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CoDS_Dissertation_Guide_and_Alignment_Handbook_June_2021_v69607.pdf
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:
Change Log. Students and Faculty should check back for changes and download current
versions often. (Last Updated 6/10/2021)
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Content Page
Overview................................................................................................................................... 1
The Dissertation Process ............................................................................................. 2
The Dissertation Team ................................................................................................ 4
Topic Selection and Alignment to the Degree Program......................................................... 5
Method and Design Selection and Alignment to Research Objectives ................................. 7
Overview of Methods and Designs ............................................................................. 8
Research Design Selection and Alignment ............................................................................. 13
Qualitative Design Selection and Alignment ............................................................. 14
Action Research .............................................................................................. 14
Appreciative Inquiry ....................................................................................... 19
Case Study ....................................................................................................... 22
Delphi Technique ............................................................................................ 26
Ethnography .................................................................................................... 29
Grounded Theory ............................................................................................ 31
Narrative Inquiry ............................................................................................. 35
Needs Assessment ........................................................................................... 38
Phenomenology .............................................................................................. 40
Program Assessment ....................................................................................... 43
Quantitative Design Selection and Alignment .......................................................... 46
Correlational Research .................................................................................... 46
Experimental and Quasi-experimental Research .......................................... 49
Ex Post Facto (Causal Comparative) .............................................................. 52
Factor Analysis ................................................................................................ 55
Q-Methodology ............................................................................................... 58
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Mixed-Method Research and Alignment ................................................................................ 61
Method and Design Selection Summary ................................................................................. 65
Doctoral Phase 1: The Prospectus ............................................................................................ 66
Alignment of the Prospectus Elements ...................................................................... 69
Doctoral Phase 2: Précis Chapter 1: Introduction ................................................................... 71
Doctoral Phase 3: Concept Review Chapter 2: Literature Review .......................................... 76
Doctoral Phase 4: The Proposal: Chapters 1 - 3 ....................................................................... 80
Alignment of the Proposal Elements .......................................................................... 85
Proposal Assessment Rubric ................................................................................................... 87
Institutional Review Board (IRB) ........................................................................................... 88
Doctoral Phase 5: The Dissertation: Chapters 1 - 5 ................................................................ 89
Alignment of the Dissertation Elements .................................................................... 95
Dissertation Assessment Rubric .............................................................................................. 97
Oral Defense ............................................................................................................................. 98
Final Dissertation Editing (FDE) ............................................................................................ 99
College of Doctoral Studies Dissertation Format Requirements ............................. 106
Final Dissertation Editing (FDE) Checklist ................................................................ 112
Appendix A: Dissertation Template ....................................................................................... 115
Appendix B: Changes to this Document Log ......................................................................... 145
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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 Proposal Assessment
Rubric is used to evaluate Chapters 1 through 3 of the dissertation and the Dissertation
Assessment Rubric is used to evaluate the completed dissertation. 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!
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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.
Doctoral Phase 1 – Prospectus (Outline of the planned dissertation study)
Prior to 1/2/20 1/2/20 and Newer
• DOC/700 (5 weeks)
• LDR/711A (8 weeks)
• RES/709 (8 weeks)
• RES/724 (8 weeks) Qualitative Methods and Design
DOC/705R - Year 1 Residency (5 days) - Deliverable: Prospectus
• BUS/700, EDD/700 or DHA/700 (8 weeks)
• LDR/711A (8 weeks)
• RES/709 (8 weeks) DOC/714S – (8 weeks) - Deliverable: Prospectus
Doctoral Phase 2 – Précis (see Phase 1 courses also):
Prior to 1/2/20 1/2/20 and Newer
• RES/710 (8 weeks)
• RES/720 (8 weeks)
• Two core program courses (8 weeks each)
• RES/724 (8 weeks)
• Program Content Requirement (8 weeks)
• Program Content Requirement (8 weeks)
Prospectus Phase 1
Précis (draft Chapter 1) Phase 2
Concept Review (draft Chapter 2) Phase 3
Quality Review Methods: Proposal Chapters 1-3 Phase 4
Quality Review Final: Dissertation Chapters 1-5 Phase 5
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• DOC/720R - Year 2 Residency (3 days) - Deliverable: Précis
• DOC/715 (8 weeks) - Deliverable: Précis
Doctoral Phase 3 – Concept Review
Prior to 1/2/20 1/2/20 and Newer
• Three core program Courses(8 weeks each)
• DOC/723 (8 weeks) - Deliverable: Concept Review
• Two Content Program Courses (8 weeks each)
• DOC/723 (8 weeks) - Deliverable: Concept Review
Doctoral Phase 4 – QRM: Proposal (Chapters 1 – 3)
Prior to 1/2/20 1/2/20 and Newer
• Research elective course (8 weeks)
• One core program course (8 weeks)
• Year 3 Residency (8 days comprised of a 5 day course and a 3 day course)
• *Doc/741 (8 weeks) – Deliverable: Proposal Chapters 1-3
• Two Content Program Courses (8 weeks each)
• *Doc/741 (8 weeks) – Deliverable: Proposal Chapters 1-3
Doctoral Phase 5 –QRF: Dissertation (Chapters 1 – 5)
Prior to 1/2/20 1/2/20 and Newer
• Two core program courses (8 weeks each)
• *Doc/742 (8 weeks) –
Deliverable: Dissertation
and Oral Defense
• 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
*Dissertation continuing enrollment courses are available and require
written Chair and URM approval prior to scheduling.
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The Dissertation Team
Dissertation committees include three faculty members Chair, University
Research Methodologist, and Panel Validator, each having a specialized role.
Role of Doctoral Student – Dissertation Phases 1-5 Doctoral students are accountable to write all chapters of the proposal and dissertation both 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 as a foundation for building 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 in their industries. Role of Chair – Assigned upon completion of Dissertation Phase 2 Dissertation Chairs, as subject matter experts, manage students’ proposal and dissertation phases, including alignment with degree program, research feasibility, rigor, and overall quality. Chairs facilitate DOC/723 and DOC/742, and DOC/723 and DOC/742 extension courses. The Chair leads the oral defense. Role of the University Research Methodologist (URM) (first committee member) – Assigned upon completion of Dissertation Phase 2 The URM manages proposal and dissertation research method and design to ensure alignment of methodological strategies, rigor, and quality. The URM facilitates DOC/741 and DOC/741 extension courses. The URM is assigned at the time the chair is assigned. The URM reviews research problem, purpose, research questions/hypothesis, and research method design at DOC/723 for alignment. The URM participates in the oral defense. Role of the Panel Validator (PV) (second committee member) – Assigned upon completion of Dissertation Phase 4 The Panel Validator 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 Scholar-Practitioner-Leader (SPL) Model. The Panel Validator participates in the oral defense and provides APA final review for the entire dissertation.
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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 www.phoenix.edu/doctoral. Please note, specializations are for
program-specific versions prior to 1/2/2020.
Doctor of Business Administration (DBA):
Dissertation topics for the DBA program may focus on various commercial ventures
including business startup activities, small to medium businesses, business operations,
business processes, finance, or marketing activities.
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, drop out decisions, and
examining academic success.
Doctor of Education in Educational Leadership with a specialization in Curriculum
and Instruction (EDD/CI):
The CI specialization of the EDD program often focuses on the curricula during the K-12
educational programs. The dissertation may also explore teaching methods, strategies,
and instruction used in the design or implementation of new educational programs.
Doctor of Education in Educational Leadership with a specialization in Educational
Technology (EDD/ET):
The ET specialization within the EDD program focuses on how technology is used or can
be used to facilitate learning. The emphasis may include examination of currently used
techniques or development of recommendations for improving use of technology in the
classroom.
Doctor of Education in Educational Leadership with a specialization in Higher
Education Administration (EDD/HEA):
The HEA specialization within the EDD program focuses on college and university level
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instruction. The dissertation may focus on broad aspects associated with higher education
including student retention, student engagement, drop out decisions, instructional
approaches and strategies, design or implementation of new educational programs, or use
of technology to facilitate learning.
Doctor of Health Administration (DHA):
The DHA program is intended to develop executive level health care professionals. Added
program focus is on health administration research within clinical settings, hospital
settings, or home health settings. Dissertations often focus on policies, processes, and
procedures involved in the delivery of care, leadership of health care professionals and
support staff, resources, and cost effectiveness and efficiency.
Doctor of Management in Organizational Leadership (DM):
The DM program focuses on organizational leadership and management. Dissertation
writers may explore leadership behavior, leadership skills, human resources, employee
satisfaction, employee engagement, management of organizational resources, operational
processes, change management, or business processes and procedures within an
organization.
Doctor of Management in Organizational Leadership with a specialization in
Information Systems and Technology (DM/IST):
The DM/IST program focuses on the use of technology within organizations. Relevant
dissertation topics include the current or proposed use of information technology (IT)
within the organizational setting.
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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.
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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.
.
Strengths and Weakness of Qualitative Research
• Strengths:
Findings and Conclusions/
Theory
Qualitative interview, questionnaire, or observation data developed into
Themes
Research Questions
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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: Similar to 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.
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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.
• 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.
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.
Research Questions and
Theoretical Hypotheses
Quantitative Data to Test
the Hypotheses
Findings and Conclusions
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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.
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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 UoPx. 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.
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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.
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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.
The following link further describes the objective and implementation of action
research;
Defining and implementing action research
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” (see p. 179 of the APA
manual). 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 in order to develop or test a theory.
Purpose Statement:
The purpose statement should outline the method (qualitative) and design, such as action
research, participative research, or participatory action research. 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
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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 in order 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 Methodology
All action research approaches are typically qualitative. Discuss use of the qualitative
method and the specific action research design to be used.
Research Questions
As a qualitative study research questions must be included, but hypotheses 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 were the impacts of the implemented changes?
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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?
R2. What are the potential impacts to the organization issues?
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 in
order 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?
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Recommended Action Research References
Argyris, C., & Schön, D.A. (1989). Participatory action research and action science
compared. American Behavioral Scientist, 32, 612–23.
https://doi.org/10.4135/9781412985383.n6
Chevalier, J.M., & Buckles, D.J. (2013). Participatory action research: Theory and methods
for engaged inquiry. Routledge UK.
Elden, M., Reason, P., & Rowan, J. (1981). Human inquiry: A sourcebook of new paradigm
research. J. Wiley.
Greenwood, D. J., & Levin, M. (2006). Introduction to action research: Social research for
social change. Sage.
Gustavsen, B. (2008). Action research, practical challenges and the formation of theory.
Action Research, 6(4), 421–437. https://doi.org/10.1177/1476750308094130 Kindon, S.L., Pain, R., & Kesby, M. (Eds.). (2007). Participatory action research approaches
and methods: Connecting people, participation and places. Routledge UK.
Kuntz, Z. (2020). Art-based methods for participatory action research (PAR). Interactions:
Studies in Communication & Culture, 11(1), 87-96. DOI:10.1386/iscc_00008_1
Minkler, M., & Wallerstein, N. (Eds.). (2008). Community-based participatory research for
health: From process to outcomes. Jossey-Bass.
Reason, P. (Ed.). (1995). Participation in human inquiry. Sage UK. Reason, P., &
Bradbury, H. (Eds). (2008). The Sage handbook of action research:
Participative inquiry and practice. Sage.
Swantz, M. L. (2014). Participatory action research as practice. In P. Reason & H. Bradbury
(Eds), The SAGE handbook of action research (Part I, Chapter 2). SAGE Publications.
Whyte, W.F. (Ed.). (1991). Participatory action research. Sage.
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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.
The following links provide information and videos that introduce appreciative inquiry;
Introduction to appreciative inquiry
Cooperridder videos
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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” (see p. 179 of the APA manual). If
the proposed improvements can be implemented across the industry then discuss the
industry-wide deficit as the problem.
Purpose Statement
The purpose statement should state that the method is qualitative and the design is
appreciative inquiry. 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.
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.
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?
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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.
Recommended Appreciative Inquiry Resources
Barrett, F. J., & Fry, R. E. (2005). Appreciative inquiry: A positive approach to building
cooperative capacity. Taos Institute
Bushe, G. R. (2012), Appreciative inquiry: Theory and critique, in Boje, D.; Burnes, B.;
Hassard, J., The Routledge companion to organizational change. Routledge
UK, pp. 87-103
Cooperrider, D. L., Barrett, F., & Srivastva, S. (1995). Social construction and appreciative
inquiry: A journey in organizational theory. In D. Hosking, P. Dachler, & K.
Gergen (Eds.), Management and organization: Relational alternatives to
individualism (pp 157-200). Avebury.
Cooperrider, D. L., Sorenson, P., Yeager, T., & Whitney, D. (Eds.). (2003), Appreciative
inquiry: Foundations in positive organization development. Stipes.
Cooperrider, D. L., & Srivastva, S. (1987). Appreciative inquiry in organizational life.
In R. W. Woodman & W. A. Pasmore (Eds.), Research in organizational
change and development (pp 129-169). JAI Press.
Cooperrider, D. L., Whitney, D., & Stavros, J.M. (2008), Appreciative inquiry handbook
(2nd ed.). Crown Custom Publishing
Whitney, D., & Trosten-Bloom, A. (2003), The power of appreciative inquiry: A practical
guide to positive change. Berrett-Koehler
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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. The link below discusses
the various perspectives of the three theorists in designing and implementing a case
study;
Yin Stake and Merriam case study differentiation
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
• Interviews
• 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.
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The document accessed via the following link provides additional information on these
sources of evidence:
Case study sources of evidence - Yin
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 case
study of a single individual 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).
Intrinsic. Stake (1994) defined an intrinsic study as focused on examining a
particular case because the case itself is of interest.
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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 in order to
understand a problem, phenomenon, or situation (Stake, 1994).
Review information on case studies and also select a specific type of case study. See
the following;
Case study information – Tellis volume 1 Case study design and Implementation - Baxter and Jack
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” (see p. 179 of
the APA manual). If the proposed improvements can be implemented across the industry,
then discuss the industry-wide deficit as the problem.
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.
The purpose statement also should state the objectives of the research such as to examine
a specific situation within an organization or institution.
Significance of the Study
Describe the potential benefits of the proposed study such as to explore the situation in
order to make recommendations for improvement.
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.
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Research Questions
The research questions should reflect the multiple sources of data. For example,
when using a stratified sample and archival documents;
R1. What are school administrators’ perceptions of the high absenteeism in high school?
R2. What are teachers’ perceptions of the situation under study?
R3. What are parents’ perceptions of the situation under study?
R4. Based on documentation, how has the situation changed during the 2018-2019 school
year?
Recommended Case Study Resources
Merriam, S. B. (1998). Qualitative research and case study applications in education.
Jossey-Bass Publishers.
Merriam, S. B. (2009). Qualitative research: A guide to design and implementation.
Revised and expanded from qualitative research and case study applications in
education (3rd ed.). John Wiley & Sons.
Stake, R. E. (1994). Case studies. In N. K. Denzin & Y. S. Lincoln (Eds.), Handbook of
qualitative research (pp 236-247). Sage.
Stake, R. E. (2013). Multiple case study analysis. Guilford Press. Thomas, G. (2011).
How to do your case study: A guide for students and researchers. Sage.
Yin, R. K. (2013). Case study research: Design and methods (5th ed.). Sage.
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Delphi Method Technique
The Delphi Technique can be used to forecast a future state within the technology
industry, to gain consensus on industry best practices, or to examine healthcare experts’
opinion on health and disease trends. Therefore, design can be particularly useful for
DM/IST, DM, or DHA research. This technique was developed in in 1950s by the RAND
Corporation to forecast the impact of technology. See the link below. Student should also
review Nominal Group Technique (NGT) when contemplating Delphi to ensure alignment
to the appropriate technique. NGT is best for working on best practices whereas most
Delphi studies focus on forecasting future solutions.
RAND corporation Delphi information
A key element of this design is that it relies on a panel of subject matter experts.
Although this design was originally created for face-to-face interaction between the panel
members, current studies typically use a modified Delphi in which the expert panel are
geographically dispersed and do not interact directly.
The researcher facilitates a two to three-round iterative process to collect and
analyze the experts’ opinions in order to converge on themes, generate statistical
agreement data, and reach consensus. The first round involves open-ended questions
submitted to the expert panel in order to create a sub-set of common threads, or themes.
The second round typically requires the expert panel members to rate the themes on a
Likert-type scale in order to identify their level of agreement. The third round, when
utilized, is typically another narrative data collection. The link below discusses the use of
the rounds of during data collection and analysis.
Delphi rounds
Problem Statement
Discuss the unknown nature of the topic under study. For example, the future
technological state is not known, the trend of a healthcare issue is unknown, or best
industry practices have not been identified. The unknown nature of the problem must be
stated in literature and the problem must be cited.
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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
Delphi study will be to gain consensus of opinion from a national panel of healthcare
experts on strategies to reduce the nursing shortage
Significance of the Study
Describe the potential benefits of the proposed study such as to develop industry best
practices based on expert consensus.
Proposed Research Methodology
Delphi studies are often associated with the qualitative method but since Round 2 involves
a Likert-type scale data collection and analysis this design may be referred to as qualitative
supported by quantitative data.
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?
Recommended Delphi Resources
Graham, B., Regehr, G., & Wright, J. G. (2003). Delphi as a method to establish consensus
for diagnostic criteria. Journal of Clinical Epidemiology, 56(12), 1150-6. doi:
10.1016/s0895-4356(03)00211-7
Green, R. A. (2014). The Delphi technique in educational research. Sage Open, 4, 1-8.
https://doi.org/10.1177/2158244014529773
Grisham, T. (2009). The Delphi technique: A method for testing complex and multifacted
topics. International Journal of Managing Projects in Business, 2(2), 112-130.
doi:http://dx.doi.org/10.1108/17538370910930545
Hasson, F., & Keener, S. (2011). Enhancing rigour in the Delphi technique research.
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Technological Forecasting and Social Change, 78(9), 1695-1704.
https://doi.org/10.1016/j.techfore.2011.04.005
Hasson, F., Keeney, S., & McKenna, H. (2000). Research guidelines for the Delphi survey
technique. Journal of Advanced Nursing, 32(4).
https://www.ncbi.nlm.nih.gov/pubmed/11095242
Linstone, H. A., & Turoff, M. (2011). Delphi: A brief look backward and forward.
Technological Forecasting & Social Change 78(9), 1712–1719.
https://doi.org/10.1016/j.techfore.2010.09.011
Linstone, H. A., & Turoff, M. (1975). The Delphi method: Techniques and applications.
Addison – Wesley.
Rowe, G., & Wright, G. (2011). The Delphi technique: Past, present, and future prospects.
Technological Forecasting and Social Change, 78(9).
https://doi.org/10.1016/j.techfore.2011.09.002
Skulmoski, G. J., Hartman, F. T, & Krahn, J. (2007). The Delphi method for graduate
research. Journal of Information Technology Education, 6, 1-21. Retrieved from
http://www.jite.org/documents/Vol6/JITEv6p001-021Skulmoski212.pdf
Vernon, W. (2009). The Delphi technique: A review. International Journal of Therapy &
Rehabilitation, 16(2), 69-76. https://doi.org/10.12968/ijtr.2009.16.2.38892
von der Gracht, H. A. (2012). Consensus measurement in Delphi studies: Review and
implications for future quality assurance. Technological Forecasting and Social
Change, 79(8), 1525-1536. https://doi.org/10.1016/j.techfore.2012.04.013
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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. The following link accesses an article explaining the characteristics of
ethnographic research and how this design is conducted:
Conducting ethnography
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
UoPx.
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.
Purpose Statement
The purpose statement should specifically state that the objective of the research is to
explore the problem from a cultural perspective.
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.
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Proposed Research Methodology
Ethnographic research is typically associated with the qualitative method.
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?
Recommended Ethnography Resources
Alvidrez, J., Snowden, L. R., & Kaiser, D. M. (2008). The experience of stigma among black
mental health consumers. Journal of Health Care for the Poor and Underserved,
19(3), 874-893. https://doi.org/10.1353/hpu.0.0058
Brewer, J. D. (2000). Ethnography. Open University Press.
Hammersley, M., & Atkinson, P. (2007) Ethnography: Principles in practice (3rd ed.).
Routledge.
Mannik, L., & McGarry, K. (2017). Practicing ethnography: A student guide to method and
methodology. University of Toronto Press.
Westbrook, D. A. (2008). Navigators of the contemporary: Why ethnography matters.
University of Chicago Press.
Zenker, O., & Kumoll, K. (2010). Beyond writing culture: Current intersections of
epistemologies and representational practices. Berghahn Books.
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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. The following websites provides an overview of grounded theory:
Overview of grounded theory
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.
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Purpose Statement
The purpose statement for grounded theory studies must include the objective of theory
development.
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.
Proposed Research Methodology
Grounded theory research is typically associated with the qualitative method.
Research Questions
The final research question should focus on development of a theory or a theoretical
model. For example;
R1: How do organizational leader/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?
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;
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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 UOPX library.
Recommended Grounded Theory Resources
Azulai, A. (2021). Are grounded theory and action research compatible? Considerations for
methodological triangulation. Canadian Journal of Action Research, 21(2), 4–24.
https://doi.org/10.33524/cjar.v21i2.485
Charmaz, K. (2000). Constructivist and objectivist grounded theory. In N. K. Denzin & Y.
Lincoln (Eds.), Handbook of qualitative research (2nd ed., pp. 509–535). Sage.
Charmaz, K. (2002). Grounded theory analysis. In J. F. Gubrium & J. A. Holstein
(Eds.), Handbook of interview research (pp. 675–694). Sage.
Charmaz, K. (2003). Grounded theory. In J. A. Smith (Ed.), Qualitative psychology:
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A practical guide to research methods (pp. 81–110). Sage.
Charmaz, K. (2005). Grounded theory in the 21st century: A qualitative method for
advancing social justice research. In N. K. Denzin & Y. E. Lincoln (Eds.), Handbook
of qualitative research (3rd ed., pp. 507– 535). Sage.
Glaser, B. G. (1992). Basics of grounded theory analysis. Sociology Press.
Glaser, B. G. (1998). Doing grounded theory: Issues and discussions. Sociology Press.
Glaser, B. G. (2001). The grounded theory perspective: Conceptualization contrasted with
description. Sociology Press.
Glaser, B. G. (2002). Constructivist grounded theory? Qualitative Social Research,
3(3). http://www.qualitative-research.net/fqs/fqs-eng.htm
Glaser, B. G. (2003). Conceptualization contrasted with description. Sociology
Press.
Glaser, B. G., & Strauss, A. L. (1967). The discovery of grounded theory. Aldine.
Locke, K. (1997). Rewriting the discovery of grounded theory after 25 years? Journal of
Management Inquiry, 5(1), 239–245. https://doi.org/10.1177/105649269653008
Strauss, A., & Corbin, J. (1998). Basics of qualitative research: Grounded theory procedures
and techniques (2nd ed.). Sage.
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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. The
paper accessed via the following link provides an overview of this design, as described by
one of the key theorists;
Narrative inquiry - Clandinin
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. The following link provides an article on using this design within the
healthcare field;
Narrative inquiry in healthcare
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.
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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 proposed narrative inquiry will be to understand the
meaning that younger members of Indian 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.
Proposed Research Methodology
Narrative inquiry research is typically associated with the qualitative method.
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 the experience and how did the
environment impact the experience (name specific experience)? (spatiality)
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: How do their current environment and the college environment impact their decision? (spatiality)
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Recommended Narrative Inquiry Resources
Clandinin, D. J., & Connelly, F. M. (2000). Narrative inquiry: Experience and story in
qualitative research. Jossey-Bass.
Clandinin, D. J., Huber, J., Huber, M, Murphy, S., Murray Orr, A., Pearce, M., et al. (2006).
Composing diverse identities: Narrative inquiries into the interwoven lives of children
and teachers. Routledge.
Clandinin, D. J., & Rosiek, (2006). Mapping a landscape of narrative inquiry:
Borderland spaces and tensions. In D. J. Clandinin (Ed.), Handbook of narrative
inquiry: Mapping a methodology (pp. 35–75). Sage.
Connelly, F. M., & Clandinin, D. J. (1990). Stories of experience and narrative inquiry.
Educational Researcher, 19(5), 2 - 14. https://doi.org/10.3102/0013189x019005002
Connelly, F. M., & Clandinin, D. J. (2006). Narrative inquiry. In J. L. Green, G. Camilli, &
P. Elmore (Eds.), Handbook of complementary methods in education research (3rd
ed., pp. 477 - 487). Lawrence Erlbaum.
Haydon, G., & der Riet, P. van. (2017). Narrative inquiry: A relational research methodology
suitable to explore narratives of health and illness. Nordic Journal of Nursing
Research, 37(2), 85–89. https://doi.org/10.1177/2057158516675217
Wang, C. C., & Geale, S. (2015). The power of story: Narrative inquiry as a methodology in
nursing research. International Journal of Nursing Sciences, 2(2), 195-198.
https://doi.org/10.1016/j.ijnss.2015.04.014
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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. The
following link accesses an overview on this design;
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. See the following example;
Needs assessment healthcare example
Purpose Statement
The purpose statement for needs assessment should include the objectives of assessing the
organizational gap and recommending initiatives to address the deficit.
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.
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.
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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?
Recommended Needs Assessment Resources
Altschuld, J. W., & Kumar, D. D. (2010). Needs assessment: An overview. Sage.
Burton, J., & Merrill, P. (1991). Needs assessment: Goals, need and priorities. In L. J. Briggs,
K.L. Gustafson, & M.H. Tillman (Eds.), Instructional design: Principles and
applications (2nd ed.). Educational Technology.
Kaufman, R., Rojas, A. M., & Mayer, H. (1993). Needs assessment: A user's guide.
Educational Technology Publications, Inc.
Ostroff, C., & Ford, J.K. (1989). Assessing training needs: Critical levels of analysis. In I.L.
Goldstein (Ed.), Training and development in organizations. Jossey- Bass.
Rossett, A. (1987). Training needs assessment. Educational Technology.
Watkins, R., West Meiers, M., & Visser, Y. (2012). A guide to assessing needs: Tools for
collecting information, making decisions, and achieving development results.
World Bank.
Witkin, B. R., & Altschuld, J. W. (1995). Planning and conducting needs assessments: A
practical guide. Sage.
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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 UoPx. However, there are a few topics,
usually within the healthcare discipline, for which this design could be applicable.
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:
1. What dimensions, incidents, and people intimately connected with the
experience stand out for you?
2. How did the experience affect you? What changes do you associate with
the experience?
3. How did the experience affect significant others in your life?
4. What feelings were generated by the experience?
5. What thoughts stood out for you?
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6. What bodily changes or states were you aware of at the time?
7. 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
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.
Significance of the Study
Describe potential benefits of exploring the feelings and conscious experiences associated
with a personal phenomenon.
Proposed Research Methodology
Phenomenology research is associated with the qualitative method.
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?
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Recommended Phenomenology Resources
Christensen, L. B., Johnson, R. B., & Turner, L. A. (2010). Research methods, design, and
analysis (11th ed.). Allyn & Bacon.
Elliott, B. (2004). Phenomenology and imagination in Husserl and Heidegger.
Routledge.
Giorgi, A. (2009). The descriptive phenomenological method in psychology. Duquesne
University Press.
Husserl, E. (1962). Ideas: General introduction to pure phenomenology, tr. W. R. Boyce
Gibson. Macmillan.
Kockelmans, J. J., (1970). Phenomenology and the natural sciences: Essays and translations,
Northwestern University Press.
Langdridge, D. (2006). Phenomenological psychology: theory, research and method.
Pearson.
Moustakas, C. E. (1994). Phenomenological research methods. Sage.
van Manen, M. (1990). Reaching lived experience: Human science for an action sensitive
pedagogy. Althouse Press.
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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
Using Program Assessment in the Healthcare Programs
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
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” (see p. 179 of the APA manual).
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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
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. The following document provides support for the use of this design;
Scholarly Support and Theoretical Basis for Program Assessment Research
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.
Research Questions
For a 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.
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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 effectiveness and what
recommendations might potentially improve the program?
Recommended Program Assessment Resources
Bailey, S. J., & Deen, M. Y. (2002). A framework for introducing program evaluation to
extension faculty and staff. Journal of Extension (40)2.
https://www.joe.org/joe/2002april/iw1.php
Potter, C. (2006). Program evaluation. In M. Terre Blanche, K. Durrheim & D. Painter
(Eds.), Research in practice: Applied methods for the social sciences (2nd ed.) (pp.
410-428). UCT Press.
Rossi, P., Lipsey, M. W., & Freeman, H.E. (2004). Evaluation: A systematic approach (7th
ed.). Sage.
Shadish, W. R., Cook, T. D., & Leviton, L. C. (1991). Foundations of program evaluation:
Theories of practice. Sage.
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Quantitative Research Design Implementation 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. The following describes the meaning of
significance in correlational research. Typically, the alpha should be set at .5 for social
science research.
Statistical significance
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. The following links provides
information on the various types of data and statistical tests.
Data types
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. The following link provides further information on applying
this type of analysis;
Regression analysis
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Problem Statement
Discuss the existing issue to be addressed by examining the relationships between the
study variables.
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 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.
Proposed Research Methodology
The correlational design is quantitative.
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.
Recommended Correlational References
Black, T. (2005). Doing quantitative research in the social sciences. Sage.
Cohen, J., Cohen P., West, S.G., & Aiken, L.S. (2002). Applied multiple
regression/correlation analysis for the behavioral sciences (3rd ed.). Psychology
Press.
Kellar, S. P., & Kelvin, E. A. (2014). Munro’s statistical methods for healthcare research.
Lippincott, Williams, and Wilkins.
Levine, D., Stephan, D., & Szabat, K. (2017). Statistics for managers. Pearson.
Petros Maravelakis. (2019). The use of statistics in social sciences. Journal of Humanities
and Applied Social Sciences, 1(2), 87–97. https://doi.org/10.1108/JHASS-08-2019-0038
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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 UoPx.
The first link below describes several types of research used within true
experimental research. The second and third links focus on quasi-experiments.
Experimental research
Quasi-experimental research
Types of quasi-experimental research
Problem Statement
Discuss the existing issue to be addressed by examining the results of a treatment or
intervention.
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).
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.
Proposed Research Methodology
Experimental and quasi-experimental designs are quantitative.
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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 significant pretest-to-p0stest 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-p0stest 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-p0stest increase in the math scores of the
experimental group who participated in the web-based tutoring program.
H3A: There is a significant pretest-to-p0stest increase in the math scores of the
experimental group who participated in the web-based tutoring program.
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Recommended Experimental and Quasi-Experimental Research References Black, T. (2005). Doing quantitative research in the social sciences. Sage.
Brown, S., & Melamed, L. (1990). Experimental design and analysis. Little Green Books.
Sage.
Campbell, D., & Stanley, J. (2015) Experimental and quasi-experimental designs for
research. John Hopkins University
Creswell, J.W. (1994). Qualitative & quantitative approaches. Sage.
Creswell, J.W. (2004). Research design: Qualitative, quantitative, and mixed methods
approaches (3rd ed.). Sage.
Levin, I. (1999). Relating statistics and experimental designs. Little Green Books. Sage.
Vogt, W. (2007). Quantitative research methods for professionals. Capella
University Publishing.
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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). The following webpage provides various videos on the ex post facto design;
Ex post facto videos
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 a 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 opportunity
to access large amounts of data, including longitudinal data. These 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.
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Problem Statement
Discuss the existing issue to be addressed by examining the relationships between the
study variables.
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.
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.
Proposed Research Methodology
The ex post facto or causal comparative design is quantitative.
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.
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H2A: There is a significant difference in the academic growth in grammar scores
between the boys and girls.
Recommended Ex Post Facto References
Black, T. R. (1999). Doing quantitative research in the social sciences: An integrated
approach to research design, measurement and statistics. Sage.
Jarde, A., Losilla, J. M., & Vives, J. (2012). Suitability of three different tools for the
assessment of methodological quality in ex post facto studies. International Journal
of Clinical Health & Psychology, 12(1), 97–108.
https://aepc.es/ijchp/articulos_pdf/ijchp-402.pdf
Vogt, W. P. (2005). Quantitative research method for professionals. Pearson/Allyn &
Beason
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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
Problem Statement
Discuss the existing issue to be addressed by examining the underlying factors that impact
the study variables.
Purpose Statement
The purpose should convey that the study will identify the factors that represent the
concepts underlying the study variables.
Significance of the Study
Describe the potential benefits of identifying the relevant factors. Discuss who this
information will benefit and why.
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Proposed Research Methodology
Factor analysis is quantitative.
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.
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Recommended Factor Analysis References
Child, D. (2006). The essentials of factor analysis (3rd ed.). Continuum
International.
Fabrigar, L.R., Wegener, D.T., MacCallum, R.C., & Strahan, E.J. (1999). Evaluating the use
of exploratory factor analysis in psychological research. Psychological Methods.
4(3): 272–299. http://ww.w.statpower.net/Content/312/Handout/Fabrigar1999.pdf
Mulaik, S. A. (2010). Foundations of factor analysis. Chapman and Hall Publishers.
Thompson, B. (2004). Exploratory and confirmatory factor analysis: Understanding
concepts and applications. American Psychological Association.
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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 also computer
software and applications for conducting online Q sorts. The following is an example of
the software specific to this design;
Example Q-sort processing software
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Problem Statement
Discuss the existing issue to be addressed by examining the common attitudes or
perceptions between the participants.
Purpose Statement
The purpose should convey that the study will examine participants’ shared perspectives.
Significance of the Study
Describe the potential benefits of identifying participants’ shared perspectives. Discuss
who this information will benefit and why.
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.
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?
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Recommended Q-Methodology References
Angelopulo, G. (2009). Q methodology and the measurement of subjectivity in corporate
brand perception. South African Journal of Business Management, 40(3), 21-33.
https// 10.4102/sajbm.v40i3.542
Baker, R., Thompson, C., & Mannion, R. (2006). Q methodology in health economics.
Journal of Health Services Research & Policy, 11(1), 38-45.
https://doi.org/10.1258/135581906775094217
Brandy, B. W., Lin, Y., & McCline, R. M. (2018). Q methodology and Q-perspectives® online:
Innovative research methodology and instructional technology. TechTrends, 62(5),
450-461. doi:http://dx.doi.org/10.1007/s11528-018-0314-5
Brown, S. (1996). Q methodology and qualitative research. Qualitative Health Research, 6,
561-567. https://dx.doi.org/10.15133/j.os.1993.002
Crawford, E. G. C., Toft, Y., & Kift, R. L. (2011). Q-methodology - a good sort for global
corporations. Paper presented at the 27th Annual Conference of the International
Society for the Scientific Study of Subjectivity, Birmingham, UK.
Dziopa, F., & Ahern, K. (2011). A systematic literature review of the applications of Q-
technique and its methodology. Methodology: European Journal of Research Methods
for the Behavioral and Social Sciences, 7(2), 39-55. doi:http://dx.doi.org/10.1027/1614-
2241/a000021
Rieber, L. P. (2020). Q methodology in learning, design, and technology: An introduction.
Educational Technology Research and Development, 68(5), 2529–2549.
https://doi.org/10.1007/s11423-020-09777-2
Rozalia, G. M. (2008). Q factor analysis (Q Methodology) as data analysis technique. Annals
of the University of Oradea, Economic Science Series, 17(4), 871-876.
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https://pdfs.semanticscholar.org/00c9/a3d3769c5c7a4c3842e2d4e21b8253bf7bcc.pdf?
_ga=2.149072497.692512256.1580235631-1992788566.1575844694
Watts, S., & Stenner, P. (2005). Doing Q methodology: Theory, method, and interpretation.
Qualitative Research in Psychology, 2(1), 67-91.
https://doi.org/10.1191/1478088705qp022oa
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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. The following link accesses a comprehensive document on 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.
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• 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”.
Problem Statement
Discuss the existing issue to be addressed by collecting and analyzing quantitative and
qualitative data.
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.
Significance of the Study
Describe the potential benefits of conducting the study. Discuss who this information will
benefit and why.
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”.
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
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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?
Recommended Mixed-Method References
Creswell, J. W. (2006). Understanding mixed methods research. Sage.
Creswell, J. W., & Clark, P. V. L. (2011). Designing and conducting mixed methods research
(2nd ed.). Sage. Hesse-Biber, S. N. (2010). Mixed methods research: Merging theory with practice.
Guilford Press.
Johnson, R. B., & Onwuegbuzie, A. J. (2004). Mixed-methods research: A research
paradigm whose time has come. Educational Researcher, 33(7), 14-26.
Onwuegbuzie, A. J., & Leech, N. L. (2006). Linking research questions to mixed methods
data analysis procedures. The Qualitative Report, 11(3), 474-498.
Tashakkori, A., & Teddlie, C. (Eds.). (2010). Handbook of mixed methods in social &
behavioral research (2nd ed.). Sage.
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Teddlie, C., & Tashakkori, A. (Eds.). (2009). Foundations of mixed methods research:
Integrating quantitative and qualitative approaches in the social and behavioral
sciences. Sage.
Terrell, S. R. (2012). Mixed-methods research methodologies. The Qualitative Report, 17(1),
254-280.
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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 the end of Year 2
Residency when a Dissertation Chair will be 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.
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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.
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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 in order 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 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. Qualitative studies should either include a central research question and at least
two sub-questions, or at least two research questions. In order 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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Working
Title
Problem
Purpose
Methodology
Research Questions/
Hypotheses
Alignment of the prospectus elements.
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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 1. 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.
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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.
Background of the Problem
This section should lead up to the statement of the problem in order 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
This section must clearly identify the problem. Include the phrase “The problem
is…” to allow the reader to distinguish the issue driving the study. The problem must be
supported with citations. A researchable problem is not simply a gap in the literature or a
lack of information; a research problem is a documented existing social issue for which
there is not a known solution or an effective solution. Review the CDS Dissertation Guide
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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. 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 CDS Dissertation Guide 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. If your study will
not include participants or primary data, then briefly explain your proposed sources of
data.
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. 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
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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. 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.
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. Please number the questions such as R1, R2, and so forth. Qualitative studies
require at least two research questions and typically include about four. For quantitative
studies include at least two sets of 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
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conceptual models and provide a framework related to the research topic. 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 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.
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 second-year residency 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.
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. 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. 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. 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
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that supports your own perspective, in order 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 or
concepts 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.
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
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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.
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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
Expand on the Chapter 1 discussion by supporting selection of the research
method and design. Provide a detailed overview discussion of the research method
(quantitative, qualitative, or mixed) and the appropriateness of the method 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.
Research Questions/Hypotheses
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 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.
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 test.
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
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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 description of the processes to be used to
collect any primary or secondary data. Include 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.
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 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. 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.
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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 in order to propose a clear and researchable study. The figure
below depicts the alignment requirements during this phase. The additional elements
from the prospectus phase, shown in red font, 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.
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. For example, to address two research
questions consider six questionnaire/interview questions per research question. To
address four research questions, create three questionnaire/interview questions per
research question. 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
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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.
Title
Problem
Purpose
Methodology
Research Questions/
Hypotheses
Questionnaire/Survey Instrument
Planned Data Collection/
Analysis Approach
Alignment of the proposal elements.
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Proposal Assessment Rubric
This Page Intentionally Left Blank
Please review the current Dissertation Criteria
Assessment (DCA) on CDS Central.
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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). 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 c0-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 UOPx 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.
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
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 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
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North West 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.
Data Analysis
Data analysis section must include a detailed 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 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 data analysis phases.
Results
Effective reporting of the results is extremely important. For qualitative narrative
data the results are typically reported as themes. 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
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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. 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 must be supported by example narrative,
such as three to five examples of brief participant 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 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
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. 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 mitigate the problem underlying the study. Consider including a
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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 align with the research design. 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 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 or research questions and state the study findings. 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 in order 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, shown in red font, are the results and the conclusions/recommendations.
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.
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Title
Problem
Purpose
Methodology
Research Questions/
Hypotheses
Questionnaire/Survey Instrument
Data Collection/
Analysis
Results Conclusions/
Recommendations
Alignment of the dissertation elements.
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Dissertation Assessment Rubric
This Page Intentionally Left Blank
Please 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 (FDE)
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 a Final Dissertation Editing (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.
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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 ½ 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.
For additional explanations and examples of reference citations, please refer to the following pages:
• 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.
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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 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.]
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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.
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 ½ 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)
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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.
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.
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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, pg 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
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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
o Organization
o Dissertations at University of Phoenix are organized into three sections; the
Frontmatter, the Main text, and Back Matter.
▪ Front or Preliminary Matter: Title page, Signature page, Abstract,
Acknowledgements, Dedication, Table of Contents, List of Tables, List of
Figures, and so forth
▪ Main text: chapters with titles, headings, introductions, and so forth
▪ Back Matter: references, appendices, optional note, and optional author
biography
o Style guide
o APA style
▪ 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: three inches at the top for the Title and Signature pages, one
inch at the top for other front matter, one inch at the bottom, one and a
half inches on the left, and one inch on the right
• Body of document: one inch at the top, one inch at the bottom, one and a
half inches on the left, and one inch on the right
▪ Students must 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.
▪ 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.
▪ Refer to the Microsoft Word Formatting tutorial in the Writing Resource
Center to learn how to adjust margins and font.
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o Contents and order of all dissertations
o Title Page
o Signature Page
o Abstract
o Dedication: optional
o Acknowledgements: optional
o Table of Contents
o List of Tables, if used
o List of Figures, if used
o Main text
o Back Matter
▪ References: APA style and spacing
▪ Appendices: APA style and spacing
o Front matter requirements
o 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.
c. Accurately reflect the content and scope of the dissertation.
d. Use proper punctuation.
2. Double-space from the title to a new line, centering between the margins and
type “by” in lowercase.
3. Double-space to a new line, and type your full legal name as it appears in your
official UOPX records.
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4. Double-space to a new line, then type the copyright notice and date. The
copyright notice should appear “Copyright 2020”.
5. 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
6. Fill in the correct degree in the blank.
7. Add five single-spaced lines after the degree. On the sixth line, type University
of Phoenix.
o Signature page
▪ Type the following text centered between the left and right margins:
The Dissertation Committee for Jane Doe certifies approval
of the following dissertation:
▪ Add three single-spaced lines. On the fourth line, type the title in all capital
letters centered between the left and right margins.
▪ Add three single-spaced lines. On the fourth line, type “Committee:” at the left
margin.
▪ 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.
▪ If you have two Chairs, type Co-Chair rather than Chair on the first and second
lines, respectively.
▪ Add one spaced line. On the second line, add the names of each additional
committee member.
▪ 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.
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▪ Add two single-spaced lines. On the third line, add the names of each
additional committee member.
▪ Add two single-spaced lines. On the third line, type the following:
Hinrich Eylers, PhD
Vice Provost, College of Doctoral Studies
University of Phoenix
▪ Add two single-spaced lines. On the third line, type “Date Approved:”.
o Abstract: To follow APA guidelines regarding an abstract, the abstract is limited 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).
o Dedication: This section provides an optional space to dedicate the dissertation
work to particular 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.
o 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.
o Table of Contents: See the sample dissertation.
o List of Tables: used for more than one table
o List of Figures: used for more than one figure
o Pagination of front matter
o All front matter pages are numbered with lowercase Roman numerals (i, ii, iii, iv,
etc.) centered one-half inch above the bottom of the page. The page number
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should be omitted from the title and signature pages and begin on the abstract
page with iii.
o 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 one-inch top margin.
o Main text requirements
o 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.
o 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.
o All main text and back matter pages are numbered consecutively with Arabic
numerals (1, 2, 3, 4, etc.) centered one-half inch above the bottom of the page. The
first page of the main text begins with 1.
o 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.
o 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/).
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o Paragraphing and indentation: Indent each paragraph five spaces, or a half-inch. If
you are using Microsoft® Word, use the Tab key, which is programmed to indent
paragraphs at the half-inch mark.
o Notes, tables, figures, and graphics: Refer to the APA Example Formats for Tables
and Figures document in CDS Central about 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
(https://blog.apastyle.org/apastyle/). When using these tools, the dissertation
author must ensure that all tables, notes, figures, and graphics follow APA
requirements.
o Back matter requirements
o 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 (https://blog.apastyle.org/apastyle/).
o 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.
o 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.
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Final Dissertation Editing (FDE) Checklist
The following checklist describes APA formatting requirements 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.
A. Text
1. Times Roman 12-point font used
2. Document double-spaced throughout
3. Margins at 1 inch on Top, Bottom, Right sides, 1.5 inches on Left and ragged right edge
4. Paragraphs indented five spaces (1/2 Inch)
5. Headings and subheadings properly formatted
6. No end-of-line hyphenation
7. Only one space after punctuation
8. No bold type used for emphasis; Italics used instead
B. Frontmatter
1. Title page conforms to UoPx requirements
2. Order of manuscript pages conforms to UoPx requirements
3. Abstract included and properly formatted – Single paragraph with no paragraph indentation
4. Table of Contents accurate and properly formatted with five space or ½ inch indentations
5. List of Tables and List of Figures included only for two or more tables or figures
C. Content Pages
1. No “orphaned” or standalone headings at the bottom of a page; page break used to avoid
standalone headings
2. Page numbers correctly formatted; centered at bottom of pages and sequenced – Small
Roman numerals on front pages and Arabic on body pages
3. Each chapter begins with chapter number and title centered at top in plain text, not bold
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4. Sections of text follow one another without break
5. Headings properly formatted following APA Rules
D. Quotations
1. Quotations with fewer than 40 words incorporated into text and enclosed with quotation
marks
2. Quotations of 40 or more words properly indented in block format
E. Tables and Figures
1. Numbered separately, sequentially, and properly labeled
2. Written permission obtained, and referenced if necessary
3. Tables and Figures are mentioned in the text before they are shown
4. Placed as near as possible to their descriptions in the text
F. Back Matter
1. Order of pages conforms to requirements
2. Pages properly formatted and numbered
3. Reference List and each Appendix begin on a new page
4. Hanging indent is used for each reference in Reference List
G. In-Text Citations
1. All outside ideas properly cited
2. Citations complete and properly formatted; use of “and” and ampersand are correct
3. Electronic sources properly cited
4. Personal communications cited in text only, not in the reference list
5. Page numbers included for direct quotations
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6. Indirect or secondary sources properly cited
H. Reference List Citations
1. References in correct alphabetical order of the last name of the authors with author’s initials
2. Electronic references properly cited and formatted
3. Format of references conforms to UOPX and APA requirements
4. In-text and reference list citations correspond
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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.
For convenience, download the CoDS Dissertation Format Template
(current version) at CDS Central.
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SAMPLE DISSERTATION TITLE:
STATE THE STUDY METHODOLOGY
[Double space title and use all capitals. No more than 15 words total.]
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
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The Dissertation Committee for Jane Doe certifies approval of the following
dissertation:
SAMPLE DISSERTATION TITLE:
STATE THE STUDY METHODOLOGY
Committee:
John Smith, EdD, Chair
Julie Jones, PhD, University Research Methodologist
James Johnson, EdD, Panel Validator
John Smith
Julie Jones
James Johnson
Hinrich Eylers, PhD
Vice Provost, College of Doctoral
Studies University of Phoenix
Date Approved:
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ABSTRACT
Start text here; do not indent. 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.
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DEDICATION
[To be indented and completed upon full dissertation completion]
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ACKNOWLEDGMENTS
[To be indented and completed upon full dissertation completion]
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TABLE OF CONTENTS
Contents Page
List of Tables ....................................................................................................................... x
List of Figures ..................................................................................................................... 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
Research Design Literature ......................................................................................... x
Conclusions .................................................................................................................. x
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Table of Contents 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 Test ................................................................................................ 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
Discussion of Findings ............................................................................................. x
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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
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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.]
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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.]
.
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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.
Background of the Problem
This section should lead up to the statement of the problem in order 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
This section must clearly identify the problem. Include the phrase “The problem
is…” to allow the reader to distinguish the issue driving the study. The problem must be
supported with citations. A researchable problem is not simply a gap in the literature or a
lack of information; a research problem is a documented existing social issue for which
there is not a known solution or an effective solution. Review the CDS Dissertation
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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. 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. If your study will
not include participants or primary data, then briefly explain your proposed sources of
data.
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. Describe the potential contribution this
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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. 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.
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. Please number the questions such as R1, R2, and so forth. Qualitative studies
require at least two research questions and typically include about four. For quantitative
studies include at least two sets of hypotheses. Review the CDS Dissertation Guide
Research Questions/Hypotheses section associated with your selected design for specific
information.
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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 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 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.
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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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. 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. 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
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research topic including any controversial literature rather than presenting only literature
that supports your own perspective in order 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.
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.
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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 note that Chapter 2 should be expanded to 30 to 50 pages prior to submitting the
complete proposal for review.
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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
Expand on the Chapter 1 discussion by supporting selection of the research
method and design. Provide a detailed overview discussion of the research method
(quantitative, qualitative, or mixed) and the appropriateness of the method 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.
Research Questions/Hypotheses
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
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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 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.
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 test.
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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 description of the processes to be used to
collect any primary or secondary data. Include discussion of how any participants will be
recruited for participation and describe any permissions required to collect these 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.
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
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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. 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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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
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
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to determine that Participant 1 was an Asian female teacher in her 30s who lives in the
North West 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.
Data Analysis
Data analysis section must include a detailed 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 narrative
data the results are typically reported as themes. Each theme should be reported in a
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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. 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 must be supported by example narrative,
such as three to five examples of brief participant 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 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
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. 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
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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 align with the research design. 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 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 or research questions and state the study findings. 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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References
[Use hanging indent format and double space the entire list.]
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Appendix A
Title
[Start section text here] [Note: If including permission or consent documents, you
must remove all personal information including phone numbers and email addresses.]
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AUTHOR BIOGRAPHY
[optional]
[start section text here]
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Appendix B
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
