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GuidelinesforPreparingYourDoctoralThesisProposal

DepartmentofMaterialsScienceandEngineeringSeptember6,2017

One of the requirements for the PhD in Materials Science and Engineering is thepreparation and defense of a thesis proposal. Your thesis proposal outlines a researchproblem and general approach which, if carried through to completion, will provide asatisfactorybasisforwritingyourPhDdissertation.Preparingathesisproposalatanearlystage teaches you to identify and articulate promising lines of inquiry and to place yourresearchinthebroadercontextofthestateknowledgeinyourfield.Itgivesyouexperienceinwritingapersuasiveproposalanddefendingtheideasitcontains,anditensuresthatthethesiscommitteeisinbroadagreementwithyouaboutthegeneralcourseofresearchtobepursuedandwhatisrequiredforyoutosuccessfullycompleteyourthesisandreceiveyourPh.D.degree.TimelineTheproposalisoflittleuseifyouputitofftoolong,soyouareencouragedtodoitasearlyas possible, but in any event before the end of your third year (as stated in the officialrequirements for the Ph.D. degree).Note that it is not necessary for you to have a largeamountofpreliminarydataforyourproposal.Theproposalisdesignedtoshowthatyouunderstand the context for your research, are familiarwith the techniques that youwilluse,andhaveasoundrationaleforyourapproach.Preliminarydatacanbehelpful,butarenotrequired.Scheduling three faculty in the sameroomat the same timecanbe tricky, soget startedearly.Youmustsubmitthewrittenproposalnolaterthantwoweeksbeforethescheduleddateofyouroralpresentation.ThesisproposalcommitteeThethesisproposalcommitteeconsistsofthreefacultymembers,includingyourresearchadvisor.Ordinarily,itisexpectedthatthemembersofyourthesisproposalcommitteewillalsobecomemembersofyourthesiscommittee.Youshouldchoosethemembersofyourcommitteeinconsultationyouradvisor,toensurethatallimportanttopicalareasrelatedtoyourresearcharecovered.

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WrittenthesisproposalYou must submit your written thesis proposal to the Academic Program Coordinator(JeanineMajewski)asasinglePDFfileno later thantwoweeksprior to thedateofyouroral presentation. She will check your thesis proposal to ensure that it adheres to theformatdescribedbelowanddistributeittothemembersofyourcommittee.Your written proposal should present a clear outline of your proposed research. Youshould describe the significance of your research, its novelty or innovation, and yourgeneral experimental (or computational, or theoretical) approach. It should providesufficient detail to allow assessment of the overall goals of your project and theexperimental design. Review criteria for evaluation of NIH and NSF proposals providevaluable guidance in the content of researchproposals andareprovidedas an appendixbelow.Sections,length,andformattingYour thesis proposal must include the following sections, each strictly limited to thenumberofpagesspecified:

• Titlepage(1page)• SpecificAims(1page)• ResearchContextandStrategy(6pages,includingfiguresandtables)• References

Youshouldobservethefollowingformattingrequirements:• AllpagesmustbeformattedforU.S.lettersizepaper(8.5"by11")• Marginsnosmallerthanone-halfinchonallsides• Numbereachpage,exceptthetitlepage,atthebottomcenter• Typemustbe11pointorlarger,usingastandardfont(e.g.TimesNewRoman,Cambria,or

Arial).

Notewell:Ifyourthesisproposaldoesnotmeettheseformattingrequirements, itwillbereturnedtoyouforcorrectionandre-submission.Titlepage(1page)TheTitlePageshouldincludethetitleofyourproject;yourname;yourmatriculationdate;thedate,time,andlocationofthepresentation;andthenamesandemailaddressesofyourthesisadvisor(s)andtheothermembersofyourthesisproposalcommittee.

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SpecificAims(1page)TheSpecificAims sectionshouldprovideaconciseoverviewofyourproject, anumberedlist of your specific aims or objectives, and a statement of the expected outcome(s) andimpactofyourproject.Sincethisisthefirstsectionthatwillberead,itshouldbeclearandconcise.Hereareguidelinesforthissection:Firstparagraph— Include sentences that describe: (1) the topic of the research –what is your project about, (2) the current state of knowledge in your field or thestate-of-the-art,providingonlythedetailsnecessarytounderstandthecontextoftheproject, (3) the gap in knowledge or technology that youwill address, and (4) thecriticalneed,i.e.newknowledge,model,technique,material,orprocessthatyouwilldevelopordesign.Secondparagraph—Describehowyourprojectwillmeetthecriticalneedidentifiedin the firstparagraph.Havingdefined thecriticalneed, thisparagraphshouldmakethe case for your proposed solution. The components of this paragraph may varydependingonyourproject,butitshouldinclude:(1)adescriptionofhowthecriticalneed will be met, (2) a statement of the overarching goal of your project, (3) thehypothesis (if your project is hypothesis-driven), (4) the overall objective of yourproject,and(5)therationaleforyourproject—howthesolutionwasselected(oftenbasedonpreviousworkintheliteratureorpreliminarydata).List of specific aims — List the aims of your project by which you will test thehypothesisordevelopthenewtechnique,material,modelorprocess.Typicallytherewillbe twoto fouraims,andtheyshouldbeprovided inanumerical list tomake iteasierforthereviewerstoclearlyidentifyandunderstandeachaim.Ingeneral,eachaimshouldhaveanactivetitlethatclearlystatestheobjectiveinrelationshiptothehypothesisand/oroverallobjective. Ideally,youraimsshouldberelated to,butnotdependentupon,eachothertoavoidthefailureofoneaimpreventingthecompletionoftheotheraims.Foreachaim,writeafewsentencesthatdescribetheexperimentalapproach, theanticipatedoutcomes,andhoweachaimwillhelpansweryour largerhypothesis.Insomecasesitmaybehelpfultodividetheaimsintosub-aims.Finalparagraph— Should include a brief statement of the expected outcomes andpotentialimpactofyourprojectasawhole.

ResearchContextandStrategy(6pages)This section should include the following sub-sections. Suggested lengths for each are

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given; these are only guidelines, but the entire ResearchContextandStrategy section isstrictlylimitedtosixpages.Significance(~1page)—TheSignificancesectionshouldmakeacompellingcaseforyour project and explainwhy it is an important problem in the context of currentliteratureand/orthestate-or-the-art.Usecitationstosupportspecificstatementsandshowfamiliaritywithrelevantliteratureandprevailingconcepts.Thissectionshouldexplain:(1)howyourprojectwilladdressanimportantproblemoracriticalbarriertoprogress in the field,and(2)howyourprojectwilladvanceor improvescientificknowledge, technical capability, and/or clinical practice be improved. This sectionwill usually include: (1) a summary of the current literature, (2) your rationale forpursuing theproposedproject, and (3)adescriptionof theexpectedsignificanceofyourproject—itsexpectedcontributiontoscience,technology,and/orhumanhealth.Innovation(~½page)—TheInnovationsectionshouldaddress:(1)howyourprojectchallenges/seeks to shift current research, (2) any novel concepts, approaches,methodologies, instrumentation, and any advantageover existing ones, and (3) anyrefinementsorimprovementstoexistingapproaches.Approach(~4½pages)—TheApproachsectionshouldincludeanypreliminarydata,anoverviewoftheexperimentaldesign,adescriptionofmethodologiesandanalysesto be used, a discussion of potential difficulties and limitations and strategies toovercome them, expected results, and alternative approaches if unexpected resultsare found.Number each subsection to correspondwith thenumbers of the specificaims.Indescribinghoweachaimwillbeaddressed,itisusefultoprovideanintroductoryparagraph that describes themotivation, rationale, and/or objectives for each aim.Within the description of the methodologies for each aim, describe how you willcollect,analyze,and interpretyourdata. Includebenchmarks ifappropriate.Explainwhy one approach or method was selected instead of others. At the end of thedescription of each aim, describe potential problems or high risk experiments, andpossible alternative strategies. Preliminary results can be summarized at thebeginningoftheApproachsection,ordistributedintheindividualaims.

At the end of the Approach section, include a timeline for the proposed project,indicatingtheprojectedstartandendpointsforeachaimand/orsub-aim.

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ReferencesCite sources using either numbers or an author-date format. Collect the references in aseparate section at the end of the proposal, using any standard format of your choice.Referencesdonotcountagainstthepagelimit.FiguresFigures should be used as necessary to provide preliminary data or illustrate importantpoints of the proposal. Number the figures sequentially, and put them in the text (notcollectedseparatelyattheend).Placeeachfigureatthetoporbottomofapage(oronaseparatepage,ifnecessary)ascloseaspossibletothefirstplaceitismentionedinthetext.Eachfigureshouldhaveabriefexplanatorycaption.Figures should be legible — take special care if they are reproduced from some othersource.Donotbetemptedtoshrinkyourfigurestoomuchtosavespace.Ifcolorisused,besurethattheimportantinformationinthefigurecanbeunderstoodeveniftheproposalisprintedinblackandwhite.Provideappropriatecreditorareferenceforanyfigureyoudonotmakeyourselforwhichyouadaptfromanothersource.OralthesisproposalThe second part of the thesis proposal is an oral presentation to your thesis proposalcommitteeandothermembersofthedepartment.Therearenospecificrequirementsforthe format of the oral presentation, but generally speaking youwill want to convey thesameideasthatarecontainedinyourwrittenproposal.Planyourtalktobeapproximately30-35minuteslong,andnolongerthan45minutes—rehearseitaheadoftimeandreviseasnecessary,anticipatingthatyoumaybeinterruptedforquestionsbytheaudience.Asaveryroughguidetopacingyoushouldfigureonsomethinglessthanoneslideperminute,soyouwillprobablywantabout25slidestotal(moreorlessdependingonyourstyle).Besurethatyourslidesarelegible,evenfromthebackoftheroom.After the public oral thesis presentation there will be a closed examination (ofapproximately thirty minutes) with the members of the thesis proposal committee, inwhichtheywillprobeyourunderstandingofthecontextofyourworkandyourproposedprojectindepth.Forthisreason,itisimportantthatyouunderstandandbeabletodefendyourproposalatagreaterlevelofdetailthanprovidedineitheryourwrittendocumentoryouroralpresentation.

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Hereareafewresourceswithsuggestionsonhowtoputtogetheragoodpresentation:RandyOlson,Houston,WeHaveaNarrative:WhyScienceNeedsStory.UniversityofChicagoPress,2015.ISBNISBN:9780226270845High-levelstuffabouthowtoorganizeyourpresentation(andyourwrittenproposal,forthatmatter)inawaythattellsacompellingstory.MarilynnLarkin,HowtoGiveaDynamicScientificPresentationhttps://www.elsevier.com/connect/how-to-give-a-dynamic-scientific-presentationPracticaladviceonthepresentationitself.SusanK.McConnell,DesigningEffectiveScientificPresentationshttp://media.hhmi.org/ibio/mcconnell/mcconnell_powerpoint_pt1.pdfLotsofgoodtipsonhowtousePowerPoint(orKeynote)effectively.

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APPENDIX1NSFProposalPreparationGuidelines(fromNSFGrantProposalGuide)https://www.nsf.gov/pubs/policydocs/pappg17_1/pappg_2.jsp#IIBTheProjectDescriptionshouldprovideaclearstatementof theworktobeundertakenandmustinclude the objectives for the period of the proposed work and expected significance; therelationship of this work to the present state of knowledge in the field, as well as to work inprogressbythePIunderothersupport.The Project Description should outline the general plan of work, including the broad design ofactivities to be undertaken, and, where appropriate, provide a clear description of experimentalmethodsandprocedures.Proposersshouldaddresswhattheywanttodo,whytheywanttodoit,howtheyplan todo it,howtheywillknowif theysucceed,andwhatbenefitscouldaccrue if theproject is successful. The project activities may be based on previously established and/orinnovativemethodsandapproaches,butineithercasemustbewelljustified.Theseissuesapplytoboth the technical aspects of the proposal and theway inwhich the projectmaymake broadercontributions.TheProjectDescriptionmustcontain,asaseparatesectionwithinthenarrative,asectionlabeled"BroaderImpacts".hissectionshouldprovideadiscussionofthebroaderimpactsoftheproposedactivities.Broaderimpactsmaybeaccomplishedthroughtheresearchitself,throughtheactivitiesthataredirectly related to specific researchprojects,or throughactivities thatare supportedby,but are complementary to the project. NSF values the advancement of scientific knowledge andactivities that contribute to the achievement of societally relevant outcomes. Such outcomesinclude, but are not limited to: full participation of women, persons with disabilities, andunderrepresented minorities in science, technology, engineering, and mathematics (STEM);improved STEM education and educator development at any level; increased public scientificliteracyandpublicengagementwithscienceandtechnology;improvedwell-beingofindividualsinsociety; development of a diverse, globally competitive STEMworkforce; increased partnershipsbetween academia, industry, and others; improved national security; increased economiccompetitivenessoftheUS;andenhancedinfrastructureforresearchandeducation.

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APPENDIX2ProposalReviewCriteriaInwritingyourthesisproposalitishelpfultoconsiderhowtheproposalwillbereviewed.BelowarethereviewcriteriaforNSFandNIHgrants.Makesurethatyourthesisproposalclearlyaddressedthereviewcriteria.RelevantNSFReviewCriteria(fromNSFGrantProposalGuide)Reviewerswillbeaskedtoevaluateallproposalsagainsttwocriteria:IntellectualMerit: The Intellectual Merit criterion encompasses the potential to advanceknowledge;andBroader Impacts: The Broader Impacts criterion encompasses the potential to benefitsocietyandcontributetotheachievementofspecific,desiredsocietaloutcomes.Thefollowingelementsshouldbeconsideredinthereviewforbothcriteria:1.Whatisthepotentialfortheproposedactivityto:

a.Advanceknowledgeandunderstandingwithinitsownfieldoracrossdifferentfields(IntellectualMerit);andb.Benefitsocietyoradvancedesiredsocietaloutcomes(BroaderImpacts)?

2. To what extent do the proposed activities suggest and explore creative, original, orpotentiallytransformativeconcepts?3. Is theplan for carryingout theproposed activitieswell-reasoned,well-organized, andbasedonasoundrationale?Doestheplanincorporateamechanismtoassesssuccess?4. How well qualified is the individual, team, or organization to conduct the proposedactivities?5. Are there adequate resources available to the PI (either at the home organization orthroughcollaborations)tocarryouttheproposedactivities?RelevantNIHReviewCriteriahttps://grants.nih.gov/grants/peer/critiques/rpg_D.htm#rpg_01Significance.Does the project address an important problem or a critical barrier toprogressinthefield?Isthereastrongscientificpremisefortheproject?Iftheaimsoftheproject are achieved, howwill scientific knowledge, technical capability, and/or clinicalpractice be improved?Howwill successful completion of the aims change the concepts,methods, technologies, treatments,services,orpreventative interventionsthatdrivethisfield?

Innovation.Does theapplicationchallengeandseek to shift current researchorclinicalpracticeparadigmsbyutilizingnoveltheoreticalconcepts,approachesormethodologies,instrumentation, or interventions? Are the concepts, approaches or methodologies,instrumentation,orinterventionsnoveltoonefieldofresearchornovelinabroadsense?

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Isarefinement, improvement,ornewapplicationof theoreticalconcepts,approachesormethodologies,instrumentation,orinterventionsproposed?

Approach.Are the overall strategy, methodology, and analyses well-reasoned andappropriate to accomplish the specific aims of the project? Have the investigatorspresented strategies to ensure a robust and unbiased approach, as appropriate for thework proposed? Are potential problems, alternative strategies, and benchmarks forsuccesspresented? If theproject is in the early stagesofdevelopment,will the strategyestablishfeasibilityandwillparticularlyriskyaspectsbemanaged?Havetheinvestigatorspresentedadequateplanstoaddressrelevantbiologicalvariables,suchassex,forstudiesinvertebrateanimalsorhumansubjects?Iftheprojectinvolvesclinicalresearch,aretheplans for (1) protection of human subjects from research risks, and (2) inclusion ofminorities and members of both sexes/genders, as well as the inclusion of children,justifiedintermsofthescientificgoalsandresearchstrategyproposed?