How to Write a Dissertation Proposal

A dissertation proposal (also called a prospectus in some programs) is a formal document that describes the research you plan to conduct for your doctoral dissertation. It serves two purposes: it demonstrates to your committee that your research question has intellectual merit and that your plan for answering it is feasible, and it serves as a contract between you and your committee about what your dissertation will do.

In most programs, you submit and defend the proposal after passing your qualifying exams and before beginning primary data collection or research. Approval of the proposal signals that you have advanced to doctoral candidacy.

What a Dissertation Proposal Is (and Is Not)

A dissertation proposal is not a draft of your dissertation. It is a plan for research you have not yet completed. The distinction matters because the writing style and argument structure are different: you are not reporting results, you are making the case that your research question deserves to be answered and that you have a credible method for answering it.

A strong proposal demonstrates three things:

1. That a significant problem or gap exists in the literature
2. That your specific research question addresses that problem
3. That your proposed methods are suited to answer that question reliably

Standard Sections of a Dissertation Proposal

Program requirements vary significantly, but most dissertation proposals include the following sections:

Total length typically ranges from 20 to 50 pages, though some programs require longer proposals (particularly in the humanities, where proposals may be 40 to 80 pages) and some require shorter ones. Always consult your program's handbook and ask your advisor before writing.

How to Write Each Section

Introduction and Problem Statement

The introduction establishes why your research question matters. It should:

• Identify the specific problem, gap, or unresolved debate in the field
• Explain why this gap matters (theoretically, empirically, or practically)
• State clearly what your study will investigate

Do not start with a broad statement like "X is an important topic in academic research." Start with the specific problem. A reader who knows your field should be able to identify immediately what is missing from existing work and why your project addresses it.

Literature Review

The literature review in a proposal serves the same purpose as in a dissertation chapter: it maps what has been studied, shows where the gaps and debates are, and establishes the intellectual space your project occupies.

For a proposal, the literature review does not need to be as exhaustive as the dissertation chapter itself, but it must be sufficiently thorough to demonstrate command of the field. It should:

• Cover the most important theoretical frameworks relevant to your topic
• Summarize the key empirical findings in your area
• Identify the specific gap, methodological weakness, or unanswered question your study addresses
• Flow as an argument, not as a chronological list of summaries

For a detailed guide on how to write this section, see how to write a literature review.

Research Questions or Hypotheses

This section states, in precise language, the specific questions your study will answer (or, in quantitative studies, the hypotheses your study will test).

A good research question is:

• Specific: not "How do students experience graduate school?" but "How does advisor feedback frequency affect first-generation doctoral students' persistence decisions in year 3 and 4 of their programs?"
• Answerable: addressable with the methods you are proposing within a realistic timeframe
• Significant: a question that matters to your field, not one whose answer everyone already knows

Avoid listing five or six research questions. Most strong dissertations answer one to three well-specified questions deeply, not seven questions superficially.

Methodology

The methodology section describes how you will answer your research questions. It should be specific enough that a committee member could assess whether the method is appropriate and feasible.

For qualitative studies, describe:

• Study design (ethnography, grounded theory, case study, phenomenology, etc.)
• Participant selection criteria and recruitment method
• Data collection approach (interviews, observation, documents)
• Data analysis approach (thematic analysis, grounded theory coding, discourse analysis)
• How you will address validity and reflexivity

For quantitative studies, describe:

• Study design (experimental, quasi-experimental, cross-sectional, longitudinal, etc.)
• Sample or dataset source, size, and selection criteria
• Measures and instruments, including psychometric properties if applicable
• Analytic approach (regression, structural equation modeling, multilevel modeling, etc.)
• How you will address confounds and alternative explanations

For mixed-methods studies, describe both and explain how the qualitative and quantitative strands relate and which has priority.

Do not oversell your method. Committees are experienced researchers who know the limitations of every method. Acknowledging limitations and explaining how you have designed around them demonstrates intellectual maturity.

Significance

This section explains what your research will contribute, beyond just answering the questions. Depending on your field, significance may be:

• Theoretical: your findings will extend, complicate, or challenge an existing framework
• Empirical: your data fills a gap in evidence about an understudied population, phenomenon, or context
• Methodological: your approach provides a new way to study a problem
• Practical: your findings will have implications for policy, practice, or intervention

The significance section ties the proposal together by explaining why the gap identified in the literature review matters, and how your research will address it.

Timeline

The timeline demonstrates that your research plan is realistic. A committee reading a proposal without a timeline cannot evaluate whether you will actually be able to complete the work in a reasonable period. A good timeline includes:

• When data collection will begin and end
• When analysis will be completed
• When draft chapters will be submitted for committee review
• When you expect to defend

Be honest. Aggressive timelines that assume everything goes perfectly tend to slip badly in practice. Add buffer time at every stage. For qualitative research, assume IRB approval will take 2 to 3 months. For survey research, assume lower-than-expected response rates.

The Dissertation Proposal Defense

After submitting your proposal document, most programs require a proposal defense: a formal meeting with your dissertation committee where you present your research plan and answer questions.

The defense typically lasts 1 to 2 hours and follows a similar format to your qualifying exam oral component, but focused specifically on your proposed research rather than field-wide knowledge.

Your committee will ask about:

• Why this research question matters and whether the literature review is complete
• Whether your methodology is appropriate for your research questions
• Whether your timeline is realistic
• Potential weaknesses, threats to validity, or alternative explanations you need to address
• Whether you have considered ethical dimensions (IRB, participant risk, data privacy)

The proposal defense is not designed to stop you. It is designed to surface problems before you spend two years collecting data on a flawed foundation. Most committees approve proposals with revisions rather than rejecting them. Treat questions and challenges as the committee doing their job to protect your research.

What Happens After the Proposal Defense

Once your committee approves the proposal (often contingent on revisions agreed to in the defense), you are typically:

• Formally advanced to doctoral candidacy (the ABD, or All But Dissertation, stage)
• Required to obtain IRB approval if your research involves human subjects
• Cleared to begin data collection or primary research

The approved proposal also serves as a reference point for the committee throughout your research. If your study changes significantly during data collection (which is not unusual, particularly in qualitative research), the committee needs to be informed. The proposal is a living document, not a final contract.

Common Mistakes in Dissertation Proposals

Starting to write before talking to your advisor. The most important conversation before writing your proposal is with your dissertation chair. They know the committee's expectations, which methodological approaches they find credible, and what the field considers significant. Writing without that input often means significant revision.

Proposing research that is too broad. A dissertation answers a specific question in depth. A proposal that promises to "examine the full range of X across all Y populations using multiple methods over a 10-year period" is proposing too much. Committees reject unfeasible proposals or require fundamental scope reduction. Narrow your question before writing.

Writing the literature review as a bibliography. The literature review in a proposal should build an argument for why the gap exists and why your study addresses it. Summarizing what every paper says without synthesizing across papers and connecting to your gap is the most common error in student proposals.

Choosing a methodology before specifying the research question. The research question should drive the method, not the other way around. "I want to do interviews" is not a research design; it is a preference. State what you want to know first, then determine which method can reliably answer it.

Ignoring your department's handbook. Proposal requirements differ substantially across programs and institutions. Length, required sections, formatting, and defense procedures are not universal. Your department handbook is the authoritative source; generic guides (including this one) describe common patterns but not your program's specific rules.

Frequently Asked Questions

What is a dissertation proposal? A dissertation proposal is a formal document, typically 20 to 50 pages, that describes the research you plan to conduct for your doctoral dissertation. It identifies the research problem and gap, states your research questions, describes your methodology, and explains the significance of the expected contribution. It is submitted and defended before a doctoral committee before you begin data collection.

How long is a dissertation proposal? Length varies by program and discipline. A typical dissertation proposal in the social sciences is 20 to 40 pages. Humanities proposals are often longer, 40 to 80 pages. STEM proposals vary widely depending on whether they include a literature review or focus primarily on the research design. Check your program's handbook for specific requirements.

What is the difference between a dissertation proposal and a research proposal? These terms are sometimes used interchangeably. A dissertation proposal specifically refers to the document submitted to your doctoral committee before beginning your dissertation research. A "research proposal" is a broader term that also covers grant proposals, conference proposals, and other requests for approval or funding. A dissertation proposal follows the same general structure as a research proposal but serves the specific purpose of gaining committee approval for your doctoral project.

What happens if the committee rejects the proposal? Outright rejection is rare. More commonly, the committee approves the proposal conditionally, requiring specific revisions before you can begin research. Common revision requests include narrowing the scope, strengthening the methodology, or expanding the literature review to cover areas the committee identifies as gaps. If the committee identifies fundamental problems with the research question or proposed approach, they will typically ask for a significantly revised proposal rather than simply rejecting it.

Can you change your dissertation after the proposal is approved? Yes, to a degree. Research evolves, and it is normal for the dissertation to differ from the proposal in some ways. However, significant changes to research questions, methodology, or scope should be discussed with your committee before proceeding. If your study changes substantially, you may need to return to the committee for approval of the revised plan.

For what comes after your proposal defense, see the PhD candidacy guide and the full guide to writing a PhD dissertation.