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How to write a dissertation prospectus (with outline and examples), published by nicholas tippins on april 30, 2020 april 30, 2020.

Last Updated on: 2nd February 2024, 05:41 am

Your dissertation prospectus is the first formal document you submit to your dissertation committee outlining your intended study. It is not a long document; usually around 10-20 pages. It should be submitted fairly soon after establishing candidacy.

It is wise to discuss your prospectus with your Chair and committee members before writing it. They will give you valuable pointers about your intended study, and you’ll save yourself the effort of rewriting it after you get their feedback.

In this article, I’ll provide an example outline of a dissertation prospectus, discuss the basics of how to write a dissertation prospectus, and also explore the similarities between writing a prospectus and asking someone on a date.

Dissertation Prospectus: Example Outline 

While every institution will have different requirements (and you should absolutely look at those before writing your dissertation prospectus), there are a few basics that are common to most of them. 

Title : This is more of a labor than you might have anticipated. Gone are the days of last-minute essay titles. The dissertation prospectus title is a hyper-specific description of what you plan to study. It should align with your problem and purpose statements. 

Focus, or Statement of Thesis : This is where you describe what you’ll study. No need to write a ton here–a few sentences or short paragraphs is usually sufficient.

Again, this must be very specific. It’s easiest to think of this section as a central question of your dissertation. Can you distill the focus of your dissertation into one question? If not, chances are your topic is too broad.

Since this section will become your Problem Statement and Purpose statement , it can be helpful to consider “what is the problem I’m trying to solve,” and “with that in mind, what is the purpose of this study?” 

Summary of Existing Literature: What other studies have been done on the subject? This is the very beginning of what will become your Literature Review . It’s important that you’re familiar with the landscape before you dive into studying a subject so that you can be sure that you’re building off of existing knowledge and adding a genuine contribution to the field.

Methodology: Discuss the methods you plan on using. You should know whether your study will be qualitative or quantitative, as well as any theoretical or conceptual frameworks you plan on using.

Outline: Some institutions ask that you provide a brief outline of each chapter. 

Timeline : Some institutions ask for a rough timeline. Make sure to account for time researching existing literature, collecting data, and writing.

Bibliography: Here, you’ll list the sources that you reference in your prospectus. 

How to Write a Dissertation Prospectus

Writing a Dissertation Prospectus Is Like Asking Someone on a Date

One of the most common challenges students have when they begin writing their dissertation prospectus is lack of specificity. The level of specificity required in academic writing is unique, and it often takes students a while to grasp just how specific they need to be.

One (sort of) helpful way to look at this is that it’s like asking someone out on a date. In both a dissertation proposal and a date proposal, you need to communicate the following information:

• Who is involved?
• What are we doing?
• Where are we going?
• When is this happening?

In a date scenario, usually that’s you and me. But maybe two of our mutual friends are coming along for a double date. Or an adult chaperone. Or maybe it’s you and one of my friends who I think would be perfect for you, even though you think he’s an asshole. Do you see how it’s important to know who we’re talking about? 

Knowing who is equally important in a dissertation. And we have to be super-specific here. Not just “branch managers,” but “branch managers at a medium-sized paper company in Pennsylvania.” 

For one of the first dates I went on with my partner, I neglected to tell her that we were going hiking. She showed up in a sundress and pretty little sandals (which I also neglected to notice were not appropriate for hiking). I should also mention that “hiking” for me is more like bush-whacking; it involves following deer trails, climbing over fallen trees, scaling small cliffs, and jumping over streams. 

Despite her attire, we had a blast, and only once did she mention that she “maybe should have brought different shoes.” If I were to do it over again, though, I would tell her what we were doing so she could dress appropriately.

It’s also important to know what you’re studying. What phenomenon, event, etc. Are you studying employee engagement, 

If we’re going on a date, I have to know where to meet you. At a cute local diner or L’etoile? Knowing where we’re going only makes sense. If I plan on taking you to Venice, but you think we’re meeting at our favorite cafe, there might be a problem–no matter how nice Venice is. 

See, knowing where we’re talking about is important. Guess what–the same is true for a dissertation.

Most dissertation studies (at least those with human subjects) involve a limited area. It’s important to know where a study took place in order for future researchers to account for the location when trying to replicate your data. It’s also important to know where in order to interpret the data in context.

For example, upper-level managers in banks in Nigeria have a different context than those in the United States. Women between the ages of 25 and 40 who earn the majority of their household income have a different context depending on whether they’re in Tokyo, rural India, or a medium-sized city in Brazil. Each of these countries has different cultures, laws, economies, and historical events that affect the data you collect.

This is something most people get right when asking someone on a date. It’s hard to meet up if you’re there at different times. However, not everyone gets this right in the dissertation prospectus.

You can explore about the causes or the effects of the financial crisis in Rome, but what you discover will differ depending on whether you mean the Roman Empire’s financial crisis of 33 A.D. , or the Italian financial crisis of 2018 . 

How to Write a Dissertation Prospectus: Summary

Your prospectus is usually the first formal document you submit on your way to writing your dissertation . When done well, it can provide you a strong basis for writing your Chapter 1. I encourage you to reach out to your committee before writing it to discuss what your plans are, and again if anything is unclear. You’ll save valuable time by doing this proactively, and you’ll also learn the essential vocabulary of the academic.

Nicholas Tippins

Nicholas has been a dissertation editor since 2015. He founded a dissertation editing firm that served clients around the world. Currently, he manages the editing team at Beyond PhD Coaching.

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What is a Prospectus?

A dissertation prospectus is a document that shows the researcher’s plan for the dissertation project. This document should provide enough information to verify the need for their study, the way it is situated amongst existing literature, and how the research will be facilitated. A committee will use this document to verify the viability of a study and to start the conversation regarding where the research could go or other potential avenues to explore.

Note: The prospectus is only the initial starting point, so the focus of the study may change as you continue to research and develop your ideas.

In the prospectus, you are primarily responsible for identifying:

• What you are researching
• Why it matters
• What the foundation of the research is

The dissertation will follow the format of the prospectus template . It is primarily modeled after the professional version of APA 7th edition, but does require minor deviations.

The prospectus is generally a minimum of 15 pages, is double-spaced, and includes an extensive reference section. Remember that the prospectus is the initial plan. While a fair amount of information and evidence is necessary to show a firm foundation, it should not be exhaustive. Provide the information that is necessary in a concise and clear manner.

The prospectus will consist of the following sections/components:

The title of your dissertation should be relevant, clear, concise, and informative.

Focus: Can your readers determine the focus and topic of your research?

Approach: Does indicating your approach help the reader to determine the overall impact on your results?

Specificity: Were you specific enough about the factors or aspects studied?

Examples: UNDERSTANDING THE EXPERIENCES OF WOMEN STUDENT VETERANS DURING THEIR TRANSITION PROCESS FROM THE MILITARY INTO HIGHER EDUCATION: IDENTITY, BELONGING, AND VOICE IN WRITING COURSES AND WRITING ASSIGNMENTS IN OTHER DISCIPLINES (Broding, 2020)

THREE CASE STUDIES IN QUANTITATIVE APPROACHES TO AGROECOSYSTEM MANAGEMENT (Baird, 2019)

Problem Background

What is the central problem that your research will address? The existence and extent of this problem should be verified with research.

Context: Explain the depth of the problem with enough information for readers to understand the reason it is an issue

Issue: State the problem clearly and precisely

Importance: Indicate who it influences or what would happen if this problem were not solved.

Objective: Situate your research here. What will you achieve with your research? What is your aim? ( tense: future simple – This study will…. )

Problem Statements

From the context of your problem background, identify specific problems that your research aims to address. These should be stated in a single sentence format (at most two) and be supported with a citation.

Note: The problem statements should link to the research questions

Purpose of the Study

The purpose of the study will explain, in simple terms, what the point of the study is. You can think of this as identifying the research type, direction, purpose (reason for it), and what the overall goal is.

Begin the sentence with: “The purpose of this (qualitative/quantitative/mixed methods) study is to (insert action verb).

Action verbs for qualitative studies: explore, understand, describe, etc.

Action verbs for quantitative studies: examine, analyze, predict, etc.

Theoretical/Conceptual Framework

The framework will indicate the structure and basis of your proposed research. For more information on frameworks, see the framework page.

Research Questions

Indicate a research question(s) that derive from the problem statements previously mentioned.

Specific: Does each question focus on one issue/problem?

Clear: Does your reader understand what you are researching?

Legitimate: Is it a question (open-ended) and not a statement?

Answerable: Can you answer the question that you have asked with the resources and time you have available?

Nature of the Study

Explain your proposed method, research design, required data, data collection method, and data analysis methodology.

Note: This is a plan for a future study, so future simple is used.

Method: Qualitative, quantitative, mixed

Research design: Evaluation, action research, correlational, quasi-experimental, grounded theory, phenomenological, etc.

Data: What data is needed? (Primary/secondary?)

Data collection method: Survey, questionnaire, interview, observation, focus group, etc.

Data analysis methodology: exploratory analysis, descriptive analysis, regression analysis, etc.

Consider aspects like: location of study, time frame, participants, sampling, etc.

Significance of the Study

Indicate the potential impact of your study.

Contribution: How will your findings contribute to your field?

Gap: What will your research add to the gap you identified?

Benefit: Who will benefit most from this research?

The references typically span 3-5 pages. All references should be formatted using APA 7th edition. See the APA page for further information on properly formatting your references.

Samples of Prospectuses

When Do I Complete the Prospectus?

The prospectus will be completed in the second year of your doctoral program during the RES721 course.

Can I Start Working on it Before RES721?

For suggestions on what you can be working on now to prepare for your dissertation, please see here .

What if I need help?

For help on the prospectus, you can see the list of services the Doctoral Writing Center provides here .

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Prospectus writing.

Writing your prospectus is the first step towards completing your dissertation. It represents an opportunity to identify your project goals, create a roadmap for completing your graduate work, and to frame the significance of your work.  Your committee will provide you with feedback on the prospectus.

While different departments and disciplines will have their own requirements, in general, your prospectus will include an abstract, background and significance of research, a literature review, a description of the preliminary work you have completed, an explanation of your method or approaches, potential limitations or issues with the project, a timetable for completion, a conclusion, and a list of references.

The Graduate Writing Lab’s team of writing consultants can help you at any stage of your prospectus drafting, from brainstorming ideas, through early drafts, and polishing a final product. You can make an appointment with a consultant at:  https://poorvucenter.yale.edu/writing/graduate .

• General Guidelines for Writing a Prospectus

The Graduate Writing Lab has collected sample prospectuses from various disciplines for your reference, which are available here as downloadable resources.

• East Asian Languages and Literature  
• Film Studies  
• History of Art and African American Studies  

Social Sciences

• African American Studies 
• Political Science  
• Cell Biology  
• Computational Biology and Bioinformatics  
• Neuroscience
• Pharmacology  
• Physiology  

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General Information

The prospectus, or proposal, is the first step of your dissertation. It serves as a plan for your project, an identification of your research goals and method(s), and an articulation of the importance of your work. Alongside its preparation, you will also select members of your committee, who will provide you with important feedback. 

Beginning the document often marks a significant change of pace and approach for graduate students. The immensity of the task that is writing a dissertation can feel overwhelming, and can make the prospectus feel equally insurmountable. The prospectus, however, is meant to check precisely these moments. As a plan made in consultation with your committee, it is something to hold onto as you work through, and often get lost in, the details of your project. 

Different departments often have different expectations for the prospectus. These include the nature and importance of a literature review, of explaining your method, of discussing the limits of the pr o blem you identify, etc. While some of the advice we offer here is suitable for any graduate student, we also recognize these differences, and so, to aid as broad a range of students as possible, we have compiled a set of sample documents from a range of disciplines below.

• General Guidelines for Dissertation Prospectuses and Proposals

Sample Documents

• Anthropology (Cultural Track) Prospectus
• Art History Prospectus
• English Sample Prospectus
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Dissertation Prospectus

A dissertation prospectus is a paradoxical piece of writing. It is not an abstract (which is to say, a summary of a completed dissertation) or an introductory chapter of a dissertation, but rather  an attempt to describe what is planned before it has actually been done. Since it is meant to be submitted soon after completion of the candidacy examination, it need not be a huge document. Indeed, it could be around fifteen double-spaced pages in length (roughly 3500-4000 words) with up to ten further pages of bibliography. As indicated, the prospectus should provide a preliminary description of the proposed dissertation. It should delineate what topic and area the dissertation will explore; discuss why this topic and area merit such exploration; and include a provisional chapter outline and as complete a bibliography as possible. The outline should be as precise as possible, even if it is very likely to be modified in the course of writing the dissertation.

Finding, defining, and communicating a topic that is at once significant and of realistic scope are tasks that require discussion and cooperation between the dissertation writer and faculty members. Therefore, the dissertation writer is encouraged to show drafts of the prospectus to his or her dissertation committee and other faculty members. After these initial consultations, the writer will submit the final version of the prospectus for formal approval by the committee. The committee will then meet collectively with the candidate to discuss the project and its implementation.

There is no single recipe for a good dissertation prospectus. But all writers should answer, to the best of their abilities at this early stage of research, certain fundamental questions:

·         What is the central problem that the dissertation will address? This problem can be theoretical, critical, or historical; but it should, in most cases, be presented as a question or related set of questions to which the dissertation will attempt to find answers. It is important that the problem and hypothetical answers be stated from the outset, so that your research will not risk becoming random, and your exposition will not lapse into mere description. The sense that an argument is being made should be constantly kept in mind.

·         To persuade your reader that you are not just reinventing the wheel or restating what has already been said, you should include a brief review of the present “state of the art” with respect to your topic. Has this topic been treated before?  How does your approach differ from earlier ones?  Has new evidence appeared (for example, a new primary source) since previous treatments?

Outlining a sequence of potential chapters will help you clarify the argument of your dissertation and check the balance of its parts in relation to one another. A chapter should be conceived as approximately 30-40 double-spaced pages. If the major sections of your dissertation seem likely to exceed this length, plan to subdivide them. A finished dissertation is generally 200-300 pages long. You will find that developing an outline helps your thinking to move forward substantially, so that the actual writing of the dissertation is more clearly focused.

Once you have drafted your prospectus under the guidance of your dissertation committee, you might want to have it read by someone who knows nothing about your topic, to see whether you have clearly set out your problem and defined a workable method.  Seeking out a general reader right at the start is a good reminder that although you may be writing on a specialized topic, your dissertation should be written in clear, intelligible prose. Make sure you define the theoretical categories you are introducing, and try to avoid technical jargon unless it is necessary to the intricacies of your argument.

Prospectuses and dissertations tend to either lose themselves in detail, or to be too general. To avoid this, try to do what you would in any paper you write: make sure that your main argument remains clearly above ground, and that each paragraph has a clear connection with the ones preceding and following it. The prospectus is not a mini-dissertation, and need not involve more time in writing and revising than another paper of comparable length. Yet enough care and stylistic grace should be exercised so that the prospectus clearly and concisely articulates the project, its arguments, methods, and special considerations in a manner that anyone in interdisciplinary studies can grasp.

Breaking it Down: Writing a Doctoral Dissertation Prospectus

Susan E. Baer , Contributing Faculty Member, School of Public Policy and Administration, Walden University, [email protected]

  This essay was originally published in the Political Science Educator’s Fall 2020 series.  

At Walden, this process begins with the student identifying a research problem and writing a problem statement.  Often a new doctoral student has a general topic of interest that is broad and needs to be much narrower in focus.  To narrow the focus and identify a specific research problem to study, students must review the existing literature on their topic of interest and identify a gap in the literature.  Asking students to review relevant literature and write an annotated bibliography may help them to narrow their focus and identify a research problem.  The students must ultimately write and rewrite a draft problem statement.

After completing their problem statement, students need to write the often elusive research question or questions for their qualitative dissertation study.  The student’s research question should flow logically from her problem statement.  Students need to consider multiple factors when writing a research question including proper phrasing, assessing the feasibility of addressing the research question, and possible Institutional Review Board (IRB) implications, among others.

When a suitable research question is found, the student next writes the purpose section of her prospectus.  This section connects the research problem being addressed and the focus of the study.  Again, the student writes and revises this section until all instructor feedback is addressed.

Students next must find and select an appropriate theoretical or conceptual framework for their dissertation study.  Selecting an appropriate framework is crucial, because it grounds the dissertation study and serves as a blueprint of sorts for the study.  To identify an appropriate framework, students must search and review the existing literature.  In certain cases, I ask students to consult a university librarian if additional assistance is needed.  The selected framework should help the student to answer her research question.

The student must next write a significance section for the prospectus.  Issues the student must address in this section include explaining why the study is important, how the study will begin to fill a gap in the literature, and how the study’s findings might lead to positive social change.

Students next must determine the nature or approach of their qualitative study.  The research design selected should best address the study’s research question.  Then, students write the possible types and sources of data section as well as the limitations, challenges, and/or barriers section of the prospectus.

The students must also write and include a background section in the prospectus that consists of ten relevant annotated journal articles published within the last five years.  This section must also include keywords or phrases searched and databases used.  Finally, students need to include a references list using the most updated APA style as well as a title page.

Dividing the dissertation prospectus into smaller sections and writing one section at a time in a logical order and addressing all instructor feedback for each section allows students to complete the prospectus in a more manageable way.  This method might reduce students’ anxiety and sense of feeling overwhelmed, and it has the potential to enhance student success.

Political Science Today

Writing a Prospectus: Home

Library resources.

Sample Lists of texts in J. Willard Marriott Library

Dissertation   proposal  guidebook :  how   to   prepare   a  research  proposal  and get it accepted ( LB2369 .G26)

Theses   and   dissertations  : a  guide   to   writing  in the social  and  physical sciences ( LB2369 .T44 1997)

Theses   and   dissertations  : a  guide   to  planning, research,  and   writing ( LB2369 .T458 2000)

Completing   dissertations   in   the   behavioral  sciences and education ( LB2369 .L65 1985)

Proposals   that   work  : a guide for planning dissertations and grant proposals ( Q180.55.P7 L63 2007)

Dissertation   solutions  : a concise guide to planning, implementing, and surviving the  dissertation  process ( LB2369 .A94 2012)

Avoiding thesis and  dissertation  pitfalls : 61 cases of problems and solutions ( LB2369 .T457 2001)

Prospectus Guide

Writing a Prospectus

There are many different kinds of prospectuses for different purposes. Ph.D. students are asked to submit dissertation prospectuses to their committees; most research grant applications require them; academic job candidates often include short prospectuses with their application materials; and book publishers request them as part of the process of considering a manuscript for publication. Editors of journals and essay volumes may also request a prospectus of a proposed article. These different kinds of prospectuses differ mostly in regard to the length and detail with which the project is described. Dissertation prospectuses can run anywhere from 5 to 30 pages, depending on the amount of detail requested of the student, while grant and job applications generally require brevity (1-2 single-spaced pages for a job application; 3-5 single-spaced pages for many grants). It is highly likely that before a major project is published, 3 or 4 different kinds of prospectuses will have been written for it. 

A dissertation prospectus is a Ph.D. students attempt to describe a dissertation project, including the central problem, puzzle or question to be addressed, the existing literature, and how the project might add to that literature. 

Below you will find general information. When in doubt you should always consult your department and faculty advisors. Academic writing is discipline specific, so one size definately doesn't fit all. 

A prospectus should answer the following questions: 

• What is the subject of the study? How is the subject defined (is there any special use of terminology or context)? What are the main research questions the study aims to answer?
• Why is the author addressing this topic? What have other scholars written about this subject, and how is this author's approach, information, or perspective different? What need or gap does this proposed study fill in the scholarly conversation? What new approach to a familiar topic does it propose to offer? What will be the study's original and special contributions to this subject?
• What are the main sources that will be used to explore this subject? Why are these sources appropriate?
• What is the proposed organization of the study?
•  Does the author have any special needs in order to complete this study? In particular, does s/he need funding to travel to archives, gain access to collections, or acquire technical equipment? Does s/he have the special skills (languages, technical expertise) that this project might require?

Organization: 

• Title: it should be informative and helpful in pinpointing the topic and emphasis of your study
• The body of the prospectus: this section should concentrate on addressing questions 1-3 above. The goal of this section is both to describe the project and to "sell" the reader on its potential interest and scholarly significance.
• A chapter breakdown: This can either be a formal section, in which each chapter is described in turn in about a paragraphâs worth of text, or it can be done more narratively, in which the whole project is outlined as a more seamless story. Either way, it should address question #4, above.
• (for grant applications, if applicable) a brief paragraph at the end addressing question #5.
• (for dissertation prospectuses) a bibliography is usually required.
• (for book prospectuses) a table of contents is usually requested.

Some further considerations:

Think about your audience. Most of the members of your dissertation committee will know a lot about your area of research. But this may not be true, for example, of committee members from outside the department. It is even less likely that readers of job or grant applications or book editors will be familiar with the particular area of scholarship in which you work. It is therefore important that your prospectus convey its subject matter in as clear a fashion as possible, and that it not make too many demands upon its readers in regard to knowing specialized terminology or about debates within a given field. Your prospectus should be meaningful and interesting to an intelligent general reader.  What readers look for in a good prospectus. In most cases, prospectuses are being reviewed because people are considering entrusting you with something: the freedom of advancing to candidacy; a job; grant money; a book contract. They need to know if their trust will be well placed, and that you are a good bet to follow through on your proposed work. Questions that often arise in this regard are as follows:

• How interesting and important is this study? (will we have helped make an important contribution if we support this work?)
• Is the study feasible? Can it be done in a reasonable time frame?
• Can this author produce an excellent dissertation/book? (nobody wants to back a shoddy effort)

Your prospectus should address the first of these concerns head-on and show the reader exactly why your project is important, interesting, and, if possible, relevant to broad (human/social/political/cultural) concerns. The second two questions are a little tougher to address. Often, they emerge because the project appears to be too broad or ambitious in scope or not yet completely formulated. Or perhaps the readers have concerns about the author's scholarship. If you are concerned that your dissertation prospectus describes a project that appears too big to be successfully completed, you should discuss this with your dissertation director; this might be a signal that you need to reconsider your project's structure. As for the scholarship issue, you can best address this by making sure to show that you are completely in charge of the scholarly apparatus of your project: you know what you're talking about in regard to the scholarly debates, and you give sufficient (and the right) citations. (A negative example: if you say you're the first person to study a particular topic, you had better be right!)  Dissertations are works in progress. If you have read these suggestions in preparation for writing a dissertation prospectus, you may be feeling overwhelmed. Perhaps you worry that you don't know how to address all the issues raised in the five key questions outlined above. This is probably because your dissertation topic and/or organization has not been thoroughly worked out yet. Indeed, many students find it hard to be decisive about the shape, topic, and issues in a dissertation until they are well into the writing (which is why more advanced students tend to write better prospectuses than those just starting their research, and, not coincidentally, compete better for jobs and grants). If your dissertation is still in its early stages, you may have to bluff a little to produce a cogent prospectus, and even resign yourself to remaining a bit speculative in places about features of your project. But you should also see whatever difficulties you have in writing your prospectus as diagnostic of the work have yet to do in planning your dissertation: if you are having trouble articulating the topic, you probably need to think it through more thoroughly; if you are uncomfortable with your rationale for undertaking the project, perhaps you need to do more research on previous approaches; if you have trouble summarizing your chapters, perhaps you need to spend some time on either the organization of the dissertation or on the content of the individual chapters. This exercise is worth the effort: a dissertation prospectus will probably be the first draft of all the other prospectuses to follow.

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• Last Updated: Apr 14, 2020 3:55 PM
• URL: https://campusguides.lib.utah.edu/prospectus

Rhetoric and Composition

Georgia state university.

Dissertation Prospectus

Thesis and Dissertation Forms (English Dept. Graduate Studies Office)

Resources for Thesis & Dissertation Writing   (list compiled by WPA-listserv)

What is the Prospectus?

The prospectus, either for the M.A. Thesis or Ph.D. Dissertation, is a written plan for the research the student intends to complete. At the Ph.D. level, students must defend the prospectus in an oral examination after passing the Ph.D. exams.

Goal:  To position yourself within an academic conversation and define the methods for your research project. Your stance and voice dominate the entire discussion, including the literature review. Entering the conversation, or facilitating a new one, is the key, and having questions to ask, if not answers you hope to find.

Length:  20 – 25 pages of text, including a working bibliography, chapter outline, and timeline for completing the work.

Introduction:

• Why this research is important or necessary
• Focus of the project and / or specific research questions addressed by the research
• What you hope to discover, presented as a thesis statement or a hypothesis

Literature Review:  Much of the prospectus should review the scholarly literature, whether divided into topical / thematic sections or as an ongoing discussion from theory to application, specific analyses to general reception, historical contexts to specific texts, or another organizational structure.

Methodology:  How do you plan to conduct the research? Describe theoretical frameworks or the philosophy that underlies your methods. Then name your specific methods for analysis and/or data collection. Many projects use a mix of specific methods and draw upon specific inspirational sources as models.

Chapter Outline:  Parse out the sections of the dissertation project based on specific texts, theoretical frameworks, themes, or topics to be addressed. Having logically distinct sections for completing your work allows you to shift from one section to another if you become stuck.

Schedule:  A basic plan for when you plan to complete each section of work. This plan can be as detailed as the writer or committee thinks is necessary.

Working Bibliography:  List the sources that directly support the literature review and models for your methodology, but include everything consulted at this point, not just those cited in the prospectus. Some projects separate the sources into sections that indicate which sources supports specific themes, topics or methods.

The Oral Defense (for dissertations):  In a separate document, outline your talking points, select visuals or other examples, and anticipate challenges during the research process. Plan to explain these in a 15- or 20-minute presentation during the prospectus defense. A tentative writing schedule will be discussed so that the committee knows how the project will proceed and who will read which sections. You might end with questions or concerns to offer the committee.

Explanation from a Sample Dissertation Prospectus

Introduction  sets the stage by identifying a “lack of conversation” and “dissonance” among scholarly discussions from Writing Center studies, Composition Pedagogy, professionalization literature, and pedagogical practices when she chose to focus on the lived professional and educational experiences of graduate student tutor / teachers. The writer first examines issues of definitions and words that fail to encompass the complexity of graduate students within their multiple professional identities and pedagogical spaces. This discussion leads to a key term, “reflexive reflection” that incorporates discourse communities and complicates current descriptions of what we think of as “good” pedagogical theory and goals.

Literature Review:  Still within the Introductory section, these definitional research problems lead immediately to a review of literature about discourse communities and communities of practice in order to gather the strands or fragments that will be brought together in this new conversation about a subject that challenges and disrupts the individual bodies of scholarly conversation. The writer’s strategy is an organic one, with the literature discussed throughout her argument, that then forces scholars to talk to one another in a kind of musical retuning into counterpoint harmony. The introductory section offers many of the specific argument moves in miniature, within and against the literature, which will be developed and expanded by the empirical evidence collected during the research process.

Methodology  makes the case for lore as a flexible, experience-based, narrative methodology and takes on the scholarly debates about lore’s value and how it supports the goals of the project to examine reflection and reflexivity in more fluid, community-based ways. The writer then moved into describing the specific methods, which are the specific tools for empirical and ethnographic teacher research: surveys, interviews, teaching portfolios and observations. Each stage of data collection is described and the planned sequence builds toward the necessary triangulation of data and the goals of building an interpretation.

Chapter Outline  reminds us that the dissertation will take on scholarship throughout as it builds an argument based on the evidence collected about graduate student tutor/teachers. The Introductory chapter will answer the broad research questions by using a literature review as well as some of the research results. This chapter and all the subsequent chapters are driven by specific research questions that have data collection tools associated with them. Here’s where we find a specific statement of what the writer is planning to find, stated as hypotheses that will tested and proven by the data collected:

I believe these questions will lead me to find that graduate students develop the ability to reflexively reflect on teaching practices when they have a tutoring background and that teaching informs tutoring practices as tutoring informs teaching practices. Further, this study seeks to establish that a greater depth of professional development occurs when graduate students embody spaces of teaching and tutoring, as opposed to embodying one or the other throughout their graduate experience. Finally, the data collected will, theoretically, illustrate that a greater understanding of composition theory and pedagogy occurs when graduate students also act as tutors and also that a greater understanding of practitioner-researcher methodology occurs when graduate students function as both teacher and tutor during the graduate experience.

The subsequent chapters are thematic in terms of these expected findings: Teacher Education Theory, Teaching and Tutoring Practices Informing Each Other, Professional Development, Enactment/Embodiment of Multiple Spaces, and Implications for Research.

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• Dissertation Prospectus

In the third year doctoral students prepare a dissertation prospectus and present it at the prospectus conference, which is held yearly during the third week in January.

The conference is a forum in which students share their ideas with faculty and colleagues, and receive suggestions as they begin to research and write their dissertation.

Following the conference, advisors may either approve the prospectus, or ask the student to revise it. It is suggested that students begin working on the prospectus immediately after passing the general exam , so that they are adequately prepared.

A typical prospectus includes the following:

Statement of thesis.

What is the problem you wish to study and what is its interest or significance in current historical thinking? State clearly and concisely how you presently conceive this problem and how you suppose it can be resolved.

Historiographical Context

What work has, and has not, been done in this field and on this problem? Discuss relevant scholarship critically. It is not necessary to criticize specific failings; but show what is understood to be the merits and limitations of relevant works. How do you propose to develop, challenge, or depart from existing positions or themes in historical literature?

Method and Theory

Outline an approach to the subject. If the conception has theoretical aspects, discuss them critically. Have scholars in other fields developed concepts of potential interest to the topic? Think about method and theory, even if there is a decision not to engage much with external perspectives and theory. The faculty neither encourages nor discourages such engagement, but cautions that original historical work should not simply illustrate other people's ideas.

Give an account of the sources for the subject. Stress primary sources, the difficulties they present, their location (print, manuscript, or any other form), and their accessibility. Identify the principal libraries and repositories as well as other locations and persons. Do not overlook unpublished doctoral or master's research.

Draft a tentative chapter outline and schedule of tasks and stages for the writing of the dissertation. Allow time for research, travel to collections, writing, and revision.

Bibliography

List the primary and secondary sources used to develop the prospectus.

About the Prospectus Conference

Presentations last for 30 minutes. For the first 15 minutes students present their prospectus, and the remaining 15 minutes are reserved for questions from the audience. By December 2nd, the graduate coordinator will ask for three pieces of information as a prelude to the conference:

1.   Provisional title of the presentation 2.   Requests for audio/visual equipment 3.   Names of faculty members who should be invited to the presentation.

By January 13 candidates will submit a 15-20 page written prospectus to the graduate coordinator that forms the basis of the presentation. The prospectus should include a select bibliography and the names of archives in which research will be conducted. For examples of last year's conference see the  Graduate Student Resources site.

About the Prospectus Approval

Before spring break in the G3 year, and after the G3 conference has occurred, the graduate student will initiate a meeting of their dissertation committee. The goal of this meeting is to generate additional feedback on the prospectus and set norms and milestones for the research and writing of the dissertation. If necessary, the chair of the dissertation committee may ask for revisions of the prospectus. The final version of the prospectus must be submitted to the Graduate Coordinator no later than June 30 (preferably much earlier) along with the approval form signed by the advisor.

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Writing a Research Prospectus

A prospectus is a formal proposal of a research project developed to convince a reader (a professor or research committee, or later in life, a project coordinator, funding agency, or the like) that the research can be carried out and will yield worthwhile results. It should provide:

• a working title for your project,
• a statement of your research question or issue,
• an overview of scholarship related to this topic or to the this author,
• a brief summary of your research methods and/or your theoretical approach.

A prospectus is normally accompanied by a bibliography, often annotated, which lists sources you have consulted or plan to consult for your research. In cases where the texts studied exist in multiple editions or in translation, the bibliography should normally state which edition, text, or translation you will be using and why. You also should include a Prospectus Cover Sheet (Word) , complete with the signature of your director and second reader.

Contents:  In most cases, a prospectus will begin with an overview of existing scholarship, summarizing basic arguments relevant to the project. It will then position the project with reference to this scholarship. For this reason, the prospectus will demonstrate that you have conducted enough preliminary research to be able to design a relevant project and carry it through relatively independently. Since at this stage much research remains to be done, a thesis statement usually does not follow this introduction. Instead, include a statement of hypothesis or of the central research questions. The prospectus should then offer an overview of the project organization. If the project is large enough for chapters, include a breakdown of them. If special skills or assistance such as foreign language competency, access to archives or special collections, technical skills, or access to technical equipment are needed to complete your project, the prospectus should address your preparation in these areas. Part of your goal is, in essence, to "sell" your research supervisors on both your project and yourself as a researcher. Cover the ground well, presenting yourself and your project as intellectually convincing.

Developing an initial prospectus will help faculty understand where you are in the research process and help you bring focus to your research throughout the experience. Because it lays out a framework for your project, the prospectus can provide you with direction during the inevitable moments when you feel overwhelmed or lost. And because you have already clearly demonstrated your ability to carry out your research project, the prospectus can serve to reinforce your confidence and help keep you on track for a timely completion.

Beyond its relevance to your current research project, a prospectus helps you sharpen several important skills. Because a good prospectus demands concise, informative writing, composing one will help hone your writing style. In asking you to persuasively describe a compelling project and establish your ability to carry it out, it draws on abilities applicable to a variety of situations in and out of the academy, such as scholarship and funding applications, proposals for research forums, conferences, or publications, job applications, and preparation for larger and more complex research projects such as those found in Ph.D. programs and a variety of professional settings. The skill is so important that some people—grant writers—make a profession out of writing prospectuses.

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• Knowledge Base
• Dissertation

How to Write a Dissertation Proposal | A Step-by-Step Guide

Published on 14 February 2020 by Jack Caulfield . Revised on 11 November 2022.

A dissertation proposal describes the research you want to do: what it’s about, how you’ll conduct it, and why it’s worthwhile. You will probably have to write a proposal before starting your dissertation as an undergraduate or postgraduate student.

A dissertation proposal should generally include:

• An introduction to your topic and aims
• A literature review  of the current state of knowledge
• An outline of your proposed methodology
• A discussion of the possible implications of the research
• A bibliography  of relevant sources

Dissertation proposals vary a lot in terms of length and structure, so make sure to follow any guidelines given to you by your institution, and check with your supervisor when you’re unsure.

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Table of contents

Step 1: coming up with an idea, step 2: presenting your idea in the introduction, step 3: exploring related research in the literature review, step 4: describing your methodology, step 5: outlining the potential implications of your research, step 6: creating a reference list or bibliography.

Before writing your proposal, it’s important to come up with a strong idea for your dissertation.

Find an area of your field that interests you and do some preliminary reading in that area. What are the key concerns of other researchers? What do they suggest as areas for further research, and what strikes you personally as an interesting gap in the field?

Once you have an idea, consider how to narrow it down and the best way to frame it. Don’t be too ambitious or too vague – a dissertation topic needs to be specific enough to be feasible. Move from a broad field of interest to a specific niche:

• Russian literature 19th century Russian literature The novels of Tolstoy and Dostoevsky
• Social media Mental health effects of social media Influence of social media on young adults suffering from anxiety

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Like most academic texts, a dissertation proposal begins with an introduction . This is where you introduce the topic of your research, provide some background, and most importantly, present your aim , objectives and research question(s) .

Try to dive straight into your chosen topic: What’s at stake in your research? Why is it interesting? Don’t spend too long on generalisations or grand statements:

• Social media is the most important technological trend of the 21st century. It has changed the world and influences our lives every day.
• Psychologists generally agree that the ubiquity of social media in the lives of young adults today has a profound impact on their mental health. However, the exact nature of this impact needs further investigation.

Once your area of research is clear, you can present more background and context. What does the reader need to know to understand your proposed questions? What’s the current state of research on this topic, and what will your dissertation contribute to the field?

If you’re including a literature review, you don’t need to go into too much detail at this point, but give the reader a general sense of the debates that you’re intervening in.

This leads you into the most important part of the introduction: your aim, objectives and research question(s) . These should be clearly identifiable and stand out from the text – for example, you could present them using bullet points or bold font.

Make sure that your research questions are specific and workable – something you can reasonably answer within the scope of your dissertation. Avoid being too broad or having too many different questions. Remember that your goal in a dissertation proposal is to convince the reader that your research is valuable and feasible:

• Does social media harm mental health?
• What is the impact of daily social media use on 18– to 25–year–olds suffering from general anxiety disorder?

Now that your topic is clear, it’s time to explore existing research covering similar ideas. This is important because it shows you what is missing from other research in the field and ensures that you’re not asking a question someone else has already answered.

You’ve probably already done some preliminary reading, but now that your topic is more clearly defined, you need to thoroughly analyse and evaluate the most relevant sources in your literature review .

Here you should summarise the findings of other researchers and comment on gaps and problems in their studies. There may be a lot of research to cover, so make effective use of paraphrasing to write concisely:

• Smith and Prakash state that ‘our results indicate a 25% decrease in the incidence of mechanical failure after the new formula was applied’.
• Smith and Prakash’s formula reduced mechanical failures by 25%.

The point is to identify findings and theories that will influence your own research, but also to highlight gaps and limitations in previous research which your dissertation can address:

• Subsequent research has failed to replicate this result, however, suggesting a flaw in Smith and Prakash’s methods. It is likely that the failure resulted from…

Next, you’ll describe your proposed methodology : the specific things you hope to do, the structure of your research and the methods that you will use to gather and analyse data.

You should get quite specific in this section – you need to convince your supervisor that you’ve thought through your approach to the research and can realistically carry it out. This section will look quite different, and vary in length, depending on your field of study.

You may be engaged in more empirical research, focusing on data collection and discovering new information, or more theoretical research, attempting to develop a new conceptual model or add nuance to an existing one.

Dissertation research often involves both, but the content of your methodology section will vary according to how important each approach is to your dissertation.

Empirical research

Empirical research involves collecting new data and analysing it in order to answer your research questions. It can be quantitative (focused on numbers), qualitative (focused on words and meanings), or a combination of both.

With empirical research, it’s important to describe in detail how you plan to collect your data:

• Will you use surveys ? A lab experiment ? Interviews?
• What variables will you measure?
• How will you select a representative sample ?
• If other people will participate in your research, what measures will you take to ensure they are treated ethically?
• What tools (conceptual and physical) will you use, and why?

It’s appropriate to cite other research here. When you need to justify your choice of a particular research method or tool, for example, you can cite a text describing the advantages and appropriate usage of that method.

Don’t overdo this, though; you don’t need to reiterate the whole theoretical literature, just what’s relevant to the choices you have made.

Moreover, your research will necessarily involve analysing the data after you have collected it. Though you don’t know yet what the data will look like, it’s important to know what you’re looking for and indicate what methods (e.g. statistical tests , thematic analysis ) you will use.

Theoretical research

You can also do theoretical research that doesn’t involve original data collection. In this case, your methodology section will focus more on the theory you plan to work with in your dissertation: relevant conceptual models and the approach you intend to take.

For example, a literary analysis dissertation rarely involves collecting new data, but it’s still necessary to explain the theoretical approach that will be taken to the text(s) under discussion, as well as which parts of the text(s) you will focus on:

• This dissertation will utilise Foucault’s theory of panopticism to explore the theme of surveillance in Orwell’s 1984 and Kafka’s The Trial…

Here, you may refer to the same theorists you have already discussed in the literature review. In this case, the emphasis is placed on how you plan to use their contributions in your own research.

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You’ll usually conclude your dissertation proposal with a section discussing what you expect your research to achieve.

You obviously can’t be too sure: you don’t know yet what your results and conclusions will be. Instead, you should describe the projected implications and contribution to knowledge of your dissertation.

First, consider the potential implications of your research. Will you:

• Develop or test a theory?
• Provide new information to governments or businesses?
• Challenge a commonly held belief?
• Suggest an improvement to a specific process?

Describe the intended result of your research and the theoretical or practical impact it will have:

Finally, it’s sensible to conclude by briefly restating the contribution to knowledge you hope to make: the specific question(s) you hope to answer and the gap the answer(s) will fill in existing knowledge:

Like any academic text, it’s important that your dissertation proposal effectively references all the sources you have used. You need to include a properly formatted reference list or bibliography at the end of your proposal.

Different institutions recommend different styles of referencing – commonly used styles include Harvard , Vancouver , APA , or MHRA . If your department does not have specific requirements, choose a style and apply it consistently.

A reference list includes only the sources that you cited in your proposal. A bibliography is slightly different: it can include every source you consulted in preparing the proposal, even if you didn’t mention it in the text. In the case of a dissertation proposal, a bibliography may also list relevant sources that you haven’t yet read, but that you intend to use during the research itself.

Check with your supervisor what type of bibliography or reference list you should include.

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Caulfield, J. (2022, November 11). How to Write a Dissertation Proposal | A Step-by-Step Guide. Scribbr. Retrieved 14 May 2024, from https://www.scribbr.co.uk/thesis-dissertation/proposal/

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Capstone Form and Style

Programs: phd dissertation, phd dissertation resources.

• PhD Premise Template

The qualitative, quantitative, and mixed methods PhD dissertation templates contain subheadings that align with the required content in the PhD Dissertation Checklists for these methodologies. The generic PhD dissertation template is not methodology-specific and lacks many of these subheadings.

• PhD Dissertation Template (Qualitative)
• PhD Dissertation Template (Quantitative)
• PhD Dissertation Template (Mixed Methods)
• PhD Dissertation Template (Generic)

Beginning June 1, 2020, all prospectus starts should use the new PhD Prospectus Form found on the  Doctoral Prospectus Form  page.

For more information on the prospectus for your program, check the resources for PhD programs on the Office of Research and Doctoral Services'  Doctoral Capstone and Project Resources page .

PhD Management Dissertation Templates

• PhD Management Annotated Dissertation Template (Qualitative)
• PhD Management Annotated Dissertation Template (Quantitative)
• Instructions for Using the PhD Management Annotated Dissertation Templates

To prepare for the form and style review, use the following checklist, which is the same checklist we use when we review capstone manuscripts and the checklist we return to the student and committee along with their completed review.

• Form and Style Review Checklist

Doctoral Capstone Template Guidance

To accompany the doctoral capstone template document, here is some information to note when first beginning to use the template.

• The document may contain various front matter elements (i.e., two title pages, the abstract, a Dedication page, and an Acknowledgements page), a Table of Contents (TOC), Lists of Tables and Figures, the document body text, a References list, and Appendices.
• Students should ensure that the text in brackets [ ] on the two title pages is changed to reflect their own information and then remove the brackets. This includes the title, name, degrees earned, degree program, and date of anticipated completion.
• Begin using the template by copying and pasting the text from a working document into the appropriate headings of the template and references to the reference list.

How to tag headings (so that headings show up in the TOC):

• Most headings are already placed into the document. Headings students add (i.e., primarily for the literature review and results chapters and sections) should be added by creating a new heading and tagging it so that it appears in the TOC when updated.
• Add a heading by first ensuring that the pilcrow [ ¶ ] is turned on—this allows the writer to see hidden formatting in the document that should not be deleted (e.g., page breaks and section breaks).
• Add the heading by placing the cursor where the heading should be inserted and creating a hard return.
• Then type the text for the heading and highlight it with the cursor, ensuring that you do NOT highlight the pilcrow.
• Once the text is highlighted, choose the appropriate APA Style heading from the Styles box on the Home tab. This is called tagging a heading. HINT: The Styles tab may need to be expanded by clicking on the small box with the arrow at the bottom of the Styles section. 

How to update the TOC (to bring in new headings and update page numbers):

• Once new headings have been added or text created or inserted such that the page numbers have shifted, the TOC should be updated.
• Update the TOC by clicking on it with the cursor so that the section becomes grey.
• Then, right click (or control click on a Mac) and choose “Update field.”
• Depending on whether headings or just text has been added, choose “Update entire table” or “Update page numbers only.”

Template and Formatting Resources:

• Form and Style Document Formatting Expectations , including information on APA, margins, pagination, etc.
• SMRTguide on Fixing Errors in the TOC
• Academic Skills Center (ASC) Capstone Template Formatting Videos
• For questions regarding layout formatting in the doctoral capstone, contact [email protected]  

About the PhD Dissertation

Students start the dissertation by documenting their initial investigation into a research topic, which is used to make decisions about the capstone and is provided to prospective faculty members of the supervisory committee. In all PhD programs, this document is called the Premise, which is followed by a Prospectus The Prospectus is a second document used to confirm the topic for the proposal and the structure of the dissertation committee.

Guides for completing these documents can be found on the Office of Research and Doctoral Services website . The Publication Manual of the American Psychological Association, Seventh Edition style should be used for both the Premise and the Prospectus, as well as for the proposal and final study.

The Dissertation Guidebook , available at the Office of Research and Doctoral Services's website, is a complete resource for information on form and style, steps in the dissertation process, and procedures. We also offer a series of capstone webinars on a variety of capstone-related topics.

For questions about writing the proposal, dissertation, thesis, or doctoral study, contact [email protected] .

Confused about assumptions, limitations, and delimitations? See Jen's blog post .

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Dissertation Prospectus Template

A Microsoft Word template is provided: