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Dissertation Prospectus

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Prospectus Instructions:

1. Read the entire Prospectus Template to understand the requirements for writing your Prospectus. Each section contains a narrative overview of what should be included in the section and a table with criteria required for each section. These criteria will be used to assess the prospectus for overall quality and feasibility of the proposed research study.

2. As you draft each section, delete the narrative instructions and insert your work related to that section. Use the criteria table for each section to ensure that you address the requirements for that particular section. Do not delete/remove the criteria table as this is used by you and your Committee to evaluate your prospectus.

3. Prior to submitting your prospectus for review by your Chair or Methodologist, use the criteria table for each section to complete a self-evaluation, inserting what you believe is your score for each listed criteria into the Learner Self-Evaluation column.

4. The scoring for the criteria ranges from a 0-3 as defined below. Complete a realistic and thoughtful evaluation of your work. Your Chair and Methodologist will also use the criteria tables to evaluate your work.

5. Your Prospectus should be between 6-10 pages when the tables are deleted.

Score	Assessment
0	Item Not Present
1	Item is Present, But Does Not Meet Expectations: Not all components are present. Large gaps are present in the components that leave the reader with significant questions. All items scored at 1 must be addressed by learner per reviewer comments.
2	Item Approaches Meeting Expectations, But Needs Revision: Component is present and adequate. Small gaps are present that leave the reader with questions. Any item scored at 2 must be addressed by the learner per the reviewer comments.
3	Item Meets Expectations: Component is addressed clearly and comprehensively. No gaps are present that leave the reader with questions. No changes required.

Dissertation Prospectus

Introduction

The Prospectus is 6-10 page document that serves as a road map for the dissertation. It provides the essential framework to guide the development of the dissertation proposal. The Prospectus builds on the 10 Strategic Points (shown in Appendix A). The Prospectus will be expanded to become your dissertation proposal (Chapters 1, 2 and 3 of your dissertation), which will in turn, be expanded to become the complete dissertation (Chapters 1-5). Prior to developing the Prospectus, the 10 Strategic Points should be reviewed with the Chair and Committee to ensure the10 Strategic Points are aligned and that you have a clear, defined, and a doable study. Your 10 Strategic Points should be included in Appendix A of this Prospectus document.

The Introduction section broadly describes the research focus that will be addressed by the dissertation and why that focus is worthy of further investigation. The Introduction should clearly define how the study will extend prior research. Additionally, it should identify examples of the studies on the topic that illustrate the current research. It is also important to ensure the Prospectus is well written from the very first draft. Prior to submitting it to the Committee Chair, ensure paragraphs are developed that (1) contain a topic sentence defining the focus of the paragraph, (2) discuss only that single topic, (3) contain three to seven sentences, and (4) include a transition sentence to the next paragraph or section. The sentences should also be structurally correct, short, and focused. Throughout the dissertation process, learners are expected to always produce a well-written document. Committee members and the AQR reviewers will not edit writing. If it is not well written, reviewers will provide a high-level, general comment on the overall areas that need to be improved before they will review the document again.

*Criteria (Required Components): score 0-3*	*Learner Self-Evaluation Score* *(0-3)*	*Chair or Reviewer Evaluation Score* *(0-3)*
Introduction This section briefly overviews the research focus or problem, why this study is worth conducting, and how this study will be completed. The recommended length for this section is one paragraph.
1. Dissertation topic is introduced.
2. Describes how the study extends prior research or fills a “need” or “defined gap” from current literature.
NOTE: This Introduction section elaborates on Point #1(the Topic) from the 10 Strategic Points. This Introduction section provides the foundation for the Introduction section in Chapter 1 of the Proposal.
NOTE: When writing this section ensure it has a logical flow, as well as uses correct paragraph structure, sentence structure, tense, punctuation, and APA format.
Comments from the Evaluator:

Background of the Problem

The Background of the Problem section of the Prospectus uses the literature to provide the reader with a brief historical perspective of the problem or research gap the study will address. A gap is defined as a need or opportunity that has been identified in the existing body of research literature (empirical research articles or dissertations). A gap is not defined as research on a topic for which there is no related research in the existing body of literature. A dissertation research topic must emerge from the existing body of research literature and not from a personal agenda. From this section, the reader should be able to discern how and when this problem originated and how it developed over time. This section, then, defines the current problem, that needs to be studied based on the literature and prior studies on the topic. This section must include citations from the past 5 years of the literature that clearly present evidence defining the current problem or opportunity that needs to be further researched. The studies referenced should help to justify the need for your specific research study.

*Criteria (Required Components): score 0-3*	*Learner Self-Evaluation Score* *(0-3)*	*Chair or Reviewer Evaluation Score* *(0-3)*
Background of the Problem The background section explains both the history of and the present state of the problem and research focus. The recommended length for this section is two-three paragraphs.
1. Identifies the “need,” or “defined gap” that will lead to the research problem statement in a following section. Citations from the literature in the last 5 years describe the problem as a current “need” or “gap” for further research.
2. Discusses how the “need” or “defined gap” has evolved historically into the current problem or opportunity to be addressed by the proposed study.
3. ALIGNMENT: The problem statement for the dissertation will be developed from and justified by the “need” or “defined gap” that is described in this section and supported by the Literature.
NOTE: This Background of the Problem* section uses information from Point #2 (Literature Review) in the 10 Strategic Points.* This Background of the Problem section becomes the Background of the Study in Chapter 1 in the Proposal. It is then expanded to develop the comprehensive Background to the Problem section in Chapter 2 (Literature Review) in the Proposal.
NOTE: When writing this section ensure it has a logical flow, as well as, uses correct paragraph structure, sentence structure, tense, punctuation, and APA format.
Comments from the Evaluator:

Theoretical Foundations and Review of the Literature/Themes

The Theoretical Foundations section of the Prospectus provides a big picture of the theory(ies) or conceptual models that will provide the foundation for the study and addressing the problem statement. The preliminary Review of the Literature/Themes section defines and describes the major topics or themes related to the dissertation topic. The Theoretical Foundations, as well as, the problem statement help to define the Research Questions.

Theoretical foundations/conceptual framework. This section names and describes the theory(s) or model(s) that will provide the Theoretical Foundation for the research study. Additionally, it describes their relevance to the proposed study topic and the stated problem that came out of the Background section. Citations from seminal and/or other sources are provided to justify the selected theory(s) or model(s). For a quantitative study, it should provide the theory or model for each variable as well the rationale for studying the relationship between the variables. For a qualitative study, it should discuss how the theories or models are relevant to understanding the phenomenon.

Review of the literature/themes. This section on the Review of the Literature/Themes lists and describes the major themes or topics found in the literature related to the research topic and problem statement for the dissertation. This list of themes or topics is presented as a bulleted list of the major themes/topics related to the research topic. Each theme or topic should have a three to four sentence summary that describes the theme and its relevance to the dissertation topic. Include at least two empirical research citations from the past 5 years for each topic or theme.

*Criteria (Required Components): score 0-3*	*Learner Self-Evaluation Score* *(0-3)*	*Chair or Reviewer Evaluation Score* *(0-3)*
Theoretical Foundations and/or Conceptual Framework This section identifies the theory(s) or model(s) that provide the foundation for the research. This section should present the theory(s) or models(s) and explain how the problem under investigation relates to the theory or model. The theory(s) or models(s) guide the research questions and justify what is being measured (variables) as well as how those variables are related (quantitative) or the phenomena being investigated (qualitative). Review of the Literature This section provides a broad, balanced overview of the existing literature related to the proposed research topic. It describes the literature in related topic areas and its relevance to the proposed research topic findings, providing a short one-two sentence description of each theme/topic and identifies its relevance to the research topic supporting it with at least one citation from the literature. The recommended length for this section is two-three paragraphs
1. Theoretical Foundations section identifies the theory(s), model(s) relevant to the variables (quantitative study) or phenomenon (qualitative study). This section should explain how the study topic or problem coming out of the “need” or “defined gap” in the Background to the Problem section relates to the theory(s) or model(s). (One paragraph)
2. Review of the Literature Themes/Topics section: This section lists the major themes or topics related to the research topic. It provides a short one-two sentence description of each theme/topic and identifies its relevance to the research topic supporting it with at least one citation from the literature. (One or two sentences per theme/topic).
3. ALIGNMENT: The Theoretical Foundations models and theories need to be related to and support the problem statement or study topic. The sections in the Review of the Literature are topical areas needed to understand the various aspects of the phenomenon (qualitative) or variables/groups (quantitative) being studied; to select the design needed to address the Problem Statement; to select surveys or instruments to collect information on variables/groups; to define the population and sample for the study; to describe components or factors that comprise the phenomenon; to describe key topics related to the study topic, etc.
NOTE: The two parts of this section use information from Point #2 (Literature Review) from the 10 Strategic Points. This Theoretical Foundations section is expanded upon to become the Theoretical Foundations section in Chapter 2 (Literature Review). The Theoretical Foundations section is also used to help create the Advancing Scientific Knowledge section in Chapter 1. This Review of Literature Themes/Topics section is expanded upon to provide the Review of the Literature section in Chapter 2 (Literature Review). The Review of the Literature Themes/Topics section is also used to provide the basis for the Significance of the Study section in Chapter 1.
NOTE: When writing this section ensure it has a logical flow, as well as uses correct paragraph structure, sentence structure, tense, punctuation, and APA format.
Comments from the Evaluator:

Problem Statement

This section of the Prospectus should begin with a one-sentence Problem Statement in the format appropriate for the design. It should clearly state the problem or research focus. This problem or research focus should evolve from the Background to the Problem section discussed above. The problem statement should begin with a clear declarative statement. This section describes the significance, magnitude, and importance of the problem that makes the study worthwhile. This section should be supported with citations from the literature.

*Criteria (Required Components): score 0-3*	*Learner Self-Evaluation Score* *(0-3)*	*Chair or Reviewer Evaluation Score* *(0-3)*
Problem Statement This section includes the problem statement, the population affected, and how the study will contribute to solving the problem. The recommended length for this section is one paragraph.
1. Presents a clear declarative statement that begins with either: “It is not known how or why…” (qualitative), or “It is not known if or to what degree/extent…” (quantitative).
2. Clearly describes the magnitude and importance of the problem, supporting it with citations from the literature.
3. ALIGNMENT: The problem statement is developed from and justified by the “need” or “defined gap” defined by the Literature that is discussed in the Background to the Problem section above.
NOTE: This section elaborates on Points #3 (Problem Statement) from the 10 Strategic Points. This section becomes the foundation for the Problem Statement section in Chapter 1(and other Chapters where appropriate) in the Proposal.
NOTE: When writing this section ensure it has a logical flow, as well as uses correct paragraph structure, sentence structure, tense, punctuation, and APA format
Comments from Evaluator:

Research Question(s) and Phenomenon or Research Questions, Hypotheses, and Variables

The Research Question(s) and Phenomenon or Research Questions and Hypothesis section of the Prospectus specifies the Research Questions to be answered by the study. For a qualitative study, this section specifies the Research Questions as well as the Phenomenon to be studied. For a quantitative study, it defines the Research Questions, the Hypotheses, and the Variables for which data will be collected. The Research Questions should be derived from the Problem Statement, as well as, the model(s) or theory(s) selected to provide the theoretical foundations for the research. If the study is qualitative, state two or more research question(s) that guide the research for collecting the information needed to answer the problem statement and describe the phenomenon being studied. If the study is quantitative, state two or more research question(s) and associated hypotheses. Additionally, identify and define the specific variables in the hypothesis for which data will be collected. The Research Questions are later used to define the data collection and analysis.

HINT: Many researchers use their problem statement to develop a Primary Research Question they use to develop their other research questions. This is done by simply converting the Problem Statement into a question format. Below is an example for a qualitative and quantitative study. Assume the Problem Statement for a qualitative study is “It is not known how a high-minority, low-SES school in Atlanta outperforms all of the high SES schools in and around its district on state tests in literacy, mathematics and science.” The Primary Research Question becomes: “How does a high minority low SES school in Atlanta outperforms all of the high-minority, high-SES schools in and around its district on state tests in literacy, mathematics and science?” Assume the Problem Statement for a quantitative study is “It is not known if and to what degree there is a correlation between level of transformational leadership in principals and school climate.” The Primary Research Question is “Is there a correlation between level of transformational leadership in principals and school climate?”

Qualitative (Research Questions and Phenomena Description)

Phenomenon:

R1:

R2:

Quantitative (Research Questions, Hypotheses and Variables)

Variable 1:

Variable 2:

Variable 3:

R1:

H1:

H01:

R2:

H2:

H02:

A Mixed Research Study (Includes both the Quantitative and Qualitative Sections from above).

NOTE: A Mixed Methods Study approach is generally not recommended unless the learner has a significant amount of extra time to master both the qualitative and quantitative designs, collect the qualitative and quantitative data, as well as, learn how to do both the quantitative and qualitative data analysis.

NOTE: Hypotheses are not required for quantitative descriptive survey studies.

*Criteria (Required Components): score 0-3*	*Learner Self-Evaluation Score* *(0-3)*	*Chair or Reviewer Evaluation Score* *(0-3)*
Research Question(s) and/or Hypotheses This section narrows the focus of the study and specifies the research questions to address the problem statement. Based on the research questions, it describes the variables or groups and their hypothesized relationship for a quantitative study or the phenomena under investigation for a qualitative study. (2-3paragraphs) · The recommendation is a minimum of two research questions along with related hypotheses and variables is required for a quantitative study. · Also recommended is a minimum of two research questions along with the phenomenon description is required for a qualitative study. · Put the Research Questions in the appropriate Table in Appendix B based on whether the study is qualitative or quantitative.
1. Qualitative Designs: States the research question(s) the study will answer, and describes the phenomenon to be studied. or 2. Quantitative Designs: States the research question(s) the study will answer, identifies the variables, and presents the hypotheses.
3. ALIGNMENT: The research questions are based on both the Problem Statement and Theoretical Foundation model(s) or theory(s). There should be no research questions that are not clearly aligned to the Problem Statement.
NOTE: This section elaborates on Points #5 (Research Questions) & #6 Hypothesis/variables or Phenomena) from the 10 Strategic Points. This section becomes the foundation for the Research Question(s) and/or Hypotheses section in Chapter 1 in the Proposal.
NOTE: When writing this section ensure it has a logical flow, as well as uses correct paragraph structure, sentence structure, tense, punctuation, and APA format.
Comments from the Evaluator:

Significance of the Study

This section of the Prospectus describes the significance of the study. First it describes the implications of the potential results. Second, it discusses how the research may extend or contribute to the models or theories being used for the theoretical foundation. Third, it describes professional and practical applications to the field.

*Criteria (Required Components): score 0-3*	*Learner Self-Evaluation Score* *(0-3)*	*Chair or Reviewer Evaluation Score* *(0-3)*
Significance of the Study This section identifies and describes the significance of the study and the implications of the potential results based on the research questions and problem statement, hypotheses, or the investigated phenomena. It describes how the research fits within and will contribute to the current literature or body of research. It describes potential practical applications from the research. The recommended length for this section is one paragraph.
1. Describes how the proposed research will contribute to the Literature, relating it specifically to other studies from the Background to the Problem and Problem Statement above.
2. Describes how the proposed research will contribute to the literature on the selected theory(s) or model(s) that comprise the Theoretical Foundation for the study.
3. Describes how addressing the problem will have practical value for the real world considering the population, community, and/or society.
4. ALIGNMENT: Part 1 is based on specific studies from the Background to the Problem and Problem Statements sections above and identifies how this research will contribute to that Literature. Part 2 is based on specific model(s), theory(s) or variables from the Theoretical Foundations section above and identifies how this research will contribute to the knowledge on those model(s) or theory(s). Part 3 reflects on potential practical applications of the potential research findings based on Literature in the field of practice.
NOTE: This section does not directly come from any section of the 10 Strategic Points. However it does build on the Background to the Problem, Problem Statement and Theoretical Foundations sections that are developed from the 10 Strategic Points. This section becomes the Significance of the Study section in Chapter 1 in the Proposal.
NOTE: When writing this section ensure it has a logical flow, as well as uses correct paragraph structure, sentence structure, tense, punctuation, and APA format.
Comments from the Evaluator:

Rationale for Methodology

This section of the Prospectus identifies and explains the rationale for selecting a quantitative or qualitative methodology for the study. Develop a single paragraph to describe and justify the methodology selected as being qualitative or quantitative (or mixed methods). The methodology should be selected based on the best approach to address the problem statement and collect the data to answer the research questions. As stated before, Mixed Methods are not recommended because they take considerably more time to complete and may require taking additional dissertation continuation courses. Complete Table 1 (quantitative studies) and Table 2 (qualitative studies) in Appendix B as well. (NOTE: If doing Mixed Methods complete both Tables1 and Table 2).

*Criteria (Required Components): score 0-3*	*Learner Self-Evaluation Score* *(0-3)*	*Chair or Reviewer Evaluation Score* *(0-3)*
Rationale for Methodology This section clearly justifies the methodology the researcher plans to use for conducting the study. It argues how the methodological framework is the best approach to answer the research questions and address the problem statement. It uses citations from textbooks and articles on research methodology and/or articles on related studies. The recommend length for this section is one paragraph and completion of Table 1 (quantitative) and/or Table 2 (qualitative) in Appendix B.
1. Identifies the specific research methodology for the study (quantitative, qualitative, or mixed).
2. Justifies the research methodology to be used for the study by discussing why it is the best approach for answering the research question and addressing the problem statement. Uses citations from original sources in the literature on the specific research methodology to support the arguments. (NOTE: Books such as those by Creswell, which are secondary sources summarizing others approaches to research, may not be used as sources in this section).
3. ALIGNMENT: The selected methodology should be justified based on the Problem Statement and Research Questions.
NOTE: This section elaborates on the methodology part of Point #7(Methodology and Design) in the 10 Strategic Points. This section becomes the foundation for the Research Methodology in Chapter 1 of the Proposal and the basis for developing Chapter 3, Research Methodology.
NOTE: When writing this section ensure it has a logical flow, as well as uses correct paragraph structure, sentence structure, tense, punctuation, and APA format
Comments from the Evaluator:

Nature of the Research Design for the Study

This section of the Prospectus discusses the specific Research Design. The design is selected based on the selected research methodology (qualitative or quantitative). Quantitative and qualitative methodologies each have a set of distinct designs. Explain the rationale for selecting the specific design based on the variables and research questions/hypotheses (for a quantitative study) or the research questions and phenomenon being studied (for a qualitative study). Provide citations both to describe the design and to justify its use.

It is important to use resources in terms of scholarly articles, as well as, current books on research that are written by experts in either qualitative designs or quantitative designs both for describing and justifying the design. Various resources on design can be located in the Research and Residency sections on the DC Network. Please do not use secondary sources such as Creswell that primarily provide a summary of work from others.

*Criteria (Required Components): score 0-3*	*Learner Self-Evaluation Score* *(0-3)*	*Chair or Reviewer Evaluation Score* *(0-3)*
Nature of the Research Design for the Study This section describes the specific research design to answer the research questions and why this approach was selected. It describes the research sample being studied as well as the process that will be used to collect the data on the sample. The recommend length for this section is one paragraph and completion of Table 1 (quantitative) and/or Table 2 (qualitative) in Appendix B.
1. Identifies the specific type of research design chosen for the study as well as a sample appropriate for the design. (e.g., Quantitative designs include descriptive/survey, correlational, causal-comparative, quasi-experimental, and experimental. Qualitative designs include case study, narrative, grounded theory, historical, and phenomenological.) Although other designs are possible, these are the designs GCU recommends doctoral learners use to help ensure a doable study.
2. Discusses why the selected design is the best design to address the research questions as compared to other designs.
3. ALIGNMENT: The selected Research Design should be justified based on the research questions as well as the hypotheses/variables (quantitative) or phenomenon (qualitative). It should also be aligned with the selected Research Methodology.
NOTE: This section also elaborates on the Design part of Point #7 (Methodology and Design) in the 10 Strategic Points . This section provides the foundation for Nature of the Research Design for the Study in Chapter 1.
NOTE: When writing this section ensure it has a logical flow, as well as uses correct paragraph structure, sentence structure, tense, punctuation, and APA format.
Comments from Evaluator:

Purpose of the Study

The Purpose of the Study section of the Prospectus summarizes the study by providing a reflection of the Problem Statement, methodology, design, target population, and study location. This section should begin with a declarative statement, “The purpose of this (qualitative, quantitative, or mixed method/ with design) study is to (describe, improve, predict, or examine)…”. From the purpose statement, the reader should be able to discern the problem being addressed, the research method (qualitative, quantitative, or mixed), the research design, the variables or phenomenon to be studied, the target population, and the general geographic location of the study.

Creswell (2009) provided some sample scripts for developing purpose statements aligned with the different research methods (qualitative/quantitative/mixed) as follows:

The purpose of this qualitative ______________ (case study, ethnography) is to _________ (understand, describe, explore, develop) the ____________________ (phenomenon being studied) for _______ (participants) at ________________ (research site/geographical location). At this stage in the research, the __________________ (central phenomenon being studied) will be generally be defined as ___________ (provide a general definition).

The purpose of this quantitative ___________ (correlational, descriptive, etc.) research is to ____________ (compare or see to what degree a relationship exists) between/among ______________________ (independent variable) to ___________________ (dependent variable) for ________________ (participants) at ___________________ (research site/geographical location). The independent variable ________ will be defined/measured as/by _______ (provide a general definition). The dependent variable will be defined/measured as/by ______ (provide a general definition).

The purpose of this mixed methods study will be to explore participant views with the intent of using this information to develop and test an instrument with a sample from a population. The first phase will be a qualitative exploration of _______________ (central phenomenon) by collecting _____ (data) from _____ (participants) at __________ (geographical location/research site). The second phase will use a quantitative research method. Themes from this qualitative data will be developed into an instrument (or a ______ instrument will be used) to (related, compare) ________ (the independent variable) with _________ (dependent variable) for _________ sample of population) at __________ (geographical research site).

Please note that Creswell may not be cited as an authoritative resource to justify the methodology, design or statistics. Primary, authoritative sources from the scholarly literature must be used. Creswell is an excellent introductory research textbook with excellent educational examples such as above. However, it is considered a secondary source, like most textbooks, and therefore, is only used for training and education purposes.

*Criteria (Required Components): score 0-3*	*Learner Self-Evaluation Score* *(0-3)*	*Chair or Reviewer Evaluation Score* *(0-3)*
Purpose of the Study The purpose statement section provides a reflection of the problem statement and identifies how the study will be accomplished. It explains how the proposed study will contribute to the field. The recommend length for this section is one paragraph.
1. Presents a declarative statement: “The purpose of this _______study is….” that identifies the research methodology, research design, target population, variables/groups (quantitative), or phenomena (qualitative) to be studied, and geographic location. It often includes a version of the Problem Statement as a way to define the phenomenon or variables/hypotheses.
2. ALIGNMENT: The Purpose Statement includes: Research Methodology, Research Design, and Problem Statement from the previous sections. It also includes the target population, which should be of sufficient size to provide a large enough sample to complete the study and provide significant (quantitative) or meaningful (qualitative) results.
NOTE: This section elaborates on Points #8 (Purpose Statement) in the 10 Strategic Points. This section becomes the foundation for the Purpose of the Study in Chapter 1 of the Proposal.
NOTE: When writing this section ensure it has a logical flow, as well as uses correct paragraph structure, sentence structure, tense, punctuation, and APA format.
Comments from the Evaluator:

Instrumentation or Sources of Data

This section of the Prospectus identifies and describes the types of data that will be collected and how they will be collected (e.g. observations, standardized tests, surveys, interviews, documents). Use the Instrumentation heading if the study uses a quantitative methodology. Use the Sources of Data heading if the study uses a qualitative methodology. The data collection approaches should be specific to the selected methodology and design for the study. The learner should check on the costs and certification requirements for the learner and/or faculty for validated quantitative instruments, which can be expensive, and may require formal certification training. The learner should get written permission from the owner of any data collection instruments or sources to be used. When doing a quantitative study, the learner should find a validated survey or instrument that has been used to collect the data for each of the variable(s) being studied. Developing a quantitative instrument could add 6 to 12 months to the study time because of the time to run validation studies. Developing a quantitative instrument based on a model or theory is often a doctoral dissertation by itself. Use the literature to find data collection instruments. Additionally, www.buros.org is a good source to use to look for validated tests and instruments.

For a qualitative study, the researcher may use and/or modify a previously-developed interview, questionnaire or observation form if they receive permission from the author. Or, the researcher may develop their own data collection tools. When developing qualitative data collection tools such as interview guides or observation guides, it is important to ensure they will collect all of the data needed to answer the research questions. Both the research questions, and the theories or models to provide the theoretical foundation for the study, should be used to develop qualitative instruments. Qualitative instruments or tools (interviews, questionnaires, or observation forms) need to be validated by a group of at least three experts AND must be field tested prior to data collection.

*Criteria (Required Components): score 0-3*	*Learner Self-Evaluation Score* *(0-3)*	*Chair or Reviewer Evaluation Score* *(0-3)*
Instrumentation or Sources of Data Describes, in detail, all data collection instruments and sources (tests, questionnaires, interviews, data bases, media, etc.). Discusses the specific instrument or source to collect data for each variable or group (quantitative study). Discusses specific instrument or source to collect information to describe the phenomena being studied (qualitative study). The recommend length for this section is one paragraph AND completion of Table 1 (quantitative) and/or Table 2 (qualitative) in Appendix B.
1. Identifies and describes the types of data that will be collected to answer each Research Question for a qualitative study. Identifies the data that will be collected for each Variable/Group in a quantitative study.
2. Identifies tools, instruments, or databases to be used to collect the data (e.g., observations, interviews, questionnaires, documents, media (qualitative), standardized tests, surveys, and databases (quantitative)). For a qualitative study, identify the specific tools, instruments, or databases for each research question in a qualitative study. For a quantitative study, identify the name of the specific “validated” and “previously used in quantitative research” survey or data source to be used to collect data for each variable, providing a citation for the instrument or data source.
3. ALIGNMENT: Aligns with the Research Questions (qualitative) or Variables (quantitative) previously described in the Research Question(s) and Phenomena or Research Questions, Hypotheses, and Variables section above. Identifies and describes the data and data source that will be used to answer each Research Question for a qualitative study. Identifies, describes, and names the type of numerical data and specific data collection instrument or source that will be used for each variable and group in a quantitative study.
NOTE: This section elaborates on Point #9 (Data Collection) from the 10 Strategic Points. This information is summarized high level in Chapter 1 in the Proposal in the Nature of the Research Design for the Study section. This section provides the foundation for Instrumentation (quantitative) or Sources of Data (qualitative) section in Chapter 3.
NOTE: When writing this section ensure it has a logical flow, as well as uses correct paragraph structure, sentence structure, tense, punctuation, and APA format.
Comments from the Evaluator:

Data Collection Procedures

This section of the Prospectus includes a description and size of the target population and the expected sample to be realized from the target population. It also provides an overview of the step-by-step process that will be used to collect the data using the tools described in the previous section.

*Criteria (Required Components): score 0-3*	*Learner Self-Evaluation Score* *(0-3)*	*Chair or Reviewer Evaluation Score* *(0-3)*
Data Collection Procedures This section details the entirety of the process used to collect the data. It describes each step of the data collection process in a way that another researcher could replicate the study. NOTE: It is recommended that the researcher get written approval (or at the very least unofficial approval) to conduct their research study in their selected organization. Ensure the person (who is usually a school superintendent, school boards, or corporate officer) providing approval is authorized by the organization to grant approval for research. Do not assume your organization will allow you to collect data since many organization do not allow research to be completed within the organization. The recommended length for this section is two paragraphs.
1. Defines the target population and the expected sample size, which comprises the people or organizations being studied , as defined in the problem statement. For quantitative studies, it justifies why the target population and expected sample size (final number of people or organizations being studied for which data will be collected) is large enough to produce statistically significant results (quantitative) or meaningful results (qualitative).
2. Provides an overview the proposed step-by-step procedure to collect data using the tools, instruments, or databases from the section above. Includes the steps (e.g., obtaining initial informed consent from participating organization; IRB review; sample selection; groupings; protecting rights/well-being; maintaining data security; sample recruitment; data collection instruments and approaches; field testing instruments; notifying participants; collecting the data, etc.) in a way another researcher can replicate the study. Steps may be provided in a list format.
3. ALIGNMENT: Shows the steps and approach to collect data for each and every data source identified in the Instrumentation or Sources of Data section. Defines the sample as the set of people or organizations being studied for which data will be collected. The sample size must be correct for the type of design selected to get statistically significant (quantitative) or meaningful (qualitative) results.
NOTE: This section elaborates on Points #4 (Sample and Location) and #9 (Data Collection) in the 10 Strategic Points . This section provides the foundation for the Data Collection Procedures section in Chapter 3 in the Proposal. And it is summarized high level in Chapter 1 in Nature of the Research Design for the Study in the Proposal.
NOTE: When writing this section ensure it has a logical flow, as well as uses correct paragraph structure, sentence structure, tense, punctuation, and APA format.
Comments from the Evaluator:

Data Analysis Procedures

This section of the Prospectus provides an overview of the procedures that will be used to analyze the data. For each of the stated hypotheses (quantitative), it describes the types of statistical analyses (descriptive statistics and inferential statistics) to be used to do data analysis. For each research question (qualitative), it identifies the type of data analysis to be used to answer the research question. Data analysis for qualitative studies often uses descriptive statistics to summarize data. Additionally, it uses qualitative data analysis techniques that are often specific to the research design. Many qualitative studies use coding and thematic analysis as a part of their data analysis. Others use case study summaries, comparative case analysis, model creation, network analysis (Bernard and Ryan, 2010). Identify the specific data analysis approaches to be used in Table 1 for each hypothesis (quantitative) or in Table 2 for each qualitative research question (Appendix B).

*Criteria (Required Components): score 0-3*	*Learner Self-Evaluation Score* *(0-3)*	*Chair or Reviewer Evaluation Score* *(0-3)*
Data Analysis Procedures This section describes how the data were collected for each variable or group (quantitative study) or for each research question (qualitative study). It describes the type of data to be analyzed, identifying the descriptive, inferential, and/or non-statistical analyses. Demonstrates that the research analysis is aligned to the specific research design. The recommend length for this section is one paragraph AND completion of Table 1 (quantitative) and/or Table 2 (qualitative) in Appendix B.
1. Describes the analysis to examine each stated research question and/or hypothesis. For quantitative studies, describes the analyses including the inferential and/or descriptive statistics to be completed. For qualitative studies, describes the specific analytic approach appropriate for the Research Design and each research question to be completed. In qualitative research the different research questions may require different approaches to doing qualitative data analysis, as well as descriptive statistics.
2. ALIGNMENT: For qualitative studies, there is a clear and obvious alignment between each research question, data to be collected, tool or data source, as well as data analysis to understand/explain the phenomenon. For quantitative studies, there is a clear and obvious alignment between each variable, data to be collected, instrument or data source, as well as data analysis for each hypothesis.
NOTE: This section elaborates on Point #10 (Data Analysis) from the 10 Strategic Points. This section provides the foundation for Data Analysis Procedures section in Chapter 3 in the Proposal.
NOTE: When writing this section ensure it has a logical flow, as well as uses correct paragraph structure, sentence structure, tense, punctuation, and APA format.
Comments from the Evaluator:

Ethical Considerations

This section of the Prospectus discusses the anticipated ethical issues surrounding the research including how human subjects and data will be protected. This section should also reference necessary IRB approval(s) required to conduct the research, the subject recruiting and informed consent processes, and how site authorization will be obtained.

*Criteria (Required Components): score 0-3*	*Learner Self-Evaluation Score* *(0-3)*	*Chair or Reviewer Evaluation Score* *(0-3)*
Ethical Considerations This section discusses the potential ethical issues surrounding the research, as well as how human subjects and data will be protected. It identifies how any potential ethical issues will be addressed. The recommended length for this section is one paragraph.
1. Discusses potential ethical concerns that might occur during the data collection process.
2. Describes how the identities of the participants in the study and data will be protected.
3. Describes subject recruiting, informed consent and site authorization processes.
4. ALIGNMENT: Ethical considerations are clearly aligned with, and relate directly to the specific Data Collection Procedures. This section also identifies ethical considerations related to the target population being researched and organization or location as described in the Purpose Statement section.
NOTE: This section does use information from any of the 10 Strategic Points. This section provides the foundation for Ethical Considerations section in Chapter 3 in the Proposal.
NOTE: When writing this section ensure it has a logical flow, as well as uses correct paragraph structure, sentence structure, tense, punctuation, and APA format.
Comments from the Evaluator:

References

Bernard, H. Russell, and Ryan, Gery W. (2010). Analyzing qualitative data: Systematic approaches. Thousand Oaks, CA: SAGE Publications.

Creswell, J.W. (2009). Research design: Qualitative, quantitative, and mixed methods Approaches. Thousand Oaks: Sage Publications.

Appendix A

The 10 Strategic Points for the Prospectus, Proposal, and Dissertation

Introduction

In the Prospectus, Proposal and Dissertation there are 10 key or strategic points that need to be clear, simple, correct, and aligned to ensure the research is doable, valuable, and credible. These points, which provide a guide or vision for the research, are present in almost any research. They are defined within this 10 Strategic Points document.

The 10 Strategic Points

The 10 strategy points emerge from researching literature on a topic that is based on, or aligned with, the defined need in the literature as well as the learner’s personal passion, future career purpose, and degree area. The 10 Strategic Points document includes the following 10 key or strategic points that define the research focus and approach:

1. Topic—Provides a board research topic area/title.

2. Literature review—Lists primary points for four sections in the Literature Review: (a) Background of the problem/gap and the need for the study based on citations from the literature; (b) Theoretical foundations (models and theories to be foundation for study); (c) Review of literature topics with key theme for each one; (d) Summary.

3. Problem statement—Describes the problem to address through the study based on defined needs or gaps from the literature.

4. Sample and location—Identifies sample, needed sample size, and location (study phenomena with small numbers and variables/groups with large numbers).

5. Research questions—Provides research questions to collect data to address the problem statement.

6. Hypothesis/variables or Phenomena—Provides hypotheses with variables for each research question (quantitative) or describes the phenomena to be better understood (qualitative).

7. Methodology and design—Describes the selected methodology and specific research design to address problem statement and research questions.

8. Purpose statement—Provides a one-sentence statement of purpose including the problem statement, methodology, design, population sample, and location.

9. Data collection—Describes primary instruments and sources of data to answer research questions.

10. Data analysis—Describes the specific data analysis approaches to be used to address research questions.

The Process for Defining the Ten Strategic Points

The order of the 10 strategic points listed above reflects the order in which the work is done by the learner. The first five strategic points focus primarily on defining the focus for the research based on a clearly defined need or gap from the literature as well as the learner’s passion, purpose and specialty area focus. First, a learner identifies a broad topic area to research for their dissertation based on a clearly defined need or gap from the literature—that they are interested in because it is based on their personal passion, future career purpose, and degree being pursued. Second, the learner completes a review of the literature to define the need or gap they will address, the theories and models that will provide a foundation for their research, related topics that are needed to demonstrate their expertise in their field, and define the key strategic points behind their proposed research. Third, the learner develops a clear, simple, one- sentence problem statement that defines the problem, or gap, that will be addressed by the research. Fourth, the learner identifies some potential population samples they would have access to in order to collect the data for the study, considering the fact the quantitative study sample sizes need to be much larger than those for qualitative studies. Fifth, the learner develops a set of research questions that will define the data needed to address the problem statement.

Based on the above five strategic points the learner now defines the key aspects of the research methodology through the last five strategic points. Sixth, the learner either describes the phenomena to be studied (if it is a qualitative study), or develops a set of hypotheses (matching the research questions) that defines the variables that will be the focus for the research (if it is a quantitative study). Seventh, the learner determines if the study will be qualitative, quantitative or mixed research based on (a) the best approach for the research, (b) the size of the sample they can get permission to access, (c) availability of data collection tools and sources, and (d) time and resources to conduct the study. Additionally, they select the best design approach considering these same factors. Eighth, the learner develops a purpose statement by integrating the problem statement, methodology, design, sample and location. Ninth, the learner identifies the data they will need to collect to address the research questions or hypotheses and how they will collect the data (e.g., interviews, focus groups, observations, tested and validated instruments or surveys, data bases, public media, etc.) Tenth, they identify the appropriate data analysis, based on their design, to be used to answer their research questions and address their problem statement.

Criteria for Evaluating the Ten Strategic Points: Clear, Simple, Correct and Aligned

When developing research, it is important to define the 10 strategic points so they are simple, clear and correct in order to ensure anyone who reviews them will easily understand them. It is important to align all of the 10 strategic points to ensure it will be possible to conduct and complete the research. The problem statement must come out of the literature. The research questions must collect the data needed to answer the problem statement. The methodology and design must be appropriate for the problem statement and research questions. The data collection and data analysis must provide the information to answer the research questions (qualitative) or test the hypotheses (quantitative). Developing the 10 Strategic Points as a two to three-page document can help ensure clarity, simplicity, correctness, and alignment of each of these ten key or strategic points in the prospectus, proposal, and dissertation. Developing these 10 strategic points on a two to three page document also provides an easy-to-use use template to ensure the 10 strategic points are always worded the same throughout the prospectus, proposal, and dissertation.

Appendix B

Variables/Groups, Phenomena, and Data Analysis

Instructions: Complete the applicable table to assist with your research design. Use Table 1 for quantitative studies. Use Table 2 for qualitative studies. Use both tables for mixed method studies. This table is intended to define how you will collect and analyze the specific data for each research questions (qualitative) and each variable (quantitative). Add additional rows to your table if needed.

Table 1

Quantitative Studies

Research Questions: State the research Questions	Hypotheses: State the hypotheses to match each Research question	List of Variables/Groups to Collect Data For: Independent and Dependent Variable(s)	Instrument(s) To collect data for each variable	Analysis Plan Data analysis approach to (1) describe data and (2) test the hypothesis
1. 1.
2. 2.
3.

Table 2

Qualitative Studies

Research Questions: State the Research Questions that will be used to collect data to understand the Phenomenon being studied	Phenomenon: Describe the overall phenomenon being studied by the research questions	Sources of Data: Identify the specific approach (e.g., interview, observation, artifacts, documents, database, etc.) to be used to collect the data to answer each Research Question	Analysis Plan: Describe the specific approach that will be used to (1) summarize the data and (2) analyze the data.
2. 1.
3. 2.
3.

Prospectus Template v6.2.14.14