecting data must give attention to three considerations. First, the researcher must determine the kinds of information needed to answer the research questions, then he must ask what kind of data will supply the requisite information. Secondly, the researcher must know where the data can be found. Finally, he needs to know the means by which he will gather the information for his study.
The use of standardized instruments, such as intelligence tests, achievement tests, inventories, rating scales, and so on, is a common means used for collecting data. But before one decides to use any standardized instrument, he should consult the Mental Measurements Yearbooks and other similar sources to see if the instrument is appropriate for the task of collecting the desired data.
In a case in which a researcher has developed a new instrument, he should briefly describe the instrument and its purpose in the research proposal. In addition, he should describe the procedure used to validate the instrument.
Other means of collecting data are through observation of behavior and through the synthesis of literature previously written about the topic. A detailed discussion on tools and techniques of data collection may be found in Chapter 9.
Procedures for Treating Data
In this final section of the proposal the researcher describes how he plans to organize the data of the study so that they can be analyzed. Following this procedure, the researcher discusses the techniques for determining the meaning of the "processed" data.
If a statistical treatment of the data is to be used, it should be described also in this section of the proposal. Moreover, the researcher should discus the appropriateness of a given statistical technique for this study. Of course, after the data have been collected it may be necessary to revise or extend the statistical treatment because of unforseen circumstances.
A thorough discussion of the procedure for treating the data is important, because in this section of the proposal the researcher reveals his understanding of methods of research. It is in this section that the sophisticated researcher also shows his ability to organize and utilize data in the most efficient manner.
Turney and Robb. pp. 21-31.
