Prospectus and Prospectus Meeting

Students must develop a comprehensive prospectus that details the basis for and plans for completion of the field study project, with emphasis on the research/evaluation design and specific methodology, including procedures for sampling, data collection, and data analysis. A good test of the adequacy of the prospectus is that someone else could follow the prospectus and complete the project as planned by the student. Ed.D. students are required to enroll in the prospectus course. They may enroll in this course, however, only after a research question has been identified, related literature has been reviewed and written, and a research design has been specified. Ed.D students also should have successfully completed a methodology course that aligns with their field study design.

The written prospectus for conducting thesis research must include at least the following:

• a brief and focused presentation of relevant literature,
• a statement of the problem,
• specific research questions that will guide the inquiry,
• limitations and delimitations,
• the research design with a corresponding rationale,
• specific sampling, data collection, and data analysis procedures that will be employed in the study, and
• instruments that will be used in the study.

For most students, the prospectus serves as a near final draft of Chapters 1 and 3 of the doctoral thesis. Specific guidelines are provided in the prospectus development course. In addition, each student develops the prospectus under supervision of the project advisor.

The prospectus committee includes the student's three EdPA (inside) doctoral committee members. The outside committee member is invited to attend and usually does so, especially when the prospectus meeting is scheduled immediately following the oral preliminary examination.

The student is responsible for contacting the committee members and scheduling a mutually agreeable date and time. One hour should be scheduled for the prospectus meeting. Given the difficulty of coordinating schedules, it is recommended that the scheduling process be initiated well in advance of the projected date.

At least two weeks prior to the scheduled prospectus meeting, the student provides each committee member with a complete copy of the prospectus, including all appendices, instruments, etc.

At the meeting, the student provides a brief overview of the study, emphasizing the research design and methodology. Recall that literature related to the thesis was thoroughly addressed through Written Preliminary Exam II and in the Oral Preliminary Examination. Committee members ask questions and also assist in refinement of the study. The student must be well prepared, although the prospectus meeting is not a formal examination. As a result of the prospectus meeting discussion, the student is likely to have some changes in the proposal which usually includes follow-up between the student and advisor.

Approval of the prospectus for thesis research is granted by the student’s three Department committee members.

It is the responsibility of the Graduate faculty on the student's committee to ensure that the proposed study meets high standards for the ethical and relevant conduct of research at the University of Minnesota. For this reason, students must present very specific procedures for the conduct of the proposed research. Approval will not be granted until the written prospectus and the student’s presentation indicate that the student is prepared to initiate application to the Human Subjects Committee and, upon approval from this Committee, initiate data collection.

The prospectus approval process not only serves to ensure the integrity of research conducted through the University of Minnesota, it also serves as a safeguard for students. Approval of the research prospectus indicates faculty support of the proposed research design and methodology.

The three committee members evaluate the content and methodology of the proposal and may authorize the conduct of the study pursuant to the proposal utilizing the thesis proposal approval form or reject the same.

The prospectus approval form is a Department form (not a Graduate School form). Prior to the prospectus meeting, the advisor should obtain the form from the department Graduate Studies office in 330 Wulling.

The signed prospectus approval form is forwarded to the Director of Graduate Studies for Educational Policy and Administration with the abstract and any revisions resulting from the review.

Upon approval, the Thesis Title Form, 250-word statement and cover sheet recommending committee members are forwarded to the Director of Graduate Studies, EdPA, for final approval.

IRB / Human Subjects Review

Any research, which employs the use of human subjects, must be approved in advance by the Human Subjects Committee at the University of Minnesota prior to the gathering of the data (see Appendix H). U of M and federal policies require that each project involving studies on humans be reviewed with respect to: (1) the rights and welfare of the individual(s) involved, (2) the appropriateness of the methods used to secure informed consent, and (3) the risks and potential benefits of the investigation. Request for approval forms may be obtained from the following address:

IRB: Human Subjects Committee
Box 820, D528 Mayo Memorial Building
420 Delaware Street SE
Minneapolis, MN 55455
http://www.research.umn.edu/subjects/index.html (to download forms)

After approval of the prospectus for thesis research, the student completes the appropriate form to request permission from the Internal Review Board: Human Subject Committee at the University of Minnesota. The "long" form requires full review of the IRB and may take 4 to 6 weeks for review and decision The "short" form requests exemption from full review and takes about 2 weeks for a review and decision. The "short" form is appropriate for many EdD theses. Specific exemption categories are described in this application and claimed by the student in the application process. The "short" form is actually not short in that a full description of procedures is required (it’s the review process that is shorter).

The thesis advisor/s and chair of the Department must review and sign off on the application before submission to the Human Subjects Committee. Once the form is signed by the advisor and chair, the student submits the completed form to the IRB. The student may not contact subjects or initiate data collection until written permission is granted from the HS Committee.

Conducting and Writing the Field Study

The student conducts the field study, maintaining contact with committee members as was decided during the proposal review. Challenges, questions, or irregularities encountered in conducting the field study must be communicated immediately to the advisor who will determine appropriate action and consult with the committee members, the Director of Graduate Studies, and the Human Subjects Committee as needed.

The organization and chapters of the final project depend on the type of research/project designed and individual preferences of adviser. Chapters might typically include the following:

Chapter 1: Introduction

General statement of the problem
Significance of the study
Research hypotheses, questions, and objectives
Limitations and delimitations
Definition of terms
Summary

Chapter 2: Review of Literature

Review of previous research and opinion
Interpretative summary of the current state of knowledge

Chapter 3: Methodology

Research design
Sampling procedures
Instrumentation
Data collection procedures
Data analysis procedures
Summary

Chapter 4: Results

Description of results for each question, hypothesis, or measure
Supplemental analyses
Summary

Chapter 5: Summary and Discussion (see details and suggested format in Appendix U)

Introduction
Summary of study
Discussion of results, including relationship to existing literature base
Implications for policy, practice, and research conclusions

The most appropriate topics and organization will be dictated by the type and topic of study. Students should consult dissertation manuals, examples of completed dissertations conducted on similar topics and similar methodologies, and adviser. For specific guidelines about the thesis format required by the Graduate School, see Appendix E.

Field Study Review and Approval for Defense

A complete and essentially final draft of the thesis must be submitted to and approved by the three thesis reviewers prior to the final oral defense. Two of the reviewers are from inside the Department, the third reviewer is the outside committee member. Each reviewer is allowed at least two weeks to read the complete written thesis. S/he then makes an independent determination about the readiness of the thesis for final oral defense.

The Graduate School reviewer's form is included in the student's graduation packet. The form is circulated to the reviewers after they have read the completed thesis document. In order to proceed to the final oral defense, all the reviewers must indicate that the thesis is "acceptable for final defense" or "acceptable with minor revisions". If any reviewer indicates that the thesis is "unacceptable for defense and requires major revisions", s/he must inform the student in writing of the revisions required. Such revisions must be made prior to the final defense. The signed reviewer's form must be filed with the Graduate School at least one week before the final oral is held.

Final Oral Examination: Defense of the Thesis

To be awarded the degree of Doctor or Education in Educational Policy and Administration, students are required to successfully defend their field projects in a final oral examination. To be eligible for the final oral examination a student must have achieved the following:

(1) Completed all work on the official doctoral degree program form;

(2) Passed both the written and oral preliminary examinations;

(3) Maintained active status; and

(4) Satisfied the thesis credit requirement.

In addition, the project must have been certified by the readers as ready for defense (see Appendix E for a sample GS Form 2 - Reviewers Report Form for Ph.D. Thesis).

Please refer to the University of Minnesota Bulletin for details about scheduling and reporting the results of the final oral examination.

The committee includes all four members of the student's doctoral thesis committee, the three EdPA (inside) members and the one outside member. The chairperson of the committee must have full advising status with the Graduate School and cannot be the student's faculty advisor.

The student is responsible for contacting all committee members to confer about scheduling a date and time that is mutually agreeable. A two hour time block should be scheduled. The student is also responsible for submitting a complete copy of the thesis (determined to be acceptable for defense by the readers) to all committee members at least two weeks prior to the scheduled examination.

The student presents a summary of the thesis research, emphasizing data analysis, key findings, and implications for practice, policy, and research (20 – 30 minutes). The student may choose to open this first part of the examination (i.e., the student presentation) to outside guests (e.g., family members, friends, graduate students, faculty).

The presentation can be facilitated by a handout of the outline of the presentation; several carefully designed overheads may also be helpful especially in presenting the frame work, key findings, or conclusions. A short resume may also be appropriate. The presentation should be rehearsed to improve timing, flow, etc.

After the presentation and a period of brief comments or questions from guests, the guests are excused. The faculty then pose questions to the student pertaining to any aspect of the thesis. Candidates should be prepared to "defend" the project, i.e., be prepared to answer questions about all portions of the field project including the literature review, analysis of data, conclusions, etc. Since this is an Ed.D., candidates must be able to discuss thoroughly the implications for practice.

Note: Candidates usually provide light snacks; check with adviser for guidance about this practice. This is by no means expected but many students choose to have this dimension as part of their final degree gathering.

After questioning is completed, the student is excused and committee members independently vote once by ballot to "pass" or "fail" the student’s defense of the thesis. In order to "pass", three of the four committee members must vote "pass". If the written thesis is judged to be acceptable with relatively minor revisions, then committee members sign on the final oral defense form. If the written thesis is judged to require substantial revisions, signatures are withheld until appropriate revisions have been made. If signatures are withheld, the Graduate School must be notified in writing within one week of the examination of the specific revisions required. This letter is constructed by the final oral chairperson in consultation with committee members. The student also receives a copy of the letter. Upon approval of the final written thesis, committee members sign the form.

At the end of the final oral defense, GS form # 19, entitled Final Oral Examination Report, must be signed by all committee members and delivered to the Graduate School within 24 hours of the examination. The student should make two copies of the signed form, one to be submitted to the Director of Graduate Studies in the Department and on for the student's own files.

Publication of Thesis Research

Although not a requirement of the Ed.D. program, students are encouraged to view the publication of their project in a professional journal and/or presentation at a professional conference as an extension of their thesis work. The preparation of the article(s)/presentation should take place during or immediately following the completion of the project while all aspects are fresh in mind; the task becomes much more difficult as time passes. Publication as a means of dissemination shares your thesis findings with a broad research and practice community and in doing so, honors the time and participation of those who contributed to your study, most importantly, the subjects or study participants. Far too many field studies do not earn their potential for contributing to the field because these final steps of dissertation are not pursued. Advisors are usually very willing to guide students in creating a product from thesis research that is appropriate for dissemination.

In the course of the Ed.D program, students will identify journals and conferences that would be most likely to accept an article or presentation. Students will have examined the typical length and format of the articles in identified journals. While the typical research article is about 15 - 20 manuscript pages, typed double-space, articles should be adapted to the guidelines provided by or evidenced in the journal or call for proposals. Several resources provide guidelines for preparation of a journal article and preparation of a paper for a professional meeting including Borg and Gall's, Educational Research, Longman Publishers.