Prospectus Process and Defense

The Dissertation Prospectus

The Prospectus document should include a Title page which replaces the word “Dissertation” with “Prospectus" and should include the following components: 

• Introduction and Background to the Problem
• Statement of the Problem
• Purpose of the Study
• Research Questions
• Rationale for the Study
• Theoretical/Conceptual Framework
• Significance/Importance of the Study (may overlap with the rationale)
• Definition of Terms (largely conceptual); operational definitions may follow in the methodology section
• Delimitations of the Study (narrowing the focus)
• Limitations of the Study (factors beyond the researcher’s control)
• Review of Literature (This review should focus on identifying the main works to support the dissertation without getting into excessive details. The main idea here is to set the stage for the full-blown literature review in chapter two of the dissertation, or in the case of a qualitative study, the review may be spread over several chapters)
• Description of the Population and Sample
• Overview of Methodology 
• RQA (Appendix) 

While similar headings and subheadings are appropriate, there is no need for Chapter organization at this time. The Prospectus document should be 30 pages (minimum) in length, not including the list of References and any short Appendices. The Chair assists the candidate in developing a Prospectus with input from the Dissertation committee, as needed. 

Defense and Approval of the Dissertation Prospectus

The Prospectus defense serves as an opportunity for the candidate to share with the committee the foundational elements of the proposed study and demonstrate the need and preliminary direction of the dissertation. The format of the Prospectus defense is a brief and succinct overview of the Prospectus (10-12 minutes) followed by questions from the committee – a PowerPoint presentation should not be used at this early stage in the process. The Dissertation Chair will determine when the Prospectus is ready for review by the committee. The Chair provides the committee with the draft Prospectus at least 14 days prior to the Prospectus defense. The Chair will then contact the candidate and Committee to set a Prospectus defense date and time (allotting 60 minutes). Once the date and time have been established, the Chair will notify the Program Office ([email protected]). The Program Office will distribute appointment invites for the defense.

Candidates are expected to dress in professional business attire for the defense presentation. On the day of the Prospectus defense, the candidate will provide a brief and succinct overview of the Prospectus, ensuring that the following major points are addressed: 

• Introduction and Background to the Problem 
• Purpose of the Study
• Research Questions 
• Review of Literature (Brief overview of the highpoints and need for additional literature) 
• Broad overview of research design, including: 
  • Population & sample
  • Any proposed instrument(s) 

Following the candidate’s presentation, each Committee member will be given the opportunity to present questions to the candidate. Committee members may also suggest changes in any aspect of the Prospectus at this point. It is imperative to remember that opinions may differ; should differences arise, the Chair will provide guidance.

After all Committee members have had opportunities to ask questions and make suggestions or comments, the Committee will deliberate and determine whether or not the Prospectus has been successfully defended and can be approved. 

• If upon completion of the Prospectus defense, the Prospectus is not ready for approval, the Chair will notify the Program Office ([email protected]) to hold the Examination Results Form. The candidate will work with the Chair to complete the Prospectus based upon the Committee’s feedback, and another defense meeting will be convened within a time frame agreed upon by the Dissertation Committee.
• If there are revisions needed for the Prospectus, the Chair will notify the Program Office ([email protected]) to hold the Examination Results Form. Once the requested revisions have been made and approved, the Chair will submit a copy of the manuscript to the Program Office and request that the Program Office circulate the Examination Results Form for digital signatures from each Committee member and the Program Director/Advisor.
• If the Prospectus is approved (with no revisions), the Chair will submit a copy of the manuscript to the Program Office ([email protected]) and request that the Program Office circulate the Examination Results Form for digital signatures from each Committee member and the Program Director/Advisor. 

Once the Prospectus has been approved by the Committee and the Program Director/Advisor, the candidate is ready to proceed with the Dissertation Proposal.