DBA Prospectus Form | Portfolio Program Evaluation

Students | Complete your doctoral prospectus within this form. You can click on section headings for descriptions, resource links, and examples
located in the Appendix. For additional prospectus information and resources, refer to the Doctoral Degree Coach. Complete the Research Design
Alignment Table within this form using the information from earlier components of the prospectus and self-assess your research design alignment.
When your committee chair indicates that you are ready to do so, submit this completed form into MyDR using the required file naming format for
formal evaluation and feedback.

Student’s Name | Click or tap here to enter text. Student ID | Click or tap here to enter text.
Program and Specialization* | Click or tap here to enter text. Submission Date | Click arrow to select a date.
*Remember that your study focus must be within the realm of your program.

Evaluators Only | Complete this section and provide feedback on responses and rubric scores in the form where noted.

Committee Chairperson Name: Click or tap here to enter text. Overall Assessment: Choose score.
Second Committee Member Name: Click or tap here to enter text. Overall Assessment: Choose score.
DBA Program Director: Click or tap here to enter text. Overall Assessment: Choose score.

Title
In 12 words or fewer, what is the working title for this study?

Replace this text with your title.

Organizational Context
Describe the organizational context in which the program evaluation will take place (e.g., the organizational description, mission, specific program goals,
objectives, outcomes, etc.). Who are the stakeholders?

The organization is Replace this text with your response.

The program I will evaluate is Replace this text with your design with the goals Replace this text with your response.
Stakeholders include Replace this text with your response.

Problem
What is the business problem that you will examine through a program evaluation strategy? Write in complete sentences using a scholarly tone.

The business problem that will be addressed through program evaluation is Replace this text with your response.

Rubric Standard | Meaningful > Has a meaningful business problem in the research literature been identified?

Rubric Standard | Original > Does this proposed study have potential to make an original contribution?

Purpose
To address your stated business problem, what is the purpose of your study? What program evaluation strategies will you employ to address the needs of
stakeholders? Complete the purpose sentence below and be sure to clarify your variables/concepts of interest.

The purpose of this Choose method Replace this text with your evaluation strategy program evaluation is to Replace this text with your
response.

Supporting Literature
An important step in a program evaluation is to search the literature related to the topic of your program evaluation. In your review of recent, empirical
literature, what keywords did you search and in what databases?

The keywords and databases searched included Replace this text with your response.
Provide at least 10 brief summaries of recent, scholarly (peer-reviewed) articles or government publications that support/justify a current and relevant
business problem in your discipline or professional field (dissertations and doctoral studies are not peer-reviewed). Source(s) supporting your framework
should be included. Include the complete, APA reference entry followed by (a) an in-text citation, (b) what they studied, (c) what they found, and (d) why this
is important in relation to your study. This evidence provides the justification for your research problem. NOTE: The studies you choose should be particularly
relevant to your topic, rather than general, so that you are able to provide support for your specific problem. Sources for the conceptual framework should
also be included here.
 Replace this text with your summaries.

Rubric Standard | Justified > Is evidence presented that this problem is significant to the discipline and/or professional field?

Framework and Logic Model

What theory(ies) and/or concept(s) support (frame) your study and who are the original authors? Provide an in-text citation with your response, and the
complete APA citation with summary in the Supporting Literature section.

The theory(ies) and/or concept(s) that ground this study include Replace this text with your response.

How do the theory(ies) and/or concept(s) relate to your research problem, purpose, and the nature of your study vis-à-vis the Logic Model for the program?

The logical connections between the framework presented and the nature of my study include Replace this text with your response.

Include the Logic Model:

Replace this text with your response.

Rubric Standard | Grounded > Is the problem framed to enable the researcher to either build upon or counter the previously published findings on the
topic?

Research Question(s) and Hypotheses (if applicable)

List the question that will be used to address the research problem. Your question must align with your study purpose and include the variables and/or
concepts and how they will be examined and/or explored.

Replace this text with your research question(s) and hypotheses (if applicable).

Nature of the Study

What systematic approach/method and research design do you plan to use to address your research question(s)?
To address the research questions in this Choose method study, the specific research design will include Replace this text with your response.

This approach is appropriate for this study because Replace this text with your response.

For your planned research design, what type(s) of data will you need and what data collection tools and sources will provide it?

For my planned research design, I will need Replace this text with your response.

What limitations, challenges, and/or barriers might you need to address while conducting this study (e.g., access to participants, access to data, separation of
roles or other ethical considerations, instrumentation fees, etc.)?

Replace this text with your response.

Rubric Standard | Feasible > Can a systematic method of inquiry be used to address the problem?

Significance
How will your study address the meaningful, discipline-specific issue that you identified and therefore contribute to your field, discipline, professional
practice, etc. contributing to positive social change?

This study is significant in that Replace this text with your response.

Rubric Standard | Impact > Does this project have potential to affect positive social change?

Rubric Standard | Objective > Is the topic approached in an objective manner?

Partner Site Masking Self-Check

Walden capstones typically mask the identity of the partner organizations. The methodological and ethical reasons for this practice as well as criteria for
exceptions are outlined here (link to posted guidance).
☐ Check here to confirm that you will mask the identity of the organizations in the final capstone that you publish in ProQuest.

☐ If you perceive that your partner organizations identity would be impossible to mask or if there is a strong rationale for naming the organization(s) in your
capstone, please check this box so that your Program Director can review your request for an exception. If granted, that exception must be confirmed by the
IRB during the ethics review process. The IRB will also ensure that your consent form(s) and/or site agreement(s) permit naming the organization(s).
Research Design Alignment Table | Using an alignment table can assist with ensuring the alignment of your research design.
Research Design Alignment Table Video Tutorial (YouTube) | Doctoral Research Design Alignment Appointments or Office Hours
Note. At prospectus stage, not all items in the table below can be identified (e.g., data points, data analysis). Please complete the items that you have identified
in this prospectus form. During proposal development, you will revisit this form to augment or adjust, as needed, and finalize your research design.

Research Problem,
Purpose, and Framework
Provide one sentence for each.
These must align with all rows.
Research Question(s), Method,
& Design
List one or more RQs, as needed;
select method; identify design. Use a
separate form for additional RQs.
Data Collection Tools & Data Data Points Data Analysis
Sources (Quantitative) Briefly describe the
List the instrument(s) and/or List the variables, scales, statistical or qualitative
participant characteristics, artifacts, etc. that will be used for analysis that will address
or records that will provide the data each RQ. each RQ.
for each RQ.

Problem: Replace text with
response.
Purpose: Replace text with
response.
RQ1: Replace text with response. Replace text with response. Replace text with Replace text with
response. response.
Method: Choose method
Design: Replace text with response.

Framework: Replace text with

response.
Note. The information in the first column must align with all rows, and each individual RQ row must show alignment across the columns for that row.

Once your Research Design Alignment Table is completed, reflect on your design alignment. Ask yourself:
1. Is there a logical progression from the research problem to the purpose of the study?
2. Does the identified framework ground the investigation into the stated problem?
3. Do the problem, purpose, and framework in the left-hand column align with the RQ(s) (all rows)?
4. Does each RQ address the problem and align with the purpose of the study?
5. Does the information across each individual row match/align with the RQ listed for that row?
• By row, will the variables listed address the RQ? *quantitative only
• By row, will the analysis address the RQ?
• By row, can the analysis be completed with the data that will be collected?

Rubric Standard | Aligned > Do the various aspects of the prospectus align overall?
 Appendix
The Doctoral Prospectus
The Doctoral Prospectus is a brief document that provides preliminary information about your doctoral research and is used in two ways:
 It serves as the tentative plan for developing the proposal and is evaluated to ensure doctoral-level work (e.g., feasibility, alignment, etc.).
 It provides information used to assign the committee University Research Reviewer.

Prospectus approval from the committee chair, second committee member, and a program-level designee is required for you to move forward and work on your
proposal. The plan is subject to change, and parts of your research design may need to be adjusted after you complete your exhaustive review of the literature
during proposal development.

…………………………………………………………………………………………………

Title
Example
Program Evaluation of a Workplace Smoking Cessation Program

…………………………………………………………………………………………………

Organizational Context
Describe the organizational context in which the program evaluation will take place (e.g., the organizational description, mission, specific program goals,
objectives, outcomes, etc.). Who are the stakeholders?

Programs vary in their scope and complexity. You must ensure that the application of the selected program evaluation design is appropriate for a professional
doctoral program capstone. Stakeholders include individuals and organizations that are involved in shaping and delivering a program, as well as individuals who
are involved in sustaining a program and those impacted by the program.

The organization is a large for-profit company with a mission of providing human resource services to organization.
The program I will evaluate is a workplace smoking cessation program with the goals to (a) reduce smoking by 10% per year for the next 2 years, (b) raise
employee awareness of the negative health and organizational outcomes associated with workplace smoking, and (c) promote nonsmoking to the local
community.
Stakeholders include the 3 managers, the team who developed the program, and all program participants (250).
 …………………………………………………………………………………………………

Problem
For program evaluations, the scope and complexity of programs vary widely. The needs of stakeholders also vary depending on timing—immediate,
intermediate, and long-term program objectives, for example. It is important to identify the program objectives and outcomes that would represent successful
achievement at the stage appropriate to the evaluation timeframe.

What is the business problem that you will examine through a program evaluation strategy?

Example
The business problem that will be addressed through program evaluation is that leaders of an organization employing a smoking cessation program do not know
the extent to which the program is aligning with the program objectives.

Rubric Standard | Meaningful > Has a meaningful problem or gap in the research literature been identified?

Rubric Standard | Original > Does this project have potential to make an original contribution?

…………………………………………………………………………………………………

Purpose
To address your stated business problem, what is the purpose of your study? What program evaluation strategies will you employ (e.g., needs assessment,
process evaluation, formative evaluation, outcome/summative evaluation)? Be sure to clarify your variables/concepts of interest. For example:
 In quantitative studies, state what needs be studied by describing two or more factors (variables) and a conjectured relationship among them related to the
identified gap or problem.
 In qualitative studies, describe the need for increased understanding about the issue to be studied, based on the identified gap or problem.
 In mixed-methods studies, with both quantitative and qualitative aspects, clarify how the two approaches will be used together to inform the study.

Example
The purpose of this mixed method summative program evaluation is to determine the extent to which a workplace smoking cessation program aligns with
program objectives through participant ratings of perceived threats and perceptions of potential benefits of quitting smoking.
 …………………………………………………………………………………………………

Supporting Literature
An important step in the research process is searching recent, peer-reviewed literature (government publications acceptable as well ) and reading articles
related to the general area of the program you will evaluate. As you read and learn, you will learn about other programs, research, and outcomes. This will help
you to conceptualize your plan to evaluate the program.

First, you’ll need to determine your search terms or keywords and the databases you should search. As you conduct your search of the literature, stay organized
by keeping a search log.

Search Log Example

Database Search Terms Results Notes
Thoreau Workplace smoking 1175 Search too broad; Narrow by using multiple terms
Thoreau Smoking cessation programs 130 Much better; Several relevant articles found
Education Source Etc.

Example for this Form

The keywords and databases searched included smoking cessation, smoking cessation program, and workplace smoking, in ACM, IEEE, and SAGE Journals, as
well as in a Thoreau multidatabase search.

As you read and evaluate literature, you also need to organize your research. A literature review matrix is one way to help you visualize what has and hasn't
been done in your field. It will help you understand the scholarly works related to your area of interest. The importance of organizing and recording your review
of literature cannot be overstated. You will refer to your notes as you write, so start on the right track from the beginning!
[Suggestion: If you keep your search log in an excel workbook, use the second tab in the same workbook for your literature review matrix.]

For this prospectus form, include the complete, APA reference entry and (a) an in-text citation, (b) what they studied, (c) what they found, and (d) why this is
important in relation to your study. This evidence provides the justification for your research problem. These sources provide justification that this problem is
meaningful to the discipline or professional field. These references should ideally be from the past 5 years. Citation(s) related to the framework should be
included here, too. [Note: These are short summaries. During proposal development, you will conduct an exhaustive review and synthesize your sources, rather
than summarize.]

Example
Hendriksen, I.; Snoijer, M.; de Kok, B.; van Vilsteren, J.; Hofstetter, H. (2016). Effectiveness of a multilevel workplace health promotion program on vitality,
health, and work-related outcomes. Journal of Occupational and Environmental Medicine , 58(6), 575-583. doi: 10.1097/JOM.0000000000000747
 (a) Hendriksen et al., (b) evaluated the effectiveness of a workplace health promotion program on employees’ vitality, health, and work-related outcomes,
(c) they found that vitality, work performance, sickness absence, and self-management significantly improved, and (d) this is important in relation to my
study because I will also evaluate a workplace health promotion program with some of the same outcome measures.

Rubric Standard | Justified > Is evidence presented that this problem is significant to the discipline and/or professional field?

…………………………………………………………………………………………………

Framework and Logic Model

The framework includes the theories and/or concepts relevant to your topic. A theoretical (for quantitative studies) or conceptual (for qualitative studies)
framework offers a systematic view of a phenomenon. In other words, the framework provides a lens through which to view a phenomenon. Align the
framework with the problem, purpose, research questions, and background of your study. This theoretical or conceptual framework is the basis for
understanding, designing, and determining ways to investigate your research question (data collection and analysis). Provide the original scholarly literature
(citing original authors) of the theory and/or concepts, even if it is more than 5 years old. Please do not cite secondary sources.

Example Framework
The theories and/or concepts that ground this study include the evaluation theory tree that includes accountability and control as the trunk, with use, methods,
and valuing as main branches of the theory tree. (Alkin & Christie, 2013).

Next, explain how these theories and/or concepts relate to your research problem, purpose, and the nature of your study vis-à-vis the logic model. The purpose
or the why of evaluation practice is defined by the logic model. Your approach should align with the identified logic model, which defines the purpose of the
evaluation, the questions it needs to investigate, and the best methods to employ.

Example Connection for the Framework

The logical connections between the framework presented and my study approach include the need to utilize both quantitative and qualitative methods to
assess the program outputs and outcomes included in the logic model. Accountability is the focus, with use, methods, and valuing as important considerations
underpinning my approach.

The XYZ Smoking Cessation Program Evaluation Logic Model

 Inputs Activities Outputs Outcomes
Resources dedicated to What the program does (the direct products of the Benefits for participation
or consumed by the with the inputs to full program) during and after the
program its mission program

 Money  Smoking cessation  No. of classes taught  Learning

 Staff classes  Awareness
 No. of seminars
 Volunteers  Community conducted  Attitude change
 Facilities awareness  Improved health
seminars  No. of educational
 Community leaders  Reduced smoking
 Workplace materials distributed
support group  No. of participants served

Contextual Factors (internal and external)

Rubric Standard | Grounded > Is the problem framed to enable the researcher to either build upon or counter the previously published findings on the
topic?

…………………………………………………………………………………………………

Research Question(s) and Hypotheses (if applicable)

List the overarching question and/or a series of related questions that are informed by the study purpose, that will be used to address the research problem. A
research question informs the research design by providing a foundation for:
 generation of null and alternative hypotheses in quantitative studies,
 questions necessary and sufficient to identify the strategies and processes the participants used to address their Specific Business Problem. for qualitative
studies, and
 a process by which different methods will work together in mixed-methods studies.

QN Example
What is the difference in participants’ ratings of perceived threats of smoking-related illnesses before and after participating in the program ?

Null Hypothesis (H0): There is no statistically significant difference in participants’ ratings of perceived threats of smoking-related illnesses before and after
participating in the program.

Alternative Hypothesis (H1): There is a statistically significant difference in participants’ ratings of perceived threats of smoking-related illnesses before and
after participating in the program.
QL Example
What are participants’ perceptions of the impact of the smoking cessation program on their awareness, attitudes, and behaviors related to reduced smoking?

…………………………………………………………………………………………………

Nature of the Study

Explain the systematic approach/method and research design you propose to use to address your research question(s). Examples of study design are as follows:
 Quantitative—for experimental, quasiexperimental, or nonexperimental designs; or other quantitative approaches
 Qualitative— for basic/generic qualitative design ethnography, case study, narrative inquiry, phenomenological research, or other principal qualitative
designs
 Mixed methods, primarily quantitative—for sequential, concurrent, or transformative studies, with the focus on quantitative methods
 Mixed methods, primarily qualitative—for sequential, concurrent, or transformative studies, with the focus on qualitative methods
 Other—for another design, to be specified with a justification provided for its use

QN Example
To address the research questions in this quantitative study, the specific research design will include a quasiexperimental design with pre/post comparisons.
QL Example
To address the research questions in this qualitative study, the specific research design will include generic qualitative design with interviews.

This approach is appropriate for this study because I will need both quantitative pre/post comparison data and perceptions of participants to determine the
alignment of program outcomes with objectives.

Then, for your planned research design, present the type of data you will need, and a list of possible data collection tools and sources that could be used to
address the proposed research question(s), such as test scores from college students, employee surveys, observations of a phenomenon, interviews with
practitioners, historical documents from state records, de-identified medical records, or information from a federal database. At this point, you should have an
idea of the type of data needed to address your research question(s). Include specific data points or type of information that you will use in your analysis. Explain
whether you will be collecting primary data (collected by the you, the researcher) or accessing secondary data (preexisting or public data collected by others). If
you are collecting data, you should present the tentative plan for instrument(s) and potential participants. If using secondary data, identify the data source, how
the data will be accessed. Possible secondary data sources, by program, are available on the Center for Research Quality website. [Note. This is your tentative
plan, so keep in mind that the initial conceptual approaches might need to be modified during the proposal stage—particularly after you have completed your
exhaustive review of the literature.]

QN Example
For my planned research design, I will need to collect survey data with quantified ratings on their perceived threats of smoking-related illnesses from program
participants before and after they participate in the program.
QL Example
For my planned research design, I will need to recruit program participants for individual interviews on their perceptions of the impact of the smoking cessation
program on their awareness, attitudes, and behaviors related to reduced smoking. Interview protocols will be developed to address the problem and purpose of
the study.

Finally, provide information on limitations, challenges, and/or barriers that may need to be addressed when conducting this study. These may include access to
participants, access to data, separation of roles (researcher versus employee), instrumentation fees, etc. If you are thinking about collecting data on a sensitive
topic or from a vulnerable population, an early consultation with the Institutional Review Board (IRB; IRB@waldenu.edu) during your prospectus process is
recommended to gain ethics guidance that you can incorporate into your subsequent proposal drafts and research planning. [Note. Find more information on
research ethics and potential “red flag” issues on the IRB Guides and FAQs.]

QN Example
A potential barrier is access to population participants at two times—before and after program participation.
QL Example
A potential barrier when collecting primary data includes difficulties with partner site agreement and difficulty recruiting participants for interviews.

Rubric Standard | Feasible > Can a systematic method of inquiry be used to address the problem; and does the approach have the potential to address
the problem while considering potential risks and burdens placed on research participants?

…………………………………………………………………………………………………

Significance
Here you explain how the findings from you study will address the meaningful, discipline-specific issue that you identified and should therefore contribute to
your field, discipline, professional practice, etc. and foster positive social change. Detail how your findings might support professional practice or allow practical
application (answer the So what? question).

Example
This study is significant in that the results will provide stakeholders the information they need to assess the outcomes of their program and whether they are
aligned to the program objectives. Decisions related to funding, program expansion, etc. will depend on the findings of the evaluation. Identifying any impact of
unintended events or gaps in planning can help conserve valuable resources and increase the program’s likelihood for success. Additionally, the program
outcomes, once achieved, contribute to positive social change by enhancing the quality of life for employees by reducing tobacco use and exposure to second-
hand smoke.

Rubric Standard | Impact > Does this project have potential to affect positive social change?
 Rubric Standard | Objective > Is the business topic approached in an objective manner?

…………………………………………………………………………………………………

My Doctoral Research (MyDR)

If you have not done so already, you should familiarize yourself with the MyDR system. The MyDR system was designed to assist you and your committee in
navigating your doctoral research journey, from the very beginning through the final approval. The various landing pages in MyDR will track your progress and
will serve as a central location for resources to support that progress. There is a process flow tool in which you exchange and store faculty evaluations of and
feedback on your work as you progress along that journey. You will be able to access MyDR system after both your committee chair and second member
nominees are approved by your academic program director. Thereafter, and you can access MyDR from the homepage of your study’s completion course in
Blackboard. The first document that you will submit for formal approval to MyDR will be your completion of this prospectus form, after your chair directs you to
do so.