Instructions for a Prospectus

(Adapted from Grαnd Canyοn Universιty Prospectus Matrix)

In many institutions, the prospectus is a short document that is the basis for a more complete proposal later on, which will be much longer and more detailed. Full proposals typically contain a full introduction, a full literature review, and a full methodology plan, complete with ethical compliance. Full proposals are then the basis for the first several chapters of the final project.

Having both a prospectus and a full proposal prevents several problems. A short proposal, similar to a prospectus tends to have insufficient planning detail for a major dissertation, although it is often sufficient for a shorter thesis. A long proposal, with no preceding prospectus, requires the student to do a great deal of preliminary work that might not be approved.

This is a set of instructions for writing a research prospectus.Some comments:

1. The original seems to apply most to to doctoral dissertations where students have not previously done original research based on data gathered in the field. In some institutions, Master theses comprise critical reviews of research, with no original field research.
2. It has less relevance to fields of study that do not primarily use field data, such as those that are primarily document analysis (history, literature, etc.).
3. Some items might seem a little repetitive, but a prospectus is a brief document so in practice does not need to be as repetitive as it might appear.
4. Some sections contain a special note on alignment. That is, the sections must be consistent with each other. It is one of the most consistently occuring weaknesses in prospectuses.

Introduction

Opening paragraphs

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 two to three paragraphs.

1. Introduce the topic and why the study is needed.
2. Provide a summary of results from the prior empirical research on the topic.
3. Identify the stated need (called a gap) using results, societal needs, recommendations for further study, or needs identified in three to five research studies (primarily from the last three years).

Background of the Problem

This section uses the literature to provide the reader with a definition and statement of the research gap and the problem the study will address. This section further presents a brief historical perspective of when the problem started and how it has evolved over time. The recommended length for this section is two to three paragraphs.

1. Include a brief discussion demonstrating how the literature has established the gap and give a clear statement informing the reader of the gap.
2. Discuss how the “need” or “defined gap” has evolved historically into the current problem or opportunity to be addressed by the proposed study, citing seminal and/or current research.

Purpose of the study

This section states what the study is about, connecting the problem statement, methodology & research design, target population, variables/phenomena, and geographic location. The recommended length for this section is one paragraph.

1. Begin with one sentence that identifies the research methodology and design, target population, variables (quantitative) or phenomena (qualitative) to be studied and the geographic location.
2. Qualitative Studies: Describe the nature of the phenomena to be explored.
Quantitative Studies: Define the variables and relationship of variables.

Research Question(s) and/or Hypotheses

1. Qualitative Studies
   1. State one core research question that the study will answer, along with any sub-questions.
   2. Describe the phenomenon to be studied.
Quantitative Studies
1. State one core research question and one core hypothesis, along with any sub-questions or sub-hypotheses.
2. Identify and describe the variables
3. State the format appropriate for the specific design and statistical analysis.

Significance

This section reiterates the gap or need in the literature and states how the study will address the gap or need, and how the research will contribute to the literature to advance scientific knowledge or professional practice. It may include practical implications to the community of interest. The recommended length for this section is one to two paragraphs, providing a brief synopsis of each criteria listed below.

1. Clearly identify the “gap” or “need” in the literature that was used to define the problem statement and develop the research questions. Give citations to support your statements.
2. Describe how the study will address the “gap” or “identified need” defined in the literature and contribute to /advance the body of literature. Give citations to support your statements.
3. Describe the potential practical applications from the research. (citations required)
4. Identify and connect the theory(ies) or model(s) that provide the theoretical foundations or conceptual frameworks for the study. Give citations to support your statements.

Literature Review

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 3-4 sentence description of each theme and identifies its relevance to the research problem supporting it with at least two citations from the empirical literature from the past 3-5 years. The recommended length for this section is one paragraph for Theoretical Foundations and a bulleted list for Literature Themes section.

1. Theoretical Foundations section identifies the theory(s), model(s) relevant to the variables (quantitative study) or phenomenon (qualitative study). This section should explain how the study topic or problem coming out of the “need” or “defined gap” as described in the Background to the Problem section relates to the theory(s) or model(s) presented in this section. (One paragraph)
2. Review of the Literature Themes section: This section is a bulleted list of the major themes or topics related to the research topic. Each theme or topic should have a one-two sentence summary.

Methodology

In these sections, propose a research methodology. Provide enough detail for an assessor to understand your plan and assess its feasibility. However, you do not have space to give full details. Later, in the full proposal, you will need to provide enough detail for another researcher to conduct or replicate the study.

State the methodology

In one sentence, state the specific research methodology for the study. (You may use multiple methodologies to complement each other.)

Rationale

Give a clear justification of the methodology you plan to use. Whether it is quantitative or qualitative, show how it is the best approach to answer the research question and address the problem statement. The recommended length for this section is one paragraph.

1. Justify it by discussing why it is an appropriate approach for answering the research question and addressing the problem statement.
2. Qualitative Studies: Give a justification in terms of the problem statement and the phenomenon.
Quantitative Studies: Justify in terms of problem statement and the variables for which data will be collected.
3. Include citations to support your selected methodology. You may use advanced textbooks, articles on research methodology, and/or articles on related studies. However, you may not use introductory or survey research textbooks.

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. Present your reasons why the selected design is the best design, and better than other designs for addressing the research problem and questions. Describe the research sample, how you will select the sample, and describe the process for collecting data on the sample. The recommended length for this section is two to three paragraphs and must address each criterion.

1. Identify and describe the selected design for the study.
2. Justify the selected design, saying how it addresses the problem statement and research question.
3. Briefly describe the target population and sample for the study.
4. Briefly describe your procedure for selecting the sample (e.g. random sample).
5. Identify the sources and instruments that you will use to collect data.
6. Briefly describe your procedures for collecting data.
7. Qualitative Studies: Justify the selected design based on its appropriateness to address research questions and study the phenomenon.
Quantitative Studies: Justify the selected design based on its appropriateness to address the research questions and gather data for each variable.

Research materials, instrumentation, or sources of data

This section continues the research design, identifying and describing the kinds of data that you will collect, as well as the specific research materials, instruments, and sources used to collect those data. These might be tests, surveys, validated instruments, questionnaires, interview protocols, databases, media, etc. The recommended length for this section is one to two paragraphs.

Qualitative

1. Describe the structure of each data collection instrument and data sources (tests, questionnaires, interview protocols, observations databases, media, etc.).
2. If creating your own instruments or modifying existing instruments, demonstrate their validity and how you will test them.

Data collection and management

This section is a continuation of the research design section. It outlines the data collection process and procedures, and any authorizations. The recommended length for this section is a bullet or numbered list of data collection steps that should not exceed one page.

Qualitative Studies

1. Describe your data collection process, including all sources of data and methods used, such as interviews, member checking, observations, surveys, field tests, and expert panel review.
2. Describe the procedures for obtaining participant informed consent and for protecting the rights and well-being of participants.

• Your data must be sufficient in breadth and depth to answer the research question(s), and it must be interpreted and presented correctly, by theme, research question, and/or source of data.

Data analysis procedures

This section provides steps for the analytic procedures to be used to conduct data analysis. The recommended length for this section is one to two paragraphs, but it can also be presented in bulleted format.

Qualitative Studies

1. Describe the relevant data collected for each stated research question.
2. Describe the statistical and non-statistical analysis and procedures for anayzing data.
3. Begin by identifying and discussing the specific analysis approach or strategy.
4. Discuss coding procedures to be used. (Coding procedures may be different for thematic analysis, narrative analysis, phenomenological analysis, or grounded theory analysis.)
5. Give the justification for each of the (statistical and non-statistical) data analysis procedures used in the study.

The fine details may be left to the full proposal. (In quantitative studies, These details include scales (and subscales) of specified instruments and type of data for each variable of interest. For experimental and quasi-experimental studies, describe in detail all treatment materials per treatment condition, as part of the description of the independent variable corresponding to the experimental manipulation.)

Ethical considerations

This section discusses the potential ethical issues surrounding the research, as well as how human subjects and data will be protected. It identifies how any potential ethical issues will be addressed. The recommended length for this section is one paragraph.

1. Describe site authorization process, subject recruiting, and informed consent processes.
2. Describe how the identities of the participants in the study and data will be protected. (e.g. anonymizing data, preventing re-identification of subjects, data storage, destruction or erasure of data.)
3. Identify and evaluate risks to subjects.
4. Discuss potential ethical concerns that might occur during the data collection process. (e.g. specific organzational requirements, other ethical codes).