The Design Structures of a Plan or Proposal

Researchers are tasked with the responsibility of clearly outlining their research in a plan or a proposal. The
audiences for these plans and proposals are varied from supervisory committee members to funding review
panels. A review of final written products for qualitative research points to great diversity. No set format exists
yet there exists some design elements for engaging your reader, and several writers suggest general topics to be
included in a written plan or proposal for a qualitative study. In the following section, we describe six design
elements that might make the study plan or proposal attractive to a reader.

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Design Considerations Useful for Engaging Readers
In many cases, it is advantageous for research to be distinctive. In our experience, benefits from such types of
research have ranged from securing funding to publishing opportunities. The following list provides some
ideas for study elements to consider when thinking about your study design and these are further expanded in
Creswell (2016).

Study a unique sample. Is there a sample or population that has not yet been studied? By studying an
unusual group of people, researchers may gain new insights into well-established research areas.
Assume an unconventional perspective. Are there angles or perspectives that may not be expected in your
area of study? It might well be the reverse side (the shadow side) of what is expected.
Observe an uncommon field site. Is an unusual group of people or an unusual location that could be
accessed? It may be that access is now available in cases where it was not previously.
Collect atypical forms of data. Are the data sources that are appropriate yet not typically expected in social
science research (e.g., collect sounds, have participants take pictures)? As new media emerges (see
Halfpenny & Procter, 2015), researchers have opportunities for contributing new methods.
Present findings in an unusual way. Are there ways of presenting my findings that are influenced by the
data I collect? There diverse options exist such as through the creation of analogies (see Wolcott, 2010)
or maps or other types of figures and tables.
Focus on a timely topic. Is there a topic warranting research that is drawing a lot of attention? When
many individuals are discussing topics, often these topics are also being covered by the news media. In
some cases, funding priorities may also shift toward those topics.

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General Writing Structures
Comparing across the differing formats of writing qualitative studies (e.g., Creswell, 2014; Marshall &
Rossman, 2015; Ravitch & Mittenfelner Carl, 2016), we see common structures for guiding the writing
process of a proposal. Next, we describe each of the six parts and highlight the topics where there might be
variation due to the inherent nature of different perspectives adopted in qualitative studies. For each section,
we provide examples that list the arguments to be advanced in a qualitative proposal (adapted from Creswell,
2014; Maxwell, 2013). These structures and resources, in addition to the Essentials of a Qualitative Doctorate
(Holloway & Brown, 2012), are especially helpful for the student who has never written a thesis or
dissertation project. Greater details for composing each of the six parts of the proposal are addressed in
subsequent chapters in this book.

1. Introduce the problem to be studied. The introduction generally includes three sections: statement of
the problem, purpose of the study, and research questions. The sections within the study introduction
may vary across studies adopting different perspectives; for example, whereas a separate section
reviewing literature may be optional in a study adopting a constructivist/interpretivist perspective, the
identification of a specific transformative issues being explored is expected in studies adopting a
transformative perspective. Researchers may find the following questions useful for guiding their
introductory arguments: What do readers need to better understand your topic? What do readers need
to know about your topic? What do you propose to study?
2. Describe the procedures guiding the study. The description of the study procedures generally includes
eight sections: philosophical assumptions or worldview, qualitative research approach used, role of the
researcher, data collection procedures, data analysis procedures, strategies for validating findings,
proposed narrative structure of the study, and anticipated ethical issues. Variation in how the procedures
are described may occur across studies adopting different perspectives; for example, a collaborative form
in data collection is emphasized in studies adopting a transformative perspective and trustworthiness is
emphasized in place of what we have been calling validation. Researchers may find the following
questions useful for guiding their procedural arguments: What is the setting, and who are the people
you will study? What methods do you plan to use to collect data? How will you analyze the data? How
will you validate your findings? What ethical issues will your study present?
3. Report the preliminary study findings (if available). The reporting of the preliminary study findings may
be available if a pilot study was completed or may be omitted completely. Researchers may find the
following question useful for guiding their findings arguments: What do preliminary results (if available)
indicate about the practicability and value of the proposed study?
4. Outline the anticipated study implications. This section generally involves specifying the significance of
the study. The descriptions of anticipated outcomes are expected to vary across studies adopting
different perspectives; for example, whereas a study adopting a constructivist or interpretivist perspective
may describe expected impacts, a study adopting a transformative perspective mentions or advocates for
the anticipated changes that the research study will likely bring. Researchers may find the following
question useful for guiding their implications arguments: What significance does the study intend to

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 have?
5. List the references cited in the study. This section involves listing the references cited in the proposal. It
is important that only references that have been cited within the text are included in this list and not
those references that were simply consulted during the writing process.
6. Include essential documents as appendices. The focus and quantity of the appendices will differ by study
and audience for the proposal. Most common is the inclusion of entry letters, methods protocols (e.g.,
interview questions, observation forms), and proposed timelines. Less common is the inclusion of
informational documents such as a proposed budget and a summary of the proposed content of each
chapter in the final study.

These six arguments represent the most important points to include in a qualitative proposal and, in our
experience if adequately addressed and used as an organizing structure, create a well-written proposal. It is
important to note that these structures speak only to designing a plan or proposal for a qualitative study. In
addition to the topics of these proposal formats, the complete study will include additional data findings,
interpretations, and a discussion of the overall results, limitations of the study, and future research needs.

Chapter Check-In

1. Do you see how authors incorporate the characteristics of qualitative research into their published studies? Select one of the
qualitative articles presented in Appendices B through F. Begin with identifying each of the characteristics advanced in this
chapter (summarized in Table 3.1) as they have been applied in the journal article. Note which characteristics are easy and
which are more difficult to identify.
2. What structures describe the flow of activities from a published qualitative study? Select one of the articles in Appendices B
through F. Begin with listing the activities described in the article. Then indicate the “larger ideas” using boxes or circles and
the sequence of ideas using arrows. For example, one study may start with a discussion about the problem and then move on
to a theoretical model and then on to the purpose, and so forth.
3. What ethical issues do you recognize, and what options are available for addressing? Choose one of the ethical issues that
arise during the process of qualitative research from Table 3.2. Consider a situation that would give rise to this ethical issue
within a research study you would like to conduct and then describe as many options as possible about how you might
address it in the design of your study.
4. What design considerations can you use to begin designing your qualitative study plan or proposal? Consider which (one or
more) of the design considerations for engaging readers fit your project and discuss how they relate to your study and then
develop a general outline for how you might organize and present the topics in your own study.

Summary

In this chapter, we provided an overview of and introduction to qualitative research. We began with our definition of qualitative
research as an approach to inquiry that begins with assumptions, an interpretive or theoretical lens, and the study of research
problems exploring the meaning individuals or groups ascribe to a social or human problem. Nine common characteristics for
qualitative research were described, including collecting data in natural settings with a sensitivity to the people under study, using
inductive and deductive analysis strategies to establish patterns or themes, and developing a complex description and interpretation
of the problem that provides for the voices of participants and a reflexivity of the researchers. Recent introductory textbooks
underscore the characteristics embedded in this definition. Given this definition, a qualitative approach is appropriate for exploring a
research problem; when a complex, detailed understanding is needed; when the researcher wants to write in a literary, flexible style;
and when the researcher seeks to understand the context or settings of participants. Qualitative research takes time and expertise as it
involves ambitious data collection and analysis and results in extensive reports. Although qualitative research does not have firm
guidelines, consensus exists as to the criteria for a good study: rigorous data collection and analysis; the use of a qualitative approach
(e.g., narrative, phenomenology, grounded theory, ethnography, case study); a single focus; a persuasive account; a reflection on the

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researcher’s own history, culture, personal experiences, and politics; and ethical practices.

The process of designing a qualitative study emerges during inquiry, but it generally follows the pattern of scientific research. It starts
with broad assumptions central to qualitative inquiry, and an interpretive or theoretical lens and a topic of inquiry. After stating a
research problem or issue about this topic, the inquirer asks several open-ended research questions, gathers multiple forms of data to
answer these questions, and makes sense of the data by grouping information into codes, themes or categories, and larger
dimensions. The final narrative the researcher composes will have diverse formats—from a scientific type of study to narrative
stories.

Ethical issues need to be anticipated and planned for in designing a qualitative study. These issues arise in many phases of the
research process. They develop prior to conducting the study when researchers seek approval for the inquiry. They arise at the
beginning of the study when the researchers first contact the participants; gain consent to participate in the study; and acknowledge
the customs, culture, and charters of the research site. The ethical issues especially arise during data collection with respect for the
site and the participants and gathering data in ways that will not create power imbalances and “use” the participants. They also come
during the data analysis phase when researchers do not side with participants, shape findings in a particular direction, and respect the
privacy of individuals as their information is reported. In the reporting phase of research, inquirers need to be honest, not plagiarize
the work of others; refrain from presenting information that potentially harms participants; and communicate in a useful, clear way
to stakeholders. In publishing research studies, inquirers need to openly share data with others, avoid duplicating their studies, and
comply with procedures asked by publishers.

Finally, the structure of a plan or proposal for a qualitative study will vary, and considering ways to engage readers is useful. We
describe each of the six common parts, highlight the topics where there might be variation due to the inherent nature of different
perspectives adopted in qualitative studies, and focus on the essential arguments that researchers need to address in proposals.

Further Readings

The following resources are offered as foundational references for designing a qualitative study. The list should not be considered
exhaustive and readers are encouraged to seek out additional readings in the end-of-book reference list.

American Psychological Association. (2010). Publication manual of the American Psychological Association (6th ed.). Washington, DC:
Author.

A must-have resource for guiding effective communication with words and data, each new edition reflects the latest guidelines—for
example, referencing electronic and online sources in the 6th edition.

Creswell, J. W. (2014). Research design: Qualitative, quantitative, and mixed methods approaches (4th ed.). Thousand Oaks, CA: Sage.

John W. Creswell presents an excellent resource across three approaches to research. Using the research process as the organizing
structure allows the reader to see how each approach are operationalized in a study.

Hatch, J. A. (2002). Doing qualitative research in education settings. Albany: State University of New York Press.

J. Amos Hatch adopts a step-by-step approach to study development emphasizing learning the craft of doing qualitative research.
He uses data from real studies to elucidate analyses processes, which is useful for any researcher.

Holloway, I., & Brown, L. (2012). Essentials of a qualitative doctorate. Walnut Creek, CA: Left Coast Press.

Immy Holloway and Lorraine Brown provide a useful guide for navigating the proposal, writing, and defending doctoral research. In
particular, we found the chapters on proposal writing and importance of ethical issues helpful.

Maxwell, J. (2013). Qualitative research design: An interactive approach (3rd ed.). Thousand Oaks, CA: Sage.

Joe Maxwell describes a stepwise approach to planning qualitative research emphasizing how the research design components
interact with one another. A noteworthy aspect of this book is the embedded comments within two examples of qualitative
dissertation proposals.

Mertens, D. M., & Ginsberg, P. E. (2009). The handbook of social research ethics. Thousand Oaks, CA: Sage.

Handbooks provide a foundation, and editors Donna Mertens and Pauline Ginsberg deliver a useful starting point for research

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