PhD Prospectus Form Students | Complete your doctoral prospectus within this form. Write your responses in the white spaces using a scholarly tone and include in-text citations and APA reference entries, where appropriate. You can click on underlined terms and headings for descriptions, resource links, and examples located in the Appendix. For additional prospectus information and resources, refer to the Doctoral Research Coach. Complete the Research Design Alignment Table within this form using the information from earlier sections and self-assess your research design alignment. Submit this completed form into MyDR for formal evaluation and feedback when your committee chair indicates that you are ready to do so. Student’s Name | Click or tap here to enter text. Student ID | Click or tap here to enter text. Program and Specialization* | Click or tap here to enter text. Submission Date | Click arrow to select a date. *Remember that your study focus must be within the realm of your program and specialization area. Evaluators Only | Complete this section and provide feedback on responses and rubric scores in the form where noted. Committee Chairperson Name: Click or tap here to enter text. Second Committee Member Name: Click or tap here to enter text. PhD Program Director: Click or tap here to enter text. Overall Assessment: Choose score. Overall Assessment: Choose score. Overall Assessment: Choose score. Title In 12 words or less, what is the working title for this study? Include the topic, variables/concepts and relationship between them, and the most critical key words. Replace this text with your title. Supporting Literature The first step in developing your prospectus is to search the literature related to the general area you want to investigate (see social problem below). In your review of recent, empirical literature, what keywords did you search and in what databases? The keywords and databases searched included Replace this text with your response. Provide at least 10 brief summaries of recent, scholarly (peer-reviewed) articles that support/justify a current and relevant problem in your discipline or professional field. Source(s) supporting your framework should be included. Include the complete, APA reference entry, followed by (a) an in-text citation; (b) what was studied; (c) what was found; and (d) why this research is important in relation to your study. This evidence provides the justification for your research problem. Replace this text with your summaries. Rubric Standard | Justified > Is evidence presented that this problem is significant to the discipline and/or professional field? Problem What was the social problem that prompted you to search the literature to find out more? Write in complete sentences using a scholarly tone. The situation or issue that prompted me to search the literature is Replace this text with your response. Now that you have read and summarized some of the recent literature to understand your problem, and given what other researchers are exploring, what meaningful gap have you identified that your study will address? (What have others not yet explored about this problem that you will contribute with your study?) Although researchers have investigated this issue, the topic has not been explored in this way: Replace this text with your response. Based on all of the above information (social problem, literature review, gap), in one sentence, what is your research problem? The specific research problem that will be addressed through this study is Replace this text with your response. Rubric Standard | Meaningful > Has a meaningful problem and gap in the research literature been identified? Rubric Standard | Original > Does this project have potential to make an original contribution? Purpose To address your stated research problem, what is the purpose of your study? Will you describe, compare, explore, examine, etc.? Complete the purpose sentence below and be sure to clarify your variables/concepts of interest. The purpose of this Choose approach/method study is to Replace this text with your response. Framework (Conceptual or Theoretical) What theory(ies) and/or concept(s) support (frame) your study and who are the original authors? Provide an in-text citation with your response, and the complete APA reference entry with summary in the Supporting Literature section. The theories and/or concepts that ground this study include Replace this text with your response. How do these theories and/or concepts relate to your research problem, purpose, and the nature of your study? The logical connections between the framework presented and the nature of my study include Replace this text with your response. Rubric Standard | Grounded > Is the problem framed to enable the researcher to either build upon or counter the previously published findings on the topic? Research Question(s) and Hypotheses (if applicable) List the question(s) that you plan to use to address the research problem. Your question(s) must align with your study purpose and include the variables and/or concepts and how they will be examined. Replace this text with your research question(s) and hypotheses (if applicable). Nature of the Study What systematic approach/method and research design do you plan to use to address your research question(s)? To address the research questions in this Choose approach/method study, the specific research design will include Replace this text with your response. Reference entry for the work on which this research design is based: Replace this text with your response. For your planned research design, what type of data will you need and what data collection tools and sources will provide it? For my planned research design, I will need Replace this text with your response. What data points from these sources do you plan to use to answer your research question(s)? Replace this text with your response. What limitations, challenges, and/or barriers might you need to address while conducting this study (e.g., access to participants, access to data, requirements for storing data, separation of roles or other ethical considerations, instrumentation fees, etc.)? Replace this text with your response. Rubric Standard | Feasible > Can a systematic method of inquiry be used to address the problem; and does the approach have the potential to address the problem while considering potential risks and burdens placed on research participants? Significance How will your study address the meaningful, discipline-specific issue that you identified and therefore contribute to your field, discipline, professional practice, etc. contributing to positive social change? This study is significant in that Replace this text with your response. Rubric Standard | Impact > Does this project have potential to affect positive social change? Rubric Standard | Objective > Is the topic approached in an objective manner? Partner Site Masking Self-Check Walden capstones typically mask the identity of the partner organization. The methodological and ethical reasons for this practice as well as criteria for exceptions are outlined here (link to posted guidance). ☐ Check here to confirm that you will mask the identity of the organization in the final capstone that you publish in ProQuest. ☐ If you perceive that your partner organization’s identity would be impossible to mask or if there is a strong rationale for naming the organization in your capstone, please check this box so that your Program Director can review your request for an exception. If granted, that exception must be confirmed by the IRB during the ethics review process. The IRB will also ensure that your consent form(s) and/or site agreement(s) permit naming the organization. Research Design Alignment Table | Using an alignment table can assist with ensuring the alignment of your research design. Research Design Alignment Table Video Tutorial (YouTube) | Doctoral Research Design Alignment Appointments or Office Hours Note. At the prospectus stage, not all items in the table below can be identified (e.g., data points, data analysis). Please complete the items that you have identified in this form. During proposal development, you will revisit this plan to adjust, as needed, and finalize your research design. Research Problem, Purpose, and Framework Provide one sentence for each. These must align with all rows. Problem: Replace text with response. Purpose: Replace text with response. Framework: Replace text with response. Research Question(s), Method, & Design Data Collection Tools & Data Sources List one or more RQs, as needed; select method; identify design. Use a separate form for additional RQs. RQ1: Replace text with response. Method: Choose method Design: Replace text with response. List the instrument(s) and people, artifacts, or records that will provide the data for each RQ. Replace text with response. Data Points Data Analysis List the variables, specific interview questions, scales, etc. that will be used for each RQ. Briefly describe the statistical or qualitative analysis that will address each RQ. Replace text with response. Replace text with response. RQ2: Replace text with response. Method: Choose method Design: Replace text with response. Replace text with response. Replace text with response. Replace text with response. RQ3: Replace text with response. Method: Choose method Design: Replace text with response. Replace text with response. Replace text with response. Replace text with response. Note. The information in the first column must align with all rows, and each individual RQ row must show alignment across the columns for that row. Once your Research Design Alignment Table is completed, reflect on your design alignment. Ask yourself: 1. 2. 3. 4. 5. Is there a logical progression from the research problem to the purpose of the study? Does the identified framework ground the investigation into the stated problem? Do the problem, purpose, and framework in the left-hand column align with the RQ(s) (all rows)? Does each RQ address the problem and align with the purpose of the study? Does the information across each individual row match/align with the RQ listed for that row? • By row, will the variables listed address the RQ? • By row, will the analysis address the RQ? • By row, can the analysis be completed with the data points that will be collected? Rubric Standard | Aligned > Do the various aspects of the prospectus align overall? Appendix The Doctoral Prospectus The Doctoral Prospectus is a brief document that provides preliminary information about your dissertation research and is used in two ways: It serves as the tentative plan for developing the proposal and is evaluated to ensure doctoral-level work (e.g., feasibility, alignment, etc.). It provides information used to assign the committee University Research Reviewer. Prospectus milestone approval from the committee chair, second committee member, and a program-level designee is required for you to move forward and work on your proposal. The plan is subject to change, and parts of your research design may need to be adjusted after you complete your exhaustive review of the literature during proposal development. ………………………………………………………………………………………………… Title Quantitative (QN) Example Differences in the Quality of Problem Statements Written Throughout the Capstone Qualitative (QL) Example How Online Doctoral Students Develop a Dissertation Problem Statement ………………………………………………………………………………………………… Background Literature Probably the most important step in the research process is searching recent, peer-reviewed literature and reading articles related to the general area you want to investigate. The area is based on an identified social problem. As you read and learn, you will narrow your focus. This is how you will identify a disciplinespecific research problem. [Note: Scholarly, empirical articles and how to find them.] First, you’ll need to determine your search terms or keywords and the databases you should search. As you conduct your search of the literature, stay organized by keeping a search log. Search Log Example Database Search Terms Results Notes Thoreau online doctoral program completion; limited to peer reviewed, 2016-present 1175 Search too broad; Narrow by using multiple terms Thoreau online doctoral program completion AND ABD; limited to peer reviewed, 2016present 13 Much better; Several relevant articles found Education Source Etc. Example for this Form The keywords and databases searched included ABD, online doctoral program completion, doctoral capstone completion, online research training, and online learning in the databases Education Source, ERIC, and SAGE Journals, as well as in a Thoreau multidatabase search. As you read and evaluate literature, you also need to organize your research. A literature review matrix is one way to help you visualize what has and hasn't been done in your field. It will help you understand the scholarly works related to your area of interest. The importance of organizing and recording your review of literature cannot be overstated. You will refer to your notes as you write, so start on the right track from the beginning! [Suggestion: If you keep your search log in an Excel workbook, use the second tab in the same workbook for your literature review matrix.] For this form, include the complete, APA reference entry and (a) an in-text citation; (b) what they studied; (c) what they found; and (d) why this is important in relation to your study. This evidence provides the justification for your research problem. These sources provide justification that this problem is meaningful to the discipline or professional field. These references should ideally be from the past 5 years. Reference entries related to the framework should be included here, too. [Note: During proposal development, you will conduct an exhaustive review and synthesize your sources, rather than summarize.] Example (for one article; at least 10 are required) Ismail, H. M., Majid, F. A., & Ismail, I. S. (2013). “It’s complicated” relationship: Research students’ perspective on doctoral supervision. Procedia - Social and Behavioral Sciences, 90, 165–170. http://doi.org/10.1016/j.sbspro.2013.07.078 (a) Ismail, Majid, and Ismail (2013); (b) focused on the student experience with supervision while learning to conduct research; (c) found three issues of lack of positive communication, lack of expertise, and power conflicts; and (d) this is important in relation to my study because it may help explain progress on the development of a problem statement in the capstone process. Rubric Standard | Justified > Is evidence presented that this problem is significant to the discipline and/or professional field? ………………………………………………………………………………………………… Problem Social Problem The situation or issue being experienced by a population or within your discipline that prompted you to search the literature to find out more is sometimes called a social problem. It is the issue that students see “on the ground” so to speak. The social problem is often what prompts students to think about a topic of interest. Usually such a topic is one that students identify with, sometimes having personally experienced some aspect of the problem as it exists in the world. Example The issue that prompted me to search the literature is the low completion rate of students in doctoral programs. It is common knowledge in the education discipline that only about half of the students who enter doctoral programs will complete, and the lack of progress is often due to the dissertation process. A search in The Chronicle of Higher Education will result in numerous articles about supporting doctoral students with their capstone research to improve the completion rates of doctoral programs. Gap The need to address an identified gap in the research literature must be clear and there must be current relevance to the discipline and area of practice. Keep in mind that a gap in the research is not, in and of itself, a reason to conduct research. The gap relates to the rubric standard: Meaningful. Example Although researchers have investigated this issue, there is very little or no literature on the development of problem statements by students in online doctoral programs. Research Problem A research problem is a focused topic of concern, a condition to be improved upon, or troubling question that is supported in scholarly literature or theory that you study to understand in more detail, and that can lead to recommendations for resolutions. It is the research problem that drives the rest of the dissertation: the purpose, the research questions, and the methodology. QN Example In one sentence, the specific research problem is that it is not known whether the quality of problem statements written by online doctoral students varies over time in the program. QL Example In one sentence, the specific research problem is that there is a lack of information on how online doctoral students go about developing their research problem statement for their dissertations. Rubric Standard | Meaningful > Has a meaningful problem and gap in the research literature been identified? Rubric Standard | Original > Does this project have potential to make an original contribution? ………………………………………………………………………………………………… Purpose To address your stated research problem, what is the purpose of your study? Will you describe, compare, explore, examine, etc.? Be sure to clarify your variables/concepts of interest. For example: 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. QN Example The purpose of this quantitative study is to examine differences in the quality of problem statements written by doctoral students in online programs during the various stages of their doctoral studies. QL Example The purpose of this qualitative study is to improve the understanding of the process by which doctoral students in online programs arrive at a viable problem statement for their dissertations. ………………………………………………………………………………………………… Framework The framework includes the theories and/or concepts relevant to your topic. Align the framework with the problem, purpose, research questions, and background of your study. This theoretical or conceptual framework is the basis for understanding, designing, and analyzing ways to investigate your research problem (data collection and analysis). Provide the original scholarly literature (citing original authors) on the theory and/or concepts, even if it is more than 5 years old. Please do not cite secondary sources. Example Theoretical Framework The theories and/or concepts that ground this study include Perry’s (1970) theory of epistemological development. Example Conceptual Framework The theories and/or concepts that ground this study include Perry’s (1970) theory of epistemological development, focusing specifically on the concepts of online learning and the pedagogical challenges associated with online learning and dissertation writing. Next, explain how these theories and/or concepts relate to your research problem, purpose, and the nature of your study. Your topic/approach should align with the identified framework so that you will either build upon or counter the previously published findings on the topic. Example Connection for the Theoretical Framework The logical connections between the framework presented and my study approach include Perry’s theoretical work, which has been used extensively in all aspects of higher education, albeit more frequently with undergraduates than with doctoral students. The approach provides details on cognitive-structural changes that emerge as a result of development and learning. Example Connection for the Conceptual Framework The logical connections between the framework presented and my study approach include Perry’s theoretical work, which has been used extensively in all aspects of higher education, albeit more frequently with undergraduates than with doctoral students. Further, subsequent research and application of Perry’s theory offer guidance on ways to facilitate academic development, thus allowing for insight into the pedagogical challenge of the dissertation. Rubric Standard | Grounded > Is the problem framed to enable the researcher to either build upon or counter the previously published findings on the topic? ………………………………………………………………………………………………… Research Question(s) and Hypotheses (if applicable) List the overarching question and/or a series of related questions that are informed by the study purpose, that will be used to address the research problem. A research question informs the research design by providing a foundation for: generation of null and alternative 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. QN Example RQ1: 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. QL Example For students with a high-quality problem statement at the dissertation stage, what themes emerge in their reports of the process that they used to develop it? ………………………………………………………………………………………………… Nature of the Study Explain the systematic approach/method and research design you plan to use to address your research question(s). Examples of study design are as follows: Quantitative—for experimental, quasiexperimental, or nonexperimental designs; treatment-control; repeated measures; causal-comparative; single-subject; predictive studies; or other quantitative approaches Qualitative—for basic/generic qualitative design, 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 focus on quantitative methods Mixed methods, primarily qualitative—for sequential, concurrent, or transformative studies, with the focus on qualitative methods Other—for another design, to be specified with a justification provided for its use QN Example To address the research questions in this quantitative study, the specific research design will include a repeated-measure design (Frankfort-Nachmias & Nachmias, 2008) with objective ratings of student work products examined across time. This quantitative analysis should help pinpoint the amount of growth from the beginning to the end of the project. Reference entry for the work on which this research design is based: Frankfort-Nachmias, C., & Nachmias, D. (2008). Research methods in the social sciences cd-rom spss cd-rom vol 15. (7th ed.). Worth Pub. QL Example To address the research questions in this qualitative study, the specific research design will include a single descriptive case study (Yin, 2014) with interviews with students and faculty. This qualitative analysis using pattern matching and cross case analysis will improve the understanding of the process by which doctoral students in online programs arrive at a viable problem statement for their dissertations. Reference entry for the work on which this research design is based: Yin, R. K. (2014). Case study research: Design and methods (Fifth edition). SAGE. Then, for your planned research design, present the type of data you will need, and a list of possible data collection tools and sources 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. At this point, you should have an idea of the type of data needed to address your research question(s). Explain whether you will be collecting primary data (collected by the you, the researcher) or accessing secondary data (preexisting or public data collected by others). If you are collecting data, you should present the tentative plan for instrument(s) and potential participants. If using secondary data, identify the data source, how the data will be accessed. Possible secondary data sources, by program, are available on the Center for Research Quality website. [Note. This is your tentative plan, so keep in mind that things might need to be modified during the proposal stage—particularly after you have completed your exhaustive review of the literature.] QN Example For my planned research design, I will need to request access to preexisting/secondary data from the W University’s online doctoral program related to problem statement development of at least 300 students. QL Example For my planned research design, I will need to recruit both student and faculty participants for individual interviews. Interview protocols will be developed to address the problem and purpose of the study. Next, provide the data points from these sources you plan to use to answer your research question(s). Data points are the specific variables or type of information that you will use in your analysis. For example, they may include items on a survey or types of interview questions (not the actual survey or interview questions). If using secondary data, you must ensure the data include the variables or data points that you need to address your research question. QN Example 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 collected from surveys of instructors. QL Example The data will include responses to the faculty and student interview questions regarding how online doctoral students go about developing their research problem statement for their dissertations. Finally, provide information on limitations, challenges, and/or barriers that may need to be addressed when conducting this study. These may include access to participants, access to data, separation of roles (researcher versus employee), instrumentation fees, etc. If you are thinking about collecting data on a sensitive topic or from a vulnerable population, an early consultation with the Institutional Review Board (IRB; IRB@waldenu.edu) during your prospectus process is recommended to gain ethics guidance that you can incorporate into your subsequent proposal drafts and research planning. [Note. Find more information on research ethics and potential “red flag” issues on the IRB Guides and FAQs.] QN Example A potential barrier when using secondary data is that data access will probably include a partner-site agreement and potentially an external research ethics review (IRB), which may take some additional time. A possible barrier for collecting survey data is difficulty in recruitment of participants. I will attend IRB Office Hours to ask questions about these issues. QL Example A potential barrier when collecting primary data include partner site agreement and possible difficulty recruiting participants for interviews. Ensuring clear separation of my role at the institution from my role as researcher may also be a challenge. Rubric Standard | Feasible > Can a systematic method of inquiry be used to address the problem; and does the approach have the potential to address the problem while considering potential risks and burdens placed on research participants? ………………………………………………………………………………………………… Significance Here you explain how your study addresses the meaningful, discipline-specific issue that you identified and will therefore contribute to your field, discipline, professional practice, etc. contributing to positive social change. Detail how your findings might support professional practice or allow practical application (answer the So what? question). Example This study is significant in that it will fill a gap in understanding by focusing specifically on development of problem statements by students in online doctoral programs. The results of this study should aid doctoral committees and academic programs in helping students to succeed in their final projects, thus supporting eventual degree attainment. Education has long been a force for social change by addressing inequities in society. Because a broad range of students attends online institutions, supporting their successful attainment of a terminal degree allows for increased diversity among individuals in key academic and scholarly leadership positions. Rubric Standard | Impact > Does this project have potential to affect positive social change? Rubric Standard | Objective > Is the topic approached in an objective manner? ………………………………………………………………………………………………… My Doctoral Research (MyDR) If you have not done so already, you should familiarize yourself with the MyDR system. The MyDR system was designed to assist you and your committee in navigating your doctoral research journey, from the very beginning through the final approval. The various landing pages in MyDR will track your progress and will serve as a central location for resources to support that progress. There is a process flow tool in which you exchange and store faculty evaluations of and feedback on your work as you progress along that journey. You will be entered into the MyDR system when both your committee chair and second member nominees are approved by the academic program. At that point, you will be able to access MyDR from the homepage of your dissertation completion course in Blackboard. The first document that you will submit for approval in MyDR will be your prospectus.
