WAQP Week 7 Assignment 2

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56582143_Prospectus_Gonzales_A_5MAY20261.docx

PhD Prospectus Form

Students | Complete your doctoral prospectus within this form. Write your responses in the white spaces using a scholarly tone and include in-text citations and APA reference entries, where appropriate. You can click on underlined terms and headings for descriptions, resource links, and examples located in the Appendix. For additional prospectus information and resources, refer to the Doctoral Research Coach. Complete the Research Design Alignment Table within this form using the information from earlier sections and self-assess your research design alignment. Submit this completed form into MyDR for formal evaluation and feedback when your committee chair indicates that you are ready to do so.

Student’s Name | Amanda L. Gonzales Student ID | A00343882

Program and Specialization * | Doctor of Philosophy in Forensic Psychology Submission Date | 5/5/2026

*Remember that your study focus must be within the realm of your program and specialization area.

Evaluators Only | Complete this section and provide feedback on responses and rubric scores in the form where noted.

Committee Chairperson Name: Dr. Leggie Boone Overall Assessment: Choose score.

Second Committee Member Name: Dr. Danielle McDonald Overall Assessment: Choose score.

PhD Program Director: Dr. Jessie Lee Overall Assessment: Choose score.

Rubric Standard | Complete > Does the prospectus contain all the required elements? Refer to the annotated outline to see the required parts of the Dissertation Prospectus document.

Note. Please complete following the directions provided, using the stem sentences, and referring to the examples in the appendix.

Title

Provide a concise (aim for 15 words or fewer) working title for this study. Include the main topic, variables/concepts under investigation, and the relationship between them. A title should be fully explanatory when standing alone and include the most critical key words.

Exploring Lived Experiences of Adult Children of Firefighters and EMTs: A Phenomenological Study in Texas

Supporting Literature

The first step in developing your prospectus is to search the literature related to the general area you want to investigate (see social problem below). In your review of recent, empirical literature, what keywords did you search and in what databases?

The keywords and databases searched included First responders or firefighters or paramedics, family relationships, mental health services, mental health, mental health stigma, secondary trauma, vicarious trauma, therapy, counseling, family or caregiver, high-risk professions, psychological well-being, parent-child relationship + high-risk professions + vicarious trauma, adult children + first responders, first responders + their families. Databases searched: The Walden University library, Scopus, Directory of open access journals, APA Psych info, APA Psych articles, Complementary index, Supplemental index, Emerald insight, Science direct, Sage publications.

Provide at least 10 brief summaries of recent, scholarly (peer-reviewed) articles that support/justify a current and relevant problem in your discipline or professional field. Source(s) supporting your framework should be included. Include the complete, APA reference entry, followed by (a) an in-text citation; (b) what was studied; (c) what was found; and (d) why this research is important in relation to your study. This evidence provides the justification for your research problem.

Baker, L. D., Ponder, W. N., Carbajal, J., Galusha, J. M., Hidalgo, J. E., & Price, M. (2023). Mapping PTSD, depression, and anxiety: A network analysis of co-occurring symptoms in treatment-seeking first responders.  Journal of Psychiatric Research168, 176–183. https://doi.org/10.1016/j.jpsychires.2023.10.038

(a) Baker et al. (2024); (b) found that first responders experience traumatic situations on a regular basis and current research shows that this has a high likelihood of affecting their mental health. (c) The researchers collected data through self-report measures looking for the interrelatedness of Post Traumatic Stress Disorder, depression, and general anxiety disorder symptoms and found six different combinations of how these symptoms can emerge and affect the first responders’ daily functioning. (d) This article is important to my research as a sample of treatment-seeking first responders, highlighting the lived experiences of family members.

Cox, M., Norris, D., Cramm, H., Richmond, R., & Anderson, G. S. (2022). Public safety personnel family resilience: A narrative review. International Journal of Environmental Research and Public Health, 19(9), 5224. https://doi.org/10.3390/ijerph19095224

(a) Cox et al., (2022), (b) conducted a narrative review of the available research and literature on families of first responders’, how first responders’ jobs affect their family, and the first responder family’s overall resilience. (c) A lack of research on public safety personnel families made this narrative review a first step in understanding the effect that nonstandard work schedules dangerous work environments have on the families of public safety personnel or emergency responders. (d)This narrative study is important to my research as it brings together a pool of data for this unique population that covers a 40 year span of research and reports findings affecting children of emergency responders ranging from sadness and anger due to not understanding the demands of their parents job, to fear and worry for their parent when they are on duty/shift.

Fix, R. L., Papazoglou, K., Padilla, K. E., and Blumberg, D. M. (2024). Factors promoting and inhibiting use of wellness resources among police: A mixed methods study.  Police Quarterly27(4), 407–437. https://doi.org/10.1177/10986111231223905

(a) Fix et al. (2024); (b) investigated the established mental health programs and the use of those programs available to one metropolitan police department. (c) The researchers reported a strong stigma towards the use of mental health services that included departmental mistrust and fear of lack of confidentiality. Another aspect the researchers discussed is health care coverage for mental health services as well as support services utilized by family members. (d) This article is crucial to my research, indicating that stigma, fear, and accessibility impact first responders' lives. It also shows positive outcomes when services are used by first responders and their families.

Helfers, R. C., Scott, D. M., and Reynolds, P. D. (2021). Being a blue blood: A phenomenological study on the lived experiences of police officers’ children.  Police Quarterly24(2), 233-261–261. https://doi.org/10.1177/1098611120964954

(a) Helfers et al., (2021) (b) looked at the stressors children of police officers potentially face as their police officer parent works to protect the community. (c) The children of the police officers interviewed reported positive aspects of having a police officer parent, but that police parents were likely to be overprotective, freedom was restricted, and older children faced backlash from their peers for having a police officer parent. (d) This study is important to my research as it further supports the discussion that children of first responders experience life differently than children of non-first responders.

Lawn, S., Waddell, E., Rikkers, W., Roberts, L., Beks, T., Lawrence, D., Rioseco, P., Sharp, T., Wadham, B., Daraganova, G., and Van Hooff, M. (2022). Families’ experiences of supporting Australian veterans and emergency service first responders (ESFRs) to seek help for mental health problems.  Health & Social Care in the Community30(6), e4522–e4534. https://doi.org/10.1111/hsc.13856

(a)Lawn et al., (2022) (b)sought to understand how the distress and moral injury experienced by first responders is transferred vicariously to their family members. In this study the participant pool of family members does include adult children of first responders. (c)The researchers capture the plea from families to implement practices that have a more family-focused approach and address the barriers that families face when attempting to seek mental health services for their emergency responder family member. (d) This article is important to my research as it aims to bring to light the need for the family unit of emergency responders to be considered in the “life-course trajectory” of their first responder and the probable trauma that first responder will experience.

May, K., Van Hooff, M., Doherty, M., and Carter, D. (2023). Experiences of parental PTSD for children aged 9–17 in military and emergency first responder families. Journal of Child & Family Studies, 32(12), 3816–3834. https://doi.org/10.1007/s10826-023-02669-y

(a) May et al. (2023); (b) looked at a population of children aged 9-17 who have a military or emergency first responder parent diagnosed with PTSD to see if they experience higher levels of stress compared to children with civilian parents with a diagnosis of PTSD. (c) The researchers found there was little difference between the two different child populations overall. Comparatively the children shared their experiences with respect, care and protection towards their parents with PTSD. The research conducted found that behaviors exhibited by the children were consistent with the current literature on secondary trauma and intergenerational transmission of symptoms. (d) This study is important to my research as it focuses on a population that is difficult to study, and the effect the parents with PTSD have on their children.

O’Hara, K. L., Wolchik, S. A., Sandler, I. N., West, S. G., Reis, H. T., Collins, L. M., Lyon, A. R., & Cummings, E. M. (2023). Preventing mental health problems in children after high conflict parental separation/divorce study: An optimization randomized controlled trial protocol.  Mental Health & Prevention32. https://doi.org/10.1016/j.mhp.2023.200301

O’Toole, M., Mulhall, C., and Eppich, W. (2022). Breaking down barriers to help-seeking: Preparing first responders' families for psychological first aid. European Journal of Psychotraumatology, 13(1). https://doi.org/10.1080/20008198.2022.2065430

(a) O’Toole et al. (2022) (b) discussed the fact that people in first responder positions experience higher levels of trauma and suggested that family members be utilized and a first line of social support to recognize when their first responder is not doing well. (c) The researchers used the terms spouses and “family members” but did not specify who the family members were and suggested both groups be given psychoeducation training as it was inconsistent, and they were an underutilized resource for supporting first responders. (d)This research is important to my topic as it further outlines the psychological issues first responders experience and that family members are the closest to them and are more likely to notice or experience a change in their first responders’ behavior.

Sharp, M. L., Solomon, N., Harrison, V., Gribble, R., Cramm, H., and Pike, G. (2022). The mental health and wellbeing of spouses, partners, and children of emergency responders: A systematic review. PLOS ONE, 17(6), e0269659. https://doi.org/10.1371/journal.pone.0269659

(a) Sharp et al. (2022); (b) focused on the mental health and well-being of family members of emergency responders. The pool of participants included spouses, partners and children on emergency responders (c) and what emerged regarding the children of the emergency responders was not only that the emergency responders’ experiences influence the children, but the other parent’s mental wellbeing from supporting the emergency responder also had an effect on children’s wellbeing. (d)This study is important to my research as it not only looks at the effects of parental wellbeing and the wellbeing of the child, but it also looks at positive aspects of being the family member of an emergency responder.

Traynor, A., Doyle, B., Eppich, W., Tjin, A., Mulhall, C., and O’Toole, M. (2024). “This is it…this is our normal” - the voices of family members and first responders experiencing duty-related trauma in Ireland.  Comprehensive Psychiatry133. https://doi.org/10.1016/j.comppsych.2024.152499

(a) Traynor et al. (2024); (b) aimed to explore the lived experiences of first responders and their family members in Ireland. (c) This study included friends and family members, to include the children of first responders as participants. Researchers found a common thread among first responder family members having an understanding that the role they chose as a family member, or the role they have as a family member comes with inherent consequences. As their first responder copes with or struggles with what they experience on the job impacts the family members’ daily life in minor to severe ways all the while largely remaining an unheard population. (d)This study is important to my research as it shows that the family and friend dynamic is different (or outside the norm of society) than non-first responder relationships and captures the lived experiences of those friends and families, including children of first responders.

Valdez, C. R., Chavez, T., & Woulfe, J. (2013). Emerging adults lived experience of formative family stress: The family's lasting influence. Qualitative Health Research, 23(8), 1089-1102. https://doi.org/10.1177/1049732313494271

(a) Valdez et al. (2013); (b) looked at the lived experience of formative family stress and the lasting influence it had on emerging adults. (c) Researchers found a common thread amongst a handful of different family stress experiences that emerging adults’ social, academic, career, and relationships were all affected in similar ways. (d) This is important to my research as it helps lay the foundation for the connection between high familial stress and the enduring impact has on children into their adult years.

Rubric Standard | Justified > Is evidence presented that this problem is significant to the discipline and/or professional field? The prospectus should provide relevant statistics and evidence, documentable discrepancies, and other scholarly facts that point to the significance and urgency of the problem.

Problem

What was the social problem that prompted you to search the literature to find out more? Write in complete sentences using a scholarly tone.

The situation or issue that prompted me to search the literature is First responders are routinely exposed to traumatic events as a core aspect of their professional roles, with a substantial body of research indicating a strong correlation between such exposure and adverse mental health outcomes. While the psychological toll on first responders themselves has received growing attention, the potential impact on their family members, particularly their children, remains considerably less understood. The families of first responders face unique challenges, including the chronic stress of worrying about their loved one's safety, exposure to changes in the first responder's emotional well-being or behavior, and the potential for indirect trauma exposure through family dynamics. Despite evidence suggesting that trauma can have ripple effects within family systems, there remains a significant gap in understanding how parental occupational trauma exposure may affect the psychological well-being of first responders' children, including whether these family members may experience vicarious or secondary trauma as a result of their parent's profession. The core risk if this remains unexamined: If trauma is presupposed, the study risks confirming a narrative rather than examining a phenomenon — which undermines both the scientific contribution and the practical utility of the findings.

Now that you have read and summarized some of the recent literature to understand your problem, and given what other researchers are exploring, what meaningful gap have you identified that your study will address? (What have others not yet explored about this problem that you will contribute with your study?)

Although researchers have investigated this issue, the topic has not been explored in this way: Existing research gives us a glimpse into impacts on children raised in households with first responder parents compared to those in non-first responder occupations; however, gaps remain. Children of first responders are not commonly discussed as an at-risk population, but they are indirectly exposed to occupational hazards through proximity that literature has not sufficiently addressed specific to secondary or vicarious trauma. Intensifying this gap, existing research has not sufficiently examined first responder family dynamics through an intergenerational lens, despite strong theoretical support that trauma can ripple through family systems via emotional contagion, and behavioral modeling. Texas, given its scale, population density, and the extent of its rural-urban variability, represents a critical yet understudied context in which these dynamics may manifest in distinctive ways. Without region-specific investigation, interventions risk lacking ecological validity including rural-urban variation in work conditions, cultural attitudes toward mental health, and the availability of support services. This study addresses these gaps by examining adult children's interpretation within the specific sociocultural context of Texas, advancing family systems and secondary trauma research while avoiding the assumption of trauma and instead allows participants' own narratives to define the phenomenon being studied.

Based on all of the above information (social problem, literature review, gap), in one sentence, what is your research problem ?

The specific research problem that will be addressed through this study is The lived experiences of adult children of first responders in Texas, particularly regarding potential vicarious or secondary trauma from parental occupational exposure, remain inadequately understood.

Rubric Standard | Meaningful > Has a meaningful problem and gap in the research literature been identified? In other words, is addressing this problem the logical next step, given the previous exploratory and confirmatory research (or lack thereof) on this topic? It is not acceptable to simply replicate previous research for a Ph.D. degree.

Rubric Standard | Original > Does this project have potential to make an original contribution? The problem must be an authentic "puzzle" that needs solving, not merely a topic that the researcher finds interesting. Addressing the problem should result in an original contribution to the field or discipline.

Purpose

To address your stated research problem, what is the purpose of your study? Will you describe, compare, explore, examine, etc.? Complete the purpose sentence below and be sure to clarify your variables/concepts of interest.

The purpose of this Qualitative study is to explore how adult children of firefighters and EMTs in Texas interpret and make meaning of their lived experiences related to parental occupational stress and trauma exposure. This study explores the lived experiences of adult children of first responders and examines how these experiences may be related to the unique demands of first responder roles, including exposure to trauma, irregular work schedules, and occupational stress. By gathering the perspectives of adult children, this research seeks to describe the personal and intergenerational dimensions of having a parent in a high-risk profession.

Framework (Conceptual or Theoretical)

What theory(ies) and/or concept(s) support (frame) your study and who are the original authors? Provide an in-text citation with your response, and the complete APA reference entry with summary in the Supporting Literature section.

The theories and/or concepts that ground this study include Social Learning Theory - Social Learning Theory (Bandura, 1977) proposes that children may adopt emotional reactions, behaviors, or attitudes modeled by their parents.

Bandura, A. (1977).  Social learning theory. Prentice-Hall. https://psycnet.apa.org/record/1979-05015-000

How do these theories and/or concepts relate to your research problem, purpose, and the nature of your study?

The logical connections between the framework presented and the nature of my study include Social Learning Theory (Bandura, 1977) informs questions about observational learning, including what attitudes, emotional responses, or stress management strategies participants may have observed in their parents and whether they recognize similar patterns in their own lives. This framework also guides inquiry into specific behaviors, attitudes, or responses to stress that participants attribute to parental modeling. Social Learning Theory offers a framework for identifying themes related to observational learning, vicarious reinforcement, and the adoption of modeled behaviors. Participant reflections on their own attitudes, emotional regulation, or responses to stress can be analyzed for evidence of learned patterns, whether adaptive or maladaptive, that originated from observing their first responder parent. While the research method of phenomenology explores lived experience, Social Learning Theory provides a lens for interpreting how observed behaviors may shape those experiences.

Rubric Standard | Grounded > Is the problem framed to enable the researcher to either build upon or counter the previously published findings on the topic? For most fields, grounding involves articulating the problem within the context of a theoretical base or conceptual framework. Although many approaches can ground a study in the scientific literature, the essential requirement is that the problem is framed such that the new findings will have implications for the previous findings.

Research Question(s) and Hypotheses (if applicable)

List the question(s) that you plan to use to address the research problem. Your question(s) must align with your study purpose and include the variables and/or concepts and how they will be examined.

RQ: How do adult children of firefighters and EMTs describe and interpret their lived experiences, including their perceptions of emotional responses, behaviors, and attitudes observed in their parents?

Nature of the Study

What systematic approach/method and research design do you plan to use to address your research question(s)?

To address the research questions in this Qualitative study, the specific research design will include The phenomenological approach which focuses on the experiences themselves and how those experiences shape consciousness (Merriam & Tisdell, 2016). The phenomenological approach is the most effective approach to use when a researcher is looking to capture the experiences of human situations (Merriam & Tisdell, 2016). Semi-structured in-depth interviews and the responses captured from the interviews will be analyzed and interpreted using the Saldana (2015) coding manual.

Reference entry for the work on which this research design is based:

Merriam, S. B., and Tisdell, E. J. (2016). Qualitative research: A guide to design and implementation (4th ed.).  San Francisco, CA: Jossey-Bass

Saldana, J. M. (2015). The coding manual for qualitative researchers (3rd ed.). Sage Publications.

For your planned research design, what type of data will you need and what data collection instruments will provide it?

For my planned research design, I will need interview at least 10-15 adult children of first responders, specifically firefighters and EMT’s, who served in Texas. I will be using a semi-structured in-depth interview process to collect the responses. The inclusion criteria are that the role dynamic is that the Firefighter or EMT was in the role of parent or direct caregiver and the participant was the child, either biological or non-biological. All other relationship combinations will be excluded.

What data sources and analysis do you plan to use to answer your research question(s)?

I will be conducting semi-structured in-depth interviews and will then analyze and interpret the data using the Saldana (2015) coding manual. To preserve and honor the lived experiences NVivo coding and emotional coding will be used for the first cycle of coding with pattern coding as the second cycle coding method.

What limitations, challenges, and/or barriers might you need to address while conducting this study (e.g., access to participants, access to data, requirements for storing data, separation of roles or other ethical considerations, instrumentation fees, etc.)?

Recruiting adult children of firefighters and EMTs may present challenges due to the sensitive nature of the research topic. Potential participants may have concerns about the study's purpose, how their experiences will be represented, or whether the research assumes negative outcomes related to their upbringing. The visibility of firefighter and EMT professions within communities, combined with the occupational culture that often emphasizes strength and resilience, may create additional barriers to participation. Some individuals may be reluctant to discuss family experiences that could be perceived as critical of their parents’ profession or may feel protective of their parents’ reputation. These concerns could limit the pool of willing participants or result in self-selection bias, where only those with particularly positive or negative experiences choose to participate, potentially excluding those with more nuanced or neutral perspectives.

Rubric Standard | Feasible > Can a systematic method of inquiry be used to address the problem; and does the approach have the potential to address the problem while considering potential risks and burdens placed on research participants? The tentative methodology demonstrates that the researcher has considered the options for inquiry and has selected an approach that has potential to address the problem.

Significance

How will your study address the meaningful, discipline-specific issue that you identified and therefore contribute to your field, discipline, professional practice, etc. contributing to positive social change?

This study is significant in that It contributes to the area of research on vicarious and secondary trauma in a population that appears to be underrepresented in the research, which is adult children of first responders and EMT’s in the state of Texas.

This research has the potential to benefit multiple stakeholder groups. Adult children of first responders may gain validation and understanding of their experiences, as well as increased awareness of how their upbringing may have been related to their development. Current first responders who are parents may benefit from insights that inform how they navigate family relationships and communicate with their children about occupational stress. Mental health professionals working with first responder families will gain knowledge to develop more targeted assessment and intervention strategies that address intergenerational impacts of occupational trauma exposure. Organizations and agencies that employ first responders may use findings to enhance family support programs, employee assistance initiatives, and wellness resources that extend beyond the individual responder to include family members. Policymakers and program developers in Texas may identify gaps in current support systems and allocate resources more effectively to address the needs of first responder families. Finally, the broader field of trauma psychology will benefit from enhanced understanding of vicarious and secondary trauma transmission within family systems, particularly in the context of chronic occupational trauma exposure.

Rubric Standard | Impact > Does this project have potential to affect positive social change? As described in the Significance section, the anticipated findings have potential to support the mission of Walden University to promote positive social change.

Rubric Standard | Objective > Is the topic approached in an objective manner? The framing of the problem should not reveal bias or present a foregone conclusion. Even if the researcher has a strong opinion on the expected findings, the researcher must maximize scholarly objectivity by framing the problem in the context of a systematic inquiry that permits multiple possible conclusions.

Partner Site Masking Self-Check

Walden capstones typically mask the identity of the partner organization. The methodological and ethical reasons for this practice as well as criteria for exceptions are outlined here (link to posted guidance).

☒ Check here to confirm that you will mask the identity of the organization in the final capstone that you publish in ProQuest.

☐ If you perceive that your partner organization’s identity would be impossible to mask or if there is a strong rationale for naming the organization in your capstone, please check this box so that your Program Director can review your request for an exception. If granted, that exception must be confirmed by the IRB during the ethics review process. The IRB will also ensure that your consent form(s) and/or site agreement(s) permit naming the organization.

Research Design Alignment Table

Hover over bold font for Instructions and click links for resources. |

Instructions | Quantitative Example Table | Qualitative Example Table

Research Design Alignment Table Video Tutorial (YouTube) | Doctoral Research Design Alignment Appointments or Office Hours

Research

Problem, Purpose, and Framework

Research Question(s), Method, & Design

Types of Data to be Collected and Data Collection

Instruments

Data

Sources

Data

Analysis

Problem: The lived experiences of adult children of first responders in Texas, particularly regarding potential vicarious or secondary trauma from parental occupational exposure, remain inadequately understood.

Purpose: Capture the lived experiences of adult children of first responders.

Framework: Social Learning Theory (Bandura, 1977)

RQ1: How do adult children of firefighters and EMTs describe and interpret their lived experiences, including their perceptions of emotional responses, behaviors, and attitudes observed in their parents?

Method: Qualitative

Design: Phenomenological.

Semi-structured interviews of the lived experiences of adult children of first responders.

I will seek to interview 10-15 adult children of first responders and record their experiences of being a child of a first responder in Texas.

Saldana (2015) descriptive coding method will be used to code the interviewees responses.

RQ2: Replace text with response

Method: Qualitative

Design: : Phenomenological.

Replace text with response.

Replace text with response.

Replace text with response.

RQ3: Replace text with response.

Method: Qualitative

Design: : Phenomenological

Replace text with response.

Replace text with response.

Replace text with response.

Note. The information in the first column must align with all rows, and each individual RQ row must show alignment across the columns for that row.

Once your Research Design Alignment Table is completed, reflect on your design alignment. Ask yourself:

1. Is there a logical progression from the research problem to the purpose of the study?

2. Does the identified framework ground the investigation into the stated problem?

3. Do the problem, purpose, and framework in the left-hand column align with the RQ(s) (all rows)?

4. Does each RQ address the problem and align with the purpose of the study?

5. Does the information across each individual row match/align with the RQ listed for that row?

5. By row, will the variables listed address the RQ?

5. By row, will the analysis address the RQ?

5. By row, can the analysis be completed with the data points that will be collected?

Rubric Standard | Aligned > Do the various aspects of the prospectus align overall? The nature of the study should align with the problem, research questions, and tentative approaches to inquiry.

Appendix

The Doctoral Prospectus

The Doctoral Prospectus is a brief document that provides preliminary information about your dissertation research and is used in two ways:

1. It serves as the tentative plan for developing the proposal and is evaluated to ensure doctoral-level work (e.g., feasibility, alignment, etc.).

1. It provides information used to assign the committee University Research Reviewer.

Prospectus milestone approval from the committee chair, second committee member, and a program-level designee is required for you to move forward and work on your proposal. The plan is subject to change, and parts of your research design may need to be adjusted after you complete your exhaustive review of the literature during proposal development.

…………………………………………………………………………………………………

Title

Titles should be concise (aim for 15 words or fewer), be a statement, not a question, and no colons please. The title should indicate the main topic and the variables/concepts under study and the relationship between them. A title should be fully explanatory when standing alone and include the most critical key words (a searchable statement of what the manuscript contains). Avoid words that serve no purpose (such as methods, results, a study of..., or investigation of...), use full terms (avoid abbreviations), and capitalize any word of four or more letters, and all parts of a verb. For more information, see the F&S Checklist.

Quantitative (QN) Example

Differences in the Quality of Problem Statements Written Throughout the Capstone

Qualitative (QL) Example

How Online Doctoral Students Develop a Dissertation Problem Statement

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Background Literature

Probably the most important step in the research process is searching recent, peer-reviewed literature and reading articles related to the general area you want to investigate. The area is based on an identified social problem. As you read and learn, you will narrow your focus. This is how you will identify a discipline-specific research problem.

[ Note: Scholarly, empirical articles and how to find them.]

First, you’ll need to determine your search terms or keywords and the databases you should search. As you conduct your search of the literature, stay organized by keeping a search log.

Search Log Example

Database

Search Terms

Results

Notes

Education Source

online doctoral program completion; limited to peer reviewed, 2016-present

1175

Search too broad; Narrow by using multiple terms

ERIC

online doctoral program completion AND ABD; limited to peer reviewed, 2016-present

13

Much better; Several relevant articles found

Etc.

Example for this Form

The keywords and databases searched included ABD , online doctoral program completion, doctoral capstone completion, online research training, and online learning in the databases Education Source, ERIC, and SAGE Journals, as well as in a multidatabase search.

As you read and evaluate literature, you also need to organize your research. A literature review matrix is one way to help you visualize what has and hasn't been done in your field. It will help you understand the scholarly works related to your area of interest. The importance of organizing and recording your review of literature cannot be overstated. You will refer to your notes as you write, so start on the right track from the beginning!

[ Suggestion: If you keep your search log in an Excel workbook, use the second tab in the same workbook for your literature review matrix.]

For this form, include the complete, APA reference entry and (a) an in-text citation; (b) what they studied; (c) what they found; and (d) why this is important in relation to your study. This evidence provides the justification for your research problem. These sources provide justification that this problem is meaningful to the discipline or professional field. These references should ideally be from the past 5 years. Reference entries related to the framework should be included here, too. [ Note: During proposal development, you will conduct an exhaustive review and synthesize your sources, rather than summarize.]

Example (for one article; at least 10 are required)

Ismail, H. M., Majid, F. A., & Ismail, I. S. (2013). “It’s complicated” relationship: Research students’ perspective on doctoral supervision. Procedia - Social and Behavioral Sciences, 90, 165–170. http://doi.org/10.1016/j.sbspro.2013.07.078

(a) Ismail, Majid, and Ismail (2013); (b) focused on the student experience with supervision while learning to conduct research; (c) found three issues of lack of positive communication, lack of expertise, and power conflicts; and (d) this is important in relation to my study because it may help explain progress on the development of a problem statement in the capstone process.

Rubric Standard | Justified > Is evidence presented that this problem is significant to the discipline and/or professional field?

…………………………………………………………………………………………………

Problem

Social Problem

The situation or issue being experienced by a population or within your discipline that prompted you to search the literature to find out more is sometimes called a social problem. It is the issue that students see “on the ground” so to speak. The social problem is often what prompts students to think about a topic of interest. Usually such a topic is one that students identify with, sometimes having personally experienced some aspect of the problem as it exists in the world.

Example Social Problem

The issue that prompted me to search the literature is the low completion rate of students in doctoral programs. It is common knowledge in the education discipline that only about half of the students who enter doctoral programs will complete, and the lack of progress is often due to the dissertation process. A search in The Chronicle of Higher Education will result in numerous articles about supporting doctoral students with their capstone research to improve the completion rates of doctoral programs.

Gap

The need to address an identified gap in the research literature must be clear and there must be current relevance to the discipline and area of practice. Keep in mind that a gap in the research is not, in and of itself, a reason to conduct research. The gap relates to the rubric standard: Meaningful.

Example Gap

Although researchers have investigated this issue, there is very little or no literature on the development of problem statements by students in online doctoral programs.

Research Problem

A research problem is a focused topic of concern, a condition to be improved upon, or troubling question that is supported in scholarly literature or theory that you study to understand in more detail, and that can lead to recommendations for resolutions. It is the research problem that drives the rest of the dissertation: the purpose, the research questions, and the methodology.

QN Example of Research Problem

In one sentence, the specific research problem is that it is not known whether the quality of problem statements written by online doctoral students varies over time in the program.

QL Example of Research Problem

In one sentence, the specific research problem is that there is a lack of understanding about how online doctoral students go about developing their research problem statement for their dissertations.

Rubric Standard | Meaningful > Has a meaningful problem and gap in the research literature been identified?

Rubric Standard | Original > Does this project have potential to make an original contribution?

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Purpose

To address your stated research problem, what is the purpose of your study? Will you describe, compare, explore, examine, etc.? Be sure to clarify your variables/concepts of interest. For example:

1. In quantitative studies, state what needs be studied by describing two or more factors (variables) and a conjectured relationship among them related to the identified gap or problem.

1. In qualitative studies, describe the need for increased understanding about the issue to be studied, based on the identified gap or problem.

1. In mixed-methods studies, with both quantitative and qualitative aspects, clarify how the two approaches will be used together to inform the study.

QN Example of Purpose

The purpose of this quantitative study is to examine differences in the quality of problem statements written by doctoral students in online programs during the various stages of their doctoral study development.

QL Example of Purpose

The purpose of this qualitative study is to improve the understanding of the process by which doctoral students in online programs arrive at a viable problem statement for their dissertations.

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Framework

The framework includes the theories and/or concepts relevant to your topic. Align the framework with the problem, purpose, research questions, and background of your study. This theoretical or conceptual framework is the basis for understanding, designing, and analyzing ways to investigate your research problem (data collection and analysis). Provide the original scholarly literature (citing original authors) on the theory and/or concepts, even if it is more than 5 years old. Please do not cite secondary sources.

Example Theoretical Framework

The theories and/or concepts that ground this study include Perry’s (1970) theory of epistemological development.

Example Conceptual Framework

The theories and/or concepts that ground this study include Perry’s (1970) theory of epistemological development, focusing specifically on the concepts of online learning and the pedagogical challenges associated with online learning and dissertation writing.

Next, explain how these theories and/or concepts relate to your research problem, purpose, and the nature of your study. Your topic/approach should align with the identified framework so that you will either build upon or counter the previously published findings on the topic.

Example Connection for the Theoretical Framework

The logical connections between the framework presented and my study approach include Perry’s theoretical work, which has been used extensively in all aspects of higher education, albeit more frequently with undergraduates than with doctoral students. The approach provides details on cognitive-structural changes that emerge as a result of development and learning.

Example Connection for the Conceptual Framework

The logical connections between the framework presented and my study approach include Perry’s theoretical work, which has been used extensively in all aspects of higher education, albeit more frequently with undergraduates than with doctoral students. Further, subsequent research and application of Perry’s theory offer guidance on ways to facilitate academic development, thus allowing for insight into the pedagogical challenge of the dissertation.

Rubric Standard | Grounded > Is the problem framed to enable the researcher to either build upon or counter the previously published findings on the topic?

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Research Question(s) and Hypotheses (if applicable)

List the overarching question and/or a series of related questions that are informed by the study purpose, that will be used to address the research problem. A research question informs the research design by providing a foundation for:

1. generation of null and alternative hypotheses in quantitative studies,

1. questions necessary to build the design structure for qualitative studies, and

1. a process by which different methods will work together in mixed-methods studies.

QN Example RQs and Hypotheses

Based on objective ratings by doctoral faculty, what are the differences in the overall quality of problem statements as students move through the doctoral study stages?

H 01—Based on objective ratings by doctoral faculty, there are no statistically significant differences in the overall quality of problem statements as students progress through the doctoral study process.

H 1—Based on objective ratings by doctoral faculty, there are statistically significant differences in the overall quality of problem statements as students progress through the doctoral study process.

QL Example RQ

For students with a high-quality problem statement at the final dissertation stage, what was the process that they used to develop it?

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Nature of the Study

Explain the systematic approach/method and research design you plan to use to address your research question(s). Examples of study design are as follows:

13. Quantitative—for experimental, quasiexperimental, or nonexperimental designs; treatment-control; repeated measures; causal-comparative; single-subject; predictive studies; or other quantitative approaches

13. Qualitative—for basic/generic qualitative design, ethnography, case study, grounded theory, narrative inquiry, phenomenological research, policy analysis, or other qualitative traditions

13. Mixed methods, primarily quantitative—for sequential, concurrent, or transformative studies, with the focus on quantitative methods

13. Mixed methods, primarily qualitative—for sequential, concurrent, or transformative studies, with the focus on qualitative methods

13. Other—for another design, to be specified with a justification provided for its use

QN Example for Nature of the Study

To address the research questions in this quantitative study, the specific research design will include a repeated-measures design (Frankfort-Nachmias & Nachmias, 2008) with objective ratings of student work products examined across time. This quantitative analysis should help pinpoint the amount of growth from the beginning to the end of the project.

Reference entry for the work on which this research design is based:

Frankfort-Nachmias, C., & Nachmias, D. (2008). Research methods in the social sciences cd-rom  spss cd-rom vol 15. (7th ed.). Worth Pub.

QL Example for Nature of the Study

To address the research questions in this qualitative study, the specific research design will include a basic quality study and analysis will follow Saldana’s (2016) descriptive coding process and use first and second cycle coding.

Reference entry for the work on which this research design is based:

Saldaña J. (2016).  The coding manual for qualitative researchers (3rd ed.). London, England: Sage.

Then, for your planned research design, present the type of data you will need, and a list of possible data collection instruments that could be used to address the proposed research question(s). At this point, you should have an idea of the type of data needed to address your research question(s). Explain whether you will be collecting primary data (collected by the you, the researcher) or accessing secondary data (preexisting or public data collected by others). Possible secondary data sources, by program, are available on the Office of Research and Doctoral Services website. [ Note. This is your tentative plan, so keep in mind that things might need to be modified during the proposal stage—particularly after you have completed your exhaustive review of the literature.]

Type of Data (From IRB Form A): Interviews, focus groups, questionnaires/surveys that I administer; public records or documents; private records or documents (released by a school, clinic, business, or other entity); observations in public; observation in non-public spaces; other

Data Collection Instruments: Survey or questionnaire that I will create (not for measuring constructs); survey or questionnaire developed by others—provide specific name of instrument; researcher-created interview guide; observation guide, document review guide .

QN Example Type of Data and Data Collection Instruments

For my planned research design, I will need to utilize secondary data (private records released by a school); therefore, I will not be using any data collection instrument.

QL Example Type of Data and Data Collection Instruments

For my planned research design, I will need to recruit both student and faculty participants for individual interviews. Interview protocols will be developed to address the problem and purpose of the study.

Next, provide the data sources and analysis you plan to use to answer your research question(s).

Data Sources: For existing data, list the specific databases that are the data sources; For data the researcher will collect, list the specific criteria for participants and ideas about how you will recruit them.

Data Analysis: For quantitative, provide variables, scales of measurement, and statistical analysis. For qualitative, Provide specific methods for qualitative data analysis.

QN Example for Data Sources and Analysis

I will request access to preexisting/secondary data from the W University’s online doctoral program. The program collects and rates doctoral problem statements written at four key points in a doctoral student’s career: the premise, the prospectus, the proposal, and the final study. The data will be deidentified and contain the scores by stage of program for 300 online doctoral students.

Variables: IV = Time (capstone stage with 4 categories-premise, prospectus, proposal, final study); DV = numeric rating

Scales of Measurement: IV = nominal; DV = interval/ratio

Analysis: one-way repeated-measures analysis of variance (ANOVA)

QL Example for Data Sources and Analysis

I will recruit 12 faculty and 12 students from an online forum for doctoral programs. Inclusion criteria for faculty include mentoring at least one dissertation student through graduation, mentoring at least 5 dissertation students overall. Inclusion criteria for students include having a high-quality problem statement and IRB approval, but not past graduation.

The data analysis will follow Saldana’s (2016) descriptive coding process and use first and second cycle coding. Descriptive coding is used to assign labels to words or phrases in the data. First and second cycle coding means that the data are reviewed more than once using one or more types of coding. Codes will be categorized, which means synthesizing the codes into consolidated meaning. Categories will be moved into themes, which are phrases or sentences that describe a process derived from the categories.

Finally, provide information on limitations, challenges, and/or barriers that may need to be addressed when conducting this study. These may include access to participants, access to data, separation of roles (researcher versus employee), instrumentation fees, etc. If you are thinking about collecting data on a sensitive topic or from a vulnerable population, an early consultation with the Institutional Review Board (IRB; [email protected]) during your prospectus process is recommended to gain ethics guidance that you can incorporate into your subsequent proposal drafts and research planning. [ Note. Find more information on research ethics and potential “red flag” issues on the IRB Guides and FAQs.]

QN Example

A potential barrier when using secondary data is that data access will probably include a partner-site agreement and potentially an external research ethics review (IRB), which may take some additional time. A possible barrier for collecting survey data is difficulty in recruitment of participants. I will attend IRB Office Hours to ask questions about these issues.

QL Example

A potential barrier when collecting primary data include partner site agreement and possible difficulty recruiting participants for interviews. Ensuring clear separation of my role at the institution from my role as researcher may also be a challenge.

Rubric Standard | Feasible > Can a systematic method of inquiry be used to address the problem; and does the approach have the potential to address the problem while considering potential risks and burdens placed on research participants?

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Significance

Here you explain how your study addresses the meaningful, discipline-specific issue that you identified and will therefore contribute to your field, discipline, professional practice, etc. contributing to positive social change. Detail how your findings might support professional practice or allow practical application (answer the So what? question).

Example Significance

This study is significant in that it will fill a gap in understanding by focusing specifically on development of problem statements by students in online doctoral programs. The results of this study should aid doctoral committees and academic programs in helping students to succeed in their final projects, thus supporting eventual degree attainment. Education has long been a force for social change by addressing inequities in society. Because a broad range of students attends online institutions, supporting their successful attainment of a terminal degree allows for increased diversity among individuals in key academic and scholarly leadership positions.

Rubric Standard | Impact > Does this project have potential to affect positive social change?

Rubric Standard | Objective > Is the topic approached in an objective manner?

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My Doctoral Research ( MyDR)

If you have not done so already, you should familiarize yourself with the My DR system. The MyDR system was designed to assist you and your committee in navigating your doctoral research journey, from the very beginning through the final approval. The various landing pages in MyDR will track your progress and will serve as a central location for resources to support that progress. There is a process flow tool in which you exchange and store faculty evaluations of and feedback on your work as you progress along that journey.

You will be entered into the MyDR system when both your committee chair and second member nominees are approved by the academic program. At that point, you will be able to access MyDR from the homepage of your dissertation completion course in Blackboard. The first document that you will submit for approval in MyDR will be your prospectus.

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QN Sample Research Design Alignment Table

Research

Problem, Purpose, and Framework

Research Question(s), Method, & Design

Types of Data to be Collected and Data Collection

Instruments

Data

Sources

Data

Analysis

Problem: The specific research problem is that it is not known whether the quality of problem statements written by online doctoral students varies over time in the program.

Purpose: The purpose of this quantitative study is to examine differences in the quality of problem statements written by doctoral students in online programs during the various stages of their doctoral studies.

Framework: The theories and/or concepts that ground this study include Perry’s (1970) theory of epistemological development.

RQ1: Based on objective ratings by doctoral faculty, what are the differences in the overall quality of problem statements as students move through the doctoral study stages?

Method: Quantitative

Design: A repeated-measures design

I will need to utilize secondary data (private records released by a school); therefore, I will not be using any data collection instrument.

I will request access to preexisting/secondary data from the W University’s online doctoral program. The program collects and rates doctoral problem statements written at four key points in a doctoral student’s career: the premise, the prospectus, the proposal, and the final study. The data will be deidentified and contain the scores by stage of program for 300 online doctoral students.

Variables: IV = Time (capstone stage with 4 categories-premise, prospectus, proposal, final study); DV = numeric rating

Scales of Measurement: IV = nominal; DV = interval/ratio

Analysis: one-way repeated-measures analysis of variance (ANOVA)

RQ2:

Method:

Design:

RQ3:

Method:

Design:

QL Sample Research Design Alignment Table

Research

Problem, Purpose, and Framework

Research Question(s), Method, & Design

Types of Data to be Collected and Data Collection

Instruments

Data

Sources

Data

Analysis

Problem: The specific research problem is that there is a lack of understanding about how online doctoral students go about developing their research problem statement for their dissertations.

Purpose: The purpose of this basic qualitative study is to improve the understanding of the process by which doctoral students in online programs arrive at a viable problem statement for their dissertations.

Framework: The theories and/or concepts that ground this study include Perry’s (1970) theory of epistemological development, focusing specifically on the concepts of online learning and the pedagogical challenges associated with online learning and dissertation writing.

RQ1: For students with a high-quality problem statement at the final dissertation stage, what was the process that they used to develop it?

Method: Qualitative

Design: basic qualitative

I will need to recruit both student and faculty participants for individual interviews. Interview protocols will be developed to address the problem and purpose of the study.

I will recruit 12 faculty and 12 students from an online forum for doctoral programs. Inclusion criteria for faculty include mentoring at least one dissertation student through graduation, mentoring at least 5 dissertation students overall. Inclusion criteria for students include having a high-quality problem statement and IRB approval, but not past graduation.

The data analysis will follow Saldañas (2016) descriptive coding process and use first and second cycle coding. Descriptive coding is used to assign labels to words or phrases in the data. First and second cycle coding means that the data are reviewed more than once using one or more types of coding. Codes will be categorized, which means synthesizing the codes into consolidated meaning. Categories will be moved into themes, which are phrases or sentences that describe a process derived from the categories.

RQ2:

Method:

Design:

RQ3:

Method:

Design:

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