© 2000 by Robert N

Last revised 8 September 2007

THE DISSERTATION PROSPECTUS

The purpose of a prospectus for an academic study, particularly a Ph.D. dissertation, is to demonstrate (1) the originality, scope, and significance of the study and (2) the investigator's competence to bring the study to successful completion. To this end, the prospectus necessarily contains certain functional components.

Introduction to the Research Problem

One component is an introduction to the line of inquiry proposed in the prospectus. This element of the prospectus identifies a research problem and indicates its relationship to the domain of disciplinary research at stake in the study.

Review of Literature

Another component is a review of scholarly literature that pertains to the research problem already identified. This component of the prospectus partly shows the significance of the proposed study, since it demonstrates that other scholars in the disciplinary research domain have considered the problem worthy of investigation. Perhaps more importantly, the review of scholarly literature demonstrates the degree to which the researcher has determined what is known and unknown about the research problem. It therefore pertains to the competence of the researcher to carry out the study. Frequently, the review of literature crosses research domains and disciplinary boundaries. Ultimately, the researcher is responsible for finding and reporting all scholarly research that is relevant to the proposed study.

Research Objective

The third component of the prospectus is that it must identify a specific research objective. The review of scholarly literature should demonstrate that the research problem or some element of the research problem remains unresolved and therefore subject to further inquiry. The prospectus should specify exactly what part of this unresolved portion of the research problem will be newly resolved by the dissertation. Obviously, what will count as a new resolution of a problem or problem element will depend on the disciplinary research domain, the general research problem, and the range of research procedures and argument forms that are accepted in the domain. But whatever standards operate in the disciplinary research domain, it is the responsibility of the researcher to demonstrate that the proposed research will resolve the research problem or problem element for the first time or in a way that has not succeeded previously. It is through this demonstration that the researcher shows the proposed study is original and will therefore advance disciplinary knowledge. The resolution of the research problem or problem element specified by the prospectus is the research objective of the dissertation. Expressed in interrogative terms, this objective becomes the research question for the study. The answer to this question, namely the researcher's disciplinary argument to address the research question is commonly described as the "thesis" of the dissertation.

Research Procedure

Once the research objective has been specified, it is necessary for the prospectus to describe the procedure that will be used to achieve the research objective. That is, the researcher must specify what he or she will do to resolve the research problem or problem element that motivates the dissertation. Particularly in humanistic dissertations, the description of the research procedure involves two parts: establishment of the objects of investigation and specification of the mode(s) of analysis to be carried out on the objects of investigation.

Establishing the Objects of Investigation

In relation to the research objective, the prospectus must establish the specific set of objects (e.g., phenomena or texts) that the dissertation will investigate. Depending upon the research objective, it may be necessary for this specification to include an explanation why some objects are included and others are not. In some cases, it may also be necessary to explain why the research objects specified are the right sort of objects to investigate in order to achieve the research objective. In any case, this part of the research procedure description should justify the suitability of the objects of investigation for the research objective in the disciplinary research domain. Specification of the objects of investigation makes clear what the scope of the dissertation will be.

Specification the Mode(s) of Analysis

The prospectus must also specify the mode(s) of analysis to be used in the research procedure. Here the researcher explains what theories, structures, or instruments will be applied to the objects of investigation to achieve the research objective. In some cases, it may be necessary to offer a lengthy justification of the proposed mode(s) of analysis as relevant to the objects of investigation and the research objective. However, if a mode of analysis has been applied successfully in the discipline to objects like those to be investigated and in the pursuit of research objectives similar to that in the proposed dissertation, such justification may perhaps be quite short or omitted entirely. In part, the specification of mode(s) of analysis for a proposed dissertation helps demonstrate the potential of the study to produce significant results. It is also an important indicator of the researcher's competence to carry out the proposed research.

Describing the Eventual Research Report

The prospectus must offer a tentative description of the report of results from the proposed research. The idea here is to illustrate the nature of the product of the study. Normally this description is comprised of an outline of chapters or elements of the research report. Where relevant or necessary, the description may also include an account of the possible contribution of each chapter or element to disciplinary knowledge. Depending upon the description offered, this component of prospectus may be indicative of the scope and significance of the proposed study. It is always indicative of the researcher's competence to carry out the study.

Bibliography

The purpose of the bibliography is to provide a summary of the materials that appear to be pertinent to the dissertation proposed in the prospectus. Accordingly, the bibliography component of the prospectus normally has a supporting role; that is, it corroborates other, more direct evidence that the study is worthwhile and that the researcher is capable of carrying it out. Within the bibliography it may be useful to separate materials that constitute the phenomena or texts to be studied from other primary and secondary materials related to the project. Otherwise, the bibliography should be constructed in accord with principles provided in the style manual selected for the study. The default manual of style for dissertations under the supervision of Robert Gaines is The Chicago Manual of Style, 15th ed. (Chicago: University of Chicago Press, 2003). For scholarly advice and matters not addressed by Chicago 15th, it is recommended that students consult Kate L. Turabian, A Manual for Writers of Research Papers, Theses, and Dissertations. Chicago Style for Students and Researchers, 7th ed. (Chicago: University of Chicago Press, 2007). Other style manuals may be selected for use in dissertations supervised by Robert Gaines only if Chicago 15th (as supplemented by Turabian 7th) is demonstrably unsuitable for the project undertaken by the student.