dba handbook stage 2

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DBA Student Handbook 2:The Research Proposal


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DBA Research Proposal Manual

Content

1. The Research Proposal Manual1.1 Aims and objectives1.2 Status

2. Introduction2.1 An important new stage2.2 A health warning2.3 Handling this new task

3. Requirements of DBA research3.1 Fundamental research requirements3.2 DBA applied strategic research

3.3 Oversight of the DBA3.4 DBA Research Committee

4. Your research proposal4.1 The purpose of a research proposal4.2 Development of your proposed research

5. Submitting the research proposal5.1 Required format and submission process5.2 Review process

6. Provision of a mentor

6.1 The discipline of reporting6.2 The operation of reporting

7. Appendices7.1 Developing your proposed research7.2 Research development questions7.3 The format of the research proposal7.4 The abbreviated proposal as a basis for research development7.5 DBA research proposal progress report7.6 DBA research proposal feedback form7.7 The research proposal timetable7.8 Research Proposal Pro Forma


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1. The research proposal manual1.1 Aims and objectivesThe aim of this manual is to assist you through the process of research designand up to the formal completion of this stage when you successfully submit aresearch proposal to the DBA Research Committee. It sets out in part theformal requirements for the programme. It also introduces the voluntary facilityof mentoring which you are encouraged to use and which seeks to assist youin making the crucial early decisions in designing your research.

1.2 StatusThe 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 assistingyou through the critical stage. It achieves this by being selective, toemphasise points but not to be comprehensive; instead, to give focus. Itselects 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 theintention of helping you through it. Thus it seeks to abbreviate, recall, select,focus attention, concentrate on structure, while attempting to avoidduplication.

This approach to amplification means that this is a guide and not the ultimatesource of information. It is a guide and should not therefore be interpreted asthe final word on policy. On such matters you are encouraged to visit HeriotWatt University & EBS websites to obtain documents for the definitiveregulations. The guide is based on the three Introduction to BusinessResearch (IBR) courses you have already completed. In order to underline theinterconnectivity 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. Itis specifically aimed at you with your experience of business and of managingpeople. It attempts to empathise with you as you start this process. It drawson personal experience of research as well as published material on theresearch process.

2. Introduction2.1 An important new stageWhen 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 thatsituation, you are ready to start on the first step of the research element of theprogramme. This step entails submitting your research proposal to the DBAResearch Committee for approval. In short, you have reached the stage whenyou commit yourself to the design of the research which forms the bulk of therest of the programme.

This is self-evidently an important stage. It is the start of a journey and a longprogramme. 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 anymajor project, as explained in the Project Management course. Almost for thelast time you are presented with a blank page on which you can register yourchoices. It is a time for instance, when you can completely rewrite theresearch statement contained in your application form in the light ofsubsequent 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 yourwork is reported to the DBA Research Committee. It is a time when youdevelop the habits which will stand you in good stead during the researchprocess. It is a time when you receive feedback from a mentor and theResearch Committee. The end product provides the basis on which thesupervisor is appointed. The nature of research is that the aims and objectivesare 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 warningAn issue, which is no different for this programme than for any other doctoralprogramme, is that doctoral research is a long and difficult process. It requiresstamina when progress is slow, persistence when complications arise, theability to be a self-starter, to pursue ideas with enthusiasm and the skill tothink critically.

You have already demonstrated these qualities in an academic context duringthe study element of the DBA and also when studying for your MBA, whetherat EBS or elsewhere. You will similarly have considerable experience of these

qualities in your career so far. You have therefore reason to be confident thatyou possess these qualities. However, you should recognise that research isa very different experience from studying courses or managing organisations.A good course has a clear structure and a fixed end point. Research oftenchanges over time and can take a long time to complete. In your job, you workwith teams and delegate. In doctoral research, you are in a team of one, theresearch has to be your own work, you have to do the work alone and you areexamined individually.

This will be a very different experience from studying and being examined oncourses in the study element. With the courses, the scope of study is definedby 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 oflooking at a problem. It is one thing to read a series of texts, understand themand pass all the required examinations. It is quite another to design andimplement a research programme where detailed independent critical poweris required.

Most people respond well to the challenge of the difference, but you should beaware that some do not. For some the open-ended nature of the task proves


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too much. For others, the difficulty is to deliver critical thinking. They areaccustomed to learning from the course and making the occasional originalcomment. Being consistently critical of information and checking assumptionsmay not be one of your strengths.

2.3 Handling this new taskYou should not, however, be daunted by the task. Your abilities have alreadybeen demonstrated. You have been prepared by the Introduction to BusinessResearch courses (which you may realise is a rare assistance in doctoralprogrammes). These have given you tools which you can now use. You alsohave the portfolio of subject area knowledge. The research proposal providesyou with a template to structure your work around.

You will make the task easier if you develop disciplined habits of researchplanning and progress reporting. These form a cornerstone of the operational

design of the programme and are covered extensively in the Introduction toBusiness Research courses. A model for the time schedule and the progressreporting is to be found as an appendix to this document. Establishing thisdiscipline early on and forming the correct habits will be vital to the success ofthis programme. Furthermore, you can adopt the approaches of selfassessment set out in the texts in the form of Personal Progression Reviewsin IBR1:2.7.

Although much of the Business School input is in terms of defining themechanisms by which you can perform the task, there are additional elementsthat help. Mentoring, which is voluntary on your part, provides guidance and asounding board for your ideas as you work on them. Feedback on your

progress reports provides duly considered guidance.

3. Requirements of DBA research3.1 Fundamental research requirementsResearch requires independent thought, thorough investigation and critical thinking.

You set the parameters of your work. You choose the subject of study. Youselect the way you are going to study that subject and the conclusions drawnfrom the information you collect. Others do not set the parameters for study,as for course material, coursework or examination in the study element of theprogramme.

To research means to investigate thoroughly. It is not sufficient to satisfy yourown standards; you must be able to have answers to questions that othersmay reasonably ask. For example, you may find assumptions that seemobviously correct to you, may not be obvious to others, or may, on closerinspection, actually be wrong. To be thorough, you need to spot thoseassumptions and provide the justification or indicate that justification isneeded as part of the research.


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Furthermore, research requires critical thinking. The standards of enquiry inresearch are high. Critical means to offer opinions or judgements on both theliterature and the research findings.

You are reminded of the University regulations that a doctoral thesis shallform a contribution to the knowledge of the subject and afford evidence oforiginality, shown either by the discovery of new facts or by the exercise ofcritical thinking. The meaning and implications of these regulations for yourDBA research are fully discussed in IBR1:1.3.1. In summary, the maincriterion for the acceptance of a research topic is that it is relevant to the areaof strategic focus, and is sufficiently applied and can be researched to asufficient depth to allow the generation of a doctoral thesis which satisfies thequality criteria for doctoral research at the University

3.2 DBA applied strategic research

DBA research is required to be applied and strategic, rendering the DBAdistinctively different from a PhD. The nature of the Edinburgh BusinessSchool DBA is that it stresses applied research. The word applied can bedefined as toput to practical use. It is not sufficient to consider an abstractsubject of no obvious interest to the executive in the practice of managementand business. The subjects of research are intended to be useful tomanagers. You may have considerable experience and often-significantresponsibilities in business and management; you are unlikely to want toconsider something divorced from the world you inhabit. You are much morelikely to want to investigate a subject which resonates with your experience,your present work, or your aspirations. For further discussion of appliedresearch see IBR1: 4.2

DBA research is also strategic. Strategy is the essence of Strategic Planningand the other Strategic Focus courses you have studied. Should you needfurther clarification on the meaning of strategy, you may revisit these courses.Furthermore, you have an understanding of the practice of strategy from yourwork as you almost certainly have strategic responsibilities, or alternativelyreport to or advise strategic decision makers. As discussed below, you havethe option of strengthening the link with Strategic Focus by choosing researchtopics drawn from the subject itself.

3.3 Oversight of the DBAThe DBA Research Committee has primary oversight of DBA research. It sets

the standards for applied research and is the ultimate authority. The processof oversight has been set up to ensure that the system is workable and givesa timely response.

3.4 DBA Research CommitteeThe Committee is composed of senior faculty members of EdinburghBusiness School and Heriot-Watt University. It has at least one externalmember, appointed by the University, who is normally a senior member of


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another UK university. The Research Committee meets regularly to considerresearch proposals.

The DBA Research Committee considers all your submissions includingresearch proposal reports and the research proposals.

It can record concern at any time in response to a progress report and can:

ask you and/or the mentor for more information;

issue any advice or directives it considers appropriate in steeringyou towards applied research of DBA standard.

Though the role of the Research Committee is pivotal for the development ofyour research, Heriot-Watt University has ultimate control of the examinationunder which your research will finally be assessed.

4. Your research proposalThe essence of this stage is the production of a DBA research proposal,which is a formal requirement of the programme. The DBA research approachmakes central use of the research proposal as the first stage of the researchdevelopment. You are required to prepare a research proposal for submissionto the DBA Research Committee and for it to accept and comment on. Theresearch proposal is both the end point of this stage and the kernel of theentire research undertaking

4.1 The purpose of a research proposal

The research proposal serves many functions in that it:

establishes standards of comprehensiveness;

ensures that the research meets requirements;

stimulates clarity of thought;

is a catalyst for the process of choice commitment requiringclarity of definition and establishing a fixed point, a personalmilestone;

formalises the research, setting it out in detail, forcommunication to others and providing an enduring referencepoint for review;

establishes the basis for feedback and improvement.

The critical task when starting research is to set out the elements in a waywhich helps you to understand the research and provides documentation forothers. Writing the research proposal is an essential part of the researchprocess, not only helping to clarify thoughts, but also making possible theorganisation of ideas into a coherent research strategy and methodology. Theresearch proposal must communicate your knowledge and understandingboth succinctly and effectively. You may have an excellent research strategy


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but struggle to communicate it effectively through the research proposal. Youshould appreciate that it is very important for the research proposal to bewritten in the most effective manner possible. If it is not, the ResearchCommittee will not accept it.

The preparation of a research proposal satisfies a need to think through andplan the research carefully. Developing a research proposal is a process ofplanning, designing and setting up the research, including placing it in contextand embedding it in the relevant literature. Proposal writing will force you tostructure and criticise each part of the research. IBR 1 provides you with theskills to evaluate your own proposal.

The research proposal provides the basis on which others can review theresearch for comment, encouragement and suggestions for improvement. It isa 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 atall stages) should not be underestimated. Feedback gives you the opportunityof improvement. Another mind often sees things differently. The experience ofothers and their knowledge of the field are likely to be invaluable inputs.

You should think about the research proposal very carefully before startingwork and allocate plenty of time for writing it. The necessary background workand research could go on for several months before the research proposal iswritten. Actually writing the research proposal could take anything from four orfive days to several weeks. A finished research proposal is a far moresophisticated 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 researchThe entire research proposal process described here aims to help youdevelop your own DBA research. This section of the manual focuses on theprocess of developing research ideas. It draws on many points from theIntroduction to Business Research courses but may add value by bringing theelements together in one section.

You are encouraged to rewrite the description of the research which youprovided with your application.

During the early part of the development, you may find it helpful to use theabbreviated research proposal format. This focuses on those parts of theresearch proposal important for development. For example, the abbreviatedproposal requires a more limited skeletal literature review. This format doesnot have any elements that are not in the full proposal. Its purpose is toenable you to concentrate your effort in the early stages of development sothat when the key elements are decided, then you can flesh out the rest in thefull research proposal. The abbreviated research proposal is in Appendix 4.


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You will also find advice on developing your research in Appendix 1. Thisseeks to share insights drawn from experience of developing ones ownresearch and supervising or examining the work of others. Some of theillustrations are personal but are not necessarily of less value for that.

Your own experience in business and management and what you have learnton the programme so far are likely to be powerful sources of research ideas.This is especially true of the Edinburgh Business School DBA students whooften have more experience and are often more senior than students on otherDBA programmes. For this reason, you are asked to write informal answers totwo simple questions. One provides the opportunity to describe an experiencethat interests you, and the other to identify ideas from the literature you havealready studied on the programme. Some of you will choose a topic fromsomething that interests you. Indeed, you are encouraged to do so, since youare 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 ResearchProposal Work Plan. Each period is two months. The work plan will be theloadstone for your development work. A key question as you develop the planis how long you think you will need to complete the research proposal. Youmay expect to complete the proposal in six months or may want longer. Theresearch proposal work plan is Appendix 7.

5. Submitting the research proposalThe research proposal is submitted and reviewed according to a standardised

process. The process is designed to ensure that there is a proper paper trailwhich will satisfy best practice quality standards and ensures thatsubmissions are dealt with in a structured fashion. Acceptance of the researchproposal by the EBS Research Committee is a crucial rite of passage.

5.1 Required format and submission processThe research proposal should be written on A4 paper, or its internationalequivalent. Edinburgh Business School gives a typical structure for theresearch 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 theapproaches to be adopted necessitates a different structure.

An advantage of using the standard format is that it corresponds closely to thestructure for the submission of the thesis which is set out in IBR3:7.4.1. It iswise to seek to standardise the format you choose for the research proposalwith the structure you intend to use for the final thesis to enable the variousaspects of the research to form a coherent whole.


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Research proposals can be submitted electronically to [email protected] a paper version of the signed EBS DBA pro forma must also besubmitted. The pro forma is set out in Appendix 8.

5.2 Review processThe research proposal must be submitted to the DBA Research Committeefor approval. If the research proposal is not acceptable, it will be returned withan indication of the further works required. You must continue to refine anddevelop the research proposal until it reaches a standard acceptable to theDBA Research Committee. You may only re-submit the research proposaltwice. If it is rejected for a third time you will almost certainly be asked towithdraw from the programme to ensure you do not waste your time.

A significant amount of time is given to processing research proposalsbecause it is such a critical point in the development of the research. The

process for consideration of proposals and feedback from the Committee maytake eight weeks. This period is made up of four weeks for reading theproposal, two weeks for comments to be distributed to the other members ofthe Research Committee prior to its meeting, and two weeks for detailedfeedback. Therefore, a research proposal should be submitted on the first dayof the month preceding the meeting of the DBA Research Committee. Forexample, a research proposal that you wish the DBA Research Committee toconsider at a meeting in March, has to be received by February 1 st. Lateproposals will only be reviewed by the Research Committee meeting twomonths 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 twomonths before you intend to submit a research proposal. This is a conditionfor a proposal to be considered.

6. Provision of a mentorYou are encouraged to take advantage of the mentoring provision because itshould help you choose your topic more swiftly. The purpose of mentoring isto enable you to progress to submitting your research proposal to the

Research Committee as efficiently and effectively as possible. Mentoring willassist you to build firm foundations for carrying out a useful piece of researchand for starting your subsequent work with your supervisor.

The mentor will provide you with general guidance for the duration of thedevelopment 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 anyadvice that is offered.


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Mentoring provides a skilled sounding board and a mirror for your ideas. Youcould find a mentor to be an invaluable source of advice at the early stages ofresearch design when you will be making choices which condition thefollowing years of research. With mentoring, you will get early feedback onyour design. Mentors normally hold a doctorate, are actively engaged inresearch and have supervised postgraduate research.

All contact with your mentor should be via the secure Mentoring section of theCommunity Area at http://coursewebsites.ebsglobal.net/ which you will begiven access to upon payment of the research proposal fee. You and yourmentor are strongly encouraged to have a telephone conversation at the startof the process in order to establish a positive base upon which ideas can bediscussed effectively. Most people find that a conversation, even by thetelephone, enhances subsequent dialogue conducted via the website. Theconversation increases the basis for understanding. If the conditions permit,

then a face-to-face meeting is desirable. You should only contact yourmentor through the website.

During mentoring, you have the opportunity of forming the habits of disciplinedworking and reporting which will stand you in good stead for working with yoursupervisor. The research proposal reports are part of this discipline. You canexpect to find the feedback from Edinburgh Business School gives you furtherfresh ideas and insights which could considerably enrich the research.

The involvement of the mentor does not guarantee that a research proposalwill 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 reportingIn the same way that mentoring is a means of learning to work undersupervision; this is a time for you to become accustomed to the discipline ofcompleting progress reports. The progress report is an essential part of theentire research system. Learning to do this from the start is a great boon.

While progress reporting is a standard process on all good doctoralprogrammes, 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 theinstitutional level, they are necessary for the institution to see that you areprogressing well and that your work is within the range of quality andtimeliness required. They also provide the Committee with an overview of theprogramme which it can use to identify needs for policy decisions and theprovision of resources. It is an integral part of the Quality Assurance processwhich the University conducts.


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The function of the progress reports is to help you move your research alongand provide an extra level of expertise should this be required. Progressreports are a student friendly process. Student progress in research iscomplex and needs monitoring. Reports are used throughout the researchperiod to ensure that the research is developing correctly and withinacceptable timescales. Monitoring is there to help you, to provide discipline, topick up issues, which might otherwise cause loss of direction and to deal withthe issues before they become a problem. It allows the Research Committeeto provide you with feedback to help with your rate of progress and to identifyyour particular needs.

The reporting process also gives you periodic opportunities to think throughyour work systematically. This provides the opportunity for taking stock andperhaps noticing some element which needs your extra attention, perhapsbecause it is not progressing at the same rate as other elements.

Further discussion of progress reports is to be found in IBR2:4.6 whichparticularly address the matter of progress reports during the literature reviewstage, but the general principles apply to all progress reports.

6.2 The operation of reportingResearch Proposal Reports are written during the process of researchproposal development. These invite you to comment on your progress so farand provide the basis for feedback from EBS. Reports are submitted, andfeedback received, as attachments through the secure Mentor site athttp://coursewebsites.ebsglobal.net/.

Research proposal reports are written at two-month intervals. The first reportis submitted two months into the research proposal period and subsequentreports are written as the research proposal develops. The final researchproposal progress report must be submitted no less than two months beforethe submission of the research proposal. If you intend to complete theresearch proposal in six months, you would plan to submit two researchproposal progress reports, one at the end of month 2 and one at the end ofmonth 4. You would then submit the research proposal at the end of monthsix.

The timing must be respected and late reports will be reviewed at the nextCommittee meeting which will mean that feedback is seriously delayed

causing you avoidable inconvenience. The supervisor, when appointed, willreceive copies of report forms as a further piece of information about theresearch 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 yourobjectives and key tasks for the two-month period being reported on, yourachievements, and your objectives and key tasks for the forthcoming two-month 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 showingyour progress and expected completion dates of the various sections of theproposal.

In addition, you should undertake your own progress reviews in the form ofPersonal Progression Reviews (PPR) periodically. You should start this earlyin the research with the intention of forming the habit of doing PPRsthroughout the research. The PPR is considered in more detail in IBR1: 2.7


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7. Appendices7.1 Appendix 1: Developing your proposed researchIntroductionSome would argue that the development of your research is the most criticalstage of all. It is the point of departure for a long journey. Comprehensive,consistent, coherent and clear plans are the best guide. Detours due toinadequate planning waste time, energy and motivation. The obvious moral isto think through the proposal very carefully indeed. Most journeys have theirunexpected twists and turns and research is no exception. However, a wellthought through plan is likely to help you handle the unexpected. It could helpyou to understand its nature. The sense of direction in the plan guides thedecision on how much to alter direction to account for the unexpected.

The following section is a personal experiential guide to discovering yourresearch topic. As it is drawn on years of undertaking, critically commenting,

and evaluating research, it is a personal statement. At the same time, itgeneralises to an extent that it may not be precisely true for your ownsituation.

Selecting the fieldThe start of research can be very important to you as an individual. Thechoice 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 andyou may be happily committed to that idea. This could be excellent because ifyou 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 sustainableidea. However, the development stage is so crucial that you would be wise toreview your idea thoroughly, even if you think it right.

Choosing a subject that interests youA major element in the selection of your topic should be your own self-interests. As you, after all, are the principal beneficiary of the doctoralresearch, it follows that you should consider how you can maximise thebenefit to yourself.

The benefit in an academic field could be to create a basis for future work. Forinstance, 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 electricitygeneration industry. This shaped his research work and he has become aworld expert in regulated industries. Note that the broad area is as importantas the narrow topic in the decision. The actual topic is likely to be narrow forthe basis of a career whereas the broad area is large enough to be anappropriate basis.

Rather more esoterically, the choice of methodology shapes future work. Youmay be attracted by a particular methodology. For instance, some famous


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researchers have made their careers around case study methodology. Most oftheir papers are in this area. They probably think of research problems interms of case studies. They naturally gravitate to an interview technology.Another colleague hankers after detailed databases in his work, which wasthe style of his doctorate and because such data produce articles which arewidely regarded and therefore good for building academic reputation. Thisparticularly applies if you wish to become a professional researcher.

However, if you see your career being primarily as a research professionalthen a critical question is how the chosen research can help you to succeed inyour management career. If you aspire to be a company chairman, then itwould be natural to choose a topic which involved interviewing people ofboard level experience, probably including chairmen, and to choose a subjectwhich relates to the decisions of the board which would mean examiningstrategic 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 bemuch wider than just that covered by the topic. In the process of collectingdata, the researcher is likely to witness events, meet people with particularattributes and have discussions which provide insights in business andmanagement which the researcher will draw on in his or her ownmanagement. For instance, fellow researchers in decision making in corporategovernance and multinational product management found that they learnt alot about how decisions are taken and how managers seek to influence thedecision 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 severalyears to come. This could be particularly important if you are considering anacademic career, but probably applies to any career that you choose. Toreturn to the research in electricity efficiency, it was evident that privatisationand regulation would continue to be of interest as governments were facedwith the issue of providing utilities without having to incur costs to theelectorate in the form of unpopular taxation.

Furthermore, the doctorate is a long-term activity. Your feelings are likely tochange over time. There could be difficult periods when there are competingpressures for your time, energy and imagination. There could be aspectswhich 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 yourinterest. If the research idea resonates with your interests, then consistency ofpurpose is more sustainable.

In addition in the field of study and probably in most areas of humanendeavour, we give of our best when we do something which attracts ourinterest and imagination. If we are bored and find the subject dull, then theoutcomes are likely to be dull too.


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To return to the point of self-interest, it is perhaps wise to recognise thatalthough self-interest is the most important factor for you, the doctorate isabout more than that. As the regulations indicate, it is about making acontribution to knowledge and about mastery of your subject. However,neither of these important elements is inconsistent with the thought that thisshould be achieved in a way that interests you personally.

Generating ideasFollowing on from this theme that the subject of the doctorate should interestyou, there is the question of how to discover the subject. The interest maycome from what you have read or studied or from your experience.Experience and the literature are possible sources of research ideas. Duringyour study, for the DBA you are likely to have seen a neat idea, a strikingconcept. Before reaching this stage, you have taken management courses inan MBA, and in the preparation for starting the DBA research. This concept

might appeal because it elegantly explains or at least articulates somecomplexity or idea you have observed. Most seminal theories have thatquality.

As an experienced manager, it is likely that part of your interest will be relatedto what you have lived and seen. You may have observed something that ismuch more difficult in practice than one would expect in theory. You may haveobserved that something is becoming a major issue in your business and youwould like to develop best practice. A researcher studied the introduction ofproducts into new markets which he had observed was inefficiently done evenin a best practice company.

For this reason you are asked at the earliest stage in the mentoring to reflecton and to write about some aspect of theory and some experience whichattracted your attention. The hope is that, somewhere in the description of oneor other of these, you will be indicating an idea, which could be the basis ofyour research. The description is likely to help the mentor to grasp where youare 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 studiedseveral subjects in depth, your judgement of what is interesting is wellinformed. The likelihood is that your sense of the subject is such that as theresearch progresses some of the essential explanations will correspond to

what you expected. Maybe you will see the situation differently but theessence could still be there. That is not to say everything will be as youthought at the outset. Certainly there will be opinions which you will find withfurther investigation were ill founded. The point is that something in your gutfeeling is likely to be core to the subject, principally because you already havesome expertise and this has guided your choice.


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Turning ideas into study topicsIn the discussion, we have seen that there are broad subject areas andnarrow topics and it has been suggested in a preceding section that aneffective research strategy is to have a narrow topic in a rich broad subjectarea. Moving from your general idea to both the topic and the subject area is aprocess of analysis and conceptualisation.

A critical analytical approach is deconstruction. The idea is broken down intoconstituent parts. The discovery of a research topic is a creative processwhich combines lateral and analytical thinking. The WBS tool, explained infurther detail in IBR1:2.3, is useful for breaking down the elements of the fieldas a process of de-construction.

There is also the point about challenging assumptions implicit in yourstatement 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. Thereis a possibility that, if you know the area well, then what seems a truth to youis in fact an assumption for which you have anecdotal support fromexperience, but which cannot be justified on empirical evidence. Research is aprocess of challenge. Can the statements be justified? If not, then it ispossible that providing the evidence to test those statements could be theresearch topic or at least part of it.

From the output of this process, the selected elements can be rebuilt andreorganised to correspond to concepts. Conceptualisation is a process ofrebuilding and reorganising some of the components into different levels ofabstraction.

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 anarrow topic is principally about the complexity of implementing research,which is the subject of the next section.

Turning study topics into researchable propositionsThis process turns directly to the doctorate and there is iteration between theseveral components of the research. The full list of components is set out inthe 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 theabbreviated proposal in Appendix 3. The abbreviated form of the proposalgives priority to background, research questions, aims and objectives, andhypotheses. It also features the research paradigm and methodology,significance, feasibility and references. Once the essence of the research hasbeen captured on the abbreviated form, you can naturally move on tocomplete the research proposal in the full form as required.


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At the stage of developing researchable propositions, writing anddocumentation are important since the process forces you to think throughideas in depth, it tests clarity and consistency and also provides a concreteoutput which can be discussed with others, constructively criticised andimproved.

At the stage of designing the research methodology, you may find it useful tochoose research sites with different characteristics because they provide abasis for comparison and may supply a dimension that is significant to yourargument. The choice of research site could be another opportunity for you toextend your interests. If you are curious about South Africa, for instance, andcan sensibly include it in your research design, then why not do so.

Researchable also means delivering on the objectives set for DBA. Therequirements for a DBA are clearly set out in manuals, official documents, and

Introduction to Business Research courses. As you approach a decision on atopic for your research, you are advised to study these requirements. Youmay find a small amendment to the research design will substantially increasethe researchs ability to deliver on the requirements.

Be cautious if you are working in the situation that you are investigating. Thereis a huge difference between research and consultancy. A researcher, doing acase study of good practice in a FTSE 40 company, received an offer topresent the findings to the CEO and decides to do so. However, there will beconflicting objectives. The researcher will be seeking to discover how thecompany works. The CEO will be interested in finding out from the researchhow 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 comesfrom within your area of authority. This information may be richer because youhave access. In this case the information you get from elsewhere may bemore superficial, creating an imbalance. If you are the boss, then theinformation from within your department may already have been screened.Worse still, you may be screening the information unconsciously because ofyour 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 atthis 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, maylead to a lot of wasted effort by way of collecting more data than necessary orlack of clarity may lead to confusion as to what you are really looking at. It is afalse assumption that a bit of ambiguity causes no difficulty as it will be easyto iron out as you go along. This is the design stage. It is akin to thearchitectural plans for a building.


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Writingthe proposalAt this stage you are ready to complete the full research proposal forsubmission to the DBA Research Committee. The template for the proposal isset out in the main part of the mentoring document.

7.2 Appendix 2: Research Development QuestionsInformal questions about experience and theory, concept or modelsThese questions are intended for your benefit. The idea behind the questionsis that your choice is likely to be stimulated by your own interest andexperience. Please note that answering these questions should be not viewedas a course assignment. Instead, you should seek to be relaxed and informalbecause an unstructured style can prompt unexpected thoughts that can leadto new insights and creative thinking. Write less than two sides on each.

A Question of ExperienceDescribe something from your business or management experience in thepast five years that caught your imagination. Why did it interest you? Do anyconcepts or theories you have studied on DBA courses explain or otherwiserelate to this experience?

A Question of theoryDescribe a management theory, model or concept that captured yourimagination on the DBA or other Masters 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 proposalThis is the format, which should be used for submitting the research proposalto the DBA Research Committee

1. The AbstractThe abstract is a short and precise summary of the proposal. Mostresearch proposal abstracts need not be any larger than about 200words. The abstract should be carefully written, and should usekeywords to help other researcher to find the work if it is relevant totheir area. The abstract should state the problem, its context andsignificance, the general research methods used, the type of results

and their potential use.

2. The SummaryThe summary should follow the same line of thought as the abstract.Each important element in the abstract should be developed andextended slightly in the summary. The summary is very important andshould generally be a minimum of about 200 words and a maximum ofabout 1000 words.


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3. Background (literature review)This is a mini-literature review of work previously published by otherresearchers. It demonstrates that you are aware of the published workin the chosen research area and has read the works of the mainauthors and has used this knowledge in the development of theresearch. It should place the current research proposal in the contextof the existing literature, and particularly in relation to any gaps in theliterature and how the current research is positioned in relation to thesegaps.

4. Research questions, aims, objectives and hypothesesThis section should state research aims and objectives, and anyoperational hypotheses that have been adopted. The aims are theoverall outcomes that are desired. The objectives are the individualactions necessary to achieve the aims. This section can be completed

in about 500 words.

5. Research paradigm and theoretical frameworkThis refers to intended paradigm (positivist or phenomenological) andthe theoretical framework.

6. Research methodologyThis should give sufficient detail on the proposed researchmethodologies and demonstrate why a particular methodology hasbeen chosen. Choice of methodology should be backed up byreferences from the literature, where possible citing similar researchthat has been carried out using similar methodologies.

7. Sample design and details of the data collection processThis should provide the necessary level of detail to describe what isbeing done and why.

8. AccessibilityThis should make clear what access has already been obtained andwhat is still required to complete the research.

9. Research ethicsYou should make it convincingly clear that ethical issues have beenthought through and the research is acceptable. This should make

clear if any assistance will be required and any assistance will beconsistent with the Universitys regulation that the doctorate issubstantially the authors own work.

It is your responsibility to ensure that your research is in accordancewith the ethical policies of Heriot-Watt University and if in doubt youshould seek the advice of your mentor/supervisor in the first instance.Any breach of the ethics policy could result in your DBA degree notbeing awarded or rescinded.


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10. DeliverablesThis section should summarise each anticipated output

11. SignificanceThis small section is very important. It should make clear theapplicability of the research and also its relationship with otherresearch. It should pay particular attention to integration betweendisciplines.

12. Resources required to implement research

13. Timetable of expected completion datesThis should show the expected completion date for each part of theresearch. Any chart or diagram should be as clear as possible

14. References, bibliography, letters of support and appendicesAs a general rule you should try to include all the major researcherswho are active in the field.

7.4 Appendix 4: The abbreviated proposal as a basis for researchdevelopmentThis is the format, which may be used for the process of mentoring. It selectsissues to focus on at the developmental stage and groups issues around thelogic that exists at the critical stage. The fact that an element of the proposalis not included in the abbreviated proposal does not indicate that it is lessimportant 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 demonstratethat key works have been consulted and suggest the place that theproposed research might have in filling gaps in the literature.

2. Research questions, aims, objectives and hypothesesThis section should state research aims and objectives. , The aims arethe overall outcomes that are desired. The objectives are the individualactions necessary to achieve the aims. It should also define theresearch problem and the research question very precisely. At this

early developmental stage, you may prefer not to adopt hypotheses

3. Research paradigm and research methodologyThis refers to intended paradigm (positivist or phenomenological) andshould give sufficient detail on the proposed research methodologiesand justify the choice of a particular methodology. There should be asingle sentence outline of sample design and data collection process


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4. SignificanceThis should make clear the applicability of the research and also itsrelationship with other research.

5. FeasibilityThis should cover any issues of accessibility, research ethics, resourcerequirements that might affect the completion of the research. Thisshould be realistic about the likelihood of access.

6. ReferencesThis should give only key references relating to the literature review atthis stage

7. Other relevant factorsThis should cover any other factors within the research proposal, not

included in this abbreviated version but which are of significance to thisresearch.


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7.5 Appendix Five: DBA research proposal progress report


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7.6 Appendix Six: DBA research proposal feedback form


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7.7 Appendix 7The research timetable showing expected completion dates

Actions Period 1 Period 2 Period 3 Period 4

Abstract

Summary

Literature Review

Research Questions, Aims Objectives& Hypothesis

Research Paradigm & TheoreticalFramework

Research Methodology

Sample Design & Details of DataCollection

Accessibility

Research Ethics

Resources Required to ImplementResearch

Deliverables

Significance

Research Timetable

References, Bibliography, letters ofsupport & appendices


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7.8: Appendix Eight: Research proposal pro forma

Name: SID

Version: (i.e. First,Resubmission, Final)

Degree Sought: DBA in StrategicFocus

DeclarationIn accordance with the appropriate regulations I hereby submit my research proposal forconsideration by the DBA Research Committee and I declare that:

1) the proposal embodies the results of my own work and has been composed by myself2) where appropriate, I have made acknowledgement of the work of others and have

made reference to work carried out in collaboration with other persons3) 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 discipline4) my research is compliant with the University policy on ethics.

Signature ofCandidate:

Date:

Submission

Submitted By (name in capitals):

Signature of Individual Submitting:

Date Submitted:

dba handbook stage 2

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