FROM NCU EdD DISSERTATION HANDBOOK: PROPOSAL ELEMENTS:

PLEASE USE AS A GUIDE FOR THE COMPLETION OF YOU PROPOSAL; ALL

ELEMENTS WILL BE EXPECTED BY YOUR READERS.

ALG: 6-6-2007

5 - THE DISSERTATION PROPOSAL (DISSERTATION CHAPTERS 1-3)

5.1 - TITLE AND TITLE PAGE
5.2 - TABLE OF CONTENTS
5.2.1 - Electronic Submission
5.3 - CHAPTER 1 - INTRODUCTION
5.3.1 - Nature of the Problem
5.3.2 - Purpose of the Project
5.3.3 - Background and Significance of the Problem
5.3.4 - Research Questions
5.3.5 - Definition of Terms
5.3.6 - Summary and Conclusion
5.4 - CHAPTER II – LITERATURE REVIEW
5.5 - CHAPTER III - METHODOLOGY
5.5.1 - Overview
5.5.2 - Restatement of the Problem
5.5.3 - Statement of Research Questions/Hypotheses
5.5.4 - Description of Research Design
5.5.5 - Operational Definitions of Variables
5.5.6 - Description of Materials and Instruments
5.5.7 - Selection of Participants
5.5.8 - Procedures
5.5.9 - Discussion of Data Processing
5.5.10 - Methodological Assumptions, Limitations, and Delimitations
5.5.11 - Ethical Assurances
5.5.12 - References
5.5.13 - Appendixes

05 - THE DISSERTATION PROPOSAL

(DISSERTATION CHAPTERS 1-3)
The second step of the dissertation process is to develop a proposal. The task is begun in
RSH3000E and completed in ED9005. An approved proposal becomes a contract
between the Learner, the Ed.D. program, and NCU regarding the exact nature of the
project. Once approved, the proposal cannot be altered without the agreement of the
faculty mentor as well as the Committee Chair and Members.

The proposal is a concrete plan for action. It also is a comprehensive description of the
applied dissertation project. The proposal builds upon the concept paper; text from the
concept paper can be used. Learners, however, should always be engaged in reading and
adding relevant literature to their annotated bibliography and list of references.

The proposal consists of three major chapters: Chapter I - Introduction, Chapter II -

Review of the Literature, and Chapter III - Methods. A title page, table of contents, list of
references, and relevant appendices also should be included. The proposal is written in
future tense because it describes the research that will be done. It should also be written
as a research document and follow APA format and style and follow the guidelines in the
Ed.D. Dissertation Handbook. With some later modifications, e.g., verb tense changes
from future to past, the three chapters of the proposal will comprise the first three
chapters of the final dissertation document/final report.

The following is a description of each component of the proposal with suggestions for
preparing this important dissertation document. When completed, the Learner’s proposal
will be reviewed, and must be approved, by the Dissertation Committee, the Department
Chair, and the NCU Institutional Review Board (IRB /Ethics Committee). No data is to
be collected until the proposal is reviewed and approved by the IRB/Ethics Committee.

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05.01 - TITLE AND TITLE PAGE

The proposal should have a standard dissertation document title page. The title should be
succinct, usually not more than 10 to 12 words. The title should begin with a noun
signifying some form of action such as Development of . . ., Evaluation of . . . ,
Comparison of . . . , or Formation of. The title should exemplify a high standard of
academic quality. It will eventually appear on the Learner’s final transcript. (See Section
8, Exhibit A.)

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05.02 - TABLE OF CONTENTS

Chapters, major sections, and key components of the proposal are identified in the table
of contents. A proposal may, but rarely, contains tables or figures, because these are
usually used to display findings/results in the final dissertation document/final report.
Tables or figures, however, are sometimes used in Chapter 1 – Introduction to expand on
or provide substantiation for the significance of the study. Tables and figures are listed
after the appendixes in the table of contents. (See Section 8, Exhibit F.)

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05.02.01 - Electronic Submission

Dissertation publication copies, including abstract, must appear in a single file in Rich
Text Format (.rtf): A second file in .rtf format should contain only the dissertation
abstract. Electronic documents should be submitted by email. Files should be labeled
with the Candidates name and submission date followed by a "D" for dissertation and an
"A" for abstract, respectively. For example, files name should look like:

JonesA-020805D.rtf

JonesA-020805A.rtf
The University will convert the .rtf files into Adobe Acrobat (PDF, read only) formats.

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05.03 - CHAPTER 1 - INTRODUCTION

In Chapter I the stage is set for the specifics of the dissertation. Often Chapter 1 begins
with a brief description of the setting where the problem exists or where the research
project will take place. A brief profile of the community, the school district, or
organization and other pertinent background information is included. Chapter 1 –
Introduction typically contains five subheadings: nature of the problem, purpose of the
project, background and significance of the problem, research questions, and definition of
terms. A concluding summary also is included.

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05.03.01 - Nature of the Problem

In this subsection the research topic is introduced. Once the reader has been oriented to
the topic, move quickly to the problem statement that provides the raison d’etre for the
dissertation.

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05.03.02 - Purpose of the Project

This subsection of Chapter I includes a clear and succinct problem statement, such as,
"The purpose of the project is to . . . ". The problem statement is the underlying rationale
for the proposed project. It is the most important part of the study; it provides direction
for all remaining components of the dissertation. After reading the problem statement, the
reader should know precisely why the study is being conducted and be convinced of its
importance. Not only must the reader be convinced that there is a pressing problem or
need that requires closer examination or improvement, but also that the proposed study
will attempt to answer an aspect of this problem in a unique and scholarly manner.
Finally, the problem statement serves as an invitation to the study. If the problem
statement does not tell clearly what the problem is, what type of study is being proposed,
and why the study is needed, readers will be a reluctant to continue reading.

A problem statement in and of itself can be relatively brief. A reasonable guideline is one
to three sentences. While much critical thinking is required to create a solid problem
statement, not much writing is needed to describe it. This entire section of the proposal is
typically, approximately two to three paragraphs.

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05.03.03 - Background and Significance of the Problem
In this subsection the problem is documented to demonstrate that it is generally
recognized in the field as well as the Learner’s organization. Evidence of the problem
needs to be presented and professional literature must be cited. The Learner’s task is to
connect the professional literature to the status of the problem and the organization.

Applying whatever is relevant from the following questions may provide information that
will be useful in framing the problem statement. Not all of the questions apply to all
topics.

1. What is the problem? Describe the situation that needs improvement. (What is wrong?
Where is there a void? What is happening that should not be happening, or what is not
happening that should be happening?)

2. Where is this problem found? (What professions, organizations?). [This step will aid in
researching and developing the literature review in Chapter II of the proposal.]

3. What are some of the ill effects (and potential opportunities) associated with this
problem in society or organizations at large and/or some subset of them? [This step will
aid in researching and composing the background material in Chapter II of the proposal.]

4. Why are you, as a Learner and professional, interested in this problem? Why would
someone else be interested in this problem? [This will aid in composing the significance
statement.]

5. Who is, or may be, affected? (What group or organizations would care about this
problem?) [This step will help define the sample, population, and the significance.] What
part of this problem can this study help solve?

6. How can this study help, e.g., assist in making wiser choices, debunk a myth? [This
step will help define the purpose of the study and significance.]

7. What professional value will the research create; e.g., clarify an ambiguous point or
theory, look at a new aspect of a problem, aid in an important decision-making process?
[This step will help define the purpose and significance.]

8. What journal(s) would be interested in publishing this study? [This will aid in
researching and composing the literature review.]

9. What needs to be done; e.g., analyze, describe, evaluate, test, understand, determine,
establish? [This step will help determine the methodology and instruments to be used.]

10. What harm would or could be done, or opportunity lost, if this study was not
conducted? [This step will help to define the purpose and significance.]
11. What topics, subjects, or issues are involved, e.g., health, drugs, violence, students,
curriculum design, leadership, technology, professional development, retention,
recruitment, language development, achievement, assessment? [This step will aid in
researching and composing the literature review.]

12. How does the study relate to the development or refinement of educational theory or
practice? [This will aid in designing the background and framework].

13. What might result from this study, e.g., clarify, debunk, relieve, assist, create,
recommend? [This step will help in interpreting and discussing the results.]

14. What has already been done about the problem? What hasn’t been done? Who is
requesting or in need of such a study? [This step will aid in researching and composing
the literature review.]

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05.03.04 - Research Questions

Specific research questions should be enumerated. The project will focus on providing
answers to the research questions. Research hypotheses, where appropriate, are included
after the research questions, under a separate heading.

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05.03.05 - Definition of Terms

Key terms that are central to the dissertation topic and that readers will need to know to
understand the proposed project must be defined. Define terms that are technical, that are
used in a special sense, or that may be new to readers. For example, if a study of the
effectiveness of distance education as a delivery system is proposed, the meaning of
"effectiveness" must be clearly defined. And, distance education must be differentiated
from other educational delivery systems. Do not assume that readers know what is meant
by a term. Precision of language is a measure of good scholarship. Any acronyms or
abbreviations must be spelled out in the text the first time they are used, as well as being
defined in this section.

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05.03.06 - Summary and Conclusion

Finally, Chapter I should cover the significance and potential contribution(s) of the
proposed study. How would answering your inquiry and research questions contribute to
solving the problem your study will address? How will solving your problem change,
improve, or modify something of importance to the applied work place setting? How will
you and your committee know when your research is completed? Be realistic about what
the proposed study may achieve, but convince readers that addressing the problem with
the proposed approach is both doable and worthwhile.

The first chapter is usually short. Learners are encouraged to survey well-constructed
dissertations available through the NCU ELRC. Note that many first chapters have fewer
than 20 pages. Readers should be able to read the first chapter of the proposal and get a
clear summary of what the Learner intends to accomplish.

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05.04 - CHAPTER II – LITERATURE REVIEW

In addition to the preliminary literature introduced in the background and significance subsection, a
separate extensive review of the literature is required. The research questions must be shown to rest within
a conceptual framework fashioned from the research published by other scholars. It is now the Learner’s
task to develop and share this framework with the reader.

Writing a review of the literature requires more than just listing and summarizing all the studies that relate
to the dissertation. The literature review should be an orderly, cohesive, well-sequenced narrative that
relates the problem under investigation to a body of scholarly work. The entire chapter should be organized
in themes or categories that impact the study. Subheadings can be used to identify each of the themes or
categories. Subheadings also organize the material into shorter, more easily comprehensible blocks of
information for the reader. Transitions from one theme or category to another should be smooth and
appropriate.

In the review of the literature the main theories, explanations, and findings that are generally accepted and
represented in the literature should be presented along with contradictory evidence and points of view that
may have caused intellectual tension in the field. State the importance that the proposed research
perspective has on the major theories, explanations, and findings or practices that are accepted in the
subject area.

It is recommended that the literature review focus on work accomplished or published within the past five
years, whenever possible and appropriate. Exceptions to this recommendation are works considered
"classics" in the field. The review is to be thorough and comprehensive. A Learner will be considered "an
authority" in a narrow topic area as a result of the review of the literature. However, since the literature
review is a distillation of the work of others, most of what is reported should be cited.

The questions that Learners often ask are: "How many works should I review?" and "How long should each
review be?" The Learner’s RSH3000E mentor and Dissertation Committee Chair can provide specific
guidance pertaining to these questions. In general, however, consider the following:

1. If you are undertaking a theoretical or ethnographic dissertation in which you will be

working primarily with conceptual frameworks, you will want to review key theorists at
length. Your review of the literature may cover a small number of authors, but your
treatment of each theorist should be thorough with a purpose that supports your research
problem and objective(s).

2. If you have located a large number of research studies in your area of interest, your
review will probably strive for broad coverage rather than studying any one in depth. It is
not unusual for dissertation literature reviews to cite between 50 to 100 references or
 more. Many references require only brief treatment while others that are more closely
related to the research topic must be reviewed more carefully. There should be a reason
why each work is cited which should be made clear to the readers. Comparisons and
contrasts among cited works is important.

At the conclusion of Chapter II a final section should be included that integrates as many themes as
possible or summarizes major trends in a cogent way. Contradictions and uncertainties can also be
highlighted. The significance of the proposed study in light of the reviewed research should be emphasized.
The readers should feel that the review of the literature has added up to something, has yielded new
insights, and suggests a direction for further research in the field.

A rubric for the assessment of a review of the literature is presented in Appendix B. The rubric is useful to
Learners in determining the difference between a poorly prepared and well written review of the literature.
The rubric also is a valuable guide in the process of writing a literature review.

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05.05 - CHAPTER III - METHODOLOGY

In the final chapter of the proposal the research methods and process(es) that will be used
are described. The appropriateness of the methodology or combination of methodologies
chosen is explained. The most frequently used methodologies in Ed.D. dissertations are
developmental, evaluation, and experimental. Learners are asked to note that as a result
of the literature review, the methodology described in previously prepared dissertation
documents, e.g., the Concept Paper, may need to be modified.

Chapter III begins with a restatement of the purpose of the study and the specific research
question(s) to be addressed. The rationale for the research design, research instruments,
and methods of data analysis is presented. In the final section methodological
assumptions and limitations are discussed, as well as ethical procedures taken for the
protection of human or animal subjects. As with previous chapters, the methodology
chapter ends with a summary of the material presented.

Chapter III should include a detailed description of the proposed research methods and
procedures. It should be sufficiently explanatory and detailed to enable other researchers
to read the proposal, and by referring to it alone, conduct the same research that the
Learner proposes to undertake. That is, Chapter III must not be an abstract description,
but a complete step-by-step account of what will be done, in what order, how, and by
whom. The following sections must be included in your methods chapter. Any additional
sections needed to appropriately describe issues associated with the research operations,
e.g., interview scripts, can be included as an appendix.

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05.05.01 - Overview
An overview can be accomplished in a paragraph or two. It provides the readers with an
understanding of the material to be covered in the methodology chapter.

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05.05.02 - Restatement of the Problem

Briefly summarize the problem statement and research questions to set the stage for the
hypotheses or expected outcomes discussed in the next section.

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05.05.03 - Statement of Research Questions/Hypotheses

Researchers relying primarily upon qualitative interpretive methods of analysis should
discuss their research questions and expectations in terms of anticipated outcomes,
findings, or conclusions stated in discursive form. Researchers addressing relational
issues that need to be addressed by quantitative, statistical methods of data analysis
generally state their research expectations in terms of statistical and alternate hypotheses.
Specify the variables that will be analyzed to test the hypotheses and describe how they
relate to the research question(s), how the data will be obtained, how the testing will be
conducted, and how conclusions will be reached.

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05.05.04 - Description of Research Design

Incorporate the design material from the research courses to describe the type of design
that will be used, why it is appropriate for addressing the research questions, and how it
will be implemented to obtain the information needed to study the research expectations.
Use flow diagrams, figures, or charts to display the sequencing and key components of
the design, including as appropriate, classification and levels of factors, groups of
participants, time phases, hypothesized relationships among constructs and other design
features that explain how the study will generate the data to address the research problem.

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05.05.05 - Operational Definitions of Variables

If the research design is non-experimental, define terms that are technical or that are used
in a special sense, or that may be assumed new to the Dissertation Committee Members.
If the research design is experimental, operational definitions should be provided for all
variables, including independent and dependent/response variables, intervening or
mediating variables, moderator or extraneous variables, and units of analysis that will be
measured in the study. If, for example, you intend to study the efficacy of using mental
imagery exercises to alter participants’ body images, the italicized terms and variables
would need to be defined. Or, if you intend to investigate the relationships among
leadership styles and virtual teams’ performance, operational definitions would be
needed for "leadership", "virtual teams", and (team) "performance." Or, if you are
studying the relationship between the level of supports and services provided for
inclusive classrooms and academic performance of regular and special education
students, define what you mean by supports, services, inclusive classrooms, etc. Be sure
to list and define what you consider to be potentially influential demographic variables
used to describe your research participants, e.g., age, gender, ethnicity, socioeconomic
status, etc. Defining variables operationally involves specifying the measurement
procedures used to generate numerical representations of participant status on variables.

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05.05.06 - Description of Materials and Instruments

Provide a description of each of the written materials or instruments that will be used in
the study. Copies of printed materials should be placed in appendixes. If copyrighted,
discuss their authorized use. Obtain permission from the developer of un-copyrighted
research instruments for use in the dissertation and for placement in an appendix. If there
are detailed instructions to be given to research assistants, describe them in the body of
the text and place them in an appendix for ready reference.

In describing published or researched tests, include information about the types of items
and response format(s). This information may be paraphrased directly from the test
booklet as long as the reference citation(s) is (are) provided. Include statistics that support
the validity or reliability of an instrument’s measures. If this information is not available,
say so. Be sure to read about an instrument intend for use in other sources and
incorporate relevant information into your methods chapter. Such research demonstrates
that instrument(s) have been chosen with care and an awareness of the strengths and
weaknesses.

If an instrument, such as a survey or questionnaire, was developed for the study, or will
be, describe the methods to develop it, the theoretical foundation upon which it is based,
and the estimates of reliability and validity of measures obtained from it, including pilot
testing, if appropriate. Provide sufficient information to replicate the creation of the
instrument and include a prototype or final copy of the instrument in an appendix.

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05.05.07 - Selection of Participants

If the study involves humans or animals as participants, describe in detail the population
to be studied and how the participants will be accessed. The description should include
the characteristics desired in the participants and how these characteristics will be
determined. For example, if you intend to work with high school principals with 10 or
more years of administrative experience, how will the principals be identified and
selected? If small manufacturing firms or research facilities comprise your sample, how
will these organizations be identified and selected? What contacts or other arrangements
have been made to assure access? The description should be in sufficient detail that
would enable another researcher to replicate the approach.

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05.05.08 - Procedures
Describe the steps to be taken in carrying out the study. It may be useful to create a flow
chart or diagram to show the order and flow of activities that will take place to conduct
your study. What will be done first, when, where, with and by whom? Study the methods
or procedure sections in journal articles that report similar types of studies to learn about
the level of detail needed to thoroughly describe the procedures.

If the proposed study is ethnographic, historical, interpretative, or theoretical, outline in

detail the methods that will be used use to search out sources, collect information, and
evaluate data. Procedures to authenticate historical accuracy might be included here, if
they will be a part of the research. If the proposed study is developmental, the selection of
formative and summative committee members must be discussed.

For empirical studies, describe the procedures that will be used to collect the required
data from participants. Include instructions for selecting and training research assistants,
procedures for assigning participants to groups, for administration of instruments or for
interviewing participants. In short, list all activities needed to complete the study and
describe each activity in enough detail so another competent researcher could duplicate
the research.

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05.05.09 - Discussion of Data Processing

Describe how data will be collected, recorded, scored and analyzed. If a special form for
recording or accumulating data will be used, place an example in an appendix. If the
proposed study is qualitative, the sophisticated ways in which the data will be processed
and analyzed should be discussed. If statistical methods of analysis will be utilized,
identify the specific descriptive statistics and inferential tests that will be used to,
respectively, characterize the populations being studied and test the hypotheses.

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05.05.10 - Methodological Assumptions, Limitations,
and Delimitations
The Learner is responsible for explaining any concept or condition that must be taken for
granted before the project can be considered valid. One cannot assume that the
implementation will solve a problem or make a difference. One may assume, however,
that the review of the literature on which implementation is based is both complete and
accurate. Similarly, one may assume that the data collected is both reliable and valid.

All studies carry inherent limitations, and these should be discussed frankly. Limitations
are conditions, restrictions, or constraints that may affect the validity or reliability of
project outcomes. A limitation is a weakness or shortcoming in the project that could not
be avoided or corrected, but is acknowledged. For example, most studies involve
limitations of sampling. Data collected from a sample of participants has limited
applicability to a larger population. Findings may be limited to a particular organizational
setting or geographical region and/or level of education. Most research instruments are
problematic, even those with published validity and reliability statistics. In ethnographic
and theoretical studies, other limitations arise. For instance, one may have to rely on
translated sources rather than original writings. Stressing the problems of design, data
collection, analysis, or application does not weaken a dissertation. It strengthens the
readers’ confidence in the writer’s judgment as a scholar and researcher. A delimitation is
a planned restriction of the scope of the project or the depth of the inquiry, usually made
necessary due to a lack of time or resources.

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05.05.11 - Ethical Assurances

Approval from the NCU IRB/Ethics Committee before proceeding with any research
using human participants is mandatory. No data is to be collected prior to approval from
the NCU IRB/Ethics Committee. This section of the proposal should state how the
Learner has complied with the standards for conducting research with human
participants, and assurance that the Learner will gain approval from the University’s
IRB/Ethics Committee before proceeding. Or, under what, if any, circumstances approval
is not necessary. (See Appendix F.)

Later, when the dissertation has been completed and Chapters I, II and III are being
revised to the past tense, this section should state that the University's IRB/Ethics
Committee approved the research for the use of human participants.

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05.05.12 - References
A listing of reference material, in proper APA format and style, must be included with the
proposal. Note that APA format requires the title References, and is restricted to the
citations directly referenced in the text. The term bibliography may refer to sources used
for background, such as the annotated bibliography you developed in the dissertation
research courses. (See Section 8, Exhibit G.)

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05.05.13 - Appendixes
Supportive and supplemental material referred to in the text should be included in
appendixes, and conform to APA formatting standards, e.g., for Figures and Tables
included in any appendix. Use capital letters and titles for all appendixes.