The 10 Strategic Points for the Prospectus, Proposal, and Dissertation
Introduction
In the Prospectus, Proposal and Dissertation there are ten 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 strategic points emerge from researching literature on a topic, which 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 ten key or strategic
points that define the research focus and approach:
1. Topic – Provides a broad 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 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.
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The Process for Defining the Ten Strategic Points
The order of the ten strategic points listed above reflects the order in which the learner does the
work. 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 based on their
personal passion, future career purpose, and degree. 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 to demonstrate their expertise in their field, and 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, their research will address. Fourth, the learner
identifies some potential target populations 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, which define the data needed
to address the problem statement.
Based on the above five strategic points, the learner next defines the key aspects of the research
methodology in the following 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 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. In addition, the learner selects the
best design approach considering these same four factors. Eight, 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, the learner identifies the appropriate data
analysis steps, 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 ten 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 ten 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,
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correctness, and alignment of each of these ten key or strategic points in the prospectus, proposal, and
dissertation. Developing these ten strategic points on a two to three pages also provides an easy-to-use
use template to ensure the ten strategic points are always worded the same throughout the prospectus,
proposal, and dissertation.
Value of the 10 Strategic Points Document
The learner can use the 10 Strategic Points document for communicating and aligning key
stakeholders for the dissertation. The learner can also use the document to get agreement between the
learner and the chair on the initial focus and approach for their research. The 10 Strategic Points
document is useful when reviewing the proposed research with the people or organizations where the
learner needs to get permission to conduct their research. The learner needs to obtain this permission to
conduct research, or site permission, before developing their Proposal. The document is useful for
communicating the dissertation focus when attracting a Content Expert as well as for reviewing the
proposal with the dissertation committee and the AQR reviewers. Further, submitting this document
with the prospectus to the methodologist will assist in demonstrating to the methodologist the
methodology, design, data collection, and data analysis align with the problem statement, research
questions, and hypotheses or phenomena.
Examples of the 10 Strategic Points Document
It is important that the ten strategic points are clear, concise, doable, and aligned throughout the
prospectus, proposal, and dissertation. Following are samples for a quantitative study and a qualitative
study. GCU does not recommend using a mixed method study, which requires the completion of a 10
Strategic Points for both the quantitative and qualitative method. A mixed-methods study should not be
proposed unless the learner has lots of extra time and resources to complete it. Additionally the learner
must be able to do both qualitative and quantitative data analysis. A qualitative study with numbers or
descriptive statistics does not mean it is mixed method study. Qualitative data can be displayed using
tables, charts, graphs and descriptive statistics. Following the examples below, there is a table to use to
develop your 10 Strategic Points.
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Example 1: Ten Strategic Points for a Quantitative Correlational Study:
1. Topic – Provides a broad research topic area/title: Relationship of Servant Leadership behaviors
in principals, school culture, and student performance
2. Literature review - Lists primary points for four sections in the Literature Review: a.
Background of the problem/gap; b. Theoretical foundations (models and theories to be
foundation for study); c. Review of literature topics with key theme for each one; d. Summary
a. Background of the problem/gap;
i.
The national call for school accountability is a critical issue that has gained
attention from federal educational lawmakers given the rate at which American
students are falling behind other countries influenced federal lawmakers in the
creation of the NCL Act (Koretz, 2009).
ii.
The school principal of the twenty first century has been asked to do and be
competent in more and more tasks than the previous two centuries of school
principals including improving student performance and the school culture
(Kafka, 2009).
iii.
The characteristics of school culture are complex, and a leader must understand
these complex variables before they create change with the school (MacNeil et al.,
2009).
iv.
Black (2010), who conducted a mixed method study showing relationship of
servant leadership and school climate, suggest additional studies in this arrea.
v.
Pritchard et al. (2005) explored the relationships between district and school
culture and student achievement.
b. Theoretical foundations (models and theories to be foundation for study);
i.
Servant leadership model (Greenleaf, 1977; Patterson 2003)
ii.
School culture models (MacNeil, 2009; Schein, 1985)
iii.
Broad set of studies exploring relationship among these two models and
performance in school. (Halawah, 2005; MacNeil et al.,2009)
c. Review of literature topics with key theme for each one;
i.
National Agenda: Need to improve the performance of students in schools to be
competitive as a nation (Koretz, 2009).
ii.
Changing Role of Principal: The role of the principal in American schools has
changed dramatically from its beginnings of uniformed education (Rousmaniere,
2007).
iii.
Servant Leadership in Principals Leads to More Effective leaders: The study
used the Self-Assessment for Servant Leadership Profile (SALS) to assess
whether or not a leader was a servant leader and the Leadership Practices
Inventory (LPI) to assess principal effectiveness. (Taylor et al., 2007).
iv.
Principal’s Behavior Influence School Culture: The principal’s influence on
school culture has an indirect effect on organizational and cultural factors of a
school (MacNeil et al., 2009).
v.
School Culture Influences Student Performance: A strong relationship exists
between school culture and student performance (McCoach et al., 2004).
vi.
Measuring Servant Leadership Behaviors: About 10 validated/tested
Instruments exist to measure Servant Leadership Behaviors some of which have
been used in schools
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vii.
viii.
ix.
Measuring Culture: Validated/tested instruments to measure culture exist and
have been used in schools.
Measuring Student Performance: State Test Scores are a standardized way to
measure student performance used across all schools in a state.
Methodology: The primary design from the Literature Review used to evaluate
relationship between Servant Leadership and variables such as culture, climate,
and performance has been correlational.
d. Summary.
i.
Gap/problem: There is a need to identify different approaches to improve student
performance
ii.
Prior studies: Prior studies show various relationships between two of the three
variables (servant leadership behaviors, culture and student performance) with
only one exploring all three
iii.
Quantitative study: Instruments and sources of data exist to collect numerical data
on the three variables
iv.
Significance: research will add to the broad area of correlating leadership, culture
and performance; research may identify specific approaches to be use by school
leadership to improve student performance
3. Problem statement - Describes the phenomena to study (qualitative) or variables/groups
(quantitative) to study, in one sentence: It is not known if there is a relationship between the
level of a principal’s servant leadership behaviors and characteristics as perceived by teachers in
principals, the school culture as perceived by teachers, and level of student performance.
4. Sample and location – Identifies sample, needed sample size, and location (study phenomena
with small numbers and variables/groups with large numbers).
a. Location: Alaska
b. Population: All schools in rural Alaska
c. Sample: One district in rural Alaska with approximately 20 principals who each lead a single
school
d. Number of observations for each principal in the sample: There are 5 to 10 teachers in each
school all of whom will be asked to complete the instruments on the principal
5. Research questions – Provides research questions to collect data to answer the problem
statement: R1: Is there a relationship between teacher-perceived principal servant leadership
characteristics and teacher-perceived school culture? R2: Is there a relationship between teacherperceived principal servant leadership characteristics and student achievement? R3: Is there a
relationship between teacher-perceived school culture and student achievement?
6. Hypothesis/variables or Phenomena - Provides hypotheses with variables for each research
question (quantitative) or describes the phenomena to be better understood (qualitative).
a. H1: There is a significant relationship between a principal’s servant leadership characteristics
as perceived by teachers and measured by the SLAI and teacher-perceived secondary school
culture as measured by the SCS.
b. H10: There is not a significant relationship between a principal’s servant leadership
characteristics as perceived by teachers and measured by the SLAI and teacher-perceived
secondary school culture as measured by the SCS.
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c. H2A: There is a significant relationship between the principal’s servant leadership
characteristics as perceived by teachers and as measured by SLAI and student achievement
measured by the SIVS.
d. H2A0: There is not a significant relationship between the principal’s servant leadership
characteristics as perceived by teachers and as measured by SLAI and student achievement
measured by the SIVS.
e. H3A: There is a significant relationship between teacher perceived secondary school culture as
measured by the SCS and student achievement as measured by the SIVS.
f. H3A0: There is a significant relationship between teacher perceived secondary school culture
as measured by the SCS and student achievement as measured by the SIVS.
7. Methodology and design - Describes the selected methodology and specific research design to
address problem statement and research questions: This study will use a Quantitative
Methodology with a Correlation Design
8. Purpose statement – Provides one sentence statement of purpose including the problem
statement, sample, methodology, and design: The purpose of this quantitative correlational
study was to develop an understanding of the relationships between secondary school principals’
teacher-perceived servant leadership, teacher-perceived school culture, and student achievement in
all of the schools in the Lower Kuskokwim School District.
9. Data collection – Describes primary instruments and sources of data to answer research
questions:
a. Independent variable: Level of principal’s servant leadership characteristics /behaviors: Data
will be collected using one of the standard instruments/surveys that measure the Servant
Leadership Style by measuring level of servant leadership characteristics in 6-10 dimensions
currently used for similar studies (Dennis and Bocarnea; 2005)
b. Dependent variable: Level of culture in the school: : Data will be collected using one of the
standard instruments/surveys currently used for similar studies that measure School Culture by
measuring the different dimensions of climate (MacNeil et al., 2009).
c. Dependent Variable: Student performance will be measured by the state/school standardized
test scores (SIVS).
10. Data analysis – Describes the specific data analysis approaches to be used to address
research questions.
a. Descriptive statistics to summarize the sample demographic data and the data on the three
variables
b. A test for univariate outliers to determine if any cases may not statistically be part of the
sample collected.
c. A test the assumptions of normality and homoscedasticity
d. Inferential statistics for testing linear regression for the three hypotheses
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Example 2: Ten Strategic Points for a Quantitative Causal Comparative Study:
1. Topic – Provide a broad research topic area/title: Impact of teacher collaboration within
Mathematics PLCs on Texas state math assessments
2. Literature review - List primary points for four sections in the Literature Review: a.
Background of the problem/gap; b. Theoretical foundations (models and theories to be
foundation for study); c. Review of literature topics with key theme for each one; d. Summary
a. Introduction and Background
i. Gap exists in tactics that contribute to improved performance in mathematics state test
scores especially for low SES Hispanic students (NCES, 2010). .
ii. Opportunity to quantity the relationships between collaboration in teachers and higher
state mathematics test scores (DuFour, 2011).
b. Theoretical Foundation
i. Models of collaboration (Naughton, 2006).
ii. Models of high performing schools (Sanders, 2010; Wilson, 2011),
c. Review of Literature topics with key theme:
i. Trends in Education at the National & State Level: Gaps exist in the performance on state
mathematics tests (NCES, 2010)
ii. Characteristics of the Low SES Student Population: Although performance gaps continue
to be higher for some high minority low SES schools (NCES, 2010), others are high
performing or excelling schools on state test results (Jensen, 2009; Dyson, H. 2008). .
iii. Professional Learning Communities (PLCs): PLCs are being established with
departments to improve collaboration and identify tactics to improve student performance
(DuFour, DuFour, Eaker, & Many, 2006).
iv. Teacher Collaboration: Collaboration has been shown to contribute to school and student
success in qualitative but not quantitative studies (Piccardi, 2005; Erkens, 2008; DuFour,
2011).
v. Teacher Collaboration (independent variable) can be measured using a tested and
validated instrument (dependent variable) (Naughton, 2006); Student Achievement can
be measured using mathematics results on state test scores
vi. Methodology: Quantitative causal comparative design: The study will use a causal
comparative design to compare two groups as has been done in prior studies
d. Synthesis/Summary
i. Background: There is Need to Close the Mathematics Achievement Gap
ii. Gap/Problem: Demonstrate relationship between collaboration in PLC and mathematics
achievement in high minority low SES grade schools
iii. PLCs: The Way to Implement Change is through Collaboration through PLCs
iv. Collaboration: Collaboration is a mean to Impact Student Achievement
v. Final Thoughts
3. Problem statement - Explain the phenomena to study (qualitative) or variables/groups
(quantitative) to study, in one sentence: It is unknown what differences exist, if any, in the levels
of perceived teacher collaboration within PLCs in schools identified as high performing versus those
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reported at low performing schools, which serve both a high percentage of low SES students and
Hispanic students, on state math assessment.
4. Sample and location – Identify sample, needed sample size, and location (study phenomena
with small numbers and variables/groups with large numbers): Need at least 30 grade schools
that are high performing and 30 that are low performing on state mathematics test scores in the state
of Texas. Schools need to have established PLCs for mathematics.
a. Research questions – Provide research questions to collect data to answer the problem
statement: R1: What differences exist, if any, between the levels of perceived teacher
collaboration within PLCs in schools identified by the state of Texas as high performing versus
those perceived at low performing schools that serve both, a high percentage of low SES and
Hispanic students, on state math assessment?
b. Hypothesis/variables or Phenomena - Develop Hypotheses with variables for each research
question (quantitative) or describe the phenomena to be better understood (qualitative)
Compare high performing schools on their state test scores in mathematics (group 1) to low
performing schools (group 2) on their perceived level of collaboration in the mathematics PLCs.
c. HA: There would be a significant difference between the levels of perceived teacher
collaboration within PLCs in schools identified by the state of Texas as high performing versus
those perceived at low performing that serve both, a high percentage of low SES and Hispanic
students, on state math assessment.
d. H0: There would be no significant difference between the levels of perceived teacher
collaboration within PLCs in schools identified by the state of Texas as high performing versus
those perceived at low performing that serve both, a high percentage of low SES and Hispanic
students, on state math assessment.
5. Methodology and design - Describe the selected methodology and specific research design to
address problem statement and research questions: Quantitative methodology with a causal
comparative research design
6. Purpose statement – Provide one sentence statement of purpose including problem statement,
sample, methodology, and design: The purpose of this causal comparative quantitative study is to
examine to what extent the level of teacher collaboration within Mathematics PLCs is a factor that
may influence the mathematics achievement level on the Texas mathematics assessment of
elementary schools identified as 'high performing' or 'low performing', and serving a majority of low
SES and Hispanic students.
7. Data collection – Describe primary instruments and sources of data to answer research
questions: For the independent variable, this study will use the Mathematics Staff Interaction
Questionnaire (MSIQ) developed by Naughton (2006). To measure the dependent variable, the
researcher will use archival data (provided by the district’s Research Review Board office) for each
elementary school in one North Texan school district to differentiate schools based on achievement
level as indicated by the 2011 Texas mathematics assessment.
8. Data analysis – Describe the specific data analysis approaches to be used to address research
questions: A priori analysis will be used to justify the sample size. Descriptive statistics will
describe the sample characteristics and variable results. An independent t-test will test for difference
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between the two groups of 30 schools (high performing versus low performing on mathematics) on
level of collaboration.
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Example 3: Ten Strategic Points for a Qualitative Case Study:
1. Topic – Provides a broad research topic area/title: A Case Study of how a comprehensive global
programme, the International Baccalaureate Middle Years Programme, influences the success of a
single middle school.
2. Literature review - Lists primary points for four sections in the Literature Review: a.
Background of the problem/gap; b. Theoretical foundations (models and theories to be
foundation for study); c. Review of literature topics with key theme for each one; d. Summary.
a. Background of the problem/gap:
i.
Prior studies which show a relationship between achievement in mathematics and
literacy and taking a language identified need to study how taking a foreign language
leads, especially in immersion programs, to higher levels of cognitive development
as reflected in higher scores in mathematics and literacy (Stewart, 2008).
ii.
Dr. Celestine Gail Carr (1994) concluded that further studies on the effects of
foreign language studies on vocabulary, mathematical concepts, and mathematical
computations examining for a correlation between foreign language aptitude and
mathematical aptitude at the middle school level.
iii.
Dr. Carolyn Joyce Taylor-Ward (2003) identified the need for future sties on
relationship between studying elementary school foreign language and academic
achievement on state test scores.
b. Theoretical Foundations (models and theories to be foundation for study);
Lev Vygotsky, a pioneer in developmental psychology researched the development of language
and its relationship to thought (Vygotsky, 1986). Vygotsky studied cognitive development and
its relationship to the role of social interaction with the environment (Vygotsky, 1978). Vygotsky
proposed that language, along with environmental social interaction helps a child to learn to
reason (Vygotsky, 1978). Learning a foreign language is a social activity that involves a
learner’s interaction with the environment and their teacher. Vygotsky’s model supports the
assumption that cognitive development transfers in the Zone of Proximal Development
(Vygotsky, 1978). The International Baccalaureate Middle Years Program provides a medium
for which a More Knowledgeable Other and the Zone of Proximal Development take place.
Learners demonstrate through interaction in organized debates, hands-on experimentation
projects, investigations, and problem solving activities.
c. Review of literature topics with key theme for each one;
i.
Historical Events: Historically, there have been laws enacted, government initiatives,
and global events that have driven the need for support of a global education as well as
improved performance in basic areas such as mathematics and literacy within the United
States of America.
ii. National Security: Today’s global realities make it imperative for the United States to
adapt a global perspective including learning foreign languages as a priority for U.S.
national security and to help the U.S. remain a global leader.
iii. Global Literacy: There are high performing schools that have comprehensive global
learning programs, which have contributed to students’ cognitive development and
resulting improvements of national and state standardized test scores.
iv.
Cognitive Development: Empirical research shows that a relationship exists between
cognitive development, comprehensive global learning, and student success in areas such
as mathematics and literacy.
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v.
3.
4.
5.
6.
7.
8.
9.
Qualitative Case Study Design: Prior studies on this program have been predominately
correlational and focused on determine the impact of the program. However, an in-depth
understanding of how this program may be influencing student performance is missing. A
case study is an ideal approach to understand the causal relationships within complex
phenomena (Yin, 2014).
d. Summary.
i.
United States priority for global literacy to be competitive and secure.
ii. Learning foreign languages leads to improved cognitive development and student
performance.
iii. Gap in terms of additional research needed to examine these findings.
iv.
Case study design is ideal for understanding causal relationships within complex
phenomena.
Problem statement - Describes the phenomena to study (qualitative) or variables/groups
(quantitative) to study, in one sentence: It is not known how the International Baccalaureate
Middle Years Programme influences the success of a single middle school in the state of Georgia.
Sample and location – Identifies sample, needed sample size, and location (study phenomena
with small numbers and variables/groups with large numbers).
a. Location: The state of Georgia of the United States of America.
b. Target Population: A school district with over 25 schools.
c. Sample: A single middle school that uses the International Baccalaureate Middle Years
Programme and has over 500 students.
Research questions – Provides research questions to collect data to answer the problem
statement:
a. R1: What is the nature and structure of the International Baccalaureate Middle Years Programme?
b. R2: How does the International Baccalaureate Middle Years Programme impact school success
including Annual Yearly Progress?
c. R3: What factors of the International Baccalaureate Middle Years Programme contribute to
cognitive development?
d. R4: What factors of the International Baccalaureate Middle Years Programme contribute to global
literacy?
e. R5: How does the leadership of an International Baccalaureate Middle Years Programme
contribute to a schools’ success?
f. R6: How is the International Baccalaureate Middle Years Programme evaluated?
Hypothesis/variables or Phenomena - Provides hypotheses with variables for each research
question (quantitative) or describes the phenomena to be better understood (qualitative).
a. Phenomenon: Understanding the nature and impact of an International Baccalaureate Middle
Years Programme in a single middle school in the state of Georgia on global literacy and
improvement in cognitive development as well as mathematics and literacy performance.
Methodology and design - Describes the selected methodology and specific research design to
address problem statement and research questions: The methodology is qualitative. The design is
a single case study of a single program and how it influences a single middle school.
Purpose: The purpose of the qualitative single case study is to determine how the International
Baccalaureate Middle Years Programme influences the success of a single middle school in the state
of Georgia.
Data collection – Describes primary instruments and sources of data to answer research
questions:
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a. The researcher will get an overview of the International Baccalaureate Programme through the
website provided by the International Baccalaureate.
b. The investigator will look at the Georgia Department of Education’s public database to
determine if state standardized test scores of this single middle school show success in
performance and other dimensions of performance that display on the public database.
c. The investigator will interview the founders of and curriculum developers of the International
Baccalaureate to understand focus of program and how it develops global literacy and may lead
to improved cognitive development reflected in mathematics and literacy scores on state tests.
d. The investigator will interview the International Baccalaureate Middle Years Programme schoolbased principal, programme coordinator, and foreign language teachers.
e. Media, curriculum (designer and school based), and evaluation reports about International
Baccalaureate Programme will contribute to the study.
f. The researcher will look at factors of the International Baccalaureate Middle Years Programme
(curriculum, reports, interviews with developers and the school-based principal) that contributes
to cognitive development and global literacy.
10. Data analysis – Describes the specific data analysis approaches to be used to address research
questions.
a. Data will be organized and prepared for analysis.
b. Descriptive statistics will summarize the data.
c. Coding will generate themes to address the research questions.
d. A narrative and visual summary of the case study will be developed across the research
questions.
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.
Table to Use to Complete your 10 Strategic Points
Ten Strategic Points
Comments or
Feedback
Broad Topic
Area
Lit Review
Problem
Statement
Research
Questions
Sample
Describe
Phenomena
(qualitative)
or Define
Variables/Hy
potheses
(quantitative)
Methodology
& Design
Purpose
Statement
Data
Collection
Approach
Data Analysis
Approach
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Dissertation Prospectus
Submitted by
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.
Scor
e
0
1
2
3
Assessment
Item Not Present
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.
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.
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.
2
Criteria (Required Components): score 0-3
Learner SelfEvaluation 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
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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 SelfEvaluation 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:
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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.
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Criteria (Required Components): score 0-3
Learner SelfEvaluation
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
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Criteria (Required Components): score 0-3
Learner SelfEvaluation
Score
(0-3)
Chair or
Reviewer
Evaluation Score
(0-3)
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
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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 SelfEvaluation
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
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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)
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Phenomenon:
R1:
R2:
OR
Quantitative (Research Questions, Hypotheses and Variables)
Variable 1:
Variable 2:
Variable 3:
R1:
H1:
H01:
R2:
H2:
H02:
OR
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.
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Criteria (Required Components): score 0-3
Learner SelfEvaluation
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:
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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 SelfEvaluation
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
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Criteria (Required Components): score 0-3
Learner SelfEvaluation
Score
(0-3)
Chair or
Reviewer
Evaluation
Score
(0-3)
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).
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Criteria (Required Components): score 0-3
Learner SelfEvaluation
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:
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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 SelfEvaluation
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.
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Criteria (Required Components): score 0-3
Learner SelfEvaluation
Score
(0-3)
Chair or
Reviewer
Evaluation
Score
(0-3)
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
Prospectus Template v6.2.14.14
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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)
Prospectus Template v6.2.14.14
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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 SelfEvaluation
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.
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Chair or
Reviewer
Evaluation
Score
(0-3)
NOTE: When writing this section ensure it has a logical flow, as well as uses correct paragraph
Criteria (Required Components): score 0-3
Learner SelfEvaluation
Score
(0-3)
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.
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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 SelfEvaluation
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
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Criteria (Required Components): score 0-3
Learner SelfEvaluation
Score
(0-3)
Chair or
Reviewer
Evaluation
Score
(0-3)
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
Prospectus Template v6.2.14.14
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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 SelfEvaluation
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
Prospectus Template v6.2.14.14
22
Criteria (Required Components): score 0-3
Learner SelfEvaluation
Score
(0-3)
Chair or
Reviewer
Evaluation
Score
(0-3)
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
Prospectus Template v6.2.14.14
23
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 SelfEvaluation
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
Prospectus Template v6.2.14.14
24
Criteria (Required Components): score 0-3
Learner SelfEvaluation
Score
(0-3)
Chair or
Reviewer
Evaluation
Score
(0-3)
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 SelfEvaluation
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.
Prospectus Template v6.2.14.14
25
Criteria (Required Components): score 0-3
Learner SelfEvaluation
Score
(0-3)
Chair or
Reviewer
Evaluation
Score
(0-3)
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:
Prospectus Template v6.2.14.14
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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.
Prospectus Template v6.2.14.14
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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.
Prospectus Template v6.2.14.14
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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, onesentence 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.
Prospectus Template v6.2.14.14
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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.
Prospectus Template v6.2.14.14
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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
1.
1.
2.
2.
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
3.
Table 2
Qualitative Studies
Research Questions:
State the Research
Questions that will be
used to collect data to
understand the
Phenomenon being
studied
2.
Phenomenon:
Describe the overall
phenomenon being studied
by the research questions
1.
Prospectus Template v6.2.14.14
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.
31
Research Questions:
State the Research
Questions that will be
used to collect data to
understand the
Phenomenon being
studied
3.
Phenomenon:
Describe the overall
phenomenon being studied
by the research questions
2.
3.
Prospectus Template v6.2.14.14
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.
The Dissertation Title Appears in Title Case and is Centered
Submitted by
Insert Your Full Legal Name (No Titles, Degrees, or Academic Credentials)
Equal Spacing
~2.0” – 2.5”
A Dissertation Presented in Partial Fulfillment
of the Requirements for the Degree
Doctorate of Education
Equal Spacing~2.0” – 2.5”
Grand Canyon University
Phoenix, Arizona
December 31, 2015
© by Your Full Legal Name (No Titles, Degrees, or Academic Credentials), 2015
All rights reserved.
GRAND CANYON UNIVERSITY
The Dissertation Title Appears in Title Case and is Centered
by
Insert Your Full Legal Name (No Titles, Degrees, or Academic Credentials)
Approved
December 31, 2015
DISSERTATION COMMITTEE:
Full Legal Name, Ed.D., DBA, or Ph.D., Dissertation Chair
Full Legal Name, Ed.D., DBA, or Ph.D., Committee Member
Full Legal Name, Ed.D., DBA, or Ph.D., Committee Member
ACCEPTED AND SIGNED:
________________________________________
Michael R. Berger, Ed.D.
Dean, College of Doctoral Studies
_________________________________________
Date
GRAND CANYON UNIVERSITY
The Dissertation Title Appears in Title Case and is Centered
I verify that my dissertation represents original research, is not falsified or plagiarized,
and that I have accurately reported, cited, and referenced all sources within this
manuscript in strict compliance with APA and Grand Canyon University (GCU)
guidelines. I also verify my dissertation complies with the approval(s) granted for this
research investigation by GCU Institutional Review Board (IRB).
_____________________________________________
[Type Doctoral Learner Name Beneath Signature]
______________________
Date
Abstract
The abstract is required for the dissertation manuscript only. It is not a required page for
the proposal. The abstract, typically read first by other researchers, is intended as an
accurate, nonevaluative, concise summary or synopsis of the research study. It is usually
the last item completed when writing the dissertation. The purpose of the abstract is to
assist future researchers in accessing the research material and other vital information
contained in the dissertation. Although few people typically read the full dissertation after
publication, the abstract will be read by many scholars and researchers. Consequently, great
care must be taken in writing this page of the dissertation. The content of the abstract covers
the purpose of the study, problem statement, theoretical foundation, research questions
stated in narrative format, sample, location, methodology, design, data analysis, results,
and a valid conclusion of the research. The most important finding(s) should be stated with
actual data/numbers (quantitative) or themes (qualitative) to support the conclusion(s). The
abstract does not appear in the table of contents and has no page number. The abstract is
double-spaced, fully justified with no indentations or citations, and no longer than one
page. Refer to the APA Publication Manual, 6th Edition, for additional guidelines for the
development of the dissertation abstract. Make sure to add the keywords at the bottom of
the abstract to assist future researchers.
Keywords: Abstract, assist future researchers, 150 to 250 words, vital information
Criterion
*(Score = 0, 1, 2, or 3)
Learner
Score
Chair
Score
Methodologist
Score
Content Expert
Score
ABSTRACT
(Dissertation Only—Not Required for the Proposal)
The abstract is typically read first by other researchers and is an accurate, non-evaluative, concise summary
or synopsis of the research study. The abstract provides a succinct summary of the study and MUST
include the purpose of the study, theoretical foundation, research questions (stated in narrative format),
sample, location, methodology, design, data analysis, and results, as well as, a valid conclusion of the
research. Abstracts must be double-spaced, fully justified with no indentions. (one page)
The abstract provides a succinct
summary of the study and MUST
include: the purpose of the study,
theoretical foundation, research
questions stated in narrative format,
sample, location, methodology, design,
data analysis, results, and a valid
conclusion of the research. Note: The
most important finding(s) should be
stated with actual data/numbers
(quantitative) ~or~ themes (qualitative)
to support the conclusion(s).
The abstract is written in APA format,
one paragraph fully justified with no
indentations, double spaced with no
citations, and includes key search words.
Keywords are on a new line and
indented.
The abstract is written in a way that is
well structured, has a logical flow, uses
correct paragraph structure, uses correct
sentence structure, uses correct
punctuation, and uses correct APA
format.
*Score each requirement listed in the criteria table using the following scale:
0 = Item Not Present or Unacceptable. Substantial Revisions are Required.
1 = Item is Present. Does Not Meet Expectations. Revisions are Required.
2 = Item is Acceptable. Meets Expectations. Some Revisions May be Suggested or Required.
3 = Item Exceeds Expectations. No Revisions are Required.
Reviewer Comments:
vi
Dedication
An optional dedication may be included here. While a dissertation is an objective,
scientific document, this is the place to use the first person and to be subjective. The
dedication page is numbered with a Roman numeral, but the page number does not
appear in the table of contents. It is only included in the final dissertation and is not part
of the proposal. If this page is not to be included, delete the heading, the body text, and
the page break below. If you cannot see the page break, click on the ¶Show/Hide button
(go to the Home tab and then to the Paragraph toolbar).
vii
Acknowledgments
An optional acknowledgements page can be included here. This is another place
to use the first person. If applicable, acknowledge and identify grants and other means of
financial support. Also acknowledge supportive colleagues who rendered assistance. The
acknowledgments page is numbered with a Roman numeral, but the page number does
not appear in the table of contents. This page provides a formal opportunity to thank
family, friends, and faculty members who have been helpful and supportive. The
acknowledgements page is only included in the final dissertation and is not part of the
proposal. If this page is not to be included, delete the heading, the body text, and the page
break below. If you cannot see the page break, click on the ¶Show/Hide button (go to the
Home tab and then to the Paragraph toolbar).
viii
Table of Contents
List of Tables ..................................................................................................................... xi
List of Figures ................................................................................................................... xii
Chapter 1: Introduction to the Study....................................................................................1
Introduction ....................................................................................................................1
Background of the Study ...............................................................................................5
Problem Statement .........................................................................................................5
Purpose of the Study ......................................................................................................7
Research Question(s) and Hypotheses ...........................................................................8
Advancing Scientific Knowledge ................................................................................11
Significance of the Study .............................................................................................12
Rationale for Methodology ..........................................................................................13
Nature of the Research Design for the Study...............................................................15
Definition of Terms......................................................................................................16
Assumptions, Limitations, Delimitations ....................................................................18
Summary and Organization of the Remainder of the Study ........................................20
Chapter 2: Literature Review .............................................................................................22
Introduction to the Chapter and Background to the Problem ......................................22
Theoretical Foundations and/or Conceptual Framework .............................................24
Review of the Literature ..............................................................................................25
Summary ......................................................................................................................32
Chapter 3: Methodology ....................................................................................................35
Introduction ..................................................................................................................35
ix
Statement of the Problem .............................................................................................36
Research Question(s) or Hypotheses ...........................................................................36
Research Methodology ................................................................................................38
Research Design...........................................................................................................39
Population and Sample Selection.................................................................................41
Instrumentation OR Sources of Data ...........................................................................43
Validity ........................................................................................................................45
Reliability.....................................................................................................................47
Data Collection and Management ................................................................................48
Data Analysis Procedures ............................................................................................49
Ethical Considerations .................................................................................................51
Limitations and Delimitations......................................................................................53
Summary ......................................................................................................................54
Chapter 4: Data Analysis and Results ................................................................................56
Introduction ..................................................................................................................56
Descriptive Data...........................................................................................................57
Data Analysis Procedures ............................................................................................60
Results ..........................................................................................................................62
Summary ......................................................................................................................69
Chapter 5: Summary, Conclusions, and Recommendations ..............................................72
Introduction ..................................................................................................................72
Summary of the Study .................................................................................................73
Summary of Findings and Conclusion.........................................................................74
x
Implications..................................................................................................................76
Theoretical implications. .....................................................................................77
Practical implications ..........................................................................................77
Future implications .............................................................................................77
Recommendations ........................................................................................................79
Recommendations for future research ................................................................79
Recommendations for future practice. ................................................................80
References ..................
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