Module 3.2Review the Prospectus Template, Dissertation Proposa.docx

Module 3.2
Review the Prospectus Template, Dissertation Proposal
Template, Milestone Guide, and Milestone Table in the DC
Network and discuss how these documents have been helpful to
you in completing your ISP. What challenges have you
encountered while developing your ISP? How will you work
with your chair to address these challenges so that you can meet
the goals in your ISP?
After reviewing the Content Expert presentation, what steps
have you taken to identify a content expert to serve on your
committee?
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 strategy 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.
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 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. 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, 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.
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
the Literature Review: a. Background of the problem/gap; b.
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
vii. Measuring Culture: Validated/tested instruments to measure
culture exist and have been used in schools.
viii. Measuring Student Performance: State Test Scores are a
standardized way to measure student performance used across
all schools in a state.
ix. 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.

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
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 teacher-perceived principal
servant leadership characteristics and student achievement? R3:
Is there a relationship between teacher-perceived school culture
and student achievement?
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.
c. H2A: There is a significant relationship between the
teachers and as measured by SLAI and student achievement
measured by the SIVS.
d. H2A0: There is not a significant relationship between the
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.
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.
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).
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
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
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
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 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,
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
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
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
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 between
the two groups of 30 schools (high performing versus low
performing on mathematics) on level of collaboration.
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.
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.
v. 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.
3. Problem statement - Describes the phenomena to study
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.
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.
data to answer the problem statement:
10. R1: What is the nature and structure of the International
Baccalaureate Middle Years Programme?
10. R2: How does the International Baccalaureate Middle Years
Programme impact school success including Annual Yearly
Progress?
10. R3: What factors of the International Baccalaureate Middle
Years Programme contribute to cognitive development?
10. R4: What factors of the International Baccalaureate Middle
Years Programme contribute to global literacy?
10. R5: How does the leadership of an International
Baccalaureate Middle Years Programme contribute to a schools’
success?
10. R6: How is the International Baccalaureate Middle Years
Programme evaluated?
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.
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.
8. 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.
of data to answer research questions:
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 school-based 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.
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.

.
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/Hypotheses (quantitative)
Methodology & Design
Purpose Statement
Data Collection Approach
Data Analysis Approach

4
03/15/2015
Corresponding Sections of Ten Key Strategic Points,
Prospectus, and Proposal
Ten Key Points
Prospectus
Proposal
· Point 1: Topic
· Introduction of Prospectus
· Introduction in Proposal
· Point 2: Background of the Problem/Gap
· Background of the Problem/Gap
· Chapter 1: Background of the Study
· Point 2: Literature Review Topics
· Review of the Literature
· Significance of the Study section in Chapter 1.
· Expanded to become Chapter 2 of Proposal
· Point 2: Theoretical Foundations/Conceptual Framework
· Theoretical Foundations/Conceptual Framework
· Advancing Scientific Knowledge section in Chapter 1
· Theoretical Foundations/Conceptual Framework in Chapter 2.
· Point 3: Problem Statement
· Problem Statement
· Becomes the foundation for the Problem Statement section in
Chapter 1 of the Proposal.

· Point 4: Sample and Location
· Nature of the Research Design for the Study. The section is
much like a recipe: it includes a description and size of the
target population and the expected sample to be realized from
the target population.
· Chapter 1 Section: Nature of the Research Design for the
Study.
· Chapter 3:
· Point 5: Research Questions
· Research questions and phenomenon, hypotheses and
variables.
· Research Question(s) and/or Hypotheses section in Chapter 1
in the Proposal and the dissertation.
· Point 6: Hypotheses/variables or phenomena
· Research questions and phenomenon, hypotheses and
variables.
· Research Question(s) and/or Hypotheses section in Chapter 1
in the Proposal and the dissertation.
· Point 7: Methodology and Design
· Rationale for Methodology
· Becomes the foundation for the Research Methodology in
Chapter 1 of the Proposal and the basis for developing the
Research Methodology section of Chapter 3.
· Point 8: Purpose Statement
· Purpose of the Study
· Becomes the foundation for the Purpose of the Study in
Chapter 1 of the Proposal
· Point 9: Data Collection
· Instrumentation or Sources of Data
· 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 also provides the foundation for
Instrumentation (quantitative) or Sources of Data (qualitative)
section in Chapter 3.
· Point 10: Data Analysis· Data Analysis Procedures
· Provides the foundation for Data Analysis Procedures section
in Chapter 3
31
Dissertation Prospectus
<Insert Prospectus Title >
Submitted by
<Insert Name>
<Insert Submission Date>
<Insert Chair Name>
Prospectus Instructions:
1. Read the entire Prospectus Template to understand the
requirements for writing your Prospectus. Each section contains
a narrative overview of what should be included in the section
and a table with criteria required for each section. These criteria
will be used to assess the prospectus for overall quality and
feasibility of the proposed research study.
2. As you draft each section, delete the narrative instructions
and insert your work related to that section. Use the criteria
table for each section to ensure that you address the
requirements for that particular section. Do not delete/remove
the criteria table as this is used by you and your Committee to
evaluate your prospectus.
3. Prior to submitting your prospectus for review by your Chair

or Methodologist, use the criteria table for each section to
complete a self-evaluation, inserting what you believe is your
score for each listed criteria into the Learner Self-Evaluation
column.
4. The scoring for the criteria ranges from a 0-3 as defined
below. Complete a realistic and thoughtful evaluation of your
work. Your Chair and Methodologist will also use the criteria
tables to evaluate your work.
5. Your Prospectus should be between 6-10 pages when the
tables are deleted.
Score
Assessment
0
Item Not Present
1
Item is Present, But Does Not Meet Expectations: Not all
components are present. Large gaps are present in the
components that leave the reader with significant questions. All
items scored at 1 must be addressed by learner per reviewer
comments.
2
Item Approaches Meeting Expectations, But Needs Revision:
Component is present and adequate. Small gaps are present that
leave the reader with questions. Any item scored at 2 must be
addressed by the learner per the reviewer comments.
3
Item Meets Expectations: Component is addressed clearly and
comprehensively. No gaps are present that leave the reader with
questions. No changes required.
2

Dissertation Prospectus
Introduction
The Prospectus is 6-10 page document that serves as a road map
for the dissertation. It provides the essential framework to guide
the development of the dissertation proposal. The Prospectus
builds on the 10 Strategic Points (shown in Appendix A). The
Prospectus will be expanded to become your dissertation
proposal (Chapters 1, 2 and 3 of your dissertation), which will
in turn, be expanded to become the complete dissertation
(Chapters 1-5). Prior to developing the Prospectus, the 10
Strategic Points should be reviewed with the Chair and
Committee to ensure the10 Strategic Points are aligned and that
you have a clear, defined, and a doable study. Your 10 Strategic
Points should be included in Appendix A of this Prospectus
document.
The Introduction section broadly describes the research focus
that will be addressed by the dissertation and why that focus is
worthy of further investigation. The Introduction should clearly
define how the study will extend prior research. Additionally, it
should identify examples of the studies on the topic that
illustrate the current research. It is also important to ensure the
Prospectus is well written from the very first draft. Prior to
submitting it to the Committee Chair, ensure paragraphs are
developed that (1) contain a topic sentence defining the focus of
the paragraph, (2) discuss only that single topic, (3) contain
three to seven sentences, and (4) include a transition sentence to
the next paragraph or section. The sentences should also be
structurally correct, short, and focused. Throughout the
dissertation process, learners are expected to always produce a
well-written document. Committee members and the AQR

reviewers will not edit writing. If it is not well written,
reviewers will provide a high-level, general comment on the
overall areas that need to be improved before they will review
the document again.
Criteria (Required Components): score 0-3
Learner Self-Evaluation Score
(0-3)
Chair or Reviewer Evaluation Score
(0-3)
Introduction
This section briefly overviews the research focus or problem,
why this study is worth conducting, and how this study will be
completed.
The recommended length for this section is one paragraph.
1. Dissertation topic is introduced.
2. Describes how the study extends prior research or fills a
“need” or “defined gap” from current literature.
NOTE: This Introduction section elaborates on Point #1(the
Topic) from the 10 Strategic Points. This Introduction section
provides the foundation for the Introduction section in Chapter
1 of the Proposal.
NOTE: When writing this section ensure it has a logical flow,
as well as uses correct paragraph structure, sentence structure,
tense, punctuation, and APA format.
Comments from the Evaluator:
Background of the Problem
The Background of the Problem section of the Prospectus uses
the literature to provide the reader with a brief historical
perspective of the problem or research gap the study will

address. A gap is defined as a need or opportunity that has been
identified in the existing body of research literature (empirical
research articles or dissertations). A gap is not defined as
research on a topic for which there is no related research in the
existing body of literature. A dissertation research topic must
emerge from the existing body of research literature and not
from a personal agenda. From this section, the reader should be
able to discern how and when this problem originated and how
it developed over time. This section, then, defines the current
problem, that needs to be studied based on the literature and
prior studies on the topic. This section must include citations
from the past 5 years of the literature that clearly present
evidence defining the current problem or opportunity that needs
to be further researched. The studies referenced should help to
justify the need for your specific research study.
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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.
as well as, uses correct paragraph structure, sentence structure,
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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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 Foundationssection identifies the theory(s),
model(s) relevant to the variables (quantitative study) or
phenomenon (qualitative study). This section should explain
how the study topic or problem coming out of the “need” or
“defined gap” in the Background to the Problem section relates
to the theory(s) or model(s). (One paragraph)
2. Review of the Literature Themes/Topics section: This section
lists the major themes or topics related to the research topic. It
provides a short one-two sentence description of each
theme/topic and identifies its relevance to the research topic
supporting it with at least one citation from the literature. (One
or two sentences per theme/topic).
3. ALIGNMENT: The Theoretical Foundations models and
theories need to be related to and support the problem statement
or study topic. The sections in the Review of the Literature are
topical areas needed to understand the various aspects of the
phenomenon (qualitative) or variables/groups (quantitative)
being studied; to select the design needed to address the
Problem Statement; to select surveys or instruments to collect
information on variables/groups; to define the population and
sample for the study; to describe components or factors that
comprise the phenomenon; to describe key topics related to the
study topic, etc.
NOTE: The two parts of this section use information from Point
#2 (Literature Review) from the 10 Strategic Points.This
Theoretical Foundations section is expanded upon to become the

Theoretical Foundations section in Chapter 2 (Literature
Review). The Theoretical Foundations section is also used to
help create the Advancing Scientific Knowledge section in
Chapter 1. This Review of Literature Themes/Topics section is
expanded upon to provide the Review of the Literature section
in Chapter 2 (Literature Review). The Review of the
LiteratureThemes/Topics section is also used to provide the
basis for the Significance of the Study section in Chapter 1.
Problem Statement
This section of the Prospectus should begin with a one-sentence
Problem Statement in the format appropriate for the design. It
should clearly state the problem or research focus. This problem
or research focus should evolve from the Background to the
Problem section discussed above. The problem statement should
begin with a clear declarative statement. This section describes
the significance, magnitude, and importance of the problem that
makes the study worthwhile. This section should be supported
with citations from the literature.
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Problem Statement
This section includes the problem statement, the population
affected, and how the study will contribute to solving the
problem.
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.
tense, punctuation, and APA format
Comments from Evaluator:
Research Question(s) and Phenomenon or Research Questions,
Hypotheses, and Variables
The Research Question(s) and Phenomenon or Research
Questions and Hypothesis section of the Prospectus specifies
the Research Questions to be answered by the study. For a
qualitative study, this section specifies the Research Questions
as well as the Phenomenon to be studied. For a quantitative
study, it defines the Research Questions, the Hypotheses, and
the Variables for which data will be collected. The Research
Questions should be derived from the Problem Statement, as
well as, the model(s) or theory(s) selected to provide the
theoretical foundations for the research. If the study is
qualitative, state two or more research question(s) that guide the

research for collecting the information needed to answer the
problem statement and describe the phenomenon being studied.
If the study is quantitative, state two or more research
question(s) and associated hypotheses. Additionally, identify
and define the specific variables in the hypothesis for which
data will be collected. The Research Questions are later used to
define the data collection and analysis.
HINT: Many researchers use their problem statement to develop
a Primary Research Question they use to develop their other
research questions. This is done by simply converting the
Problem Statement into a question format. Below is an example
for a qualitative and quantitative study. Assume the Problem
Statement for a qualitative study is “It is not known how a high-
minority, low-SES school in Atlanta outperforms all of the high
SES schools in and around its district on state tests in literacy,
mathematics and science.” The Primary Research Question
becomes: “How does a high minority low SES school in Atlanta
outperforms all of the high-minority, high-SES schools in and
around its district on state tests in literacy, mathematics and
science?” Assume the Problem Statement for a quantitative
study is “It is not known if and to what degree there is a
correlation between level of transformational leadership in
principals and school climate.” The Primary Research Question
is “Is there a correlation between level of transformational
leadership in principals and school climate?”
Qualitative (Research Questions and Phenomena Description)
Phenomenon:
R1:
R2:
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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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) & #6Hypothesis/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.
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.

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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.
1. Describes how the proposed research will contribute to the
Literature, relating it specifically to other studies from the
Background to the Problem and Problem Statement above.
2. Describes how the proposed research will contribute to the
literature on the selected theory(s) or model(s) that comprise the
Theoretical Foundation for the study.
3. Describes how addressing the problem will have practical
value for the real world considering the population, community,
and/or society.
4. ALIGNMENT:
Part 1 is based on specific studies from the Background to the
Problem and Problem Statements sections above and identifies
how this research will contribute to that Literature. Part 2 is
based on specific model(s), theory(s) or variables from the
Theoretical Foundations section above and identifies how this
research will contribute to the knowledge on those model(s) or
theory(s). Part 3 reflects on potential practical applications of
the potential research findings based on Literature in the field

of practice.
NOTE: This section does not directly come from any section of
the 10 Strategic Points. However it does build on the
Background to the Problem, Problem Statement and Theoretical
Foundations sections that are developed from the 10 Strategic
Points. This section becomes the Significance of the Study
section in Chapter 1 in the Proposal.
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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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.
tense, punctuation, and APA format

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.
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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
in Appendix B.
1. Identifies the specific type of research design chosen for the
study as well as a sample appropriate for the design. (e.g.,
Quantitative designs include descriptive/survey, correlational,
causal-comparative, quasi-experimental, and experimental.
Qualitative designs include case study, narrative, grounded

theory, historical, and phenomenological.) Although other
designs are possible, these are the designs GCU recommends
doctoral learners use to help ensure a doable study.
2. Discusses why the selected design is the best design to
address the research questions as compared to other designs.
3. ALIGNMENT: The selected Research Design should be
justified based on the research questions as well as the
hypotheses/variables (quantitative) or phenomenon
(qualitative). It should also be aligned with the selected
Research Methodology.
NOTE: This section also elaborates on the Design part of Point
#7 (Methodology and Design) in the 10 Strategic Points. This
section provides the foundation for Nature of the Research
Design for the Study in Chapter 1.
Comments from Evaluator:
Purpose of the Study
The Purpose of the Study section of the Prospectus summarizes
the study by providing a reflection of the Problem Statement,
methodology, design, target population, and study location. This
section should begin with a declarative statement, “The purpose
of this (qualitative, quantitative, or mixed method/ with design)
study is to (describe, improve, predict, or examine)…”. From
the purpose statement, the reader should be able to discern the
problem being addressed, the research method (qualitative,

quantitative, or mixed), the research design, the variables or
phenomenon to be studied, the target population, and the
general geographic location of the study.
Creswell (2009) provided some sample scripts for developing
purpose statements aligned with the different research methods
(qualitative/quantitative/mixed) as follows:
The purpose of this qualitative ______________ (case study,
ethnography) is to _________ (understand, describe, explore,
develop) the ____________________ (phenomenon being
studied) for _______ (participants) at ________________
(research site/geographical location). At this stage in the
research, the __________________ (central phenomenon being
studied) will be generally be defined as ___________ (provide a
general definition).
The purpose of this quantitative ___________ (correlational,
descriptive, etc.) research is to ____________ (compare or see
to what degree a relationship exists) between/among
______________________ (independent variable) to
___________________ (dependent variable) for
________________ (participants) at ___________________
(research site/geographical location). The independent variable
________ will be defined/measured as/by _______ (provide a
general definition). The dependent variable will be
defined/measured as/by ______ (provide a general definition).
The purpose of this mixed methods study will be to explore
participant views with the intent of using this information to
develop and test an instrument with a sample from a population.
The first phase will be a qualitative exploration of
_______________ (central phenomenon) by collecting _____
(data) from _____ (participants) at __________ (geographical
location/research site). The second phase will use a quantitative
research method. Themes from this qualitative data will be
developed into an instrument (or a ______ instrument will be
used) to (related, compare) ________ (the independent variable)
with _________ (dependent variable) for _________ sample of
population) at __________ (geographical research site).

Please note that Creswell may notbe 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.
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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.
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 Instrumentationheading if the study uses a
quantitative methodology. Use the Sources of Data heading if
the study uses a qualitative methodology. The data collection
approaches should be specific to the selected methodology and
design for the study. The learner should check on the costs and
certification requirements for the learner and/or faculty for
validated quantitative instruments, which can be expensive, and
may require formal certification training. The learner should get
written permission from the owner of any data collection
instruments or sources to be used. When doing a quantitative
study, the learner should find a validated survey or instrument
that has been used to collect the data for each of the variable(s)
being studied. Developing a quantitative instrument could add 6
to 12 months to the study time because of the time to run
validation studies. Developing a quantitative instrument based
on a model or theory is often a doctoral dissertation by itself.
Use the literature to find data collection instruments.
Additionally, www.buros.org is a good source to use to look for
validated tests and instruments.
For a qualitative study, the researcher may use and/or modify a
previously-developed interview, questionnaire or observation
form if they receive permission from the author. Or, the

researcher may develop their own data collection tools. When
developing qualitative data collection tools such as interview
guides or observation guides, it is important to ensure they will
collect all of the data needed to answer the research questions.
Both the research questions, and the theories or models to
provide the theoretical foundation for the study, should be used
to develop qualitative instruments. Qualitative instruments or
tools (interviews, questionnaires, or observation forms) need to
be validated by a group of at least three experts AND must be
field tested prior to data collection.
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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
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. Identifiestools, instruments, or databases to be used to collect
the data (e.g., observations, interviews, questionnaires,
documents, media (qualitative), standardized tests, surveys, and
databases (quantitative)). For a qualitative study, identify the

specific tools, instruments, or databases for each research
question in a qualitative study. For a quantitative study, identify
the name of the specific “validated” and “previously used in
quantitative research” survey or data source to be used to
collect data for each variable, providing a citation for the
instrument or data source.
3. ALIGNMENT: Aligns with the Research Questions
(qualitative) or Variables (quantitative) previously described in
the Research Question(s) and Phenomena or Research
Questions, Hypotheses, and Variables section above.Identifies
and describes the data and data source that will be used to
answer each Research Question for a qualitative study.
Identifies, describes, and names the type of numerical data and
specific data collection instrument or source that will be used
for each variable and group in a quantitative study.
NOTE: This section elaborates on Point #9 (Data Collection)
from the 10 Strategic Points.
This information is summarized high level in Chapter 1 in the
Proposal in the Nature of the Research Design for the Study
section. This section provides the foundation for
Instrumentation (quantitative) or Sources of Data (qualitative)
section in Chapter 3.
Data Collection Procedures
This section of the Prospectus includes a description and size of
the target population and the expected sample to be realized

from the target population. It also provides an overview of the
step-by-step process that will be used to collect the data using
the tools described in the previous section.
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Data Collection Procedures
This section details the entirety of the process used to collect
the data. It describes each step of the data collection process in
a way that another researcher could replicate the study.
NOTE: It is recommended that the researcher get written
approval (or at the very least unofficial approval) to conduct
their research study in their selected organization. Ensure the
person (who is usually a school superintendent, school boards,
or corporate officer) providing approval is authorized by the
organization to grant approval for research. Do not assume your
organization will allow you to collect data since many
organization do not allow research to be completed within the
organization.
The recommended length for this section is two paragraphs.
1. Defines the target population and the expected sample size,
which comprises the people or organizations being studied, as
defined in the problem statement. For quantitative studies, it
justifies why the target population and expected sample size
(final number of people or organizations being studied for
which data will be collected) is large enough to produce
statistically significant results (quantitative) or meaningful
results (qualitative).
2. Provides an overview the proposed step-by-step procedure to
collect data using the tools, instruments, or databases from the
section above. Includes the steps (e.g., obtaining initial

informed consent from participating organization; IRB review;
sample selection; groupings; protecting rights/well-being;
maintaining data security; sample recruitment; data collection
instruments and approaches; field testing instruments; notifying
participants; collecting the data, etc.) in a way another
researcher can replicate the study. Steps may be provided in a
list format.
3. ALIGNMENT: Shows the steps and approach to collect data
for each and every data source identified in the Instrumentation
or Sources of Data section. Defines the sample as the set of
people or organizations being studied for which data will be
collected. The sample size must be correct for the type of
design selected to get statistically significant (quantitative) or
meaningful (qualitative) results.
NOTE: This section elaborates on Points #4 (Sample and
Location) and #9 (Data Collection) in the 10 Strategic Points.
This section provides the foundation for the Data Collection
Procedures section in Chapter 3 in the Proposal. And it is
summarized high level in Chapter 1 in Nature of the Research
Design for the Study in the Proposal.
Data Analysis Procedures
This section of the Prospectus provides an overview of the
procedures that will be used to analyze the data. For each of the
stated hypotheses (quantitative), it describes the types of
statistical analyses (descriptive statistics and inferential

statistics) to be used to do data analysis. For each research
question (qualitative), it identifies the type of data analysis to
be used to answer the research question. Data analysis for
qualitative studies often uses descriptive statistics to summarize
data. Additionally, it uses qualitative data analysis techniques
that are often specific to the research design. Many qualitative
studies use coding and thematic analysis as a part of their data
analysis. Others use case study summaries, comparative case
analysis, model creation, network analysis (Bernard and Ryan,
2010). Identify the specific data analysis approaches to be used
in Table 1 for each hypothesis (quantitative) or in Table 2 for
each qualitative research question (Appendix B).
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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
in Appendix B.
1. Describes the analysis to examine each stated research
question and/or hypothesis. For quantitative studies, describes
the analyses including the inferential and/or descriptive
statistics to be completed. For qualitative studies, describes the
specific analytic approach appropriate for the Research Design
and each research question to be completed. In qualitative
research the different research questions may require different
approaches to doing qualitative data analysis, as well as
descriptive statistics.

2. ALIGNMENT: For qualitative studies, there is a clear and
obvious alignment between each research question, data to be
collected, tool or data source, as well as data analysis to
understand/explain the phenomenon. For quantitative studies,
there is a clear and obvious alignment between each variable,
data to be collected, instrument or data source, as well as data
analysis for each hypothesis.
NOTE: This section elaborates on Point #10 (Data Analysis)
from the 10 Strategic Points. This section provides the
foundation for Data Analysis Procedures section in Chapter 3 in
the Proposal.
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.
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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.
1. Discusses potential ethical concerns that might occur during
the data collection process.
2. Describes how the identities of the participants in the study
and data will be protected.
3. Describes subject recruiting, informed consent and site
authorization processes.
4. ALIGNMENT: Ethical considerations are clearly aligned
with, and relate directly to the specific Data Collection
Procedures. This section also identifies ethical considerations
related to the target population being researched and
organization or location as described in the Purpose Statement
section.
NOTE: This section does use information from any of the 10
Strategic Points.
This section provides the foundation for Ethical Considerations
section in Chapter 3 in the Proposal.
References
Bernard, H. Russell, and Ryan, Gery W. (2010). Analyzing
qualitative data: Systematic approaches. Thousand Oaks, CA:
SAGE Publications.

Creswell, J.W. (2009). Research design: Qualitative,
quantitative, and mixed methods Approaches. Thousand Oaks:
Sage Publications.
Appendix A
The 10 Strategic Points for the Prospectus, Proposal, and
Dissertation
Introduction
In the Prospectus, Proposal and Dissertation there are 10
key or strategic points that need to be clear, simple, correct, and
aligned to ensure the research is doable, valuable, and credible.
These points, which provide a guide or vision for the research,
are present in almost any research. They are defined within this
10 Strategic Points document.
The 10 Strategic Points
The 10 strategy points emerge from researching literature
on a topic that is based on, or aligned with, the defined need in
the literature as well as the learner’s personal passion, future
career purpose, and degree area. The 10 Strategic Points
document includes the following 10 key or strategic points that
define the research focus and approach:
1. Topic—Provides a board research topic area/title.
2. Literature review—Lists primary points for four sections in
the Literature Review: (a) Background of the problem/gap and
the need for the study based on citations from the literature; (b)
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,
5. Research questions—Provides research questions to collect
data to address the problem statement.

6. Hypothesis/variables or Phenomena—Provides hypotheses
7. Methodology and design—Describes the selected
statement and research questions.
8. Purpose statement—Provides a one-sentence statement of
purpose including the problem statement, methodology, design,
population sample, and location.
9. Data collection—Describes primary instruments and sources
of data to answer research questions.
10. Data analysis—Describes the specific data analysis
The Process for Defining the Ten Strategic Points
The order of the 10 strategic points listed above reflects
the order in which the work is done by the learner. The first five
strategic points focus primarily on defining the focus for the
research based on a clearly defined need or gap from the
literature as well as the learner’s passion, purpose and specialty
area focus. First, a learner identifies a broad topic area to
research for their dissertation based on a clearly defined need or
gap from the literature—that they are interested in because it is
based on their personal passion, future career purpose, and
degree being pursued. Second, the learner completes a review of
the literature to define the need or gap they will address, the
theories and models that will provide a foundation for their
research, related topics that are needed to demonstrate their
expertise in their field, and define the key strategic points
behind their proposed research. Third, the learner develops a
clear, simple, one- sentence problem statement that defines the
problem, or gap, that will be addressed by the research. Fourth,
the learner identifies some potential population samples they
would have access to in order to collect the data for the study,
considering the fact the quantitative study sample sizes need to
be much larger than those for qualitative studies. Fifth, the
learner develops a set of research questions that will define the

data needed to address the problem statement.
Based on the above five strategic points the learner now
defines the key aspects of the research methodology through the
last five strategic points. Sixth, the learner either describes the
phenomena to be studied (if it is a qualitative study), or
develops a set of hypotheses (matching the research questions)
that defines the variables that will be the focus for the research
(if it is a quantitative study). Seventh, the learner determines if
the study will be qualitative, quantitative or mixed research
based on (a) the best approach for the research, (b) the size of
the sample they can get permission to access, (c) availability of
data collection tools and sources, and (d) time and resources to
conduct the study. Additionally, they select the best design
approach considering these same factors. Eighth, the learner
develops a purpose statement by integrating the problem
statement, methodology, design, sample and location. Ninth, the
learner identifies the data they will need to collect to address
the research questions or hypotheses and how they will collect
the data (e.g., interviews, focus groups, observations, tested and
validated instruments or surveys, data bases, public media, etc.)
Tenth, they identify the appropriate data analysis, based on their
design, to be used to answer their research questions and
address their problem statement.
Criteria for Evaluating the Ten Strategic Points: Clear, Simple,
Correct and Aligned
When developing research, it is important to define the 10
strategic points so they are simple,clear and correct in order to
ensure anyone who reviews them will easily understand them. It
is important to align all of the 10 strategic points to ensure it
will be possible to conduct and complete the research. The
problem statement must come out of the literature. The research
questions must collect the data needed to answer the problem
statement. The methodology and design must be appropriate for
the problem statement and research questions. The data

collection and data analysis must provide the information to
answer the research questions (qualitative) or test the
hypotheses (quantitative). Developing the 10 Strategic Points as
a two to three-page document can help ensure clarity,
simplicity, correctness, and alignment of each of these ten key
or strategic points in the prospectus, proposal, and dissertation.
Developing these 10 strategic points on a two to three page
document also provides an easy-to-use use template to ensure
the 10 strategic points are always worded the same throughout
the prospectus, proposal, and dissertation.
Appendix BVariables/Groups, Phenomena, and Data Analysis
Instructions: Complete the applicable table to assist with your
research design. Use Table 1 for quantitative studies. Use Table
2 for qualitative studies. Use both tables for mixed method
studies. This table is intended to define how you will collect
and analyze the specific data for each research questions
(qualitative) and each variable (quantitative). Add additional
rows to your table if needed.
Table 1
Quantitative Studies
Research Questions:
State the research Questions
Hypotheses:
State the hypotheses to match each Research question
List of Variables/Groups to Collect Data For:
Independent and Dependent Variable(s)
Instrument(s)
To collect data for each variable
Analysis Plan
Data analysis approach to (1) describe data and (2) test the
hypothesis
1. 1.

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

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