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College of Doctoral Studies
Dissertation Guide
A Comprehensive Dissertation Development and Alignment Handbook
*Please note: This document is subject to changes, which will be recorded in Appendix B: Document Change Log.
Students and faculty should check back for changes and download the current version often.
(Last Updated 7/10/2025)
Copyright 2025 by University of Phoenix. All rights reserved.
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Overview .............................................................................................................................. 4
The Dissertation Process .......................................................................................... 4
The Dissertation Committee .................................................................................... 7
Topic Selection and Alignment to the Degree Program ...................................................... 9
Method and Design Selection and Alignment to Research Objectives ............................. 10
Overview of Methods and Designs ........................................................................ 10
Qualitative Research .................................................................................. 10
Quantitative Research ................................................................................ 11
Research Design Selection and Alignment ............................................................ 12
Qualitative Design Selection and Alignment ............................................. 13
Action Research ............................................................................. 13
Appreciative Inquiry ...................................................................... 16
Case Study ..................................................................................... 18
Delphi Method Technique ............................................................. 20
Ethnography ................................................................................... 21
Grounded Theory ........................................................................... 22
Narrative Inquiry ............................................................................ 24
Needs Assessment .......................................................................... 26
Nominal Group Theory ................................................................. 27
Phenomenology .............................................................................. 29
Program Assessment ...................................................................... 31
Quantitative Research Design Selection and Alignment ........................... 33
Correlational Research ................................................................... 33
Experimental and Quasi-experimental Research ........................... 35
Ex Post Facto (Causal Comparative) ............................................. 37
Factor Analysis .............................................................................. 39
Q-Methodology .............................................................................. 40
Repeated Measures ........................................................................ 41
Mixed-Method Research and Alignment ................................................... 43
Method and Design Selection Summary ................................................................ 43
Doctoral Phase 1: The Prospectus ...................................................................................... 46
Alignment of the Prospectus Elements .................................................................. 48
Doctoral Phase 2 – Précis .................................................................................................. 49
Doctoral Phase 3 – Dissertation Chapter 2: Literature Review ......................................... 54
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Doctoral Phase 4 – QRM: Proposal ................................................................................... 59
Alignment of the Proposal Elements ..................................................................... 64
Proposal Assessment Rubric .................................................................................. 65
Institutional Review Board (IRB) .......................................................................... 65
Doctoral Phase 5 – QRF: Dissertation Chapters 4 & 5: Dissertation ................................. 66
Alignment of the Dissertation Elements ................................................................ 72
Dissertation Assessment Rubric ............................................................................ 73
Oral Defense .......................................................................................................... 74
Final Dissertation Editing ...................................................................................... 75
Structure of a Dissertation...................................................................................... 75
Elements in an APA Paper ..................................................................................... 76
College of Doctoral Studies Dissertation Format Requirements ........................... 79
Final Dissertation Editing (FDE) Checklist ........................................................... 83
Appendix A: Dissertation Template .................................................................................. 85
Appendix B: Document Change Log ........................................................................................ 115
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Overview This guide provides comprehensive information on University of Phoenix College of Doctoral Studies practitioner
program dissertation development steps and criteria. The overview section describes the dissertation process and
dissertation team. The Topic Selection and Alignment to the Degree Program section describes each of the practitioner
degree programs offered at the College of Doctoral Studies and discusses potential areas for research. The Method and
Design Selection and Alignment to Research Objectives describes the research methods and provides a brief overview of
the various associated designs to assist in comparison and selection between the different designs.
The Research Design Selection and Alignment provides detailed information regarding the designs to assist in
understanding their applicability in research and provide resources for further understanding of the designs.
In addition, this document describes the five phases of the dissertation process and provides guidance on development and
alignment of the prospectus and the dissertation chapters associated with each of the five phases. The Dissertation Criteria
Assessment (DCA) is a developmental and progression feedback tool used to monitor students in meeting dissertation
assessment criteria throughout the Doctoral Journey Life Cycle and Dissertation Phases. The Institutional Review Board
(IRB) and Oral Defense sections briefly describe these important dissertation journey milestones, and the Final Dissertation
Editing (FDE) section describes the dissertation formatting requirements. Finally, Appendix A: Dissertation Template
provides a template for the full dissertation, including information and strategies on completion of each section of the
dissertation.
The practitioner programs are situated within our Scholar- Practitioner-
Leader℠ (SPL) model and aligned to our mission of developing
doctoral leaders who conduct research for creative action and guide
diverse organizations through effective decision making.
We hope that you will find this guide useful throughout every phase of
the doctoral process and remember to enjoy the journey and allow it to
help you realize your passion by helping you create research that will
contribute to your professional field!
The Dissertation Process The dissertation process occurs in five phases, as depicted below. The
information below the figure describes the five phases and deliverables
further.
Students should use courses in each phase to build upon each phase
deliverable. Students are allowed to dovetail course materials from content
and research courses to build upon each Dissertation Journey Phase.
Leader
Scholar Practitioner
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Phase Work on the phase in the following
courses (enrolled prior to 1/2/2020)
Work on the phase in the following
courses (enrolled 1/2/2020 and after)
DOC/700 (5 weeks) BUS/700, EDD/700, or DHA/700 (8
Doctoral Phase 1 LDR/711A (8 weeks) weeks)
– Prospectus: RES/709 (8 weeks) LDR/711A (8 weeks)
Outline of the RES/724 (8 weeks) Qualitative Methods RES/709 (8 weeks)
Planned and Design DOC/714S – (8 weeks) - Deliverable:
Dissertation DOC/714S – (8 weeks) - Deliverable: Prospectus
Study Prospectus
Phase 1 courses Phase 1 courses RES/710 (8 weeks) RES/724 (8 weeks) RES/720 (8 weeks) Program content requirement (8 weeks)
Doctoral Phase 2 Two core program courses (8 weeks each) Program content requirement (8 weeks)
– Précis DOC/715 (8 weeks) - Deliverable: Précis DOC/715 (8 weeks) - Deliverable: Précis
Three core program courses (8 weeks Two content program courses (8 weeks
Doctoral Phase 3 each) each)
– Concept DOC/723 (8 weeks) - Deliverable: Concept DOC/723 (8 weeks) - Deliverable: Concept
Review Review Review
Phase 1 Prospectus
Phase 2 Précis (draft Chapter 1)
Phase 3 Concept Review (draft Chapter 2)
Phase 4 Quality Review Methods: Proposal Chapters 1-3
Phase 5 Quality Review Final: Dissertation Chapters 1-5
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Phase Work on the phase in the following
courses (enrolled prior to 1/2/2020)
Work on the phase in the following
courses (enrolled 1/2/2020 and after)
Doctoral Phase 4
– QRM:
Proposal
(Chapters 1 – 3)
Research elective course (8 weeks) One
core program course (8 weeks)
*DOC/741 (8 weeks) – Deliverable:
Proposal Chapters 1-3
DOC/741 is a three-course sequence.
Students who do not meet proposal
requirements in DOC/741 will need to enroll
in subsequent A and B iterations if needed.
Two content program courses (8 weeks each)
*DOC/741 (8 weeks) – Deliverable: Proposal
Chapters 1-3
DOC/741 is a three-course sequence. Students
who do not meet proposal requirements in
DOC/741 will need to enroll in subsequent A
and B iterations if needed.
Doctoral Phase 5
–QRF:
Dissertation
(Chapters 1 – 5)
Two core program courses (8 weeks each)
*DOC/742 (8 weeks) – Deliverable:
Dissertation and Oral Defense
DOC/742 is a three-course sequence.
Students who do not meet proposal
requirements in DOC/742 will need to
enroll in subsequent A and B iterations if
needed.
IRB Review and Approval (occurring
concurrently)
One Content Program Course (8 weeks)
DOC/719S (8 weeks)
*DOC/742 (8 weeks)– Deliverable:
Dissertation and Oral Defense
DOC/742 is a three-course sequence. Students
who do not meet proposal requirements in
DOC/742 will need to enroll in subsequent A
and B iterations if needed.
*Dissertation continuing enrollment courses are available and require written Chair and URM approval prior to scheduling.
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The Dissertation Committee (DBA 004, EDD 004, DM 005, DHA 004; enrolled 1/2/2020 and after)
Students enrolled in the College of Doctoral Studies at the University of Phoenix are expected to be dedicated, self-
motivated, responsible, and independent learners accountable for the development of their dissertation. Doctoral faculty
members are dedicated to supporting and guiding students to the completion of the doctorate.
Doctoral Seminar courses* are writing-intensive classes for students. The faculty provides guidance, review, and feedback on
dissertation deliverables to support the student in building a quality, robust dissertation. Students should be in Doctoral
Seminar classes for full reviews.
Role of Doctoral Student – Dissertation Phases 1-5
Doctoral students are accountable for writing all chapters of the proposal and dissertation while enrolled in dissertation
classes and independently outside of designated dissertation courses. Students select dissertation topics that reflect gaps in
the literature or problems identified from their practitioner experience. Students must choose dissertation topics aligned
with their degree programs.
Doctoral students should use work completed in content classes to build Chapter 2: The Literature Review. Using work
from prior classes or dovetailing enables students to capitalize on their work without duplicating effort. Doctoral students
will rely on committee feedback to build robust, cohesive, and quality research projects aligned with the College of
Doctoral Studies' mission to enhance students' positions as a Scholar-Practitioner- Leaders (SPL) Model in their industries.
The Dissertation Committee includes three College of Doctoral Studies Staff Faculty members (chair and two committee
members, University Research Methodologist (URM) and Panel Validator (PV), each having a specialized role. The
Dissertation Committee is assigned to work with student cohorts at different stages.
Role of Chair – Assigned Phase 2 at the Start of DOC/715*
The Dissertation Chair is the subject matter expert for content and discipline relevance. The Dissertation Chair leads the
research problem development, research feasibility, rigor, and overall quality of the proposal and dissertation phases.
Dissertation Chairs facilitate DOC/715, DOC/723, DOC/742, and the DOC/742 respective continuing enrollment courses.
The Dissertation Chair leads the Oral Defense.
Role of the University Research Methodologist (URM) (first committee member) –
Assigned upon completion of Dissertation Phase 2
The URM leads proposal and dissertation research method and design to ensure alignment of methodological strategies,
rigor, and quality. The URM facilitates DOC/741 and DOC/741 continuing enrollment courses. The URM and the
Dissertation Chair are assigned to cohorts at the same time. The URM reviews the research problem, purpose, research
questions/hypothesis, and research method design at DOC/715 and DOC/723 for alignment. The URM participates in the
Oral Defense.
Role of the Panel Validator (second committee member) – Assigned upon
completion of Dissertation Phase 4
The PV is the subject matter expert who reviews Chapters 1-3 for scope and provides feedback to ensure Chapters 4 and 5
offer robust and innovative industry recommendations aligned with the SPL Model. The PV participates in the Oral defense
and provides final APA and formatting review for the completed dissertation.
Dissertation Staff Faculty are not assigned to students but cohorts. *Chairs and URMs are assigned at Phase 2. Changes in
committee members might occur during the dissertation process due to staff changes and unforeseen circumstances.
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*DOC/715, DOC/723, DOC/741, DOC/741A, DOC/741B, DOC/742, DOC/742A, DOC/742B, and all continuing-
enrollment extension courses.
All Other Programs (enrolled prior to 1/2/2020)
Students in all other programs working with selected dissertation committees will continue to work with those
faculty members. For students with selected dissertation committees, if a faculty resigns or students wish to
change a faculty member, students will be assigned a staff faculty member. There are situations where changes
in dissertation committee faculty may delay student progression based on new faculty feedback and incomplete
student documents.
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Topic Selection and Alignment to the Degree Program
The initial step in achieving dissertation alignment is selecting a topic aligned with the program of study, also referred to as
the industry or discipline of study. The topic should reflect an existing problem within the industry. The following
information provides brief examples of dissertation topics that align with the various practitioner programs currently offered
as University of Phoenix doctoral studies. For detailed program information, visit
https://www.phoenix.edu/degrees/doctorate.html.
Doctor of Business Administration (DBA) Dissertation topics for the DBA program must be based on the core business driven disciplines of the DBA program namely:
Strategy, Marketing, Finances, Operation, and Organizational Deployment, including relevant leadership challenges. Topics
must also be relevant to broader industry and could include NGO and NPO.
Doctor of Education in Educational Leadership (EDD)
The EDD program focuses on K-12 education. The dissertation may focus on broad aspects associated with these
educational levels including test scores, dropout decisions, and examining academic success.
Doctor of Health Administration (DHA)
The DHA program is intended to develop health administration scholars, practitioners, and leaders. Students’ research focus
on the administration of health services within varied settings, including acute care settings and home health settings, for
example. Dissertations often focus on policies, processes, and procedures involved in the delivery of health care services,
leadership of health care professionals and support staff, resources, and cost effectiveness/efficiency using the Triple Aim of
Healthcare to inform the research.
Doctor of Management in Organizational Leadership (DM)
The DM program focuses on organizational leadership and management. Doctoral students may explore
leadership behavior, leadership skills, human resources, employee satisfaction, employee engagement,
management of organizational resources, change management, or business processes and procedures within an
organization. The DM with concentration in Information Systems and Technology focus on improving leaders
understanding of the strategic importance of information technology and how it shapes various topics such as
decision-making, dispersed team work, and competitiveness.
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Method and Design Selection and Alignment to Research Objectives Once the student selects a dissertation topic and identifies a problem, the student should develop a research purpose that
aligns with the problem then select a research method and design aligned with the purpose. Note that alignment between
the purpose and design is an iterative process; the purpose should be modified to reflect the selected design.
The following information describes the three research methods. The most commonly used method within practitioner
doctoral programs is qualitative followed by quantitative. The third method, mixed- method, combines qualitative and
quantitative approaches.
Overview of Methods and Designs
Qualitative Research
• Qualitative research is used to address a social problem by gaining an understanding of participants’
opinions, perceptions, and feelings, or by reviewing documents.
• Qualitative data are narrative data collected using approaches such as interviews, questionnaires, focus groups,
observations, or archival documents.
• The researcher is typically very involved with the participants during the research.
• The sampling type is usually purposeful, and the sample size is typically small.
Qualitative Research and the Inductive Process
• Qualitative research is based on inductive reasoning.
• Induction is a "bottom up” approach that moves from the research questions to narrative interview or
questionnaire data or observations, to patterns and themes based on these data, to broad conclusions about those
data, and can lead to a theory.
.
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Strengths and Weakness of Qualitative Research • Strengths:
o Provides a wide variety of designs.
o Flexibility in data collection approaches.
• Weaknesses:
o Selecting an appropriate design can be a challenge for novice researchers.
o Results cannot be generalized due to small samples and limited context.
Qualitative Research Designs
The qualitative method includes several designs. The following information provides a brief synopsis of many of the major
qualitative designs. Detailed information about the implementation of each of these designs is provided in the Qualitative
Design Selection and Alignment section.
• Action research: The researcher works collaboratively with an organization or institution to address a problem
or create policy. There are various types of action research; each differs regarding the researcher’s role and the
objectives.
• Appreciative inquiry: Like action research, but rather than focusing on existing problems it focuses on building
on the existing positive aspects of an organization and envisioning innovative enhancements for the future.
• Case study: The researcher examines an existing bounded “case” such as an organizational or institutional
process using multiple sources of data to triangulate knowledge about the case. Case studies require an
explicit “type.”
• Delphi technique: Delphi research uses a panel of subject matter experts to examine consensus on topics such
as best industry practices or the future of the topic under study. This technique is usually accomplished in two
to three rounds.
• Ethnography: The researcher examines a culture to identify the cultural norms, social structures, and other
patterns.
• Grounded theory: The researcher seeks to generate a new theory or a theoretical model that explains a process or
action. The theory is “grounded” in data from these participants. This design implies that no theory currently exists.
• Narrative Inquiry: The researcher gathers a particular narrative view of experience as phenomena under study.
Narrative Inquiry is about the stories of the participants as they discuss the elements of temporality, spatiality, and
sociality.
• Needs assessment: This research is the first step for an institution or organization considering the development
of a program or training. The research focuses on defining the program requirements or training competencies.
• Nominal Group Theory: This design prioritizes best practices by gathering structured input from practitioners
and builds consensus on programs, processes, and interventions. The researcher examines immediate,
actionable insights rather than long-term forecasting.
• Phenomenology: This research focuses on first-hand “lived experiences” of participants who have all experienced
a common personal phenomenon. This design seeks to explore participants’ internal dialog about the phenomenon.
This is about the lived experience as the participants live it.
• Program assessment (or program evaluation): The researcher evaluates an organizational or
institutional program to measure the actual program outcomes against its intended outcomes.
Quantitative Research
• Quantitative research is used to address a social problem by quantifying participants’ opinions, perceptions, and
feelings. This is not limited to what is quantifiable to humans as phenomena, instrumental measures (e.g.,
BP/pulse measures, weight loss/gain, expenses), retention rates and error rates are also quantifiable.
• Quantitative data are numerical data collected using approaches such as surveys or big data sets, which are
statistically analyzed to test hypotheses.
• The researcher may not be directly involved with participants during the research. In a pretest/posttest design, the
researcher could be active.
• The sampling type is usually random, and the sample size is typically large and based on the population size.
There are times when a researcher may not use random sampling.
Quantitative Research and the Deductive Process
• Quantitative research is based on deductive reasoning.
• Deduction is a "top down” approach that transitions from general to specific by developing hypotheses and
statistically testing the hypotheses with quantitative data to develop findings and conclusions.
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Strengths and Weakness of Quantitative Research
• Strengths:
o Tests and validates hypotheses.
o Straight-forward data collection and analysis; easy to replicate.
o The large sample size allows the results to be generalized to the population.
• Weaknesses:
o Theoretical conceptualization of the study isolates variables, which limits the measurable impact of other intervening variables.
o Measuring relationships between the variables does not determine cause- and-effect.
Quantitative Research Designs
The quantitative method includes several designs. The following list describes the most common quantitative designs used
in doctoral research. Each of these designs is detailed in the Quantitative Design Selection and Alignment section.
• Correlational research: The researcher is interested in determining the relationship between two or more
quantifiable variables. It is important to note that correlation does not determine cause- and- effect.
• Experimental research: The researcher randomly assigns participants to experimental and control groups
and manipulates one or more variables to determine cause-and-effect.
• Ex post facto (or causal-comparative): The objective of this design is to identify causal relationships among
variables that cannot be manipulated such as gender, ethnicity, or birth order. Causal research can be used to
determine cause-and- effect between variables.
• Factor analyses: The researcher analyzes interrelationships within a set of variables or objects to construct
a reduced set of variables, called factors, which contain the essential information in the original larger set of
variables.
• Q-methodology: The researcher examines participant’s views about a topic as the participants rank- order the
Q sample. The Q sample is developed based on a literature review. The resulting Q sort is used to determine
subjectivity.
• Quasi-experimental research: This design is similar to experimental research; however, whereas experimental
research requires a treatment (manipulated variable), control, randomization, and able to be replicated, quasi-
experimental is when any one or more of these characteristics of design is not possible.
• Repeated Measures: This design examines outcome changes over time or under varying conditions using the
same group of participants. Repeated Measures is often used when the purpose is to assess the effect of
interventions, instructional strategies, or policy changes on individuals’ performance, attitudes, or behaviors.
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Research Design Selection and Alignment This section expands on the brief design descriptions above and defines implementation of the major qualitative,
quantitative, and mixed-method designs that align well with the doctoral practitioner programs
offered at University of Phoenix. The information is provided to assist in understanding differences between the various
designs, to provide alignment information, and to provide examples of how to implement each research design.
Each research design section includes brief information on the research objectives of the design and includes external links
for further information. Additionally, each section describes how to construct and align the dissertation problem statement,
purpose statement, significance of the study, methodology section, and research questions with the design.
The designs listed are not fully inclusive; other designs may be acceptable, but please note that hybrid or
“boutique” designs should be avoided. Once an appropriate design is selected it is imperative to become independently
informed of how to correctly implement the design. Refer to the recommended references listed for each design for further
information.
Qualitative Design Selection and Alignment
Action Research
The purpose of this section is to describe the implementation of action research. This design, which is often associated
with education or healthcare research, allows the researcher to seek solutions to an organizational problem or a broader
societal problem collaboratively with the members of the organization under study.
There are four different approaches to action research which are color coded throughout this document: action research
(AR), participative research (PR), participative action research (PAR), and technical action research (TAR).
For the basic action research (AR) design the participants are usually limited to the management team; for PR the
participants are those directly involved in the process; for PAR the participants are often intra- team representatives from
throughout the organization. This section should also describe appropriate data collection and analysis. The researcher role
within AR is to collaborate with organizational leadership to lead data collection based on available data and management
interviews, analyze the current process, recommend specific changes, implement the changes, and evaluate the results.
Within participative research (PR) the role of the researcher is to develop understanding based on the tacit knowledge of
the employees and managers. Data are collected via interviews and archival documentation, evaluated, and reduced to clear
information such as process flows and communication flow diagrams. The researcher shares the information with the
employees and managers to facilitate collaborative change recommendations.
Participative action research (PAR) requires the researcher and employees to collaboratively resolve a major organizational
problem or address an organizational level decision; the results of PAR are designed to influence policy and practice.
Examples of PAR include tiger teams or blue-ribbon panels in which participants who are impacted by the problem are
brought together from across the organization to creatively address a systemic issue by planning and implementing the
change. The researcher shares control of the process design with the employees.
Technical action research (TAR) is collaborative in that the researcher collaborates with the leadership or process owner,
but the research typically does not include collaboration with other organizational employees. In this approach the research
objectives are developed by the organization or by an external facilitator rather than by the researcher. The researcher
shares the information with the leadership; however, the primary objective is to create or test a theory and publish the
findings such as within a doctoral dissertation. The discussion below describes how to implement each approach when
developing the various sections of a dissertation.
Defining and implementing action research further describes the objective and implementation of action research.
Research Methodology
All action research approaches are typically qualitative. Discuss use of the qualitative method and the specific action
research design to be used.
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Problem Statement Discuss what problem will be addressed by the research. Since action research is typically based on the needs of a single
organization rather than a broad issue, it is acceptable to cite the organizational leadership as
“personal communication” (APA manual, 7th edition, p. 260, 8.9 Personal Communications). In contrast, participative action
research (PAR) may be focused on a broader societal issue rather than an organization specific problem, and technical action
research (TAR) focuses on a broad social science issue to develop or test a theory. A problem statement needs a problem and
a consequence that is supported by a recent citation. A common sentence stem that students have the option of using is, “The
problem is...resulting in...(citation).” If the verbiage varies, both the problem and the consequence need to be evident in the
problem statement sentence.
Purpose Statement
The purpose statement should outline the method (qualitative) and design, such as action research, participative research,
or participatory action research. Example: “The purpose of the qualitative participative action research is to....” Describe the
research participants, your role in the research, and their role in the research. The purpose statement also should state the
objectives, and the objectives must align with the design.
Action research (AR) focuses on improving organizational procedures from a process-oriented perspective; the goal is to
collaborate with the leadership or process owner to improve a process from an advisor perspective before, during, and after
the process change.
Participative research (PR) includes creation of knowledge based on the tacit knowledge of employees and managers
involved in the process; the focus is inclusion of the participants. Implementation of a PR design requires researcher and
employee commitment during the project to collaboratively address a problem. The researcher enables the participants to
“solve their own problems” (Elden, Reason, & Rowan, 1981, p. 259).
Participative action research (PAR) requires the researcher and employees to collaboratively resolve a major organizational
problem or address an organizational level decision; the results of PAR are designed to influence policy and practice.
Examples of PAR include tiger teams or blue-ribbon panels in which participants who are impacted by the problem are
brought together from across the organization to creatively address a systemic issue by planning and implementing the
change. The researcher shares control of the process design with the employees.
Technical action research (TAR) focuses on a broad social science issue to develop or test a theory. Rather than primarily
focusing on improving a process used by an organization, the principal intent of PAR is to add to the body of knowledge.
Significance of the Study
Describe how changing the process, addressing the problem, or influencing the organizational policy and practice might
benefit the organization. For PAR the resultant change may have a larger societal impact or may be transferable to societal
issues. For TAR studies the resultant recommendations should have a potential societal impact.
Research Questions
When using qualitative research designs, research questions must be included, but hypothesis should not be included.
Example research questions for action research (AR): Since AR includes assessment before, during, and after the process
change, appropriate research question might include:
R1. What factors are contributing to the process issues?
R2. What changes can be implemented to create prospective process improvement?
R3. What was the outcome of the implemented changes? or What changes occurred as a result of ....?
Example research questions for participative research (PR): Since PR is limited to the planning and implementation
phase and collaborates with the employees and managers, appropriate research question might include:
R1. What are the process owners’/managers’ perceptions of factors contributing to the process issues?
R2. What are the employees’ perceptions of factors contributing to the process issues?
R3. What changes can be implemented to create prospective process improvement while best meeting the needs of employees?
Example research questions for participative action research (PAR): Since PAR is limited to the planning and
implementation phase, and collaborates with the employees and managers to resolve a major organizational problem or
address an organizational level decision and influence policy and practice, appropriate research question might include:
R1. What are the process owners’/managers’ perceptions of factors contributing to the issue?
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R2. What is contributing to the current problem of the issue?
R3. What are the potential benefits and challenges of each option for addressing the issue, and which option might produce
the optimal results?
R4. What policy and practice changes must be implemented to facilitate the selected option, what is the expected outcome
for the organization, and is the solution transferable to broader societal issues?
Example research questions for technical action research (TAR): Since TAR usually relies on research objectives developed
externally and focuses on a broad social science issue to develop or test a theory and add to the body of knowledge,
appropriate research question might include:
R1. What are the stakeholder’s research objectives or theory to be tested?
R2. How can these objectives be met, or how can this theory be tested within the participating organization? R3. How
might the results be used to improve the participating organization?
R4. How are the results transferable to the broader societal issue, and how do the results contribute to the body of
knowledge?
Resources
Dissertation Guide Readings for Action Research
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Appreciative Inquiry
Appreciative inquiry (AI) is a change management approach that is typically conducted in organizations. Therefore, this design is
typically associated with the DM or DBA programs, but this design can be accomplished within other institutions such as
healthcare or educational institutions. AI is an organizational improvement approach that focuses on the positive aspects of the
organization rather than directly attempting to address and resolve existing problems. This design was originally developed and
discussed in an article by Cooperrider and Srivastva (1987). AI can be used to improve current processes or organizations or to
generate new ideas and recommendations for the organization under study.
Note that the positive approach of implementing the AI design for addressing organizational problems has an
important benefit in gaining the organization’s approval for conducting the research.
Organizational stakeholders are more likely to allow researchers to conduct a study designed to improve a process or an
organization than to examine an existing organization issue, such as using a case study approach to investigate a problem.
According to Kessler (2013), Cooperrider’s “4D” AI model involves four phases. During the discovery phase the researcher
collects participant’s reflections and stories regarding the positive aspects of the organizational process under study. The second
phase, dream, is a collaborative effort to imagine an idealized state. This step often involves development of a graphical
representation. The third phase, design, involves realistic planning of the steps required to attain the vision created in phase two.
The destiny phase focuses on developing a set of recommendations for practitioners and leaders based on the collection and
analysis of employees’,
stakeholders’, and the researcher’s organizational process improvement insights.
Proposed Research Methodology The appreciative inquiry design is typically associated with the qualitative method but may be conducted as qualitative supported
by quantitative data if quantitative data will also be collected and analyzed.
Problem Statement Discuss the organizational deficit to be addressed by the study. If the purpose is to generate new ideas and recommendations for the
organization under study, then discuss the process or section that requires improvement. Since this application is typically based on
the needs of a single organization rather than a broad issue it is acceptable to cite the organizational leadership as “personal
communication” (APA manual, 7th edition, p. 260, 8.9 Personal Communications). If the proposed improvements can be
implemented across the industry, then discuss the industry-wide deficit as the problem. A problem statement needs a problem and a
consequence that is supported by a recent citation. A common sentence stem that students have the option of using is, “The
problem is...resulting in...(citation).” If the verbiage varies, both the problem and the consequence need to be evident in the
problem statement sentence.
Purpose Statement The purpose statement should state that the method is qualitative, and the design is appreciative inquiry. “The purpose of the
qualitative appreciative inquiry is to....” The purpose statement also should state the objectives of the research such as to examine
the current processes and recommend improvements. This section should also state the type of organization or institution, the
program objectives, and participants or stakeholders involved in the current processes.
Significance of the Study Describe the potential benefits of the proposed organizational change such as to create efficiencies, reduce operational costs,
increase customer and/or employee satisfaction, or create improved organizational outcomes.
Research Questions Example AI research questions might focus on the first three phases of the 4D model, such as:
R1. What are stakeholders’ reflections and stories regarding the positive aspects of the current organizational
process?
R2. What idealized future state do stakeholders envision? R3. What
steps are required to attain the vision?
Note that the fourth phase of the 4D model, destiny, will be discussed in chapter 5 of the dissertation. Therefore, it is not necessary
to include an explicit research question to address this final phase.
Resources Dissertation Guide Readings for Appreciative Inquiry
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Case Study
A case study involves extensive exploration of a bounded case, which can be defined as a specific organization, situation, or
process. The researcher must be able to clearly define and create limits around the subject to be studied (Merriam, 1998).
As Merriam (1998) pointed out, “A case study design is employed to gain an in-depth understanding of the situation and
meaning for those involved. The interest is in process rather than outcomes, in context rather than a specific variable, in
discovery rather than confirmation” (p. 19).
Three of the most prominent case study methodologists are Robert Yin, Robert Stake, and Sharan Merriam. Researchers
using the case study design should become familiar with and cite the work of all three authors. Yin Stake and Merriam case
study differentiation discusses the various perspectives of the three theorists in designing and implementing a case study.
Case studies include two unique requirements—they must include a type and they must be supported by multiple sources
of evidence. These two requirements are described below.
Multiple sources. The multiple sources requirement may be fulfilled using two or more of the six sources defined by Yin
(2009):
• Documentation
• Archival records
• Individual Interviews
• Focus Groups
• Direct observations
• Participant-observations
• Physical artifacts
It is important to keep in mind that the multiple sources of data must not only be collected; they must also be analyzed and
triangulated to create the results in Chapter 4.
Case study sources of evidence by Yin provides additional information on sources of evidence.
Optionally, the multiple sources may be obtained using a stratified sample from two of more different populations of
participants. For example, an educational research may involve perspectives from a sample of teachers, a sample of
administrators, and a sample of parents. These data sources must be triangulated during data analysis phase to view the
bounded case from various perspectives.
Single case studies, defined as a study of a single individual, are incapable of providing conclusions beyond the individual
under study (Tellis, 1997). Note that a single case study is not considered a rigorous enough design for a dissertation.
Case study types. Yin (2009) defined the three most common types of case studies: explanatory, exploratory, and
descriptive. Stake (1994) additionally defined three types: intrinsic, instrumental, and collective. These six types are briefly
defined below.
Although these are the most commonly used types other types may be used.
Explanatory. An explanatory case study design is used to explain why a phenomenon occurs. In explanatory case
studies, the focus is to explore phenomena in real-world settings (Yin, 2009).
Exploratory. An exploratory case study is a technique used to collect more in- depth data about what is occurring.
Exploratory case studies are used to explore phenomena where no defined outcomes are foreseeable (Yin, 2009).
Descriptive. Descriptive case studies are based upon an already established theory. In descriptive case studies, a
population is examined and data collected about that population, which is compared to a theory supporting the
phenomenon being observed (Yin, 2009).
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Intrinsic. Stake (1994) defined an intrinsic study as focused on examining a particular case because the case itself is
of interest.
Instrumental. The goal of an instrumental case study is to provide insight into an issue or problem or to enhance
an existing theory (Stake, 1994).
Collective. In a collective case study several cases are examined to understand a problem, phenomenon, or
situation (Stake, 1994).
Review information on case studies and select a specific type of case study. See the following:
• Case study information – Tellis volume 1
• Case study design and Implementation - Baxter and Jack
Proposed Research Methodology
Case studies are typically associated with the qualitative method but may be conducted as qualitative supported by
quantitative data if quantitative data will also be collected and analyzed.
Problem Statement
Discuss the existing issue within the bounded case to be addressed by the study. If the purpose is to generate new ideas
and recommendations for the organization under study, then discuss the process or section that requires improvement.
Since this application is typically based on the needs of a single organization rather than a broad issue, it is acceptable to
cite the organizational leadership as “personal communication” (APA manual, 7th edition, p. 260, 8.9 Personal
Communications). If the proposed improvements can be implemented across the industry, then discuss the industry-wide
deficit as the problem. A problem statement needs a problem and a consequence that is supported by a recent citation. A
common sentence stem that students have the option of using is, “The problem is...resulting in...(citation).” If the verbiage
varies, both the problem and the consequence need to be evident in the problem statement sentence.
Purpose Statement
In addition to stating that the method is qualitative, the purpose section of a case study must describe both the type of case
study and the multiple sources of evidence to be used. For example, “The purpose of the qualitative exploratory case study
is to....” The purpose statement also should state the objectives of the research such as to examine a specific situation
within an organization or institution. Depending on the type of case study, the purpose statement should match the case
study type. For example, an exploratory case study “explores,” an explanatory case study “explains,” and descriptive case
studies “describe.”
Significance of the Study
Describe the potential benefits of the proposed study such as to explore the situation to make recommendations for
improvement.
Research Questions
The research questions should reflect the multiple sources of data. In most instances for a case study, data will be collected
from three sources. The data sources used in the study should be evident in the research questions. If students vary from three
sources, students should discuss with their committee members.
R1. What are school administrators’ perceptions of…?
R2. What are teachers’ perceptions of…?
R3. What are parents’ perceptions of…?
If using some type of documentation or archival data, the research question may be worded similarly to:
RQ3: Based on (name the documentation), what can be said about (the situation)?
Resources
Dissertation Guide Readings for Case Study
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Delphi Method Technique
The Delphi Method is a structured communication technique used to forecast the potential future state of organizations,
identify emerging best practices, or explore expert perspectives on industry trends. This design is well-suited for DM, DBA,
DHA, and EdD research. Originally developed by the RAND Corporation in the 1950s for military and defense forecasting,
specifically to estimate the impact of future technology contributions to national security strategy during the Cold War.
Since then, the Delphi Method has emerged as a powerful research tool that leverages the experience and expertise of subject
matter experts to form a consensus on the effects of and response to emerging technologies, regulations, and practices across
many industries.
Researchers should also review the Nominal Group Techniques (NGT) when considering the Delphi Method to ensure the
design selection matches the proposed study purpose, objective, and population characteristics. NGT is best suited for
reaching a consensus on current priorities, policies, or strategies in a single, structured session when the generalizability
consideration isn’t critical and the stakeholder population can engage in collegial dialogue. Delphi Method studies reach a
moderate to highly generalizable consensus on future solutions across multiple rounds using an approach that mitigates
groupthink but may be challenging for populations that are difficult to keep engaged through multiple rounds of data
collection.
A key element of the Delphi Method is its reliance on subject matter experts whose participation is unknown among the
panel members during the multiple rounds of data collection. Although early applications involved in-person interactions,
many contemporary studies adopt a modified Delphi Design to facilitate participant privacy during data collection rounds,
allowing geographically dispersed experts to contribute without direct interaction or undue influence by individual panel
members. Although some early modified Delphi studies adopted the description “eDelphi” to indicate the electronic or
digital mode in which the rounds were facilitated to maintain confidentiality among participants, the appropriate description
of the confidential round approach is the modified Delphi Design.
The researcher typically facilitates a two- to three-round iterative process to gather, refine, and analyze expert input. The
first round often consists of open-ended questions. The results of Round 1 are analyzed to identify recurring themes or
issues. In Delphi method designs, thematic consensus is defined as any theme more than half of the panel contributed insight
to. In the second round, participants rate or rank these themes using a Likert-type scale to gauge the level of agreement. A
third round, if used, may involve either further rating or narrative responses to refine consensus. This iterative process is
designed to synthesize expert knowledge into a cohesive, evidence-informed outcome.
Proposed Research Methodology Although when originally envisioned, Delphi Method designs were categorized as quantitative, contemporary Delphi
Method studies are associated with qualitative methodology, as they involve collecting participants’ ideas, facilitating
group discussion, and interpreting ranked themes. However, since the final stage of the Delphi method study includes a
quantitative ranking process, it is appropriate to describe the study as qualitative research supported by quantitative
data. The ranking data, typically from participants prioritizing items on a numeric scale, allows researchers to assess relative
importance or consensus across ideas, adding statistical depth to the qualitative insights.
Delphi Method studies are research based on the private contributions of subject matter experts. Data collection success
depends on the researcher’s structured thematic analysis skills rooted in academic theories of the study’s conceptual
framework to maintain the credibility with panel members needed to maintain their engagement over multiple discovery
rounds.
Problem Statement In a Delphi study, it is essential to articulate the unknown or uncertain future of the condition under investigation.
Examples include emerging technological trends, the lack of consensus on industry best practices, or evolving healthcare
challenges. The problem statement must be consistent with current issues, effects, and literature. It should take the form of,
“The problem is…, resulting in …” Citations supporting the statement of the problem may follow the problem statement
sentence or be found in the evidence portion of a MEAL paragraph when the problem statement is found in the analysis
portion.
Purpose Statement
The purpose statement should specifically state that the objective of the research is to obtain consensus based on industry
experts. Example: “The purpose of the qualitative Delphi study will be to gain consensus from (who?) on (what?).”
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Significance of the Study
Describe the potential benefits of the proposed study, such as developing industry best practices or trend projections based
on expert consensus.
Research Questions
The research questions should mirror the purpose. For example:
R1. What are industry experts’ best practices in organizational strategic planning?
R2. What is the level of consensus between industry experts’ best practices in organizational planning?
Resources
Dissertation Guide Readings for Delphi Technique
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Ethnography
Ethnography involves a systematic study of a culture. The study should reflect the knowledge and social meanings within a
cultural group. Typically, this design is associated with sociology, but it may be used to study many issues associated with
practitioner degrees such as to study an organizational or classroom culture or to research ethnic cultural norms that impact
healthcare decisions. Data collection may entail interviewing participants to collect their cultural perceptions, examining
the behavior and interactions between members of the culture, or examining artifacts and documents that convey the
culture. Access conducting ethnography for an explanation of the characteristics of ethnographic research and how this
design is conducted.
Note that autoethnography, a self-reflective sociological study that explores the researcher's personal experience and
connects their autobiographical story to wider cultural and social meanings, is not appropriate for the practitioner programs
offered at University of Phoenix.
Data collection may entail interviewing participants to collect their perceptions regarding their organizational culture,
examining the interactions and behavior of the participants, or examining artifacts and documents that convey the
organizational culture such as the mission and vision statements and espoused organizational values.
Proposed Research Methodology Ethnographic research is typically associated with the qualitative method.
Purpose Statement
The purpose statement should specifically state that the objective of the research is to explore the problem from a cultural
perspective. “The purpose of the qualitative ethnography is to....”
Significance of the Study
Describe the potential benefits of the proposed study such as to improve the understanding of the culture and to provide
recommendations that may improve the situation. For example, if the problem is that many African Americans are not
obtaining needed mental health care due to a cultural stigma (Alvidrez, Snowden, & Kaiser, 2008), the Significance of the
Study should convey that the study will result in recommendations to address and reduce the stigma.
Research Questions
The research questions should reflect a focus on culture. For example:
R1. What cultural norms result in many African Americans perceiving a stigma associated with mental health assistance?
R2. How are these cultural norms passed down through generations?
R3. How are these cultural norms changing within the generations, if at all?
Resources
Dissertation Guide Readings for Ethnography
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Grounded Theory
The grounded theory design has a history of debate even among its germinal methodologists; however, this design can be a
great option for topics in any practitioner program for which a theoretical basis is lacking. The objective of this design is to
develop a theory regarding the topic under study. The theory must be grounded in data collected for the research.
Grounded theory originated with Barney Glaser and Anselm Strauss (1967). These theorists later diverged on their
principles of this design and the design has evolved slightly based on follow on work by Kathy Charmaz. The following
website provides a historical perspective of the design: Founding theorists’ views of grounded theory
Data analysis of grounded theory data is usually conducted manually, using the constant comparative approach which
consists of open coding, axial coding, and selective coding. The following website provides a simplified example of the
analysis method based on three example research questions: Constant comparative coding
Although this design can be used for any practitioner program the following source focuses on the use of grounded theory
in healthcare: DHA example of a grounded theory study
An important point to keep in mind is that the purpose of grounded theory is to create a theory, which may be presented as
a visual model or as hypotheses to explain or define the phenomenon under study. This theory or model must be presented
in the final chapter of the dissertation. Keep in mind that creating a theory or theoretical model is an excellent way to
develop publishable contribution to the body of knowledge.
Proposed Research Methodology
Grounded theory research is typically associated with the qualitative method.
Purpose Statement
The purpose statement for grounded theory studies must include the objective of theory development. “The purpose of the
qualitative grounded theory is to....”
Significance of the Study
Describe the potential benefits of contributing a new theory to the body of knowledge. For example, discuss why developing
a model that explains the phenomenon might be beneficial, and to whom.
Research Questions
The final research question should focus on development of a theory or a theoretical model. For example:
R1: How do organizational leaders/managers lead and manage multigenerational workforce members differently?
R2: How has the organization transformed to attract, motivate, and retain Millennials?
R3: What grounded theory can be developed to improve recruitment, motivation, and retention of Millennials?
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Example Resultant Theoretical Model
The following figure depicts an approach for developing the resultant theory. The theory may be stated in narrative or may
be depicted as a figure, as shown below:
Adapted from Key stakeholders and factors influencing attracting, motivating and retaining Millennials (Carpenter & de
Charon, 2017).
Carpenter, M. J., & de Charon, L. C. (2014). Mitigating multigenerational conflict and attracting, motivating, and retaining
millennial employees by changing the organizational culture: A theoretical model. Journal of Psychological Issues in
Organizational Culture. 5(3), 68-84. https://doi.org/10.1002/jpoc.21154
Note: Carpenter & de Charon article not available in University of Phoenix library.
Resources
Dissertation Guide Readings for Grounded Theory
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Narrative Inquiry
Narrative inquiry emerged in the 20th century as a study of experiences as understood through the stories of the participants.
The primary theorists associated with this design are D. Jean Clandinin and F. Michael Connelly (2000). When conducting
this design, the researcher creates rich description of these experiences and explores shared meaning of the participants’
experiences. According to Connelly and Clandinin (2006), and Haydon and van der Riet (2017), the exploratory structure for
narrative inquiry should include:
• Temporality – the time of the experiences and how the experiences could influence the future;
• Sociality – cultural and personal influences of the experiences; and;
• Spatiality – the environmental surroundings during the experiences and their influence on the
experiences
This design was originally rooted in the work of John Dewey (1938) and used in the field of education. In addition to
participant interviews narrative inquiry may rely on data collected from archival sources such as autobiographies, journals,
letters, and photos. Narrative inquiry - Clandinin provides an overview of this design, as described by one of the key
theorists.
In addition to the education field narrative inquiry can be very applicable within healthcare as narrative stories are useful
to convey the meanings of patients or healthcare staff in story form. Narrative inquiry in healthcare details using this
design within the healthcare field.
Although this design may also be used within business related programs, narrative inquiry focuses on “personal and social
context” (Wang & Geale, 2015, p. 196). Therefore, any DM, DM/IST, or DBA studies using this design should be limited
to research of a personal nature such as experiences associated with employment issues.
Process centered topics do not align with narrative inquiry.
Proposed Research Methodology
Narrative inquiry research is typically associated with the qualitative method.
Purpose Statement
The purpose statement for narrative inquiry studies must include the objective of examining participants’ experiences as
understood through their stories. The elements of temporality, sociality, and spatiality should be included in the stated study
objectives. Example: The purpose of the narrative inquiry is to understand the meaning that younger members of Native
American tribes place on older tribal members’ stories about higher education.
Significance of the Study
Describe potential benefits to the industry of examining the stories and experiences of the participants.
Research Questions
The research questions should focus on temporality, sociality, and spatiality. For example:
R1: What were the participants’ feelings about the experience (name specific experience)? (temporality)
R2: What were the cultural factors and what were the interrelationships with other people involved in the situation
(name specific situation)? (sociality)
R3: What was the physical environment during (name specific experience), and how did it contribute to the nature
of the experience? (spatiality)
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Additional research question examples:
R1: What do college-age Native Americans living on a reservation feel about leaving the reservation to attend college?
(temporality)
R2: How do cultural factors and other people influence their feelings about leaving the reservation to attend college?
(sociality)
R3: What role does the physical environment on the reservation compared to the physical environment in college contribute
to decision-making? (spatiality)
Resources
Dissertation Guide Readings for Narrative Inquiry
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Needs Assessment
Needs assessment is used to identify deficits between the current organizational state and the desired state and provide
recommendations regarding how to address the gap between the current and desired states. The objective of needs
assessment research is to address a problematic situation or to enhance the organization by improving operations, programs,
or the organizational structure. This design establishes priorities to address the situation and determine recommendations
for solutions by addressing criteria for determining how to allocate resources such as people, funds, and facilities. Read
more about needs assessment overview.
The needs assessment design is often associated with the fields of business and education, such as the DM, DM/IST, DBA,
and EDD programs. However, this design can also be used for DHA program research.
Proposed Research Methodology
Needs assessment research is typically associated with the qualitative method but may include a quantitative component.
Therefore, qualitative supported by quantitative data is also an option.
Purpose Statement
The purpose statement for needs assessment should include the objectives of assessing the organizational gap and
recommending initiatives to address the deficit. “The purpose of the qualitative needs assessment is to....”
Significance of the Study
Describe potential benefits of implementing the recommendations. For example, describe the organizational advantages
that may be created by identifying and addressing the needs.
Research Questions
The research questions should focus on identifying the gap between the current and the desired organizational states and
recommending resources or changes to address the deficit. For example:
R1. What is the desired situation within the organization? R2. What is the current situation within the organization?
R3. What is the gap between the current and desired situations?
R4. What resources or organizational changes can address the gap?
Resources
Dissertation Guide Readings for Needs Assessment
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Nominal Group Technique (NGT)
The Nominal Group Technique (NGT) study design prioritizes best practices within the business, healthcare, education,
technology industries by gathering structured input from practitioners and builds consensus on programs, processes, and
interventions. Therefore, this design benefits DM, DBA, DHA, and EdD research when researching immediate, actionable
insights rather than long-term forecasting. NGT, developed in the 1960s by Delbecq and Van de Ven, is a structured, face-to-
face approach to improve group decision-making and consensus development.
Researchers should also review the Delphi Design when considering NGT to ensure selection of the design matches the
proposed study purpose, objective, and stakeholder population characteristics. Delphi Designs reach a moderate to highly
generalizable consensus on future solutions across multiple rounds using an approach that mitigates groupthink but may be
challenging for populations that struggle with multi-round engagement. NGT is best suited for reaching consensus on
current priorities, policies, or strategies in a single, structured session when generalizability isn’t a key consideration, and the
stakeholder population can engage in collegial dialogue.
NGT designs engage a small panel of subject matter experts or stakeholders in a controlled discussion format. While
traditionally conducted in-person, modern adaptations of NGT often use live virtual platforms to simplify participation for
geographically diverse teams. The session typically includes four stages: silent idea generation, round-robin sharing, group
discussion for clarification, and private ranking of ideas. The rankings are aggregated to find group consensus on the most
critical or relevant items. Facilitation of round robin sharing during the discussion stage encourages equal participation. The
fourth stage in an NGT design is crucial in the reduction the effect of dominating influences. Analysis of the data produces
qualitative insights and quantitative priority data in a single session.
Proposed Research Methodology
Nominal Group Technique (NGT) studies are often associated with qualitative methodology, as they involve collecting
participants’ ideas, facilitation of group discussion, and interpreting ranked themes. However, since the final stage of NGT
includes a quantitative ranking process, this design is an aspect of qualitative research supported by quantitative data.
The ranking data, typically derived from participants prioritizing items on a numeric scale, allows researchers to assess
relative importance or consensus across ideas, adding statistical depth to the qualitative insights.
Problem Statement
NGT is suited for research where best practices, operational priorities, or stakeholder-informed strategies are inconsistently
presented in the literature. In these cases, the issue is not about forecasting future trends. NGT studies focus is identifying
and prioritizing existing but unstructured knowledge, insights, or solutions in response to a recognized difference between
the documented observed and expected conditions. The problem statement must be consistent with a current issue, affect,
and current literature. It should take the form of, “The problem is…, resulting in …” Citations supporting the statement of
the problem may follow the problem statement sentence or found in the evidence portion of a MEAL paragraph when the
problem statement is found in the analysis portion. NGT is research based on collegial dialogue and depends on the
researcher’s skilled facilitation of structured, real-time input from subject matter experts, who collaboratively generate and
rank solutions to address a recognized and consequential issue and problem.
Purpose Statement
The purpose statement should specifically state that the objective of the research is to obtain consensus based on industry
experts. Example: “The purpose of the proposed qualitative Nominal Group Theory study is to gain consensus from
(who?) on (what?).”
Significance of the Study
Describe the potential benefits of the proposed study such as to provide a foundation for the development of best practices
based on expert consensus.
Research Questions
The research questions should mirror the purpose. For example:
R1. What are industry experts’ best practices in organizational strategic planning?
R2. What is the level of consensus between industry expert best practices in organizational planning?
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Phenomenology
Phenomenology is based on the human consciousness works of philosophers Edmund Husserl and Martin Heidegger. This
research design is associated with either the field of philosophy or psychology; therefore, it is typically not appropriate
for studies conducted in the practitioner programs offered at University of Phoenix. However, there are a few topics,
usually within the healthcare discipline, for which this design could be applicable. Discuss with committee members if
phenomenology is an appropriate design for a healthcare study.
Phenomenological study involves the description of personal feelings and conscious experiences of a
phenomena such as “the death of a loved one, a counseling session, an illness, winning a championship football game, or
experiencing a specific emotion such as guilt, anger, or jealousy” (Christensen, Johnson, & Turner, 2010, p. 368).
Phenomenological experiences that have been studied in psychology and related fields include obsessive- compulsive
disorder, addiction, sexual abuse, and psychotic symptoms in narcolepsy. The
researcher is attempting to gain access into the participants’ inner world of the experience; the self-talk or
“phenomenal space” (Christensen et al., 2010).
There are multiple types of phenomenological designs including transcendental, hermeneutic, and existential. Although
phenomenology studies may include other types, it is important to include a specific type within proposed
phenomenological studies.
A primary source for modern phenomenology is the work of Clark Moustakas. It is imperative to include this source in all
proposed phenomenological studies. According to Moustakas (1994), phenomenological studies must include broad
questions such as:
• What dimensions, incidents, and people intimately connected with the experience stand out for you?
• How did the experience affect you? What changes do you associate with the experience?
• How did the experience affect significant others in your life?
• What feelings were generated by the experience?
• What thoughts stood out for you?
• What bodily changes or states were you aware of at the time?
• Have you shared all that is significant with reference to the experience? (p. 116)
According to Moustakas (1994), in phenomenology noema defines how the participants experienced the
phenomenon by touch, sight, or feeling, and noesis defines the participants’ perceptions of their experience of the
phenomena. Epoché and phenomenological reductions should be used during the interview process to identify the noema
and noesis of each participant. Data analysis should be conducted using either the seven- step modified van Kaam process
or the four-step Stevick-Colaizzi-Keen process (Moustakas, 1994). The
following source introduces Moustakas’ methodological theories: Moustakas phenomenology
Proposed Research Methodology
Phenomenology research is associated with the qualitative method.
Purpose Statement
The purpose statement for phenomenology should include the objective of understanding feelings and conscious
experiences associated with a personal phenomenon. Example: The purpose of the proposed phenomenological study will
be to gain the lived experiences of pediatric nurses who have had to tell parents their child was going to die. “The purpose
of the qualitative phenomenology is to....”
Significance of the Study
Describe potential benefits of exploring the feelings and conscious experiences associated with a personal phenomenon.
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Research Questions
The research questions synthesize the seven broad questions identified by Moustakas (1994). For example:
R1. What are the lived experiences of pediatric nurses who have had to tell parents their child was going to die? R2. What
internal conflicts do pediatric nurses describe in making the decision to tell parents their child was going to die?
Resources
Dissertation Guide Readings for Phenomenology
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Program Assessment
Program assessment, also referred to as program evaluation, is often associated with educational programs and healthcare
programs, but this design can be accomplished on various programs within diverse organizations and institutions. This
design involves development and implementation of a systematic approach for collecting and analyzing data to determine
the effectiveness of an existing program. Within the educational field program assessment is used to determine the
effectiveness of a curriculum on intended student learning, and in healthcare and other fields the objective is typically to
assess the outcome of the program against its intended results. Although the phases of program evaluation differ based on
the discipline, basic steps of program assessments include:
• Engaging stakeholders
• Describing the program
• Creating the evaluation
• Collecting and analyzing data
• Developing conclusions
• Making recommendations
The following evaluation model is useful for evaluating an educational curriculum, beginning with comparing the current
state to the desired state: Educational program assessment
The following healthcare model is useful for evaluating healthcare programs: Healthcare program assessment
Proposed Research Methodology
Program assessment studies are typically qualitative and are often supported by quantitative data. It is possible to conduct a
program assessment as a quantitative quasi-experiment or experiment (see Program assessment methodology). This section
should describe the researcher’s role in the study and how the
stakeholders will participate in the research.
Problem Statement
Discuss the need for the program assessment. This section should include a cited problem. Programs are typically assessed
either during program development or immediately after the program has been initiated; therefore, the problem might focus
on the use of program funding with no mechanisms to measure the program outcomes. Since program assessment is
typically based on the needs of a single organization rather than a broad issue, it is acceptable to cite the organizational
leadership as “personal communication” (APA manual, 7th edition, p. 260, 8.9 Personal Communications). A problem
statement needs a problem and a consequence that is supported by a recent citation. A common sentence stem that students
have the option of using is, “The problem is...resulting in...(citation).” If the verbiage varies, both the problem and the
consequence need to be evident in the problem statement sentence.
Purpose Statement
The purpose statement should state the method, which is typically qualitative. The design may be referred to as either
program assessment or program evaluation. “The purpose of the qualitative program assessment (or program evaluation) is
to....” The purpose statement also should state the objectives of the assessment such as to evaluate the value of the
program, to measure the actual outcomes of the program against its intended outcomes, to discover whether unintended
consequences exist, and to recommend corrective measures or potential program modifications. This section should also
state the type of organization or institution, the program objectives, and participants or stakeholders involved in evaluating
the program.
Significance of the Study
Describe the potential benefits of identifying the value of the program, measuring or improving the program outcomes,
possibly eliminating unintended consequences, and recommending potential program modifications might benefit the
organization or institution. Scholarly Support and Theoretical Basis for Program Assessment Research provides support
for the use of this design.
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Research Questions
For qualitative study research questions must be included, but hypotheses should not be included. For quantitative quasi-
experimental studies hypotheses should be included to compare the control and experiment groups.
Example qualitative research questions might include:
R1. Who are the program stakeholders and what are their roles in the program?
R2. What is the context and need for the program; what are the program activities and goals? R3. What are the actual
program outcomes relative to the intended outcomes?
R4. What conclusions can be made about the program’s effectiveness and what recommendations might
potentially improve the program?
Resources
Dissertation Guide Readings for Program Assessment
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Quantitative Research Design Selection and Alignment
Correlational Research
Correlational research is a non-experimental quantitative design, meaning that it does not involve manipulation of the
situation or people. The objective of correlational research is to quantitatively measure and determine the relationship
between two or more variables. Correlational research uses the terms predictor and criterion variables rather than
independent and dependent variables. The measure (or behavior) being predicted is the criterion variable, and the measure
(or behavior) from which the prediction is made is the predictor variable. The determined relationship between the variables
does not imply a causal relationship between the variables; therefore, it is important that the proposed study does not imply
that the results will determine “cause” or “effect.”
Relationships or associations between variables is measured by statistics to identify the significance of the relationship or
association. Statistical significance describes the meaning of significance in correlational research. Typically, the alpha
should be set at .5 for social science research.
Correlational designs use various types of statistical analyses, based on the types of quantitative data collected to measure
each variable. Once data types have been identified, the appropriate statistical tests can be determined. For more
information on the various types of data and statistical tests, see data types and statistical tests.
Regression analysis may also be used for some studies to take the analysis further. Regression allows the researcher to
graphically model the variables and is widely used for prediction and forecasting. Regression analysis provides further
information on applying this type of analysis.
Proposed Research Methodology
The correlational design is quantitative.
Problem Statement
Discuss the existing issue to be addressed by examining the relationships between the study variables. A problem statement
needs a problem and a consequence that is supported by a recent citation. A common sentence stem that students have the
option of using is, “The problem is...resulting in...(citation).” If the verbiage varies, both the problem and the consequence need
to be evident in the problem statement sentence.
Purpose Statement
The purpose should convey that the study will examine the relationship between the variables, not the cause or effects
between the variables. The relationship should be a statistically “significant” relationship. The purpose statement sentence
should be structured as, “The purpose of the quantitative correlational study is to....” The purpose section must specify the
predictor and criterion variables to be examined and the sources of data to be analyzed, such as the instruments to be used
to collect data.
Significance of the Study
Describe the potential benefits of identifying the relationship between the variables to be examined. Discuss who this
information will benefit and why.
Research Questions/Hypotheses
This design requires both research questions and hypotheses. Note that at least one research question is required and at
least two sets of hypotheses should be included. The following is an example of such research questions/hypotheses.
R1: What is the relationship between emotional intelligence, as measured by the Emotional and Social Competence
Inventory (ESCI), and satisfaction with co-workers, as measured by the Job Descriptive Index (JDI)?
H10: There is not a significant relationship between the Self-Awareness scale of the ECI and the co-worker satisfaction
scale of the JDI.
H1A: There is a significant relationship between the Self-Awareness scale of the ECI and the co-worker satisfaction scale
of the JDI.
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H20: There is not a significant relationship between the Social Awareness scale of the ECI and the co- worker satisfaction
scale of the JDI.
H2A: There is a significant relationship between the Social Awareness scale of the ECI and the co-worker satisfaction scale
of the JDI.
H30: There is not a significant relationship between the Self-Management scale of the ECI and the co- worker satisfaction
scale of the JDI.
H3A: There is a significant relationship between the Self-Management scale of the ECI and the co-worker satisfaction scale
of the JDI.
H40: There is not a significant relationship between the Relationship Management scale of the ECI and the co- worker
satisfaction scale of the JDI.
H4A: There is a significant relationship between the Relationship Management scale of the ECI and the co- worker
satisfaction scale of the JDI.
Resources
Dissertation Guide Readings for Correlational
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Experimental and Quasi-experimental Research
The objective of experimental and quasi-experimental research is to investigate cause-and-effect by utilizing a treatment or
intervention for the experimental group and comparing the results to a control group who did not receive the treatment or
intervention. For example, an educational or training program. The difference between experimental and quasi-experimental
research is the assignment of the participants.
Whereas experimental research requires random participant and group selection, such as in a double- blind experimental
drug study in which neither the researcher nor the participants know who is in the experimental or control group, quasi-
experimental does not. Therefore, quasi-experimental research is much more common than experimental research within
social science research such as the practitioner doctorates offered at University of Phoenix.
Experimental research describes several types of research used within true experimental research. Quasi- experimental
research and types of quasi-experimental research focus on quasi-experiments.
Proposed Research Methodology
Experimental and quasi-experimental designs are quantitative.
Problem Statement
Discuss the existing issue to be addressed by examining the results of a treatment or intervention. A problem statement needs a
problem and a consequence that is supported by a recent citation. A common sentence stem that students have the option of
using is, “The problem is...resulting in...(citation).” If the verbiage varies, both the problem and the consequence need to be
evident in the problem statement sentence.
Purpose Statement
The purpose should convey the treatment or intervention to be introduced and state that the study will examine the
effects/outcomes of the treatment or intervention. This section must also specify the type of design, such as a pretest-
posttest or interrupted time series (see Types of quasi-experimental research). The purpose statement should be worded as
follows, “The purpose of the quantitative experimental study is to....”
Significance of the Study
Describe the potential benefits of identifying the effects of the treatment or intervention. Discuss who this information will
benefit and why.
Research Questions/Hypotheses
This design requires both research questions and hypotheses. Note that at least one research question is required and at
least two sets of hypotheses should be included. The following is an example of such research questions/hypotheses. In this
pretest-posttest example the web-based tutoring program is the intervention. The dependent variable, math scores, is
measured once before the intervention is implemented and again after it is implemented.
R1: What is the effect of a web-based tutoring program on the math scores of 3rd grade students?
H10: There is not a significant pretest difference in the math scores between the control group who did not participate in
the web-based tutoring program and the experimental group who participated in the web-based tutoring program.
H1A: There is a significant pretest difference in the math scores between the control group who did not participate in the
web-based tutoring program and the experimental group who participated in the web-based tutoring program.
H20: There is not a significant pretest-to-posttest difference in the math scores of the control group who did not participate in
the web-based tutoring program.
H2A: There is a significant pretest-to-posttest difference in the math scores of the control group who did not participate in
the web-based tutoring program.
H30: There is not a significant pretest-to-posttest increase in the math scores of the experimental group who participated in
the web-based tutoring program.
H3A: There is a significant pretest-to-posttest increase in the math scores of the experimental group who participated in the
web-based tutoring program.
Resources
Dissertation Guide Readings for Experimental and Quasi-Experimental Research
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Ex Post Facto (Causal Comparative) When it is not practical or ethical to engage human research participants, the ex post facto, also referred to as causal comparative,
can provide an alternative design. Ex post facto simply means after the fact, meaning that data have already been collected over a
period of time and must be worked with “as is.” According to Vogt (2005), it is “any investigation using existing data rather than
new data gathered specifically for the study” (p. 114). Review ex post facto videos for various videos on the ex post facto design.
The objective of this design is to investigate the cause and effect by examining differences between or within two or more groups
on two or more variables using data that has already been collected (secondary data). A key feature is that the independent variable
cannot be manipulated. Researchers must establish the following conditions to justify a claim that changes in variable A cause
changes in variable B:
• Condition 1: Variable A (the presumed causal or independent variable) and variable B (the presumed effect or
dependent variable) must be associated or related. This is called the relationship condition.
• Condition 2: Changes in variable A must precede the changes in variable B. This is called the temporal order condition.
• Condition 3: No plausible alternative explanations exist for the relationship between variable A and variable B. This
is called the no alternative explanation condition.
There are many secondary data sets in the public domain that provide opportunities to access large amounts of data, including
longitudinal data. This data may contain an abundance of diverse variables allowing the researcher to explore various
combinations of relationships to gain insights not previously studied. Note that because these data have already been collected,
obtaining permission to conduct the study is much simpler and quicker than required with most research, which typically requires
recruiting participants and collecting primary data.
Proposed Research Methodology
The ex post facto or causal comparative design is quantitative.
Problem Statement
Discuss the existing issue to be addressed by examining the relationships between the study variables. A problem statement needs a
problem and a consequence that is supported by a recent citation. A common sentence stem that students have the option of using is,
“The problem is...resulting in...(citation).” If the verbiage varies, both the problem and the consequence need to be evident in the
problem statement sentence.
Purpose Statement
The purpose should convey that the study will examine the effects/outcomes using secondary (archival) data to determine causes
of differences that already exist between or within two or more groups. This section must specify the independent and dependent
variables to be examined and the archival source of the secondary data to be analyzed. The purpose statement should be worded
as follows, “The purpose of the quantitative ex post facto study is to....”
Significance of the Study
Describe the potential benefits of identifying the effects between the variables to be examined. Discuss who this information
will benefit and why.
Research Questions/Hypotheses This design requires both research questions and hypotheses. Note that at least one research question is required and at least two
sets of hypotheses should be included. The following is an example of such research questions/hypotheses. In this example the
students’ gender is the independent variable.
R1: What is the effect of using a web-based tutoring program on the math and grammar scores of 3rd grade boys and girls?
H10: There is not a significant difference in the academic growth in math scores between the boys and girls. H1A: There is a
significant difference in the academic growth in math scores between the boys and girls.
H20: There is not a significant difference in the academic growth in grammar scores between the boys and girls.
H2A: There is a significant difference in the academic growth in grammar scores between the boys and girls.
Resources
Dissertation Guide Readings for Ex Post Facto
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Factor Analysis
Factor analysis is used to identify unobservable variables, defined as factors, based on observable variables. These factors
represent underlying concepts that cannot be adequately measured by a single variable. The purpose of factor analysis is to
uncover underlying factors that explain correlations among multiple outcomes, it is important that the variables studied be
at least somewhat correlated.
This design relies on the assumption that underlying factors can explain a complex situation. Factor analysis is typically
used to understand attitudes and behaviors. The design can be used in various fields to understand behaviors and is
particularly useful for DBA students seeking to identify consumer attitudes. The following links provide further
information on conducting factor analysis:
• History and definition of factor analysis
• Use of factor analysis
• Conducting factor analysis
• Factor analysis example
Proposed Research Methodology
Factor analysis is quantitative.
Problem Statement
Discuss the existing issue to be addressed by examining the underlying factors that impact the study variables. A problem
statement needs a problem and a consequence that is supported by a recent citation. A common sentence stem that students have
the option of using is, “The problem is...resulting in...(citation).” If the verbiage varies, both the problem and the consequence
need to be evident in the problem statement sentence.
Purpose Statement
The purpose should convey that the study will identify the factors that represent the concepts underlying the study
variables. The purpose statement should be worded as follows, “The purpose of the quantitative factor analysis is to....”
Significance of the Study
Describe the potential benefits of identifying the relevant factors. Discuss who this information will benefit and why.
Research Questions/Hypotheses This design does not require both research questions and hypotheses, but correlational hypotheses can be included to
further the understanding of the variables. The following is an example of such research questions/hypotheses. In this
example a list of survey items is compiled to measure motives for online shopping, such as time convenience, place
convenience, easy price comparison, large selection, access to customer reviews, ease of shopping, time savings. This list
should be developed based on literature reviews. The survey should be used to collect Likert-type data to examine the
importance of each survey item, then the factor analysis should be conducted to address R1. In addition, correlation can be
conducted on consumer’s demographic variables such age category and gender—see R2.
R1: What factors influence consumer online shopping behavior?
R2: What is the relationship between age category, gender, and online shopping behavior?
H10: There is no significant difference in online shopping behavior based on age category (below 25 years, 26- 40 years,
above 40 years).
H1A: There is a significant difference in online shopping behavior based on age category (below 25 years, 26-40 years,
above 40 years).
H20: There is no significant difference in online shopping behavior based on gender. H2A: There is a significant difference
in online shopping behavior based on gender.
Resources Dissertation Guide Readings for Factor Analysis
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Q-Methodology The Q-methodology design is a systematic study of participant’s subjectivity. In contrast to the factor analysis design, which
involves finding correlations between variables across the participants, Q- methodology seeks correlation between participants
across variables. The analysis reduces the individual viewpoints to represent the participants’ shared perspectives.
This unconventional design was developed in the 1930s by William Stephenson. While some researchers argue that Q-
methodology is quantitative (Rozalia, 2008) the subjective nature of the design has led others to argue that Q-methodology is
mixed- method or qualitative supported by quantitative data (Angelopulo, 2009). Q- methodology was primarily used in
psychology until 1970 but is currently used in disciplines including education and business research.
Q-methodology measures participants’ perspectives of value, meaning, or significance regarding researcher developed
statements, defined as a Q-sort. This set of statements is viewed as a dynamic medium through which subjectivity is expressed.
The researcher typically develops 20 to 100 statements relevant to the research topic based on a review of the literature. The term
P-set is used to describe the participants; a P-set of 40 to 60 participants is typically adequate for a Q-methodology study. The
following links describe this design further:
• Q-methodology overview
• Conducting a Q-methodology
Data collection procedure is traditionally performed using a paper template and the developed statements printed on individual
cards. However, there are computer software and applications for conducting online Q sorts.
Proposed Research Methodology
While some researchers argue that Q-methodology is quantitative the subjective nature of the design has led others to
argue that Q-methodology is mixed-method or qualitative supported by quantitative data.
Problem Statement
Discuss the existing issue to be addressed by examining the common attitudes or perceptions between the participants. A
problem statement needs a problem and a consequence that is supported by a recent citation. A common sentence stem that
students have the option of using is, “The problem is...resulting in...(citation).” If the verbiage varies, both the problem and the
consequence need to be evident in the problem statement sentence.
Purpose Statement
The purpose should convey that the study will examine participants’ shared perspectives. The purpose statement should be
worded as follows, “The purpose of the quantitative q-methodology is to....”
Significance of the Study
Describe the potential benefits of identifying participants’ shared perspectives. Discuss who this information
will benefit and why.
Research Questions/Hypotheses This design requires research questions but does not require hypotheses. The following is an example of such research
questions. In this example the study seeks to examine common attitudes across three income levels. The Q-sort should be
developed to create 20 to 100 statements regarding consumer motives during food product purchase decisions.
R1. What product attributes (brand, price, convenience, and flavor) influence food product purchasing decisions for
consumers with a household income of $40.000 or less?
R2. What product attributes (brand, price, convenience, and flavor) influence household product purchasing decisions for
consumers with a household income of $40.001 to $80.000?
R3. What product attributes (brand, price, convenience, and flavor) influence household product purchasing decisions for
consumers with a household income of $80.001 or more?
Resources Dissertation Guide Readings for Q-Methodology
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Repeated Measures Technique (RMT)
The Repeated Measures Technique (or Repeated Measures Design) is used in behavioral, educational, and clinical
research to examine outcome changes over time or under varying conditions using the same group of participants. This
within-subjects approach is used in EdD, DHA, DM, and DBA research when the purpose is to assess the effect of
interventions, instructional strategies, or policy changes on individuals’ performance, attitudes, or behaviors. Repeated
Measures designs minimize error variance related to individual differences, thus increasing statistical power and requiring
smaller sample sizes than between-subjects designs.
Researchers may also consider the Crossover Design when evaluating repeated measures to determine whether treatment
sequencing or carryover effects might influence outcomes. While crossover studies are useful when all participants receive
multiple and differing interventions, repeated measures designs are more versatile for longitudinal studies assessing short-
term and sustained effects of a single intervention across multiple time points. This makes the technique especially suitable
for pre-test/post-test/follow-up studies and process improvement evaluations where the goal is to track internal change
rather than population generalizability.
Repeated Measures designs typically involve administering the same assessment instrument or outcome measure across
two or more time points. Modern adaptations often integrate digital survey tools or observational software to capture
changes in real-time or at fixed intervals. The primary statistical methods include ANOVA for repeated measures or linear
mixed-effects modeling, which evaluate the main effects of time and any interaction effects with other variables. A key
strength of this design is its ability to control individual baseline variability, thereby isolating the influence of the
independent variable more clearly. Findings from repeated measures studies have nuanced insights into how and when
change occurs, making this design a powerful tool for applied research whose purpose is improving programs, policies, and
practices.
Proposed Research Methodology Repeated Measures Design is commonly associated with quantitative research methodology, as it involves collecting
numeric outcome data from the same participants at multiple time points or under different experimental conditions. This
design allows researchers to track within-subject change over time, making it ideal for intervention studies or evaluations
of program effectiveness.
Repeated Measures research relies on consistent, structured data collection and careful timing to ensure valid comparisons
across intervals. The statistical strength of this design lies in its ability to reduce error variance associated with individual
differences, as each participant serves as their own control. This increases the power to detect meaningful changes or
treatment effects. Researchers using this method must plan for potential order effects or practice effects, often mitigated by
counterbalancing, randomization, or incorporating washout periods in Crossover Design style adaptations.
Problem Statement Repeated Measures designs are suited for research in which the timing or durability of intervention effects is unclear or
inconsistently documented in the literature. In these cases, the issue is not the lack of treatment efficacy per se, but rather the
limited understanding of how outcomes change over time within the same individuals. Repeated measures research identifies
and evaluates the trajectory of change in key performance indicators or health outcomes in response to a recognized
difference between what is expected following an intervention and what is observed across time points.
The problem statement must align with a current difference between the observed condition and what is expected in
temporal or process-based outcome evaluation. It should take the form of “The problem is…, resulting in …” Citations
supporting the statement of the problem may follow the problem statement sentence or be found in the evidence portion of a
MEAL paragraph when the problem statement is found in the analysis portion.
Purpose Statement The purpose statement for a Repeated Measures Technique (RMT) study should clearly state that the research purpose is
to evaluate within-subject changes over time or across conditions. Keywords and phrases often used with RMT include
longitudinal, multiple observations, pretest-posttest, time-based comparisons. An example would be: “The purpose of the
proposed quantitative repeated measures study is to assess changes in (what outcome?) among (which population?)
following (what intervention or condition?) measured through longitudinal data collection (what time points or
conditions?).”
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Significance of the Study For a Repeated Measures Technique (RMT) study, the potential benefits should focus on generating evidence about how
outcomes evolve, which can inform practice, training, or policy improvements.
Research Questions/Hypotheses For a Repeated Measures Technique (RMT) study, the research questions should reflect the study’s focus on tracking within-
subject changes over time or across conditions. Here’s a restated example that mirrors the purpose of an RMT study:
R1. What changes occur in (specific outcome or behavior) among (target population) following exposure to (intervention or
condition) over time?
Null Hypothesis (H₀). There is no statistically significant change in (specific outcome or behavior) among (target
population) following exposure to (intervention or condition) over time.
Alternative Hypothesis (H₁). There is a statistically significant change in (specific outcome or behavior) among (target
population) following exposure to (intervention or condition) over time.
R2. Is there a statistically significant difference in (specific outcome) between time points (or conditions) within the same
group of participants?
Null Hypothesis (H₀). There is no statistically significant difference in (specific outcome) between time points (or
conditions) within the same group of participants.
Alternative Hypothesis (H₁). There is a statistically significant difference in (specific outcome) between time points (or
conditions) within the same group of participants.
These questions align with RMT’s core goal, which is to evaluate temporal or condition-based effects within the same
individuals.
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Mixed-Method Research and Alignment
Mixed-method studies are conducted when the researcher seeks to use quantitative and qualitative approaches in tandem
with one another to strengthen the overall study or to accomplish something that the use of one method could not do
standing alone. Mixed-methods research is appropriate for healthcare, education, and business research. Access the
following resource for a comprehensive discussion of mixed-method: mixed- method.
The type of mixed-methods strategy a researcher uses is based upon four factors, which are:
• Theoretical perspective
• Priority of strategy
• Sequence of data collection implementation
• Point of data integration
Based upon these four factors, a researcher chooses the type of mixed-methods appropriate for designing and executing the
research. Types include:
• Sequential Explanatory Strategy – sequentially uses quantitative method as the primary method and a qualitative
method as the secondary method.
• Sequential Exploratory Strategy – sequentially uses qualitative method as the primary method and
quantitative as the secondary method.
• Sequential Transformative Strategy – sequentially uses a primary method in the first phase of the research, then
incorporates the secondary method in the second phase of the research. Whether a quantitative or qualitative
method is employed in the first phase is dependent upon the theoretical lens that is being used. The
transformative strategy builds on the first phase of the research for the secondary phase.
• Concurrent Triangulation Strategy – collects all data at the same time and then uses these data together to
determine if these data points to the same or similar results.
• Concurrent Embedded/Nested Strategy – collects all data at the same time and then uses these data where one
method is given priority and the secondary method is embedded/nested to test secondary research questions.
• Concurrent Transformative Strategy – shares perspectives with both the triangulation and
embedded/nested strategies; however, it is guided by a theoretical or conceptual framework.
An inherent challenge for mixed methods is the need for the researcher to be skilled at designing and executing the study
using both quantitative and qualitative methods. It is important to note that mixed- method is more than simply collecting
and analyzing both quantitative and qualitative data. The triangulation of these data is key. These data must be mixed and
analyzed to address the research questions and hypotheses. For research that involves both methods but these data are not
mixed to answer the research questions, consider a specific qualitative design and use the term “qualitative supported by
quantitative data”.
Proposed Research Methodology
If one of the six types discussed above will be used, the study will be a mixed-method research. Otherwise,
consider a specific qualitative design and use the term “qualitative supported by quantitative data”.
Problem Statement
Discuss the existing issue to be addressed by collecting and analyzing quantitative and qualitative data. A problem statement
needs a problem and a consequence that is supported by a recent citation. A common sentence stem that students have the
option of using is, “The problem is...resulting in...(citation).” If the verbiage varies, both the problem and the consequence need
to be evident in the problem statement sentence.
Purpose Statement
The purpose should convey the type of mixed-method study, based on the six types listed above. This section should
describe how these data will be collected and mixed.
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Significance of the Study
Describe the potential benefits of conducting the study. Discuss who this information will benefit and why.
Research Questions/Hypotheses
This design requires research questions and hypotheses. The following is an example of such research
questions/hypotheses. Using a Sequential Transformative Strategy, the quantitative method is used in the first phase of the
research to address Research Question 1 and its associated hypotheses, then qualitative data are used in the second phase
of the research to address Research Question 2.
R1: What is the relationship between use of the transformational and transactional leadership styles and employee
performance?
H10: There is not a significant correlation between use of the transformational leadership style and employee performance.
H1A: There is a significant correlation between use of the transformational leadership style and employee performance.
H20: There is not a significant correlation between use of the transactional leadership style and employee performance.
H2A: There is a significant correlation between use of the transactional leadership style and employee performance.
R2: What leadership training might improve employee performance?
Resources
Dissertation Guide Readings for Mixed-Methods
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Method and Design Selection Summary Once an appropriate method and design have been selected be sure to locate and review references developed by the
primary methodologists associated with that design. It is also crucial use an iterative process to ensure that the purpose and
research questions align with the selected design. Reviewing for and revising to ensure alignment between each of the
research elements is key part of the doctoral process!
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Doctoral Phase 1: The Prospectus The initial dissertation milestone, the prospectus, is a formal outline of the research project that outlines information to
convey that the research can be completed and will provide meaningful results that contribute to the academic and
practitioner communities. The prospectus should be iteratively updated until a Dissertation Chair is assigned to assist with
development of the proposal.
The prospectus will be used to convey the research intent and to select an appropriate Chair. The following elements must
be included in the prospectus:
1. Program of Study (including specialization, when applicable)
2. Problem Statement
3. Purpose Statement
4. Methodology (Proposed Method and Design)
5. Research Population and Sample, and Other Data Sources
6. Significance of the Study
7. Research Questions/Hypotheses
8. Topic Literature
9. Topic Theories
10. Research Data Collection Strategy
11. Potential Dissertation Chair Information
The title of the prospectus should reflect the purpose and methodology of the study and should be considered a ‘working
title’. The outline that follows indicates the information needed in the prospectus. Following the form, additional
information is provided regarding alignment of the prospectus elements. This information will assist in developing an
organized and viable research outline.
44
Prospectus
Working Title of the Study
Student’s Name
1. Program of Study (including specialization, when applicable)
For example, DM, DM/IST, DBA, DHA, EDD, EDD/ET, EDD/CI, EDD/HEA
2. Problem Statement
The problem should convey an existing issue and the statement should be supported by literature or cited using
personal communication from an organizational leader. If you do not cite in Phase 1, you will need to cite your
problem statement at Phase 2 with current (within the last five-years) literature or communication.
3. Purpose Statement
Provide a statement of the objectives of the study. Review the “purpose” section of the Research Design
Selection and Alignment section of the Dissertation Guide and Alignment Handbook associated with the
proposed design to ensure alignment.
4. Methodology (Proposed Method and Design)
After reviewing the Overview of Methods and Designs section and the Research Design Selection and
Alignment section Dissertation Guide and Alignment Handbook, select a method and a design that are most
appropriate for the proposed study. State the proposed method and design and briefly describe why these are
appropriate to achieve the proposed objectives.
5. Research Population and Sample, and Other Data Sources
Describe the population by discussing the criteria for selecting the study participants, and describe the sample
size, and the rationale for the sample size. If the study will include archival data briefly explain the proposed
sources of data.
6. Significance of the Study
Provide a statement of the importance of conducting the study. Review the “significance of the study” section of
the Research Design Selection and Alignment section Dissertation Guide and Alignment Handbook associated
with the proposed design to ensure alignment.
7. Research Questions/Hypotheses
State the proposed research questions and hypotheses, when appropriate. Review the “research
questions/hypotheses” section of the Research Design Selection and Alignment section Dissertation Guide and
Alignment Handbook associated with the proposed design to ensure alignment.
8. Topic Literature
Provide a list of 5 to 10 topic literature peer-reviewed references in APA format that are relevant to the
proposed study. Provide a discussion that includes 1 to 2 sentences for each reference to describe the relevance
of the literature to the proposed study.
9. Topic Theories
Review research literature associated with the selected research topic(s) and state 1 to 3 relevant theories
associated with the topics. This step will become the basis for the conceptual or theoretical framework, to be
more fully developed in chapters 1 and 2 of the proposal in Phase 2.
10. Research Data Collection Strategy
Briefly describe the proposed process for collecting these data from the research sample and from any archival
sources described in item 5, above.
Add an APA-formatted reference page to the end of the template.
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Alignment of the Prospectus Elements Each of the major elements of the prospectus must be aligned to plan a systematic and feasible study. Typically, the
problem statement is viewed as the starting point for developing the prospectus. As mentioned previously the research
problem should be presented as an existing social or organizational issue for which there is not a known solution or an
effective solution. The problem must be supported with citations. The stated problem then drives the purpose, and the
research method and design must align with the purpose.
The alignment between the purpose and design should be an iterative process. Once an appropriate method and design are
selected the purpose should be modified to reflect that specific design. The design sections of this document provide
examples of appropriate purpose statements for various methods and designs.
The research questions should be developed based on the stated purpose of the study. The number of research questions is
dependent upon the design. The design sections of this document provide examples of how many research questions are needed,
specific to the design. To maintain a narrow research focus, which facilitates a more feasible study, it is recommended to
limit the research questions to no more than four.
The key to alignment between the purpose and the research questions is to ensure that the research questions in aggregate
are neither narrower nor wider than the purpose. The research questions must fully address the stated purpose and should
not be broader than the stated purpose. Quantitative studies require only one research question but must include at least
two sets of hypotheses. Mixed-method studies must include at least one qualitative research question and at least one
quantitative research question supported by hypotheses.
The study title should reflect the purpose and the selected design. Note that the title may need to change later as the
dissertation elements are further developed.
Therefore, during this phase the title can be considered a “working title.” The following figure depicts the
elements of the prospectus that must be aligned.
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Doctoral Phase 2 – Précis During this phase the dissertation milestone is completion of the Précis, which is a draft of Chapter Précis
introduces the major elements of the dissertation including the topic, problem, purpose, research questions and any
applicable hypotheses, and the significance of the study.
Note that the Research Design Selection and Alignment section of this document provides important information to assist
with development of a problem statement, purpose statement, research questions and hypotheses, and significance of the
study section to ensure alignment with the selected method and design.
The following depicts the various sections of the Précis, which is a draft of Chapter 1
The specific headings and order of the sections is not a requirement; however, the information must include a logical flow.
The headings and section discussions demonstrate a systematic approach for developing the Précis or Chapter 1 of the
dissertation. The chapter will be evaluated by Committee members based on the Dissertation Criteria Assessment.
Academic Writing
Dissertation writing requires scholarly writing. Students should be synthesizing their writing from many different
sources into one cohesive writing piece. Paragraph structure should use the MEAL plan where most paragraphs
have a main idea sentence, evidence sentence(s), analysis sentence(s), and linking sentence(s). The dissertation
should be written using American Psychological Association (APA) 7th edition. CDS Central and the Doctoral
Writing Resource page have many resources to help students learn to write like a scholar.
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Chapter 1
Introduction
(Note that “Introduction” is the chapter title)
No introduction heading before the first paragraph of the introductory text. The
introduction serves to engage the reader by discussing the overall research topic and background
information to your proposed study. A good introduction should describe the broad foundations of
your study and indicate the general scope of your study but should not go into so much detail that
later sections such as the purpose, problem, and methodology become irrelevant. The introduction
can also provide an overview of the sections that will appear in Chapter 1. The introduction, and
most other sections of Chapter 1, should be written by synthesizing from several different peer-
reviewed and current sources. Paragraphs should be written using the MEAL plan.
Background of the Problem
This section should lead up to the statement of the problem to create the context of the problem
for the readers. In this section, you will want to draw upon the origins of the issues from which the
problem is based upon. Be sure to integrate appropriate references to evidence the existence of a
problem. Your discussion should reflect why the research problem is of important social concern or
theoretical interest. This section is typically several pages in length.
Problem Statement
The problem section must clearly identify the problem and a consequence of the problem. An
optional sentence stem to use is, “The problem is…resulting in (citation)” to allow the reader to
distinguish the issue driving the study. The problem must be supported with current citations. A
researchable problem is not simply a gap in the literature or a lack of information; a research problem
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is a documented existing social or organizational issue for which there is not a known solution or an
effective solution. Review the CDS Dissertation Guide Problem Statement section associated with your
selected design to ensure that this section aligns with your design. This section is typically brief at less
than one page in length.
Purpose of the Study
This section should concisely explain the focus of your study. Begin this section with the
method and design you have selected and provide a clear statement of the research objectives of your
study. Specific cities and states should not be used (except in rare cases, to be discussed with
committee members). Provide a brief description of the means through which the goals of your study
will be achieved and the geographic location of the study. When conducting a case study, which
requires multiple sources of data, ensure that those sources are identified. For quantitative or mixed
method designs include the study variables and instruments to be used to collect the data. Review the
Purpose Statement section associated with your selected design to ensure that this section aligns with
your design. This section is typically brief at less than one page in length.
Population and Sample
Describe the population by discussing the criteria that you will use for your study participants.
Also, briefly discuss your sampling type and sample size. Sample size must be justified by research. If
your study will not include participants or primary data, then briefly explain your proposed sources of
data. This is to be a brief overview of the population and sample. Students will expand on this section
in Chapter 3.
Significance of the Study
The significance sections explain why the study is a unique approach to the problem to be
investigated, potential benefit/benefactors from the proposed study, and the ways in which the study
results might make an original contribution to the field. Discuss why this study important and to whom.
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Discuss why this study is important to Scholars, Practitioners, and Leaders. Describe the potential
contribution this research may make to current and future studies and thought and how the results of
this research might add to leadership knowledge and literature. Review the CDS Dissertation Guide
“Significance of the Study” section associated with your selected design to ensure that this section
aligns with your design. This section is typically brief at less than one page in length.
Nature of the Study
This section should include a description of the general means through which the goals of the
study will be achieved. In this section, you will present a synopsis and justification of the research
method and design for your study. Justifications should be cited by the germinal researchers of the design.
Provide an overview discussion of the research method (quantitative, qualitative, or mixed) and the
appropriateness of the method for addressing the purpose of the study. Additionally, discuss why your
proposal research design is more appropriate than two or three other possible research designs. For studies
with a specific type, such as a case study, also support the selected type. Also provide a brief overview of
the proposed instrumentation, data collection, and data analysis. This section is typically 1 to 3 pages in
length. Students will address their methodology and research design in other sections of the dissertation.
Chapter 1’s Nature of the Study section is meant to be a brief overview. In Chapter 2, Research Design
Literature, students should expand on the design only, citing several germinal researchers of the design.
In Chapter 3, Research Method and Design Appropriateness, students will build on what they included in
Chapters 1 and 2 for a more thorough justification.
Research Questions/Hypotheses
(Only include “hypotheses” in the heading if applicable)
In this section you will state your research questions and sub-questions, if appropriate.
Research questions should use some of the same key words/phrases as the problem and purpose
statement to help with alignment. Please number the questions such as R1, R2, and so forth. For the
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number of research questions, model your RQs off the research design pages in the Dissertation
Guide. For quantitative studies only, also include hypotheses. Review the CDS Dissertation Guide
Research Questions/Hypotheses section associated with your selected design for specific information.
Theoretical or Conceptual Framework (One or the other—delete either theoretical or conceptual from the heading)
The framework should place the study in perspective among existing theories or conceptual models
and provide a framework related to the research topic. The number of frameworks will vary depending on
dissertation topic, but one to three frameworks is typical. Anything outside of two or three frameworks
should be discussed with committee members. The discussion should reflect the broad theoretical area
under which the research falls and reflect familiarity with germinal and current theories in the field.
Remember that a theoretical framework is typically used for a quantitative study to model the theoretical
relationship between the variables; a conceptual framework is typically used for a qualitative study and
consists of several theories that underpin the topic. The framework should only introduce readers to the
relevant theories; this discussion will be expanded in Chapter 2.
Definition of Terms
This section is only required if any operational terms or words are used in a unique way in this study.
Any definitions must be supported with citations and formatted in italics, indented, followed by a colon.
Assumptions, Limitations, and Delimitations
State any assumptions that you will be using as a basis for your study. Limitations are issues that
the researcher cannot control. In contrast, delimitations define how you are choosing to control or
scope your research. Also mention generalizability of the study findings. Note that qualitative studies
are not generalizable to the population.
Chapter Summary
The discussion should summarize key points presented in Chapter 1. Information should be
presented in a discussion context. Supporting citations should be provided for key points. The chapter
summary should end with a transition to next chapter such as “Chapter 2 will...” or “In Chapter 2…”.
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Doctoral Phase 3 – Dissertation Chapter 2: Literature Review In DOC/723 students expand their work from DOC/715 by applying critical analysis to develop a focused literature
review. The focus of this course includes evaluating the relevance of research studies related to the selected research
topics, synthesizing historical and current sources of literature, and expanding on the theoretical or conceptual framework
from Chapter 1. The literature review also requires methodological/design literature relevant to the selected research topic.
The literature review should provide a synthesis (not a study- by-study summary) of the state of current knowledge on the
topic. MEAL Plan should be used in most paragraphs. Most paragraphs should contain a main idea sentence(s), evidence
sentence(s), analysis sentence(s), and linking sentence(s).
The following depicts the various sections of Chapter 2. The specific headings and order of the sections is not a
requirement; however, the information must include a logical flow. Subheadings should be included to help logical flow.
Use APA Level 2 headings for each subheading. The headings and section discussions demonstrate a systematic approach
for developing Chapter 2 of the dissertation. The chapter will be evaluated by Committee members based on the
Dissertation Criteria Assessment.
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Chapter 2
Literature Review
Begin with an introduction with no section heading. Remind the reader of the study topics and
the foundational theories that drove the review of the literature.
Title Searches and Documentation
Describe the approach that you used to search for relevant documentation including key words
used to search for publications. You can opt to include a table in this section to describe the numbers
of journals, books, or other sources used for your various topics.
Historical Content
Generally, historical content is defined as over 5 years old from the time of writing the dissertation.
Include subsections for each of the various topics related to your study. The topic subsections should be
presented in order from the broadest topic to the narrowest topic. Include both germinal content and
content that is considered historical based on its publication date. It is crucial that you do not develop your
literature review as merely a series of annotated bibliographies that discuss one source after another. It is
crucial to synthesize the sources by comparing and contrasting the various perspectives on each topic.
Include subheadings to delineate between various historical content topics.
Current Content
Generally, current content is less than 5 years old from the date of graduation. Include the
same subsections that you used in the historical content unless there is no current literature for a
specific topic. Here again it is important to synthesize the sources—compare and contrast the various
perspectives on each topic. It is important to describe all perspectives of each research topic including
any controversial literature rather than presenting only literature that supports your own perspective to
create credibility. Include subheadings to delineate between various current content topics.
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Theoretical or Conceptual Framework Literature
(One or the other; must reflect the type of framework used in Chapter 1)
The framework in Chapter 1 should only have introduced readers to the relevant theories. This
section should include subsections for each of the relevant theories and discuss supporting germinal
and current literature on those theories.
Methodology Literature
Describe the various studies that have been accomplished within your topic area. Focus on the
methodologies that have been used in research and on the findings of those studies. Key objectives are
to address what has already been accomplished in previous research and to support that your
methodology will add to the body of knowledge.
Research Design Literature
In Chapter 1 you briefly described your selected research design. This section should expand
on that discussion and include support from several design methodologists including the germinal
methodologists associated with the design. This section is typically 1-2 pages.
Conclusions
It is important to recognize that this section is not the chapter “conclusion”; it is “conclusions”,
meaning what did you conclude from the literature? Focus on what you derived from the literature you
reviewed and remember to cite each assertion.
Chapter Summary
The discussion should summarize key points presented in Chapter 2. Information should be presented
in a discussion context. Supporting citations should be provided for key points. The chapter summary
should end with a transition to next chapter such as “Chapter 3 will…” or “In Chapter 3…”. Please
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note that Chapter 2 should be expanded to 30 to 50 pages prior to submitting the complete proposal for
review.
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Doctoral Phase 4 – QRM: Proposal The dissertation proposal consists of chapters 1 through 3. The development of chapters 1 and 2 is discussed in the
previous sections of this document; therefore, this section focuses on the development of Chapter 3.
Note that the format and flow of Chapter 3 will depend on the selected method and design.
The following is a general structure for Chapter 3. Review dissertations conducted with your selected design to identify
any specific information needed for your Chapter 3. For example, a Delphi technique study will require a discussion of data
collection and data analysis strategies for each of the proposed rounds. The chapter will be evaluated by Committee
members based on the Dissertation Criteria Assessment.
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Chapter 3
Research Methodology
No heading for the introduction. Remind the reader of the purpose and objectives of the study.
Introduce the contents of the chapter.
Research Method and Design Appropriateness
In this section, you will expand on the Chapter 1 Nature of the Study section. You will provide
a thorough explanation of the chosen research method (quantitative, qualitative, or mixed) and design,
and the appropriateness for addressing the purpose of the study. Additionally, include a detailed
description of why your proposal research design is more appropriate than two or three other possible
research designs within the selected method. This section is typically 3-4 pages.
Research Questions/Hypotheses
(Only include “hypotheses” in the heading if applicable)
This section should reiterate the research questions and any hypotheses introduced in Chapter
1.
Population and Sample
Discuss the population for the proposed study, defined as the pool of potential participants for
the study. If the study will include a stratified sample, discuss the various population groups to be
included. Follow the population discussion with a description of the sample size and how the sample
size was established. For stratified samples discuss the sample size to be obtained from each
population group. For studies that will not include primary data use an alternate heading such as “Data
Sources” and discuss the proposed sources of the study data, such as archival data. Ensure that you
collect demographic data from the participants, including any data relevant to the study topic such as
organizational position and experience in years, to include in Chapter 4.
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Informed Consent and Confidentiality
Discuss how you will obtain informed consent from any participants and describe any signed
permissions already obtained including Permissions to Use Premises, Permission to Use Data,
Permission to Use Survey, and so forth. Describe how any confidential data will be stored and later
destroyed. Refer to appendices such as the Informed Consent Form; for example, “See Appendix A for
the Informed Consent Form.”
Instrumentation
Describe any instrumentation to be used to collect primary data such as qualitative
questionnaires, interview protocols, or surveys. It is important to include a table within this section
(as opposed to only in the Appendix) to indicate how the instrumentation items, defined as interview
questions or survey questions, align to the research questions or hypotheses. Refer to appendices
such as the instrumentation. Sample table formats are below for quantitative and qualitative
studies.
Table #
Alignment of Research Questions to Instrument/Data Source (for Quan Studies)
Research Questions Variable Measurement Level Instrument/Data Source
RQ1: List all RQs
RQ2:
Table #
Alignment of Research Question to Interview Questions (For Qual Studies)
Research Question Interview Question
RQ1: List all RQs IQ1:
IQ2:
IQ3:
(8-12 questions per RQ)
RQ2:
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Field Test or Pilot Study
Qualitative studies require a field test on original narrative data collection instruments.
Note that field tests must be conducted prior to proposal approval; therefore, the field test and its
results must be described here in Chapter 3. Original quantitative instruments require use of a pilot
study to produce validity and reliability data; however, pilot studies cannot be conducted prior to
proposal and IRB approval. Therefore, the plan to use a pilot study should be described in Chapter 3,
and the results should be discussed in Chapter 4. Mixed-method studies may require both a field test
and a pilot study. This section should be updated following completion of the field test or pilot study to
outline any changes made to the instrument or study.
Credibility and Transferability or Validity and Reliability
For qualitative studies, include a section on credibility and transferability or trustworthiness to
discuss how these attributes will be accomplished within the study. Include any relevant discussion
regarding how the various sources will be triangulated. For quantitative studies, include a section on
validity and reliability. Quantitative instruments that are commercially produced or have been
published should have validity and reliability data available. Original quantitative instruments will
require use of a pilot study following IRB approval to produce validity and reliability data. Mixed-
method studies often require discussion of both credibility and transferability, and validity and
reliability.
Data Collection
This section must include a complete and sequential description of the processes to be used
to collect any primary or secondary data. Include specific discussion of how any participants will be
recruited for participation and describe any permissions required to collect data. If data will be
collected in phases, such as during a Delphi study with two or more rounds, a case study with
multiple sources of data, a study with a stratified sample, a quantitative study with more than one
survey instrument, or a mixed-method study, describe each phase of data collection process clearly.
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If using interviews, describe how participants will be given the consent forms. Describe the details
of the interview (Who? What? When? Where? How?). Describe if participants will be audio-
recorded. If audio-recorded, describe member-checking of the transcripts.
Data Analysis
Data analysis section must include a detailed description of the processes or statistical
techniques to be used for analysis of any primary or secondary data. Proposed data analyses techniques
must clear and appropriate to the research design and a sufficient level of detail must be provided.
Qualitative analysis steps must be described and must described in sequential order, cited, and
must align with the selected design, such as the constant comparative approach for a grounded
theory study and a modified van Kaam process or Stevick-Colaizzi-Keen process for
phenomenology. If using a program to help with coding and developing themes, name the
program to be used in the sequential step of the data analysis process. When applicable,
quantitative data analysis discussion must include information on the statistical tests to be
performed, Alpha levels for hypotheses testing, and whether the testing will be one-tailed or
two- tailed.
Chapter Summary
The discussion should summarize key points presented in Chapter 3. Information should be
presented in a discussion context. Supporting citations should be provided for key points.
Although Chapter 4 is not submitted as part of the proposal the chapter summary should end with a
transition to next chapter such as “Chapter 4 will...” or “In Chapter 4...”.
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Alignment of the Proposal Elements The proposal is a crucial approval milestone in the dissertation process since the approved proposal is considered an
agreement between the researcher and the university. The dissertation proposal consists of chapters 1, 2, and 3. Again, each
of the major elements must be aligned to
propose a clear and researchable study. The figure below depicts the alignment requirements during this phase. The
additional elements from the prospectus phase, the bottom two in the figure, are data collection instrument and data
collection and analysis strategies.
For a qualitative study the research questions should guide the instrument, which is typically a questionnaire or a set of
interview questions. Additionally, the questionnaire or interview questions must align with the methodology. As stated
previously the design sections of this document provides examples of research questions relevant to various research
designs. Understanding and reflecting the intended focus of the selected design and developing research questions that are
well aligned to the design should also result in alignment between the methodology and the instrument.
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A good approach for developing aligned questionnaire/interview questions is to consider each research question
individually and create questionnaire/interview questions that will address only that research question. Ideally the
questionnaire/interview questions should total around 12 questions. The number of interview questions is dependent on the
chosen design. Students should discuss the number of interview questions needed with their committee members.
Note that the qualitative instrument will also need to be field tested as described in the proposal chapter 3 discussion.
Achieving alignment between a quantitative instrument, referred to as a survey, and the associated hypotheses depends on
whether the instrument is an existing survey or the instrument will be an original survey developed as part of the research.
Use of an existing survey is usually a good approach since the instrument should already have reliability and validity data
established. In contrast, an original survey will require a pilot study following IRB approval. The chapter 3 discussion
describes these requirements in detail. For an existing survey identify any specific measurement scales associated with the
instrument and consider aligning the hypotheses with each of the scales. Mixed method studies must include an instrument,
or a combination of instruments, designed to capture both qualitative and quantitative data needed to address the research
questions and hypotheses.
Once data collection instrument(s) are created or selected, data collection and data analysis strategies must be developed.
Note that some research designs are associated with specific data collection and analysis approaches, so ensure familiarity
with the requirements of the selected design. For example, grounded theory studies are associated with the constant
comparative method of data analysis (Glaser & Strauss, 1967), the Delphi technique is typically conducted in three rounds
of data collection and analysis, and phenomenology is often associated with either the modified Stevick-Colaizzi-Keen or
the modified van Kaam data analysis approach (Moustakas, 1994). The study title should also be finalized during the
proposal phase.
Proposal Assessment Rubric Review the current Dissertation Criteria Assessment (DCA) on CDS Central.
Institutional Review Board (IRB) Following the academic approval of the proposal, the proposal must be submitted to the University of Phoenix
Institutional Review Board (IRB). Data can not be collected until full IRB approval is obtained. (Conditional approval is not
full approval.) IRB maintains a Human Research Protection Program to protect the rights and welfare of those persons who
volunteer to participate in the research activities of our faculty, students, and staff. While the definitive responsibility for
the ethical treatment of all human participants rests with the individual researcher who has secured the privilege to
conduct research through the University of Phoenix, the IRB acts as a regulatory oversight group committed to promote
the ethical and responsible treatment of volunteer human participants in a research study through performing ethical
reviews of research studies, to ensure research compliance with all federal, state, and local regulations as well as all
institutional policies and procedures in addition to offering education and guidance related to human subject research for
the University community. Chairs are listed as co-researchers on the IRB application.
The University of Phoenix IRB is guided by The Belmont Report and the focus upon respect for persons, beneficence, and
justice. The University holds Federal Wide Assurance filed with the U.S. Department of Health and Human Services
(FWA: 00004202). Students should register for the University of Phoenix IRB at IRBNet.org and access the forms and
templates within the IRBNet library. Please read the READ ME FIRST document under forms.
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Doctoral Phase 5 – QRF: Dissertation Chapters 4 & 5: Dissertation Once the research has been conducted the final two chapters, Chapters 4 and 5, can be developed. Chapter 4 focuses on
data analysis and results, and Chapter 5 describes the conclusions and recommendations that the researcher has developed
based on the study results and existing literature.
Regarding formatting of the final dissertation, when transitioning the proposal chapters to the final dissertation ensure that
all description of the sample correctly reflect the actual sample size rather than the proposed sample size and ensure that
the entire document, including Chapters 1, 2, and 3, are written in past tense. Do a search on “propos” to locate any use of
the term proposal or proposed and eliminate this term throughout the document to reflect a completed study. Prior to
submitting the document for review, complete the abstract and complete or delete the dedication and acknowledgement
pages. As an appendix include a blank version of the Informed Consent Form, only, and remove all other IRB documents
and research site and participant identifiers. Previous chapters should now all be changed to past tense, as data has been
collected.
The following is a general structure for Chapters 4 and 5. Again, review dissertations conducted with your selected design
to identify any specific information needed for your Chapter 4. The completed dissertation will be evaluated by Committee
members based on the Dissertation Criteria Assessment.
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Chapter 4
Analysis and Results
No heading for the introduction. Remind the reader of the purpose and objectives of the study.
Introduce the contents of the chapter. Keep in mind that Chapter 4 should solely describe the analysis
process and the study results; therefore, no citations should be included in this chapter.
Research Questions/Hypotheses
(Only include “hypotheses” in the heading if applicable)
This section should reiterate the research questions and any hypotheses. Ensure consistency in
the wording with previous chapters.
Data Collection
Provide a detailed discussion of the informed consent and data collection process used.
Additionally, if the actual data collection process differs from the proposed process as described in
Chapters 1 and 3 revise those chapters to reflect the actual process used. Note that if data collection is
performed in multiple phases, such as in a Delphi technique or a mixed-method study, Chapter 4
should include subsections for each of these data collection and data analysis phases.
Demographics
Describe the study participants by stating information such as gender, age range, ethnicity,
region, occupation, years of experience, or other relevant demographics. To avoid confidentiality
issues, collect and report age in ranges such as 20 to 30, 30 to 40, and so forth. Include the
demographic information as text, tables, or a combination or text and tables. However, report the
demographics individually without linking the demographic data together or to a participant. For
example, the reader should not be able to determine that Participant 1 was an Asian female teacher in
her 30s who lives in the northwest region since this information may compromise confidentiality. For
students that did not include primary data use an alternate heading such as “Data Sources” and discuss
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the sources of the study data.
Pilot Study
(Include this section only for original quantitative instruments
Original quantitative instruments require use of a pilot study to produce validity and reliability
data. For any research that included a pilot study report the results in this section. Students who used a
qualitative design should instead go back to Chapter 3 and add any changes that were made because of
the field test.
Data Analysis
Data analysis section must include a detailed and sequential description of the processes or
statistical techniques used for analysis of any primary or secondary data. If the actual data analysis
process was altered from the proposed process revise Chapters 1 and 3 to reflect the procedures
actually used. The description of data analysis steps should include a level of detail that would allow a
competent researcher to reproduce your analysis.
For narrative data analyze these data individually for each research question rather than for
each interview or questionnaire question. Similar to data collection, if the analysis is performed in
multiple phases, such as in a Delphi technique or a mixed-method study, Chapter 4 should include
subsections for each of these data analysis phases.
Results
Effective reporting of the results is extremely important. For qualitative data, after the
introduction to the Results section, include a table that ties the research questions to the themes found.
Then include a narrative describing the answers to your research questions. The next section should
break down each theme. Results are typically reported as narratives, stories, themes, etc., each of
which should convey to the corresponding research question. For quantitative data, after the
introduction section, include a table that lists the study research questions and hypothesis and state
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whether the hypotheses were accepted or rejected. Each theme should be reported in a separate sub-
section and should be numbered such as Theme 1, Theme 2, and so forth. Typically, the number of
major themes for a qualitative study are three to eight. Consider that each theme will need to be
compared and contrasted against existing literature in Chapter 5, so exceeding eight themes is not
recommended.
Themes should be phrases or short complete sentences that reflect the objective of the study
and tie back to its corresponding research question. For example, a theme of “Communication” is too
vague to be effective, whereas “Insufficient communication from administration” or “Insufficient
communication from administration was a barrier to effective teaching strategies” conveys a much
clearer context. Each theme should be described in paragraph form and must be supported by example
narrative, such as three to five examples of brief participant quotes. Synthesis of participants’ quotes is
needed. Quotations should be compared. This section is not a mere listing of direct quotes. Identify the
participants using their code, for example “P3 stated, ‘If we could only get clear direction from the
principal, it would make our jobs so much easier.’”
For quantitative data, include the analysis tables and describe the results of the analysis.
Include a sub-section for each research question and reiterate the associated hypotheses. Discuss the
meaning of the results in terms of supporting or not supporting the null hypotheses, and clearly
describe the meaning ascribed to those results.
Regardless of the research method, include any outlier data. Do not compare the results to
literature in Chapter 4; save this information for Chapter 5.
Chapter Summary
The discussion should summarize the chapter and reiterate the results and any emergent themes
presented in Chapter 4. The chapter summary should end with a transition to Chapter 5.
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Chapter 5
Conclusions and Recommendations
No heading for the introduction. Remind the reader of the purpose and objectives of the study.
Introduce the contents of the chapter.
Research Questions/Hypotheses
(Only include “hypotheses” in the heading if applicable)
This section should reiterate the research questions and any hypotheses. Ensure consistency in
the wording with previous chapters.
Discussion of Findings
The objective of this section is to compare and contrast the study results to existing literature.
For qualitative and mixed-method studies with resultant themes, this section must include sub-sections
for each theme. For quantitative and mixed-method studies with hypotheses, this section must include
sub-sections for the results of each set of hypotheses. Compare or contrast each result to three to five
published sources. Revisit the conceptual/theoretical framework to explain how the completed study
supported or refuted the framework discussed in Chapter 2. Note once you have established the study
results you may need to slightly expand the Chapter 2 literature review to include relevant information
or information that has been recently published.
Limitations
In contrast to the limitations discussed in Chapter 1, the Chapter 5 limitations section should
focus solely on unforeseen limitations that were revealed while conducting the study. Remember that
limitations are out of the control of the researcher.
Recommendations to Leaders and Practitioners
Keep in mind that the entire study culminates in this section so consider this discussion
carefully. Based on the research questions and the results, convey how leaders and practitioners might
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mitigate the problem underlying the study. Consider including a recommendation for each of the
results.
Be very specific in the recommendations and consider ending the section with a table to
reiterate the recommendations for each of the results. Additionally, ensure that the recommendations
are detailed and actionable and align with the research design, each research question, and any
emergent themes. For grounded theory studies include a theory or a theoretical model, and for action
research clearly describe the recommended actions for leaders and practitioners to pursue. Whenever
appropriate include a model in this section. Remember that the goal of a practitioner doctorate is to
improve your field of practice, which is accomplished through your recommendations.
Recommendations for Future Research
When completing this section consider how you might have accomplished the study
differently. Also consider what you have uncovered as they relate to your results, themes, and research
questions that might be further explored through additional research. Include three or four specific
recommendations for further study and include recommended methodologies.
Chapter Summary
Summarize only Chapter 5 rather than the entire dissertation. Reiterate each of the study
objectives and research questions and state the study findings along with emergent themes (if
applicable). End with a strong cogent statement that conveys what the study has contributed to the
body of knowledge.
A researcher reflection section can also be included in Chapter 5, and this section can be
written in first-person language.
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Alignment of the Dissertation Elements The full dissertation is an important milestone marking the completion of the study. The dissertation typically consists of
five chapters reflecting the study results and recommendations. Each of the major elements must be aligned to reflect a
methodical study leading to aligned conclusions and recommendations. The figure below depicts the alignment
requirements during this phase. The additional elements from the proposal phase, that at the bottom of the figure, are the
results and the conclusions/recommendations.
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The analysis and results of the study should be described in Chapter 4 of the dissertation. The dissertation milestone
section of this document discusses the requirements for developing this chapter. Chapter 4 must reflect alignment between
the analysis steps, as proposed in Chapter 3, and the results of the analysis. The stated results must be a clear and direct
outcome of data analysis performed.
The conclusions and recommendations of the research should be described in Chapter 5 of the dissertation. The criteria for
these sections are detailed in the dissertation Doctoral Phase 5 section. The conclusions must align with the results.
Therefore, the stated conclusions should be limited to conclusions and implications drawn directly from the results. An
important part of the study conclusions is to demonstrate alignment between the results and existing literature. This is
accomplished by comparing and contrasting the study results to literature reviewed in Chapter 2. The recommendations
should include recommendations to leaders, practitioners, and recommendations for future research, and the
recommendations should align with the conclusions.
Dissertation Assessment Rubric Review the current Dissertation Criteria Assessment (DCA) on CDS Central.
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Oral Defense The oral defense is a tradition in doctoral academia. The defense must be presented to all three committee members and
typically includes a presentation format such as PowerPoint. The number of slides should be limited to about 20 slides.
The following topics should be included:
• Introduction/Problem Statement
• Purpose Statement/Method and Design/Population & Sample
• Research Questions/Hypotheses
• Theoretical/Conceptual Framework & Literature Review Synopsis
• Instrumentation & Data Collection Approach
• Data Analysis Approach
• Findings (Note that the emphasis of the slides and presentation should focus on the study findings, for example,
for a qualitative study include 1 or 2 resultant themes per slide)
• Recommendations for Leadership (This is also a key area for the oral defense)
• Conclusion
• References
Following the presentation all three committee members will ask questions designed to demonstrate the
student’s knowledge of the subject matter, the appropriateness of the study as conducted, and the alignment between the
purpose of the study and the findings. The committee questions and defense should also focus on the study’s contribution to
the body of knowledge and on the student’s future plans for publishing, presenting, or otherwise disseminating the results of
the study.
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Final Dissertation Editing The final approval step in the dissertation is final dissertation editing (FDE). The student is responsible for ensuring that
the dissertation meets the APA and final editing guidelines. The committee members, especially the Panel Validator (PV),
provide APA review for the dissertation final dissertation format. The information below provides guidance on APA
requirements for dissertations. Additionally, this section includes a Dissertation Format Requirements document and an
FDE checklist.
The following are basic formatting points regarding use of APA:
• The preferred font is 12-point Times New Roman.
• The margins should be 1-inch top, bottom, and right side—the right margin should be ragged, but the left margin
should be 1.5 inches to allow a binding margin for bound hardcopies.
• All text within the paper is double-spaced, including quotations and the reference page.
The APA 7th edition requires specific formatting techniques. The page number in the APA 7th edition is included for
reference and further detail.
Structure of a Dissertation
Title Page
The title page should follow the College of Doctoral Studies Dissertation Format Requirements.
Headings
Headings convey a hierarchical structure, similar to the levels of an outline. Refer to pages 47-49 of the APA manual 7th
edition.
References
The reference page should list all in-text citations. For instance, if there are five different citations within the text there must
be five references listed on the reference page.
Other reference tips:
• Watch reference indentations–the first line is flush left with remaining lines of reference indented five
spaces or 0.5 inch. This is called “hanging indentation.”
• The entire list of references should be double spaced with no extra space between references. For example:
References Elkind, D. (1978). The child's reality: Three developmental themes. Lawrence Erlbaum Associates. Issac, G.
(1995). Is solar disorder timed? Adolescents, 30(118), 273-276.
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• No author, reference citation
o Book, no author or editor, pages 264, 289, and 306 of the APA manual 7th edition
o Anonymous works, pages 264, 289, and 306 of the APA manual 7th edition
• Electronically retrieved material, pages 298-300 of the APA manual 7th edition
• Same author, same year of publication, pages 267 and 305 of the APA manual 7th edition
• Same author, different year of publication, pages 305 of the APA manual 7th edition
• Personal communications, page 260 of the APA manual 7th edition
Refer to page 303 of the APA manual 7th edition for specifics regarding how to arrange reference listings and pages 58-59
of the APA manual 7th edition regarding how the finished reference page should appear.
Elements in an APA Paper Properly cited sources add to the researcher’s credibility. Various citation forms are used when quoting an
author’s exact words. Following are explanations and examples of different types of quotations used in APA.
Quotations
To properly cite a quotation, you must provide the page number(s). With some sources, you will also need to include the
chapter, figure, table, or equation. Refer to page 270-278 of the APA manual 7th edition.
When citing electronic sources that do not provide page numbers, use either the paragraph symbol or the abbreviation para.
Refer to page 273 of the APA manual 7th edition.
Short Quotations
Short quotations consist of fewer than 40 words and are incorporated into the text and enclosed by quotation marks. If a
quotation ends the sentence, the punctuation goes outside the final parenthesis. If the quotation occurs mid-sentence, then
end the passage with quotation marks, cite the source in parentheses immediately after the quotation marks, and continue
the sentence. Refer to page 271 of the APA manual 7th edition.
Short Quotation Examples:
Published Sources
She stated, “The ‘placebo effect’ . . . disappeared when behaviors were studied in this manner” (Miele, 1993, p. 276), but
she did not clarify which behaviors were studied. [Note the citation immediately follows the quotation and is outside the
quotation marks. If it ended the sentence the final period would be placed after the closing parenthesis for the citation.]
Electronic Sources
As Myers (2000, para. 5) aptly phrased it, “positive emotions are both an end—better to live fulfilled, with joy [and other
positive emotions]—and a means to a more caring and healthy society.” [Note the period after para. And that the period at
the end of the quote is inside the quotation marks.]
Block Quotations
For a block quotation, which contains 40 or more words, insert the final punctuation mark, and then cite the source in
parentheses. Do not use quotation marks. Refer to pages 272-273 of the APA manual 7th edition.
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Block Quotation Examples Published Sources Miele
(1993) found the following:
The “placebo effect,” which had been verified in previous studies, disappeared when behaviors were studied in
this manner. Furthermore, the behaviors were never exhibited again [italics added], even when reel [sic] drugs
were administered. Earlier studies (e.g., Abdullah, 1984; Fox, 1979) were clearly premature in attributing the
results to a placebo effect. (p. 276)
[Note the period is before the page citation and the entire quote including the page number is indented
0.5 inch.]
Plagiarism
Following are a few clues associated with plagiarism:
• A paper exceeds the writer’s research or writing capabilities, sounds professional or journalistic, or is
too scholarly.
• The paper contains complex or specialized vocabulary, jargon, technical terms, or other words and
expressions beyond what would be expected from a student at that level.
• The quality of writing is inconsistent. For example, the introduction or conclusion may be poorly written
compared to the body of the paper. (Detecting Plagiarism, 2002, para. 1)
Emphasizing Words
Italicize key terms or technical terms and labels for emphasis. Do not put the terms in quotations marks. Refer to page 170
of the APA manual 7th edition.
Example:
• Correct: He is politically correct.
• Incorrect: He is “politically correct.”
Seriation and Lists
When using a series of elements within a sentence or paragraph, use lowercase letters in parentheses. Refer to pages 189-
191 of the APA manual 7th edition.
Example:
The marketing director’s three choices were (a) advertising on the Internet, (b) using direct mail marketing pieces, and (c)
placing a magazine advertisement. [Note: a common error is to not use the comma before the and at the end of the series. A
related error is some students use a comma before and even in simple compound sentences.]
Ellipsis or Spaced Periods
When omitting material from the original source, use three spaced periods (ellipsis points) within a sentence, and use four
points between two sentences. The ellipsis includes spaces between periods (. ..). Refer to page 275 of the APA manual
7th edition.
Itemized Conclusions
Use Arabic numerals rather than bullets for itemizing conclusions or procedural steps. Refer to page 190 of the APA
manual 7th edition.
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Common Knowledge
Common knowledge—a commonly known fact, such as Washington, D.C., is the capital of the U.S.—does not need a
citation even if you had to look up those data. Often-used quotations may qualify for this rule as well. Other assertions
of information presented as facts need a reference substantiating them.
Tables versus Figures
Generally, tables are used to display exact values (numbers) and figures are used to display graphics, such as pictures,
drawings, and bar graphs. Both tables and figures are more commonly used in dissertations than in other types of formal
written assignments.
Example - Proper Label for a Table
Type the table number, place in bold font; then, double-space, and type a description of the table in italic title case. Refer to
APA 7th edition, page 199. Please note that the title for a table always goes above the table and is not incorporated in the
table.
Example - Proper Label for a Figure
Figures are numbered sequentially in Arabic numerals as they appear in the document. “The figure number (e.g., Figure 1)
appears above the figure in bold. The figure title appears one double-spaced line below the figure number in italic title
case” (APA, 2020, p. 225). Refer to APA 7th edition, pages 225-226.
Example - Copyrighted Sources of Tables and Figures
Reproduced or adapted figures and tables must have written permission and be given credit within the document.
Refer to APA 7th edition, pages 387-391, for information about obtaining permission to use copyrighted figures
and tables.
Other Table and Figure Tips
• Tables and figures should be placed as near as possible to their description in the text.
• Tables and figures should be numbered separately. For example: Table 1, Table 2, Table 3, and start over
numbering for Figure 1. Refer to APA 7th edition, pages 200 and 227.
• If the figure or table has been reproduced or adapted from a copyrighted source, the learner must obtain permission
to use it. Refer to APA 7th edition, pages 387-391.
• Exceptions to obtaining permission to use copyrighted material include works created by the U.S. Government
that are expressly prohibited from copyright protection by the 1976 copyright statute, sec
105. Noncopyrightable material is called public domain material.
Reference
American Psychological Association. (2020). Publication manual of the American Psychological Association (7th ed.).
Author.
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College of Doctoral Studies Dissertation Format Requirements
Organization
• Dissertations at University of Phoenix are organized into three sections: the frontmatter, the main text, and back
matter.
o Front or Preliminary Matter: Title page, Signature page, Abstract, Acknowledgements,
Dedication, Table of Contents, List of Tables, List of Figures, and so forth
o Main text: chapters with titles, headings, introductions, and so forth
o Back Matter: references, appendices, optional note, and optional author biography
Style guide
• APA Style
o Margins: A margin is the space in which no text appears. All materials and pages within the dissertations must meet the margin requirements. Based on ProQuest requirements, the materials must follow these guidelines:
▪ Front Matter: 3 inches at the top for the Title and Signature pages, 1 inch at the top for other
front matter, 1 inch at the bottom, 1.5 inches on the left, and 1 inch on the right
▪ Body of document: 1 inch at the top, 1 inch at the bottom, 1.5 inches on the left, and 1 inch on
the right
o Use 12-point font for the body of the document; figures should be large enough to read easily— between
8-point and 12-point font with sans serif typeface—and convey only essential information. See additional information for tables and figures under the main text requirements.
o Line spacing: All text must be double-spaced. Paragraphs must have the right margin of text ragged. Single line spacing may be used within tables or figures.
o Refer to the Microsoft website tutorials, Format text and Change margins, for help formatting your Microsoft Word document. Additional Microsoft Word tutorials are available on the Word help & learning page.
Contents and order of all dissertations
• Title Page
• Signature Page
• Abstract
• Dedication (optional)
• Acknowledgements: optional
• Table of Contents
• List of Tables, if used
• List of Figures, if used
• Main text
• Back Matter
o References: APA style and spacing
o Appendices: APA style and spacing
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Front matter requirements
Title page
This is the first page of the text in the dissertation. Follow these instructions to create a title page.
1. Type the title in all capital letters centered between the left and right margins. If a title is more than one line,
double-space between lines. The title should be no more than 15 words in length and should not contain
abbreviations or words that serve no purpose. Your title may take up to two lines. The title should do the
following:
a. Avoid bold type or symbols, formulas, superscripts, subscripts, or other non-alphabetical
symbols, to comply with UMI/ProQuest publishing requirements.
b. Use italics only as required by APA Style.
c. Accurately reflect the content and scope of the dissertation.
d. Use proper punctuation.
i. Double-space from the title to a new line, centering between the margins and type “by”
in lowercase.
ii. Double-space to a new line, then type your full legal name as it appears in your official
University of Phoenix records.
iii. Double-space to a new line, then type the copyright notice and date. The copyright
notice should appear “Copyright 2021”.
iv. Add five single-spaced lines after the copyright. On the sixth line, type the following as
appropriate to your degree type, using line breaks, single line spacing, and text casing:
A Dissertation Presented in Partial Fulfillment of
the Requirements for the Degree
Doctor of
v. Fill in the correct degree in the blank.
vi. Add five single-spaced lines after the degree. On the sixth line, type University of
Phoenix.
Signature page
1. Type the following text centered between the left and right margins:
The Dissertation Committee for Jane Doe certifies approval of the
following dissertation:
a. Add three single-spaced lines. On the fourth line, type the title in all capital letters centered between
the left and right margins.
b. Add three single-spaced lines. On the fourth line, type “Committee:” at the left margin.
c. Add one spaced line. On the second line, type the Chair’s name, a comma, one space, then degree,
comma, one space, then Chair (not Chairperson, Chairman, or mentor) centered between the left
and right margins.
d. If you have two Chairs, type Co-Chair rather than Chair on the first and second lines,
respectively.
e. Add one spaced line. On the second line, add the names of each additional committee member.
f. Add five single-spaced lines. On the sixth line, type the Chair’s name. Do not include the word
Chair or degree type after the name.
g. Add two single-spaced lines. On the third line, add the names of each additional committee member.
h. Add two single-spaced lines. On the third line, type the following:
Hinrich Eylers, PhD
Vice Provost, College of Doctoral Studies University of
Phoenix
i. Add two single-spaced lines. On the third line, type “Date Approved:”.
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Abstract
To follow APA guidelines regarding an abstract, limit your abstract to no more than 250 words. The first line of the
abstract is not indented. An abstract is “a brief, comprehensive summary of the contents of the paper” (APA, 2020, p. 38).
Dedication
This section provides an optional space to dedicate the dissertation work to individuals who may be family, or to a special
contributor, or a program or institution, or a special set of beliefs based on intellectual or spiritual perspectives. It reflects a
special reference to what any of these mean to you as a person in completing the dissertation work and receiving the
doctoral degree.
Acknowledgements
This section provides an optional space to recognize those who have helped you along the doctoral journey to this
successful end point. It can include anyone who has contributed instrumentally to the dissertation effort and typically will
include the dissertation chair and committee, as well as any others that assisted in the effort.
Table of Contents
See the sample dissertation.
List of Tables
List of tables is used for more than one table.
List of Figures
List of figures is used for more than one figure.
Pagination of front matter
All front matter pages are numbered with lowercase Roman numerals (i, ii, iii, iv, etc.) centered 0.5 inch above the bottom
of the page. The page number should be omitted from the title and signature pages and begin on the abstract page with iii.
All section headings from the approval page through the preface should be centered between the margins of the page, in all
capital letters, beginning on the first line after the 1-inch top margin.
Main text requirements
Chapters:
• Type Chapter 1 centered at the top of the page. Then double-space and type the title of the chapter. Please note,
the title of the chapter is not bold font. Traditionally, Chapters 1-3 represent the proposal of the dissertation.
Traditionally, completed dissertations include at least two chapters following the elements of the proposal.
• Chapter 1 serves as an overview of the dissertation and proposal.
• Chapter 2 is a review of the literature.
• Chapter 3 is a detailed description of the methodology and methods being used in the dissertation and proposal.
• Chapter 4 reviews the actual conduct of the study, detailing the work completed by the student, including
data collection and analysis processes and initial findings.
• Chapters 5 detail the outcomes, findings, and conclusions from the dissertation. Depending on the nature and
complexity of the findings, more than five chapters are acceptable.
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Pagination
• Avoid placing a lone heading on the last line of the page or a single line of text on the top of the next page.
• All main text and back matter pages are numbered consecutively with Arabic numerals (1, 2, 3, 4, etc.) centered
0.5 inch above the bottom of the page. The first page of the main text begins with 1.
Headings and subheadings
• Follow APA style requirements. Level 1-5 headings should be used in each chapter after typing the chapter
title. Refer to the APA Manual, 7th edition, pages 47-49.
Citations
• Refer to the APA Tutorials in the Doctoral Writing Resource center and refer to the APA Manual and the APA
Style Blog for current citation information (https://blog.apastyle.org/apastyle/).
• Paragraphing and indentation: Indent each paragraph five spaces, or 0.5 inch. If you are using Microsoft®
Word, use the Tab key, which is programmed to indent paragraphs at the 0.5-inch mark.
Notes, tables, figures, and graphics
• Refer to the APA Example Formats for Tables and Figures document in CDS Central for how to format tables,
notes, figures, and graphics into your dissertation.
• In addition, refer to the APA Style Blog for current information regarding tables and figures formatting.
• When using these tools, the dissertation author must ensure that all tables, notes, figures, and graphics follow
APA requirements.
Back matter requirements
References
• Refer to the APA Tutorials in the Doctoral Writing Resource center and refer to the APA Manual and the APA
Style Blog for current reference information.
Appendices
• Each appendix should appear on its own page. A single appendix should be labeled as Appendix in
uppercase and lowercase words. If the dissertation has more than one appendix, label each in the following
order based on how the information appears in the body of your dissertation: Appendix A, Appendix B,
Appendix C, and so forth. The name of the appendix must be centered at the top of the page and followed by
a title, which should explain in no more than 12 words what that appendix is. Confidential information must
not be included in the appendices.
• As an appendix include a redacted version of the Informed Consent Form, only, and remove all other IRB
documents and research site and participant identifiers.
• All copyrighted material must be supported by permissions to reproduce within the appendices.
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Final Dissertation Editing (FDE) Checklist
This checklist describes APA formatting and dissertation formatting requirements unique to the College of Doctoral
Studies. There should be no errors in the document prior to final submission for publication.
Times Roman 12-point font used
Document double-spaced throughout
Margins at 1 inch on top, bottom, and right sides, 1.5 inches on left and ragged right edge
Paragraphs indented five spaces (0.5 inch)
Headings and subheadings properly formatted
No end-of-line hyphenation
Only one space after punctuation
No bold type used for emphasis; italics used instead
A. Text
Title page conforms to University of Phoenix requirements
Order of manuscript pages conforms to University of Phoenix requirements
Abstract included and properly formatted – single paragraph with no paragraph indentation
Table of contents accurate and properly formatted with five space or 0.5-inch indentations
List of tables and list of figures included only for two or more tables or figures
B. Frontmatter
No “orphaned” or standalone headings at the bottom of a page; page break used to avoid standalone headings
Page numbers correctly formatted; centered at bottom of pages and sequenced – small Roman numerals on front pages and Arabic on body pages
Each chapter begins with chapter number and title centered at top in plain text, not bold
Sections of text follow one another without break
Headings properly formatted following APA Style
C. Content Pages
Quotations with fewer than 40 words incorporated into text and enclosed with quotation marks
Quotations of 40 or more words properly indented in block format
D. Quotations
Numbered separately, sequentially, and properly labeled
Written permission obtained, and referenced if necessary
Tables and figures are mentioned in the text before they are shown
Placed as near as possible to their descriptions in the text
E. Tables and Figures
Order of pages conforms to requirements
Pages properly formatted and numbered
Reference list and each appendix begin on a new page
Hanging indent is used for each reference in Reference List
F. Back Matter
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80
All outside ideas properly cited
Citations complete and properly formatted; use of “and” and ampersand arecorrect
Electronic sources properly cited
Personal communications cited in text only, not in the reference list
Page numbers included for direct quotations
Secondary sources should be avoided unless the primary source is not available.
G. Citations
References in correct alphabetical order of the last name of the authors with author’s initials
Electronic references properly cited and formatted
Format of references conforms to University of Phoenix and APA requirements
In-text and reference list citations correspond
H. Reference List Citations
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81
Appendix A: Dissertation Template The template below demonstrates the required formatting and order of full dissertation material. Note that the section
headings should be modified as appropriate for the selected research methodology. Ensure that your page numbers meet
the requirements stated above; small Roman numerals on the frontmatter and Arabic numerals on body of the document,
starting Chapter 1 as page 1.
The APA Doctoral Dissertation Template is available for download on CDS Central in Phase 2 of the Doctoral Journey.
You will need to use your student/faculty credentials to access it.
SAMPLE DISSERTATION TITLE:
STATE THE STUDY METHODOLOGY
[Double space title and use all capitals. No more than 15 words inclusive of your design]
by
Jane Doe
Copyright XXXX
A Dissertation Presented in Partial Fulfillment
of the Requirements for the Degree
Doctor of [Name your program]
University of Phoenix
The Dissertation Committee for Jane Doe certifies approval of the following dissertation:
SAMPLE DISSERTATION TITLE:
STATE THE STUDY METHODOLOGY
Committee:
John Doe, EdD, Chair
Julie Jones, PhD, University Research Methodologist
James Smith, EdD, Panel Validator
John Doe
Julie Jones
James Smith
Hinrich Eylers, PhD
Vice Provost, College of Doctoral Studies
University of Phoenix
Date Approved:
iii
ABSTRACT
Start text here; do not indent. The Abstract is written after Chapter 5 is complete.
Abstracts must be between 150 and 250 words and must be presented as a single
paragraph. The abstract should not include any citations. Describe the problem and
purpose being addressed and indicate why and to whom the findings are important.
Summarize the research question(s). Briefly describe the research method, design,
population, sample size, and data analysis procedures. Identify the results and any key
conclusions or recommendations that capture the heart of the research. Conclude with a
statement of implications for practitioners and leader within the field of study.
iv
DEDICATION
[To be indented and completed upon full dissertation completion]
v
ACKNOWLEDGMENTS
[To be indented and completed upon full dissertation completion]
vi
TABLE OF CONTENTS
(Note: Include all level headings, up to and including Level IV. Delete this statement at Dissertation.)
Contents Page
List of Tables..................................................................................................................... x
List of Figures ................................................................................................................... x
Preface (optional) .............................................................................................................. x
Chapter 1: Introduction ..................................................................................................... x
Background of the Problem .................................................................................. x
Problem Statement ................................................................................................. x
Purpose of the Study .............................................................................................. x
Population and Sample .......................................................................................... x
Significance of the Study ....................................................................................... x
Nature of the Study ................................................................................................ x
Research Questions/Hypotheses ............................................................................ x
Theoretical or Conceptual Framework ................................................................... x
Definition of Terms ............................................................................................... x
Assumptions, Limitations, and Delimitations ........................................................ x
Chapter Summary .................................................................................................. x
Chapter 2: Literature Review ............................................................................................. x
Title Searches and Documentation ........................................................................ x
Historical Content .................................................................................................. x
Current Content ..................................................................................................... x
Theoretical or Conceptual Framework Literature .................................................. x
Methodology Literature ......................................................................................... x
vii
Research Design Literature .................................................................................... x
Conclusions ........................................................................................................... x
Chapter Summary .................................................................................................. x
Chapter 3: Research Methodology ..................................................................................... x
Research Method and Design Appropriateness ...................................................... x
Research Questions/Hypotheses ............................................................................ x
Population and Sample .......................................................................................... x
Informed Consent and Confidentiality ................................................................... x
Instrumentation ...................................................................................................... x
Field Test or Pilot Study ........................................................................................ x
Credibility and Transferability or Validity and Reliability ..................................... x
Data Collection ...................................................................................................... x
Data Analysis ........................................................................................................ x
Chapter Summary .................................................................................................. x
Chapter 4: Analysis and Results ........................................................................................ x
Research Questions/Hypotheses ............................................................................. x
Data Collection ...................................................................................................... x
Demographics ........................................................................................................ x
Pilot Study ............................................................................................................. x
Data Analysis ........................................................................................................ x
Results ................................................................................................................... x
Chapter Summary .................................................................................................. x
Chapter 5: Conclusions and Recommendations ................................................................. x
Research Questions/Hypotheses ............................................................................ x
viii
Discussion of Findings .......................................................................................... x
Limitations ............................................................................................................ x
Recommendations to Leaders and Practitioners ..................................................... x
Recommendations for Future Research ................................................................. x
Chapter Summary .................................................................................................. x
References ......................................................................................................................... x
Appendix A: Title .............................................................................................................. x
Appendix B: Title .............................................................................................................. x
Appendix C: Title .............................................................................................................. x
ix
LIST OF TABLES
Table 1: Title ..................................................................................................................... x
Table 2: Title ..................................................................................................................... x
[Only include a list of tables if there are two or more tables. Use title case, defined as
capitalizing key words, for table titles.]
x
LIST OF FIGURES
Figure 1: Title .................................................................................................................... x
Figure 2: Title .................................................................................................................... x
[Only include a List of Figures if there are two or more figures. Use title case, defined
as capitalizing key words, for figure titles.]
11
Chapter 1
Introduction
(Note that “Introduction” is the Chapter title)
No introduction heading before the first paragraph of the introductory text. The
introduction serves to engage the reader by discussing the overall research topic and
background information to your proposed study. A good introduction should describe the
broad foundations of your study and indicate the general scope of your study but should
not go into so much detail that later sections such as the purpose, problem, and
methodology become irrelevant. The introduction can also provide an overview of the
sections that will appear in Chapter 1. The introduction, and most other sections of
Chapter 1, should be written by synthesizing from several different peer-reviewed and
current sources. Paragraphs should be written using the MEAL plan.
Background of the Problem
This section should lead up to the statement of the problem to create the context of
the problem for the readers. In this section, you will want to draw upon the origins of
the issues from which the problem is based upon. Be sure to integrate appropriate
references to evidence the existence of a problem. Your discussion should reflect why
the research problem is of important social concern or theoretical interest. This section is
typically several pages in length.
Problem Statement
The problem section must clearly identify the problem and a consequence of the
problem. An optional sentence stem to use is, “The problem is…resulting in (citation)” to
allow the reader to distinguish the issue driving the study. The problem must be supported
with current citations. A researchable problem is not simply a gap in the literature or a lack
12
of information; a research problem is a documented existing social or organizational issue
for which there is not a known solution or an effective solution. Review the CDS
Dissertation Guide Problem Statement section associated with your selected design to
ensure that this section aligns with your design. This section is typically brief at less than
one page in length.
Purpose of the Study
This section should concisely explain the focus of your study. Begin this section with
the method and design you have selected and provide a clear statement of the research
objectives of your study. “The purpose of the qualitative/quantitative (design) is to...” The
purpose statement should include some of the same keywords as the problem statement. The
purpose statement should also include words that align with the selected design, such as
“perceptions” for case study or “consensus” from “industry experts” for Delphi Technique.
Provide a brief description of the means through which the goals of your study will be
achieved and the geographic location of the study. Specific cities and states should not be
used (except in rare cases, to be discussed with committee members). When conducting a
case study, which requires multiple sources of data, ensure that those sources are identified.
For quantitative or mixed method designs include the study variables and instruments to be
used to collect the data. Review the Purpose Statement section associated with your selected
design to ensure that this section aligns with your design. This section is typically brief at
less than one page in length.
Population and Sample
Describe the population by discussing the criteria that you will use for your study
participants. Also, briefly discuss your sampling type and sample size. Sample size must
be justified by research. If your study will not include participants or primary data, then
13
briefly explain your proposed sources of data. This is to be a brief overview of the
population and sample. Students will expand on this section in Chapter 3.
Significance of the Study
The significance sections explain why the study is a unique approach to the
problem to be investigated, potential benefit/benefactors from the proposed study, and
the ways in which the study results might make an original contribution to the field.
Discuss why this study important and to whom. Discuss why this study is important to
Scholars, Practitioners, and Leaders. Describe the potential contribution this research
may make to current and future studies and thought and how the results of this research
might add to leadership knowledge and literature. Review the CDS Dissertation Guide
“Significance of the Study” section associated with your selected design to ensure that
this section aligns with your design. This section is typically brief at less than one page in
length.
Nature of the Study
This section should include a description of the general means through which the
goals of the study will be achieved. In this section, you will present a synopsis and
justification of the research method and design for your study. Justifications should be cited
by the germinal researchers of the design. Provide an overview discussion of the research
method (quantitative, qualitative, or mixed) and the appropriateness of the method for
addressing the purpose of the study. Additionally, discuss why your proposal research design
is more appropriate than two or three other possible research designs. For studies with a
specific type, such as a case study, also support the selected type. Also provide a brief
overview of the proposed instrumentation, data collection, and data analysis. This section is
typically 1 to 3 pages in length. Students will address their methodology and research design
14
in other sections of the dissertation. Chapter 1’s Nature of the Study section is meant to be a
brief overview. In Chapter 2, Research Design Literature, students should expand on the
design only, citing several germinal researchers of the design. In Chapter 3, Research Method
and Design Appropriateness, students will build on what they included in Chapters 1 and 2
for a more thorough justification.
Research Questions/Hypotheses
(Only include “hypotheses” in the heading if applicable)
In this section you will state your research questions and sub-questions, if appropriate.
Research questions should use some of the same key words/phrases as the problem and
purpose statement to help with alignment. Please number the questions such as R1, R2, and
so forth. For the number of research questions, model your RQs off of the research design
pages in the Dissertation Guide. For quantitative studies only, also include hypotheses. Review
the CDS Dissertation Guide Research Questions/Hypotheses section associated with your
selected design for specific information.
Theoretical or Conceptual Framework
(One or the other—delete either theoretical or conceptual from the heading)
The framework should place the study in perspective among existing theories or
conceptual models and provide a framework related to the research topic. The number of
frameworks will vary depending on dissertation topic, but one to three frameworks is
typical. Anything outside of two or three frameworks should be discussed with committee
members. The discussion should reflect the broad theoretical area under which the
research falls and reflect familiarity with germinal and current theories in the field.
Remember that a theoretical framework is typically used for a quantitative study to model
the theoretical relationships between the variables; a conceptual framework is typically
15
used for a qualitative study and consists of several theories that underpin the topic. The
framework should only introduce readers to the relevant theories; this discussion will be
expanded in Chapter 2.
Definition of Terms
This section is only required if any operational terms or words are used in a
unique way in this study. Any definitions must be supported with citations and formatted
in italics, indented, followed by a colon.
Assumptions, Limitations, and Delimitations
State any assumptions that you will be using as a basis for your study. Limitations
are issues that the researcher cannot control. In contrast, delimitations define how you are
choosing to control or scope your research. Also mention generalizability of the study
findings. Note that qualitative studies are not generalizable to the population.
Chapter Summary
The discussion should summarize key points presented in Chapter 1. Information
should be presented in a discussion context. Supporting citations should be provided for
key points. The chapter summary should end with a transition to next chapter such as
“Chapter 2 will...” or “In Chapter 2…”.
16
Chapter 2
Literature Review
Begin with an introduction with no section heading. Remind the reader of the
study topics and the foundational theories that drove the review of the literature.
Title Searches and Documentation
Describe the approach that you used to search for relevant documentation
including key words used to search for publications. You can opt to include a table in this
section to describe the numbers of journals, books, or other sources used for your various
topics.
Historical Content
Generally, historical content is defined as over 5 years old from the time of
writing the dissertation. Include subsections for each of the various topics related to your
study. The topic subsections should be presented in order from the broadest topic to the
narrowest topic. Include both germinal content and content that is considered historical
based on its publication date. It is crucial that you do not develop your literature review
as merely a series of annotated bibliographies that discuss one source after another. It is
crucial to synthesize the sources by comparing and contrasting the various perspectives
on each topic. Include subheadings to delineate between various historical content
topics.
Current Content
Generally, current content is less than 5 years old from the date of graduation.
Include the same subsections that you used in the historical content unless there is no
current literature for a specific topic. Here again it is important to synthesize the
sources—compare and contrast the various perspectives on each topic. It is important to
17
describe all perspectives of each research topic including any controversial literature
rather than presenting only literature that supports your own perspective to create
credibility. Include subheadings to delineate between various current content topics.
Theoretical or Conceptual Framework Literature
(One or the other; must reflect the type of framework used in Chapter 1)
The framework in Chapter 1 should only have introduced readers to the relevant
theories. This section should include subsections for each of the relevant theories and
discuss supporting germinal and current literature on those theories.
Methodology Literature
Describe the various studies that have been accomplished within your topic area.
Focus on the methodologies that have been used in research and on the findings of those
studies. Key objectives are to address what has already been accomplished in previous
research and to support that your methodology will add to the body of knowledge.
Research Design Literature
In Chapter 1 you briefly described your selected research design. This section
should expand on that discussion and include support from several design methodologists
including the germinal methodologists associated with the design. This section is typically
1-2 pages.
Conclusions
It is important to recognize that this section is not the chapter “conclusion”; it is
“conclusions”, meaning what did you conclude from the literature? Focus on what you
derived from the literature you reviewed and remember to cite each assertion.
Chapter Summary
18
The discussion should summarize key points presented in Chapter 2. Information
should be presented in a discussion context. Supporting citations should be provided for
key points. The chapter summary should end with a transition to next chapter such as
“Chapter 3 will...” or “In Chapter 3...”.
Please note that Chapter 2 should be expanded to 30 to 50 pages prior to submitting the
complete proposal for review.
19
Chapter 3
Research Methodology
No heading for the introduction. Remind the reader of the purpose and objectives
of the study. Introduce the contents of the chapter.
Research Method and Design Appropriateness
In this section you will expand on the Chapter 1 Nature of the Study section. You
will provide a thorough explanation of the chosen research method (quantitative,
qualitative, or mixed) and design, and the appropriateness for addressing the purpose of
the study. Additionally, include a detailed description of why your proposal research
design is more appropriate than two or three other possible research designs within the
selected method. This section is typically 3-4 pages.
Research Questions/Hypotheses
(Only include “hypotheses” in the heading if applicable)
This section should reiterate the research questions and any hypotheses introduced
in Chapter 1.
Population and Sample
Discuss the population for the proposed study, defined as the pool of potential
participants for the study. If the study will include a stratified sample discuss the various
population groups to be included. Follow the population discussion with a description of
the sample size and how the sample size was established. For stratified samples discuss
the sample size to be obtained from each population group. For studies that will not
include primary data use an alternate heading such as “Data Sources” and discuss the
proposed sources of the study data, such as archival data. Ensure that you collect
20
demographic data from the participants, including any data relevant to the study topic
such as organizational position and experience in years, to include in Chapter 4.
Informed Consent and Confidentiality
Discuss how you will obtain informed consent from any participants and describe
any signed permissions already obtained including Permissions to Use Premises,
Permission to Use Data, Permission to Use Survey, and so forth. Describe how any
confidential data will be stored and later destroyed. Refer to appendices such as the
Informed Consent Form; for example, “See Appendix A for the Informed Consent
Form.”
Instrumentation
Describe any instrumentation to be used to collect primary data such as qualitative
questionnaires, interview protocols, or surveys. It is important to include a table within
this section (as opposed to only in the Appendix) to indicate how the instrumentation
items, defined as interview questions or survey questions, align to the research questions
or hypotheses. Refer to appendices such as the instrumentation. Sample table formats are
below for quantitative and qualitative studies.
Table #
Alignment of Research Questions to Interview Questions (for Quantitative Studies)
Research Questions Variable Measurement Level Instrument/Data Source
RQ1: List all RQs
RQ2:
21
Table #
Research Question to Interview Question Alignment (For Qual Studies)
Research Question Interview Question
RQ1: List all RQs IQ1:
IQ2:
IQ3:
(8-12 questions per RQ)
RQ2:
RQ3:
Field Test or Pilot Study
Qualitative studies require a field test on original narrative data collection
instruments. Note that field tests must be conducted prior to proposal approval; therefore,
the field test and its results must be described here in Chapter 3. Original quantitative
instruments require use of a pilot study to produce validity and reliability data; however,
pilot studies cannot be conducted prior to proposal and IRB approval. Therefore, the plan
to use a pilot study should be described in Chapter 3, and the results should be discussed
in Chapter 4. Mixed-method studies may require both a field test and a pilot study. This
section should be updated following completion of the field test or pilot study to outline
any changes made to the instrument or study.
Credibility and Transferability or Validity and Reliability
For qualitative studies, include a section on credibility and transferability or
trustworthiness to discuss how these attributes will be accomplished within the study.
Include any relevant discussion regarding how the various sources will be triangulated.
For quantitative studies, include a section on validity and reliability. Quantitative
22
instruments that are commercially produced or have been published should have validity
and reliability data available. Original quantitative instruments will require use of a pilot
study following IRB approval to produce validity and reliability data. Mixed-method
studies often require discussion of both credibility and transferability, and validity and
reliability.
Data Collection
This section must include a complete and sequential description of the processes to
be used to collect any primary or secondary data. Include specific discussions of how any
participants will be recruited for participation and describe any permissions required to
collect data. If data will be collected in phases, such as during a Delphi study with two or
more rounds, a case study with multiple sources of data, a study with a stratified sample, a
quantitative study with more than one survey instrument, or a mixed-method study, describe
each phase of data collection process clearly. If using interviews, describe how participants
will be given the consent forms. Describe the details of the interview (Who? What? When?
Where? How?). Describe if participants will be audio-recorded. If audio-recorded, describe
member-checking of the transcripts.
Data Analysis
Data analysis section must include a detailed description of the processes or
statistical techniques to be used for analysis of any primary or secondary data. Proposed
data analyses techniques must clear and appropriate to the research design and a
sufficient level of detail must be provided. Qualitative analysis steps must be described
in sequential order, cited, and must align with the selected design, such as the constant
comparative approach for a grounded theory study and a modified van Kaam process or
Stevick-Colaizzi-Keen process for phenomenology. If using a program to help with
23
coding and developing themes, name the program to be used in the sequential step of the
data analysis process. When applicable, quantitative data analysis discussion must
include information on the statistical tests to be performed, Alpha levels for hypotheses
testing, and whether the testing will be one-tailed or two-tailed.
Chapter Summary
The discussion should summarize key points presented in Chapter 3. Information
should be presented in a discussion context. Supporting citations should be provided for
key points. Although Chapter 4 is not submitted as part of the proposal the chapter
summary should end with a transition to next chapter such as “Chapter 4 will...” or “In
Chapter 4...”.
24
Chapter 4
Analysis and Results
No heading for the introduction. Remind the reader of the purpose and objectives
of the study. Introduce the contents of the chapter. Keep in mind that Chapter 4 should
solely describe the analysis process and the study results; therefore, no citations should
be included in this chapter.
Research Questions/Hypotheses
(Only include “hypotheses” in the heading if applicable)
This section should reiterate the research questions and any hypotheses. Ensure
consistency in the wording with previous chapters.
Data Collection
Provide a detailed discussion of the informed consent and data collection process
used. Additionally, if the actual data collection process differs from the proposed process
as described in Chapters 1 and 3 revise those chapters to reflect the actual process used.
Note that if data collection is performed in multiple phases, such as in a Delphi technique
or a mixed-method study, Chapter 4 should include subsections for each of these data
collection and data analysis phases.
Demographics
Describe the study participants by stating information such as gender, age range,
ethnicity, region, occupation, years of experience, or other relevant demographics. To
avoid confidentiality issues, collect and report age in ranges such as 20 to 30, 30 to 40,
and so forth. Include the demographic information as text, tables, or a combination or text
and tables. However, report the demographics individually without linking the
25
demographic data together or to a participant. For example, the reader should not be able
to determine that Participant 1 was an Asian female teacher in her 30s who lives in the
northwest region since this information may compromise confidentiality. For studies
that did not include primary data use an alternate heading such as “Data Sources” and
discuss the sources of the study data.
Pilot Study
(Include this section only for original quantitative instruments)
Original quantitative instruments require use of a pilot study to produce validity
and reliability data. For any research that included a pilot study report the results in this
section. Students who used a qualitative design should instead go back to Chapter 3 and
add any changes that were made because of the field test.
Data Analysis
Data analysis section must include a detailed and sequential description of the
processes or statistical techniques used for analysis of any primary or secondary data. If the
actual data analysis process was altered from the proposed process revise Chapters 1 and 3
to reflect the procedures actually used. The description of data analysis steps should
include a level of detail that would allow a competent researcher to reproduce your
analysis.
For narrative data analyze these data individually for each research question
rather than for each interview or questionnaire question. Similar to data collection, if the
analysis is performed in multiple phases, such as in a Delphi technique or a mixed-
method study, Chapter 4 should include subsections for each of these data analysis
phases.
Results
26
Effective reporting of the results is extremely important. For qualitative data, after
the introduction to the Results section, include a table that ties the research questions to
the themes found. Then include a narrative describing the answers to your research
questions. The next section should break down each theme. Results are typically reported
as narratives, stories, themes, etc., each of which should convey to the corresponding
research question. For quantitative data, after the introduction section, include a table that
lists the study research questions and hypothesis and state whether the hypotheses were
accepted or rejected.
Each theme should be reported in a separate sub-section and should be numbered
such as Theme 1, Theme 2, and so forth. Typically, the number of major themes for a
qualitative study are three to eight. Consider that each theme will need to be compared
and contrasted against existing literature in Chapter 5, so exceeding eight themes is not
recommended.
Themes should be phrases or short complete sentences that reflect the objective of
the study and tie back to its corresponding research question. For example, a theme of
“Communication” is too vague to be effective, whereas “Insufficient communication from
administration” or “Insufficient communication from administration was a barrier to
effective teaching strategies” conveys a much clearer context. Each theme should be
described in paragraph form and must be supported by example narrative, such as three to
five examples of brief and direct participant quotes. Synthesis of participants’ quotes is
needed. Quotations should be compared. This section is not a mere listing of direct
quotes. Identify the participants using their code, for example “P3 stated, ‘If we could
only get clear direction from the principal, it would make our jobs so much easier.’”
For quantitative data, include the analysis tables and describe the results of the
27
analysis. Include a sub-section for each research question and reiterate the associated
hypotheses. Discuss the meaning of the results in terms of supporting or not supporting
the null hypotheses, and clearly describe the meaning ascribed to those results.
Regardless of the research method, include any outlier data. Do not compare the
results to literature in Chapter 4; save this information for Chapter 5.
Chapter Summary
The discussion should summarize the chapter and reiterate the results and any
emergent themes presented in Chapter 4. The chapter summary should end with a
transition to Chapter 5.
28
Chapter 5
Conclusions and Recommendations
No heading for the introduction. Remind the reader of the purpose and objectives
of the study. Introduce the contents of the chapter.
Research Questions/Hypotheses
(Only include “hypotheses” in the heading if applicable)
This section should reiterate the research questions and any hypotheses. Ensure
consistency in the wording with previous chapters.
Discussion of Findings
The objective of this section is to compare and contrast the study results to
existing literature. For qualitative and mixed-method studies with resultant themes, this
section must include sub-sections for each theme. For quantitative and mixed-method
studies with hypotheses, this section must include sub-sections for the results of each set
of hypotheses. Compare or contrast each result to three to five published sources. Revisit
the conceptual/theoretical framework to explain how the completed study supported or
refuted the framework discussed in Chapter 2. Note once you have established the study
results you may need to slightly expand the Chapter 2 literature review to include
relevant information or information that has been recently published.
Limitations
In contrast to the limitations discussed in Chapter 1, the Chapter 5 limitations
section should focus solely on unforeseen limitations that were revealed while conducting
the study. Remember that limitations are out of the control of the researcher.
Recommendations to Leaders and Practitioners
29
Keep in mind that the entire study culminates in this section so consider this
discussion carefully. Based on the research questions and the results, convey how leaders
and practitioners might mitigate the problem underlying the study. Consider including a
recommendation for each of the results.
Be very specific in the recommendations and consider ending the section with a
table to reiterate the recommendations for each of the results. Additionally, ensure that
the recommendations are detailed and actionable and align with the research design, each
research question, and any emergent themes. For grounded theory studies include a
theory or a theoretical model, and for action research clearly describe the recommended
actions for leaders and practitioners to pursue. Whenever appropriate include a model in
this section. Remember that the goal of a practitioner doctorate is to improve your field
of practice, which is accomplished through your recommendations.
Recommendations for Future Research
When completing this section consider how you might have accomplished the
study differently. Also consider what you have uncovered as they relate to your results,
themes, and research questions that might be further explored through additional
research. Include three or four specific recommendations for further study and include
recommended methodologies.
Chapter Summary
Summarize only Chapter 5 rather than the entire dissertation. Reiterate each of the
study objectives and research questions and state the study findings along with emergent
themes (if applicable). End with a strong cogent statement that conveys what the study
has contributed to the body of knowledge.
30
A researcher reflection section can also be included in Chapter 5, and this section
can be written in first-person language.
31
References
[Use hanging indent format and double space the entire list]
32
Appendix A
Title
[Start section text here] [Note: If including permission or consent documents,
you must redact all personal information including phone numbers and email addresses.]
33
AUTHOR BIOGRAPHY
[optional]
[Start section text here]
Table of Contents
Appendix B: Document Change Log Changes to this Document Log
Date: Page
Number:
Change(s) to Document:
Jan. 31, 2019 43 Link fixes to Educational and Healthcare program assessment
March 7, 2019
3
Dissertation extension courses (1-week and 3-week) are available and require written Chair
and URM approval prior to scheduling.
March 21, 2019 2 Phrase changed to Phase in two locations
March 21, 2019 90, 118 The following statement added: As an appendix include a blank version of the Informed
Consent Form, only, and remove all other IRB documents and research site and participant
identifiers.
August 5, 2019 120 Final Dissertation Edit -- spaces between sentences changed from one space to two spaces.
January 30, 2020 Various Updated for APA 7th edition
August 20, 2020 Various Updated for APA 7th edition
October 28, 2020 Various Updated links in document; provided clarity on Case Study
March 3, 2021 27 & 36 Delphi and Narrative RQs revised
May 10, 2021 46 Statistical Tests link no longer working. Updated Statistical Tests link to SAGE – Which
Stats Test
June 10, 2021 Throughout Removed out-of-print recommended resources; added TOC tab at top of pages for easy
access to TOC
July 2021 Throughout Reformatted entire document, updated graphics
July 2022 Table of
contents
Aligned section heading titles to dissertation template
January 2023 Template Added definition of terms format on page 4 and on page 15 revisit the framework in the
discussion of findings.
Removed leader dots in Table of Contents.
January 2023 51 Added definition of terms format
January 2023 67 Added revisiting framework in the discussion of findings
January 2023 57, 64, 67 Added wording in italics:
(Only include “hypotheses” in the heading if applicable)
January 2023 58 Added wording in italics:
This section should be updated following completion of the field test or pilot study to outline
any changes made to the instrument or study.
March 2025 6 Removed reference to residencies
March 2025 6 Added wording about DOC741 and 742 A and B iterations: “DOC/741 is a three-course
sequence. Students who do not meet proposal requirements in DOC/741 will need to enroll in
subsequent A and B iterations if needed.”
March 2025 7 Removed the word tentative – Added final sentence. . “Chairs and URMs are assigned at
Phase 2. Changes in committee members might occur during the dissertation process due to
staff changes and unforeseen circumstances.”
March 2025 9 Added wording about DBA dissertation topics, per AD.
“Dissertation topics for the DBA program must be based on the core business driven
disciplines of the DBA program namely: Strategy, Marketing, Finances, Operation and
Organizational Deployment, including relevant leadership challenges. Topics must also be
relevant to broader industry and could include NGO and NPO.”
March 2025 9 Changed “Dissertation writers” to “Doctoral Students” under the DM description.
March 2025 9 Removed “operational procedures” from DM description.
Table of Contents
March 2025 9 Added wording to DM description, per AD: “The DM with concentration in Information
Systems and Technology focus on improving leaders understanding of the strategic
importance of information technology and how it shapes various topics such as decision-
making, dispersed team work, and competitiveness.”
March 2025 15, 16, 18,
31
Apa page number was wrong under the problem statement.
March 2025 11 Added to the definition of phenom: “Phenomenology is about the lived experience as the
participants live it.”
March 2025 14, 16, 19,
21, 32, 34,
36, 38, 40,
43, 44
Added wording to all problem statement sections on the design pages: “A problem statement
needs a problem and a consequence that is supported by a recent citation. A common sentence
stem that students have the option of using is, “The problem is...resulting in...(citation).” If
the verbiage varies, both the problem and the consequence need to be evident in the problem
statement sentence.
March 2025 14, 16, 19,
21, 22, 23,
26, 30, 32,
34, 36, 38,
40
Added wording to each purpose statement: “The purpose of the (methodology) (design) is
to....”
March 2025 14, 18, 19,
21, 22, 24,
26, 27, 30,
33, 35, 37,
39, 40, 41
Moved methodology section of each design to underneath the description of the design.
March 2025 14 On Action Research under “Research Methodology,” changed “typically” qualitative to
“mostly qualitative.
March 2025 17 Added focus groups to sources of data for case study.
March 2025 18 Added sentence to case study purpose, “Depending on the type of case study, the purpose
statement should match the case study type. For example, an exploratory case study
“explores,” an explanatory case study “explains,” and descriptive case studies “describe.”
Added sentence to RQ: “In most instances for a case study, data will be collected from three
sources. The data sources used in the study should be evident in the research questions. If
students vary from three sources, students should discuss with their committee members.”
Reworded RQs. Added example for documentation.
March 2025 24 Removed word “impact” from RQ3 and additional examples RQ3.
March 2025 29 Bolded sentence and added sentence: “Discuss with committee members if phenomenology is
an appropriate design for a healthcare study.”
March 2025 46 Bolded sentence “The design sections of this document provide examples of appropriate
purpose statements for various methods and designs.”
Added sentence: “The number of research questions is dependent upon the design. The design
sections of this document provide examples of how many research questions are needed,
specific to the design.”
March 2025 14, 18, 19,
46, 53, 61,
69
Template
pg. 1, 7
Removed “in order to” to just “to”
March 2025 14 Added sentence for clarity about hypothesis, as old wording was vague: “When using
qualitative research designs, research questions must be included, but hypothesis should not
be included.”
Revised Action Research RQs to remove “impact” from the questions.
OLD:R3. What were the impacts of the implemented changes?
REVISION:R3. What was the outcome of the implemented changes? or What changes
occurred as a result of ....?
PAR RQs:
Table of Contents
OLD:R2. What are the potential impacts to the organization issues?
REVISION:R2. What is contributing to the current problem of the issue?
March 2025 46 Removed period outside of quotation.
March 2025 46 Added section on Academic Writing: “Dissertation writing requires scholarly writing.
Students should be synthesizing their writing from many different sources into one cohesive
writing piece. Paragraph structure should use the MEAL plan where most paragraphs have a
main idea sentence, evidence sentence(s), analysis sentence(s), and linking sentence(s). The
dissertation should be written using American Psychological Association (APA) 7th edition.
CDS Central has many resources to help students learn to write like a scholar.”
March 2025 48, 52, 58 Added: “MEAL Plan should be used in most paragraphs. Most paragraphs should contain
a main idea sentence(s), evidence sentence(s), analysis sentence(s), and linking
sentence(s).”
March 2025 53 Added: Generally, historical content is defined as over 5 years old “from the time of writing
the dissertation.” And Generally, current content is less than 5 years old “from the date of
graduation.”
March 2025 48 and on
template
Added to purpose section: “The purpose of the qualitative/quantitative (design) is to...” The
purpose statement should include some of the same keywords as the problem statement. The
purpose statement should also include words that align with the selected design, such as
“perceptions” for case study or “consensus” from “industry experts” for Delphi Technique.
Added to purpose section: Specific cities and states should not be used (except in rare cases,
to be discussed with committee members).
March 2025 49 and on
template
Added to Sample section: Sample size must be justified by research.
March 2025 50 and on
template
Added to Nature of the Study section: “Justifications should be cited by the germinal
researchers of the design.”
Added to RQs: “Research questions should use some of the same key words/phrases as the
problem and purpose statement to help with alignment.”
March 2025 50 and on
template
Added to Frameworks section: “The number of frameworks will vary depending on
dissertation topic, but one to three frameworks is typical. Anything outside of two or three
frameworks should be discussed with committee members.”
March 2025 57 and on
template
Added missing comma
March 2025 58 and on
template
Put a period inside of quotations.
March 2025 59 and on
template
In the Instrumentation section, added sample APA formatted tables for RQ/IQ alignment
(qual) or RQ/measurement (quan)
March 2025 59 and on
template
Data Collection Section Added: “sequential” order and “specific” directions.
“If using interviews, describe how participants will be given the consent forms. Describe the
details of the interview (Who? What? When? Where? How?). Describe if participants will be
audio-recorded. If audio-recorded, describe member-checking of the transcripts.”
March 2025 60 and on
template
In Data Analysis Section Added: “If using a program to help with coding and developing
themes, name the program to be used in the sequential step of the data analysis process.”
Added: Qualitative analysis steps must be “described in sequential order, cited” and must
align with the selected design,
March 2025 62 Changed to this wording: “The number of interview questions is dependent on the chosen
design. Students should discuss the number of interview questions needed with their
committee members.
March 2025 62 Added to IRB Info: “Data can not be collected until full IRB approval is obtained. (Conditional
approval is not full approval.)”
March 2025 62 Co-researchers was written with a zero instead of an o. “c0-researchers.” Fixed.
March 2025 63 Added: “Previous chapters should now all be changed to past tense, as data has been
collected.”
March 2025 64 and on
template
Changed North West to northwest
March 2025 65 and on
template
Added to pilot study: “Students who used a qualitative design should instead go back to
Chapter 3 and add any changes that were made because of the field test.”
Table of Contents
March 2025 65 and on
template
Added to Data Analysis: detailed “and sequential”
March 2025 65 and on
template
Added to results section: “For qualitative data, after the introduction to the Results section,
include a table that ties the research questions to the themes found. Then include a narrative
describing the answers to your research questions. The next section should break down each
theme.”
“For quantitative data, after the introduction section, include a table that lists the study
research questions and hypothesis and state whether the hypotheses were accepted or
rejected.”
“Synthesis of participants’ quotes is needed. Quotations should be compared. This section is
not a mere listing of direct quotes.”
Also added a comma on the participant quotation and put the period inside the quotation
marks.
March 2025 68 and on
template
Added “actionable” to the recommendations section to align with DCA.
March 2025 Abstract Added: The Abstract is written after Chapter 5 is complete.
May 2025 19-20 Added revised Delphi Technique page. This includes talking about how Nominal Group
Theory is related.
May 2025 11 Added Repeated Measures and Nominal Group Theory explanations to summary page.
May 2025 41-42 Added Repeated Measures design page.
May 2025 27-28 Added Nominal Group Theory design page.
May 2025 Table of
Contents
Corrected all hyperlinks on the ToC.
June 2025 13, 17, 19
and template
Added wording to help students understand the connections between the methodology and
design sections (Ch. 1 Nature of the Study, Ch. 2 Research Design Literature, Ch. 3 Research
Method and Design Appropriateness
June 2025 Template
pg. 2
Added “organizational” or social issue to the problem statement
July 2025 9 Updated the DHA program description
July 2025 Table of
Contents
and
document
formatting
• Removed the old SASD APA v6 MS Word Style Sheets
• Adds new CDS APA v7 MS Word Style Sheets
• Applied the v7 Style Sheets throughout the template
• Fixed Table Captions and Chapter Headings to enable TOC and LIST of XXX
automation
• Fixed the table properties so that tables will not span a page break
• Fixed the table row properties to remove padding
• Fixed table properties so that all are 100% margin to margin (not 98% and 96%)
• New heading style sheets are configured with "Keep Together" and "Keep with
Next” attributes to prevent splitting multi-line headers on a page break or headings
that were left “dangling" at the bottom of the page.
• Fixed the footer on the first two pages to 0.5 (from 0.85) for consistency with the
rest of the manuscript.
• Removed extra blank line at the top of the signature page that violated the 3” top
margin rule.
• Used double-spaced FM style sheets on the front matter for consistency of spacing
• Applied 0.5” first line indent on all paragraphs and removed the inconsistent “tab” or
“multi-space” indents that were inconsistent and out of compliance with APA v7
(CDS Main Body Text style sheet)
• Removed extra blank paragraph breaks before line breaks
• Added a paragraph break at the end of all line breaks to avoid formatting issues on
new page headings.
• Removed the non-breaking space in Chapter 5 that was causing a line wrap issue
• Added an Appendix X with a sample of all CDS MS Word Style Sheets added to the
manuscript. NOTE: Appendix X can be copied into legacy manuscripts to
incorporate these style sheets for application on older versions of the template.
July 2025 Field Test Changed inconsistencies in “field test” and “pilot study.”
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