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Dissertation Prospectus Guide

Dissertation Prospectus Guide Page i

What’s New in 2018

The 2018 edition of the Dissertation Prospectus Guide contains additional material to support

prospectus development. What has not changed are the basic expectations for the content of the

prospectus and how it will be evaluated and approved. Specific new items in this guide include

• discussion about research design alignment;

• added clarity in the outline annotations;

• enhanced formatting for better presentation, including a separate Purpose section;

• updated sample prospectuses to include both a quantitative and a qualitative example; and

• the sample prospectus documents captured in the historic alignment tool (HAT), which is introduced in Residency 3.

For internal use only

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Dissertation Prospectus Guide Page ii

Contents What’s New in 2018 ........................................................................................................................ i

The Prospectus ................................................................................................................................ 1

Completing the Prospectus .......................................................................................................... 1

My Doctoral Research (MyDR) ................................................................................................... 3

An Annotated Outline ..................................................................................................................... 4

Sample Quantitative Prospectus ..................................................................................................... 8

Sample Qualitative Prospectus ..................................................................................................... 18

Quality Indicators.......................................................................................................................... 28

Dissertation Prospectus Rubric ................................................................................................. 28

Ten Tips for Writing a Quality Prospectus ................................................................................... 30

Sample Quantitative Prospectus in the Historic Alignment Tool (HAT) ..................................... 32

Sample Qualitative Prospectus in the Historic Alignment Tool (HAT) ....................................... 33

Dissertation Prospectus Guide Page 1

The Prospectus The Dissertation Prospectus is a brief document that provides preliminary information about

your dissertation research and is used in two ways:

• It serves as an agreed-upon plan for developing the proposal and is evaluated to ensure doctoral-level work.

• It serves as a step to finalize the structure of your dissertation supervisory committee, who will work with you on completing the dissertation.

Completing the Prospectus

The Dissertation Prospectus consists of several short sections, which are detailed in the

annotated outline. Your goal for the prospectus is to create a plan for developing your

dissertation proposal. Therefore, you need to have more information for the prospectus than for

your earlier documents, such as the Dissertation Premise, but you do not need to know all the

specific details of the study that you will ultimately conduct. For example, you may identify

intelligence as a covariate in a quantitative study, but at this point, you do not yet need to identify

the instrument that you plan to use to measure the covariate.

Also, because every research project is unique, and because this outline is general, you may be

asked to include additional information in your prospectus to help assure your supervisory

committee that you are headed in the right direction. For example, feasibility will be one

criterion for evaluating your prospectus, and if you are considering a very unique sample group,

your committee may ask that you explore that aspect in more detail before moving forward.

The Dissertation Prospectus should follow the guidelines in the sixth edition of the Publication

Manual of the American Psychological Association and be saved as either a .doc, .docx, or .rtf

file. As you work on the document, you may also want to review the Litmus Test for a Doctoral-

Level Research Problem, which is available on the Research Resources page of the Center for

Research Quality site, your historic alignment tool (HAT) from your academic residency

experience, as well as the nine quality indicators included in this guide.

One prospectus quality indicator that is not included as a separate section in the prospectus

document, but rather is holistically assessed throughout the prospectus, is research design

alignment. The rubric item reads: “Aligned? Do the various components of the research plan

align overall?" Alignment is critically important to research quality. Research design alignment

means that all pieces of the study design match and/or complement one another. For example,

the identified doctoral-level problem must drive the purpose of the study and the research

questions. The framework must support the research approach overall. There should be common

language throughout, with concepts and theories corresponding with the problem and purpose—

meaning that language should be repeated from earlier sections into later sections. As you write,

be sure to connect the dots among each section of the prospectus, ensuring alignment throughout.

The visual below represents this idea.

http://academicguides.waldenu.edu/researchcenter/resources/planning

Dissertation Prospectus Guide Page 2

Conceptualizing the research plan and the various components of the research design is

sometimes challenging. One way to assist with this and to ensure research design alignment is to

use a visual to help you see how the various parts of a research design should fit together and

therefore must align with one another. For example, as presented in the graphic below, the

Problem Statement, Purpose, and Framework in the prospectus must align with all other pieces

of the research design. This example has three research questions. If one research question does

not appear to fit with the study purpose, it does not belong in the study design. The method and

design make up the section in the prospectus called “Nature of the Study.” Each section must

coordinate with the others.

As a self-check, you should ask yourself these questions about your research design:

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

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

Dissertation Prospectus Guide Page 3

3. Do the problem, purpose, and framework align with the RQ(s) and nature of the study?

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

5. Will the instrument, data source, and analysis address the RQ?

Depending on your academic program, you will be in a course of some type that supports

prospectus development and will work with your committee chair and second member to

complete the document. See your specific program of study for more information on the type of

course and the timing of it. Keep in mind that prospectus development is an iterative process and

that you will receive feedback on working drafts, as will happen with the proposal and

dissertation.

When your supervisory committee members agree that your prospectus meets all the quality

indicators discussed herein, they will endorse it for review by your academic program director or

designee. After the program director or designee gives final approval of the prospectus and your

supervisory committee, you will start working on your proposal. This entire approval process

will occur in My Doctoral Research (MyDR).

My Doctoral Research (MyDR)

If you have not done so already, you should familiarize yourself with the MyDR system and

other resources on the Center for Research Quality website. The MyDR system was designed to

assist you and your committee in navigating your doctoral research journey, from the very

beginning through the final approval. The various landing pages in MyDR will track your

progress and will serve as a central location for resources to support that progress. The

Taskstream element of the MyDR system is used to establish a process flow tool in which you

exchange and store faculty evaluations of and feedback on your work as you progress along that

journey.

You will be entered into the MyDR system when both your committee chair and second member

nominees are approved by the academic program. At that point, you will be able to access MyDR

from the homepage of your dissertation completion course in Blackboard. The first document

that you will submit for approval in MyDR will be your prospectus.

https://academicguides.waldenu.edu/researchcenter/mydr

https://academicguides.waldenu.edu/researchcenter

Dissertation Prospectus Guide Page 4

An Annotated Outline The Prospectus document includes a title page (page 1) followed by pages containing the

required elements in the prospectus. Please use the Prospectus template that is available on the

Writing Center website.

Title Page

The recommended title length is 12 words or fewer to include the topic, the variables and

relationship between them, and the critical keywords. Double-space the title if over one line of

type and center it under the word “Prospectus.” Please note that your dissertation title will likely

change as the project evolves.

Include your name, your program of study (and specialization, if applicable), and Student

ID number—double-spaced and centered under the title.

Title

Start with “Prospectus” and a colon, and then include the title as it appears on the title

page. Double-space if over one line of type and center it at the top of the page.

Problem Statement

Provide a one- to two-paragraph statement that is the result of a review of research

findings and current practice and that contains the following information:

1. A logical argument for the need to address an identified gap in the research literature that has current relevance to the discipline and area of practice. Keep in mind that a gap

in the research is not, in and of itself, a reason to conduct research. Make sure to clarify

the problem that led you to the gap. The situation being experienced in a societal

population or discipline is described within the problem statement.

2. Preliminary evidence that provides justification that this problem is meaningful to the discipline or professional field. Provide three to five key citations that support the

relevance and currency of the problem. These references need not all be from peer-

reviewed journals but should be from reputable sources, such as national agency

Note:

A social problem involves an issue that affects a specific population/discipline. It is the issue

that students see “on the ground” so to speak. The social problem is often what prompts students

to think about a topic of interest drives their dissertation topic. Usually such a topic is one that

students identify with, sometimes having personally experienced some aspect of the problem as

it exists in the world. All too often, students want to solve a specific social, organizational,

clinical, or practical problem rather than explore a research problem.

A research problem is a focused topic of concern, a condition to be improved upon, or troubling

question that is supported in scholarly literature or theory that you study to understand in more

detail, and that can lead to recommendations for resolutions. It is the research problem that

drives the rest of the dissertation: the purpose, the research questions, and the methodology. It is

the research problem that is identified in the Problem Statement of the prospectus.

http://writingcenter.waldenu.edu/549.htm

Dissertation Prospectus Guide Page 5

databases or scholarly books, and should ideally be from the past 5 years.

3. Assure that the problem is framed within and primarily focused on the discipline (program of study).

Purpose

Present a concise, one-paragraph statement on the overall purpose or intention of the

study, which serves as the connection between the problem being addressed and the focus of the

study.

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

problem.

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

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

Significance

Provide one or two paragraphs, informed by the topic in the problem statement, that

describe the following:

1. How this study will contribute to filling the gap identified in the problem statement: What original contribution will this study make?

2. How this research will support professional practice or allow practical application: Answer the So what? question.

3. How the claim aligns with the problem statement to reflect the potential relevance of this study to society: How might the potential findings lead

to positive social change?

Background

Provide (a) the keywords or phrases that you searched and the databases used; and (b) a

representative list of scholarship and findings, or an annotated bibliography, that support and

clarify the main assertions in the problem statement, highlighting their relationship to the topic,

for example, “this variable was studied with a similar sample by Smith (2013) and Johnson

(2014)” or “Jones’s (2012) examination of industry leaders showed similar trends in the same

key segments.” Some of these resources may have already been mentioned in the first sections of

the prospectus and can be included here, also. Provide 5 to 10 peer-reviewed articles most of

which should have been published within the last 5 years and/or represent current information on

the topic.

Framework (Conceptual or Theoretical)

In one paragraph, describe the framework that demonstrates an understanding of the

theories and concepts relevant to your topic. Align the framework with the problem, purpose,

research questions, and background of your study. This theoretical or conceptual framework is

Dissertation Prospectus Guide Page 6

the basis for understanding, designing, and analyzing ways to investigate your research problem

(data collection and analysis). Provide the original scholarly literature on the theory or concepts

even if it is more than 5 years old. Please do not cite secondary sources.

Research Question(s) and Hypotheses (if applicable)

List the question or a series of related questions that are informed by the study purpose,

which will lead to the development of what needs to be done in this study and how it will be

accomplished. A research question informs the research design by providing a foundation for

• generation of hypotheses in quantitative studies,

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

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

Nature of the Study

Provide a concise paragraph that (a) presents the approach that will be used to address the

research question(s) and (b) discusses how this approach aligns with the problem statement. The

examples of study design are as follows:

• Quantitative—for experimental, quasiexperimental, or nonexperimental designs; treatment-control; repeated measures; causal-comparative; single-subject; predictive

studies; or other quantitative approaches

• Qualitative—for ethnography, case study, grounded theory, narrative inquiry, phenomenological research, policy analysis, or other qualitative traditions

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

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

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

Possible Types and Sources of Data

Secondary data include public or existing data that are collected by others. Primary data

are collected by the researcher. Provide a list of possible types and sources of data that could be

used to address the proposed research question(s), such as test scores from college students,

employee surveys, observations of a phenomenon, interviews with practitioners, historical

documents from state records, de-identified medical records, or information from a federal

database. For secondary, or preexisting data, identify the data source, how the data will be

accessed, and the data points that will be used to address the research questions. For primary

data, explain the data points, how the data will be obtained, and potential participants who will

be accessed to address the research questions. Possible secondary data sources, by program, are

available on the Center for Research Quality website. Sources of information that support and

clarify the problem belong in the Background section.

If you are thinking about collecting data on a sensitive topic or from a vulnerable

population, an early consultation with the Institutional Review Board (IRB; [email protected])

during your prospectus writing process is recommended to gain ethics guidance that you can

https://academicguides.waldenu.edu/researchcenter/dataresources

Dissertation Prospectus Guide Page 7

incorporate into your subsequent proposal drafts and research planning. Find more information

on the IRB Guides and FAQs page.

Limitations, Challenges, and/or Barriers

Provide information on limitations, challenges, and/or barriers that may need to be

addressed when conducting this study. These may include access to participants, access to data,

separation of roles (researcher versus employee), instrumentation fees, etc.

References

On a new page, list your references formatted in the correct style (sixth edition of the

Publication Manual of the American Psychological Association, modeled at the end of this

guide) for all citations within the Dissertation Prospectus.

https://academicguides.waldenu.edu/researchcenter/orec/documents#s-lg-box-19529598

Dissertation Prospectus Guide Page 8

Sample Quantitative Prospectus

Dissertation Prospectus Guide Page 9

Prospectus

Differences in the Quality of Problem Statements Written Throughout the Capstone Process

Alpha B. Gamma

General Studies program – General specialization

A00000000

[Per Publication Manual of the American Psychological Association

formatting, include page numbers at the top right corner of each page.]

Dissertation Prospectus Guide Page 10

Prospectus: Differences in the Quality of Problem Statements Written Throughout the Capstone

Process

Problem Statement

Conducting a supervised independent research project is a unique feature of completing a

doctoral degree (Lovitts, 2008; Luse, Mennecke, & Townsend, 2012). Contrary to the commonly

held belief of a 50% all-but-dissertation (ABD) rate, only approximately 20% of doctoral

students are unable to complete the dissertation after finishing their coursework (Lovitts, 2008;

Wendler et al., 2010). The challenge of the dissertation is not a new phenomenon in higher

education, but what is new is the growing number of students who complete their academic

programs online (Allen & Seaman, 2007; Kumar, Johnson, & Hardemon, 2013). Although many

students are ultimately successful in defining the central argument for a doctoral capstone, how

this process occurs in a distributed environment has not been well researched.

In their book on doctoral education, Walker, Golde, Jones, Conklin- Bueschel, and

Hutchings (2009) highlight the need to develop more “pedagogies of research” (p. 151) for

teaching graduate students to be scholars. Although a modest body of scholarship exists on

research training in traditional programs, emerging research suggests that the online environment

offers some unique challenges and opportunities for doctoral students (Baltes, Hoffman-Kipp,

Lynn, & Weltzer-Ward, 2010; Kumar et al., 2013; Lim, Dannels, & Watkins, 2008). Of the

many aspects of a research project, development of the problem statement is arguably a key step

because it provides the rationale for the entire dissertation (Alvesson & Sandberg, 2013; Luse et

al., 2012). Hence, this study will fill a gap in the research by focusing specifically on the

development of problem statements by students in online doctoral programs.

Dissertation Prospectus Guide Page 11

Purpose

The purpose of this study is to examine differences in the quality of problem statements

written by doctoral students in online programs during the various stages of their doctoral

studies. Secondary data that include objective ratings of problem statements by doctoral faculty

over the course of the capstone process will be examined for differences. This project is unique

because it addresses an underresearched area of higher education (Gardner & Barnes, 2014) with

a group of learners that has expanded over the past decade (Bell, 2011).

Significance

The results of this study will provide much-needed insights into the processes by which

increasing numbers of new scholars work through the beginning phase of their research. Insights

from this study should aid doctoral committees in helping students to succeed in their final

projects, thus supporting eventual degree attainment. Education has long been a force for social

change by addressing inequities in society. Because a broad range of students attend online

institutions, supporting their successful attainment of a terminal degree allows for increased

diversity among individuals in key academic and scholarly leadership positions.

Background

Selected articles relating to doctoral education and the process of learning to be a

researcher are described here. The keywords searched were ABD, online doctoral program

completion, doctoral capstone completion, online research training, and online learning in the

databases Education Source, ERIC, and SAGE Journals, as well as in a Thoreau multidatabase

search.

Dissertation Prospectus Guide Page 12

1. Baltes et al. (2010) and Bieschke (2006) provided information on research self-efficacy,

which has been shown as a key predictor of the future research of doctoral students.

2. Gelso (2006), Holmes (2009), Hilliard (2013), and Kim and Karau (2009) provided

different views of strategies to support the development of scholar practitioners during

the capstone experience.

3. Ivankova and Stick (2007) and Kumar et al. (2013) offered models that align well with

the possible methodologies used in this study and that involved online students.

4. Lim et al. (2008) addressed the role of research courses in an online program.

5. Lovitts (2008), Gardner and Barnes (2014), and Werner and Rogers (2013) gave different

views of the transition from student to researcher.

6. Ismail, Majid, and Ismail (2013); Spaulding and Rockinson-Szapkiw (2012); and Stubb,

Pyhältö, and Lonka (2014) focused on the student experience of learning to conduct

research.

Framework

The theoretical base for this study will be Perry’s (1970) theory of epistemological

development. Because this theory addresses ways of knowing in adults, Perry’s theoretical work

has been used extensively in all aspects of higher education, albeit more frequently with

undergraduates than with doctoral students. The approach provides details on cognitive-

structural changes that emerge as a result of development and learning. Further, subsequent

research and application of Perry’s theory offer guidance on ways to facilitate academic

development, thus allowing for insight into the pedagogical challenge of the dissertation

(Gardner, 2009).

Dissertation Prospectus Guide Page 13

Research Question(s) and Hypotheses

RQ–Quantitative: Based on objective ratings by doctoral faculty, what are the differences

in the overall quality of problem statements as students progress through the doctoral study

process?

H01—Based on objective ratings by doctoral faculty, there are no statistically significant

differences in the overall quality of problem statements as students progress through the doctoral

study process.

H1—Based on objective ratings by doctoral faculty, there are statistically significant

differences in the overall quality of problem statements as students progress through the doctoral

study process.

Nature of the Study

The nature of this study will be quantitative research with a repeated-measure design

consistent with understanding how students approach the work of creating a successful doctoral

study problem statement, which is the primary focus of this doctoral study. To elucidate how a

viable research problem emerges, objective ratings of student work products will be examined

across time. This quantitative analysis should help pinpoint the amount of growth from the

beginning to the end of the project.

Possible Types and Sources of Data

Data will be accessed from an online doctoral program. The program collects and rates

doctoral problem statements written at four key points in a doctoral student’s career: the premise,

the prospectus, the proposal, and the doctoral study writing stage. The data will be deidentified

and contain the scores by stage of program for 300 online doctoral students. Other data may be

Dissertation Prospectus Guide Page 14

collected from surveys of instructors.

Limitations, Challenges, and/or Barriers

A potential barrier, if using secondary data, is that data access may include a partner-site

agreement and possible fees for data access. A potential barrier for collecting primary data

(surveys) includes recruitment of participants.

Dissertation Prospectus Guide Page 15

References

Allen, I. E., & Seaman, J. (2007). Online nation: Five years of growth in online learning.

Needham, MA: Sloan-C.

Alvesson, M., & Sandberg, J. (2013). Constructing research questions: Doing interesting

research. Los Angeles, CA: Sage Publications.

Baltes, B., Hoffman-Kipp, P., Lynn, L., & Weltzer-Ward, L. (2010). Students’ research self-

efficacy during online doctoral research courses. Contemporary Issues in Education

Research, 3, 51–58.

Bell, N. (2011). Graduate enrollment and degrees: 2000 to 2010. Washington, DC: Council of

Graduate Schools.

Bieschke, K. J. (2006). Research self-efficacy beliefs and research outcome expectations:

Implications for developing scientifically minded psychologists. Journal of Career

Assessment, 14, 77–91. http://dx.doi.org/10.1177/1069072705281366

Gardner, S. K. (2009). The development of doctoral students: Phases of challenge and support.

ASHE Higher Education Report, 34, 1–127.

Gardner, S. K., & Barnes, B. J. (2014). Advising and mentoring doctoral students: A handbook.

San Bernardino, CA: CreateSpace Independent Publishing.

Gelso, C. J. (2006). On the making of a scientist-practitioner: A theory of research training in

professional psychology. Training and Education in Professional Psychology, S, 3–16.

http://dx.doi.org/10.1037/1931-3918.S.1.3

Hilliard, A. T. (2013). Advising doctorate candidates and candidates’ views during the

dissertation process. Journal of College Teaching & Learning, 10, 7–13.

http://dx.doi.org/10.1177/1069072705281366

http://dx.doi.org/10.1037/1931-3918.S.1.3

Dissertation Prospectus Guide Page 16

Holmes, B. D. (2009). Re-envisioning the dissertation stage of doctoral study: Traditional

mistakes with non-traditional learners. Journal of College Teaching and Learning, 6(8),

9–13.

Ismail, H. M., Majid, F. A., & Ismail, I. S. (2013). “It’s complicated” relationship: Research

students’ perspective on doctoral supervision. Procedia - Social and Behavioral Sciences,

90, 165–170. http://dx.doi.org/10.1016/j.sbspro.2013.07.078

Ivankova, N. V., & Stick, S. L. (2007). Students’ persistence in a distributed doctoral program in

educational leadership in higher education: A mixed methods study. Research in Higher

Education, 48, 93–135. http://dx.doi.org/10.1007/s11162-006-9025-4

Kim, K., & Karau, S. (2009). Working environment and the research productivity of doctoral

students in management. Journal of Education for Business, 85, 101–106.

http://dx.doi.org/10.1080/08832320903258535

Kumar, S., Johnson, M., & Hardemon, T. (2013). Dissertations at a distance: Students’ perceptions

of online mentoring in a doctoral program. The Journal of Distance Education, 27(1), 1–

12.

Lim, J. H., Dannels, S. A., & Watkins, R. (2008). Qualitative investigation of doctoral students’

learning experiences in online research methods courses. Quarterly Review of Distance

Education, 9, 223–236.

Lovitts, B. (2008). The transition to independent research: Who makes it, who doesn’t, and why.

Journal of Higher Education, 79, 296–325. http://dx.doi.org/10.1353/jhe.0.0006

Luse, A., Mennecke, B., & Townsend, A. (2012). Selecting a research topic: A framework for

doctoral students. International Journal of Doctoral Studies, 7, 143–152.

http://dx.doi.org/10.1016/j.sbspro.2013.07.078

http://dx.doi.org/10.1007/s11162-006-9025-4

http://dx.doi.org/10.1080/08832320903258535

http://dx.doi.org/10.1353/jhe.0.0006

Dissertation Prospectus Guide Page 17

Perry, W. G., Jr. (1970). Forms of intellectual and ethical development in the college years: A

scheme. New York, NY: Holt, Rinehart, & Winston.

Spaulding, L. S., & Rockinson-Szapkiw, A. J. (2012). Hearing their voices: Factors doctoral

candidates attribute to their persistence. International Journal of Doctoral Studies, 7,

199–219.

Stubb, J., Pyhältö, K., & Lonka, K. (2014). Conceptions of research: The doctoral student

experience in three domains. Studies in Higher Education, 39, 251–264.

http://dx.doi.org/10.1080/03075079.2011.651449

Walker, G. E., Golde, C. M., Jones, L., Conklin-Bueschel, A., & Hutchings, P. (2009). The

formation of scholars: Rethinking doctoral education for the twenty-first century. San

Francisco, CA: Jossey-Bass.

Wendler, C., Bridgeman, B., Cline, F., Millett, C., Rock, J., Bell, N., & McAllister, P. (2010).

The path forward: The future of graduate education in the United States. Princeton, NJ:

Educational Testing Service.

Werner, T., & Rogers, K. (2013). Scholar-craftsmanship question-type, epistemology, culture of

inquiry, and personality-type in dissertation research design. Adult Learning, 24, 159–

166. http://dx.doi.org/10.1177/1045159513499549

http://dx.doi.org/10.1080/03075079.2011.651449

http://dx.doi.org/10.1177/1045159513499549

Dissertation Prospectus Guide Page 18

Sample Qualitative Prospectus

Dissertation Prospectus Guide Page 19

Prospectus

How Online Doctoral Students Develop a Dissertation Problem Statement

Alpha B. Gamma

General Studies program – General specialization

A00000000

[Per Publication Manual of the American Psychological Association

formatting, include page numbers at the top right corner of each page.]

Dissertation Prospectus Guide Page 20

Prospectus: How Online Doctoral Students Develop a Dissertation Problem Statement