a dissertation prospectus

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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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How to Write a Dissertation or Thesis Proposal

Published on September 21, 2022 by Tegan George . Revised on July 18, 2023.

When starting your thesis or dissertation process, one of the first requirements is a research proposal or a prospectus. It describes what or who you want to examine, delving into why, when, where, and how you will do so, stemming from your research question and a relevant topic .

The proposal or prospectus stage is crucial for the development of your research. It helps you choose a type of research to pursue, as well as whether to pursue qualitative or quantitative methods and what your research design will look like.

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Table of contents

What should your proposal contain, dissertation question examples, what should your proposal look like, dissertation prospectus examples, other interesting articles, frequently asked questions about proposals.

Prior to jumping into the research for your thesis or dissertation, you first need to develop your research proposal and have it approved by your supervisor. It should outline all of the decisions you have taken about your project, from your dissertation topic to your hypotheses and research objectives .

Depending on your department’s requirements, there may be a defense component involved, where you present your research plan in prospectus format to your committee for their approval.

Your proposal should answer the following questions:

• Why is your research necessary?
• What is already known about your topic?
• Where and when will your research be conducted?
• Who should be studied?
• How can the research best be done?

Ultimately, your proposal should persuade your supervisor or committee that your proposed project is worth pursuing.

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Strong research kicks off with a solid research question , and dissertations are no exception to this.

Dissertation research questions should be:

• Focused on a single problem or issue
• Researchable using primary and/or secondary sources
• Feasible to answer within the timeframe and practical constraints
• Specific enough to answer thoroughly
• Complex enough to develop the answer over the space of a paper or thesis
• Relevant to your field of study and/or society more broadly
• What are the main factors enticing people under 30 in suburban areas to engage in the gig economy?
• Which techniques prove most effective for 1st-grade teachers at local elementary schools in engaging students with special needs?
• Which communication streams are the most effective for getting those aged 18-30 to the polls on Election Day?

An easy rule of thumb is that your proposal will usually resemble a (much) shorter version of your thesis or dissertation. While of course it won’t include the results section , discussion section , or conclusion , it serves as a “mini” version or roadmap for what you eventually seek to write.

Be sure to include:

• A succinct introduction to your topic and problem statement
• A brief literature review situating your topic within existing research
• A basic outline of the research methods you think will best answer your research question
• The perceived implications for future research
• A reference list in the citation style of your choice

The length of your proposal varies quite a bit depending on your discipline and type of work you’re conducting. While a thesis proposal is often only 3-7 pages long, a prospectus for your dissertation is usually much longer, with more detailed analysis. Dissertation proposals can be up to 25-30 pages in length.

Writing a proposal or prospectus can be a challenge, but we’ve compiled some examples for you to get your started.

• Example #1: “Geographic Representations of the Planet Mars, 1867-1907” by Maria Lane
• Example #2: “Individuals and the State in Late Bronze Age Greece: Messenian Perspectives on Mycenaean Society” by Dimitri Nakassis
• Example #3: “Manhood Up in the Air: A Study of Male Flight Attendants, Queerness, and Corporate Capitalism during the Cold War Era” by Phil Tiemeyer

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The research methods you use depend on the type of data you need to answer your research question .

• If you want to measure something or test a hypothesis , use quantitative methods . If you want to explore ideas, thoughts and meanings, use qualitative methods .
• If you want to analyze a large amount of readily-available data, use secondary data. If you want data specific to your purposes with control over how it is generated, collect primary data.
• If you want to establish cause-and-effect relationships between variables , use experimental methods. If you want to understand the characteristics of a research subject, use descriptive methods.

A thesis or dissertation outline is one of the most critical first steps in your writing process. It helps you to lay out and organize your ideas and can provide you with a roadmap for deciding what kind of research you’d like to undertake.

Generally, an outline contains information on the different sections included in your thesis or dissertation , such as:

• Your anticipated title
• Your abstract
• Your chapters (sometimes subdivided into further topics like literature review , research methods , avenues for future research, etc.)

A well-planned research design helps ensure that your methods match your research aims, that you collect high-quality data, and that you use the right kind of analysis to answer your questions, utilizing credible sources . This allows you to draw valid , trustworthy conclusions.

The priorities of a research design can vary depending on the field, but you usually have to specify:

• Your research questions and/or hypotheses
• Your overall approach (e.g., qualitative or quantitative )
• The type of design you’re using (e.g., a survey , experiment , or case study )
• Your sampling methods or criteria for selecting subjects
• Your data collection methods (e.g., questionnaires , observations)
• Your data collection procedures (e.g., operationalization , timing and data management)
• Your data analysis methods (e.g., statistical tests  or thematic analysis )

A dissertation prospectus or proposal describes what or who you plan to research for your dissertation. It delves into why, when, where, and how you will do your research, as well as helps you choose a type of research to pursue. You should also determine whether you plan to pursue qualitative or quantitative methods and what your research design will look like.

It should outline all of the decisions you have taken about your project, from your dissertation topic to your hypotheses and research objectives , ready to be approved by your supervisor or committee.

Note that some departments require a defense component, where you present your prospectus to your committee orally.

Formulating a main research question can be a difficult task. Overall, your question should contribute to solving the problem that you have defined in your problem statement .

However, it should also fulfill criteria in three main areas:

• Researchability
• Feasibility and specificity
• Relevance and originality

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Dissertation Prospectus and Proposal Writing

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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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• Last Updated: Aug 27, 2024 1:19 PM
• URL: https://guides.libraries.emory.edu/c.php?g=1220626

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

Frequently asked questions

What is a dissertation prospectus.

A dissertation prospectus or proposal describes what or who you plan to research for your dissertation. It delves into why, when, where, and how you will do your research, as well as helps you choose a type of research to pursue. You should also determine whether you plan to pursue qualitative or quantitative methods and what your research design will look like.

It should outline all of the decisions you have taken about your project, from your dissertation topic to your hypotheses and research objectives , ready to be approved by your supervisor or committee.

Note that some departments require a defense component, where you present your prospectus to your committee orally.

Frequently asked questions: Dissertation

The acknowledgements are generally included at the very beginning of your thesis or dissertation, directly after the title page and before the abstract .

If you only used a few abbreviations in your thesis or dissertation, you don’t necessarily need to include a list of abbreviations .

If your abbreviations are numerous, or if you think they won’t be known to your audience, it’s never a bad idea to add one. They can also improve readability, minimising confusion about abbreviations unfamiliar to your reader.

A list of figures and tables compiles all of the figures and tables that you used in your thesis or dissertation and displays them with the page number where they can be found.

A thesis or dissertation outline is one of the most critical first steps in your writing process. It helps you to lay out and organise your ideas and can provide you with a roadmap for deciding what kind of research you’d like to undertake.

Generally, an outline contains information on the different sections included in your thesis or dissertation, such as:

• Your anticipated title
• Your abstract
• Your chapters (sometimes subdivided into further topics like literature review, research methods, avenues for future research, etc.)

An abstract for a thesis or dissertation is usually around 150–300 words. There’s often a strict word limit, so make sure to check your university’s requirements.

The abstract appears on its own page, after the title page and acknowledgements but before the table of contents .

While it may be tempting to present new arguments or evidence in your thesis or disseration conclusion , especially if you have a particularly striking argument you’d like to finish your analysis with, you shouldn’t. Theses and dissertations follow a more formal structure than this.

All your findings and arguments should be presented in the body of the text (more specifically in the discussion section and results section .) The conclusion is meant to summarize and reflect on the evidence and arguments you have already presented, not introduce new ones.

For a stronger dissertation conclusion , avoid including:

• Generic concluding phrases (e.g. “In conclusion…”)
• Weak statements that undermine your argument (e.g. “There are good points on both sides of this issue.”)

Your conclusion should leave the reader with a strong, decisive impression of your work.

The conclusion of your thesis or dissertation shouldn’t take up more than 5-7% of your overall word count.

The conclusion of your thesis or dissertation should include the following:

• A restatement of your research question
• A summary of your key arguments and/or results
• A short discussion of the implications of your research

Research objectives describe what you intend your research project to accomplish.

They summarise the approach and purpose of the project and help to focus your research.

Your objectives should appear in the introduction of your research paper , at the end of your problem statement .

Don’t feel that you have to write the introduction first. The introduction is often one of the last parts of the research paper you’ll write, along with the conclusion.

This is because it can be easier to introduce your paper once you’ve already written the body ; you may not have the clearest idea of your arguments until you’ve written them, and things can change during the writing process .

In a thesis or dissertation, the discussion is an in-depth exploration of the results, going into detail about the meaning of your findings and citing relevant sources to put them in context.

The conclusion is more shorter and more general: it concisely answers your main research question and makes recommendations based on your overall findings.

A research project is an academic, scientific, or professional undertaking to answer a research question . Research projects can take many forms, such as qualitative or quantitative , descriptive , longitudinal , experimental , or correlational . What kind of research approach you choose will depend on your topic.

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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.

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)

Some online publications on this topic

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

Department of History

Faq- prospectus.

• Narrative/exposition (stories, characters, questions)
• Historiographical overview (how it fits into the literature)
• Discussion of methods (kinds of sources and modes of interpretation)
• Tentative table of contents (imagined outline)
• Chapter overviews (from 1-4 paragraphs each: topics, likely sources, argument)
• Sources (where will you find the necessary information)
• Research and writing workplan (semester-by-semester to completion)
• References (footnotes/endnotes, possibly bibliography)

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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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• 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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How to Write a Dissertation Prospectus/Proposal

The Education Resource Center recently held a workshop on preparing prospectuses and research proposals.

They’ve sent the slides and the recording so that we can use it as an additional resource.

If you have any questions, please contact the Anthropology Department Admin Team, and/or the current Director of Graduate Services.  

Slides: How to write a Dissertation Prospectus_Proposal

Recording: the recording (with the chat and the video transcript) .

We also encourage you to take a look at the Level 2 PhD Progression Communication courses , since they can help you at different stages of your PhD (e.g., literature review, dissertation planning, etc.) and your writing (e.g. dealing with the writer’s block, editing, peer-review, etc.). 

Please sign up here before taking any courses .

– Anthropology Graduate Programme Administrator

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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.

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Writing a dissertation or thesis proposal, what is a proposal, what is the purpose of a proposal.

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The proposal, sometimes called the prospectus, is composed mainly of the Introduction, Research Questions, Literature Review, Research Significance and Methodology. It may also include a dissertation/thesis outline and a timeline for your proposed research. You will be able to reuse the proposal when you actually write the entire dissertation or thesis.

In the graduate student timeline, the proposal comes after successfully passing qualifying or comprehensive exams and before starting the research for a dissertation or thesis.

Each UNT department has slightly different proposal requirements, so be sure to check with your advisor or the department's graduate advisor before you start!

• Examples of Proposals from UTexas More than 20 completed dissertation proposals are available to read at the UT Intellectual Entrepreneurship website.
• Dissertation Proposal Guidelines This document from the Department of Communication at the University of Washington is a good example of what you might be expected to include in a proposal.

The purpose of a proposal is to convince your dissertation or thesis committee that you are ready to start your research project and to create a plan for your dissertation or thesis work. You will submit your proposal to your committee for review and then you will do your proposal defense, during which you present your plan and the committee asks questions about it. The committee wants to know if your research questions have academic merit and whether you have chosen the right methods to answer the questions.

• How to Prepare a Successful Dissertation Proposal Defense Some general tips for a proposal defense from synonym.com

Need help? Then use the library's  Ask Us service. Get help from real people face-to-face, by phone, or by email.

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Prospectus Guidelines

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 within six months after completion of the general examination,  it need not be a huge document.  Indeed, it could be around ten double-spaced pages in length (roughly 2500-3000 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.  The outline, which can be in narrative form, should be as precise as possible, even if it is 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? However, to preserve collegiality with previous generations of scholars, it is essential not to play games of upstaging for the sake of self-promotion.  (“My predecessor blundered [or even made a mistake] in not noticing what I have noticed.”)

•  Outlining a sequence of potential chapters will help you clarify the argument of your thesis 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 thesis 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 thesis 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.

•  Remember that you are undertaking to write a  book . You ought therefore to think about that book as a whole, rather than as merely a series of separate essays.  What overall message would you like the reader to take away from reading your book?  Try to formulate your subject and your intended destination in a simple sentence or two; make sure that you locate this statement in a prominent place within your introduction.

In thinking about your future book, you would do well to try to place it in a broader field than the one it addresses.  That is, as of now, you have a rather good command of current thinking with regard to your book’s overall field.  Indeed, you are currently something of an authority.  How is your book going to change peoples’ ideas, add to the present picture, or revise commonly held views?  Thinking in these terms should help you formulate your project for someone who is not immersed in its field.

Prospectuses and theses 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 literary studies can grasp.

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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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• Dissertation Prospectus - Social Anthropology

All candidates must, in consultation with their advisors, select a dissertation topic and describe their proposed doctoral research in a prospectus. The prospectus should:

• Give a concise statement of the problem to be addressed in the dissertation or of the hypotheses it proposes to test. 
• Provide a literature review that draws on their reading lists and field essays.
• Provide a clear research design.
• Address the project with appropriate research methods.

The prospectus will normally be written in the G3 year after the general examination , drawing on their work in the Research Design/Proposal Writing course.

The candidate will discuss and defend the prospectus before his or her dissertation committee. The prospectus defense should take place prior to the beginning of dissertation fieldwork. Completion of the Human Subjects compliance forms and approval of them by Harvard’s Institutional Review Board must be completed before dissertation field work can begin (see the IRB website ).

No more than 25-30 double-spaced pages, exclusive of the bibliography and any figures.

Upon successful defense of the prospectus, all students are required to present their prospectus projects in the Spring Anthropology Prospectus Symposium normally held annually in early May.

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University-Wide Requirements for the Ph.D. Dissertation

Dissertations must comply with the specifications set by the Library, by the author's department, and by the University. Departments, divisions, and schools may have requirements in addition to those described in this booklet. Students are responsible for informing themselves of these additional requirements.

The Dissertation Office provides information on the University’s dissertation policies. We help doctoral students understand dissertation formatting and submission requirements, and we assist with the submission process. Students are welcome to contact us with questions.

Contact the Dissertation Office

Web: phd.lib.uchicago.edu Email: [email protected] Phone: 773-702-7404 Visit: Suite 104D, Center for Digital Scholarship, Regenstein Library

Routine Hours: Monday-Friday, 9:00 a.m. to 12:00 p.m. and 1:30 p.m. to 4:30 p.m. Actual hours vary to accommodate meetings, workshops, and training. The office is often closed during the interim between quarters.

Dissertation Requirements

Doctoral dissertations are original contributions to scholarship. As a condition for receipt of the doctorate, all students are required to submit their dissertations to Knowledge@UChicago, the University’s open access repository. If a dissertation includes copyrighted material beyond fair use, the author must obtain permission from the holder of the copyright.

The public sharing of original dissertation research is a principle to which the University is deeply committed, and dissertations should be made available to the scholarly community at the University of Chicago and elsewhere in a timely manner. If dissertation authors are concerned that making their research publicly available might endanger research subjects or themselves, jeopardize a pending patent, complicate publication of a revised dissertation, or otherwise be unadvisable, they may, in consultation with faculty in their field (and as appropriate, research collaborators), restrict access to their dissertation for a limited period of time according to the guidelines outlined by the Dissertation Office. If a dissertation author needs to renew an embargo at the end of its term or initiate an embargo after graduation, the author must contact the Dissertation Office with the embargo request. Embargo renewals may be approved only in rare instances, and in general no more than one renewal will be allowed.

All dissertations must follow the formatting and submission requirements stated in the University-Wide Requirements for the Ph.D. Dissertation , available from the Dissertation Office on the first floor of the Joseph Regenstein Library in the Center for Digital Scholarship.

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