sample phd 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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Capstone Documents: Doctoral Prospectus Resources

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Doctoral Prospectus Form Video

Doctoral Prospectus Form Overview

The Doctoral Prospectus Form is a brief and intuitive form for students to complete a discipline-specific, feasible, and aligned plan for their doctoral capstone or project. 

This all-in-one prospectus form provides:

• Step-by-step directions with links to key resources 
• Detailed content guidance and  examples in the appendix
• Research design alignment content and support
• Quality rubric standards

Students complete the form,   submit to their committee members for formative assessments, and then upload into MyDR for formal rubric evaluation by the committee and the PD Designee Reviewer.

The form should be used as a working document between the student and committee; therefore, iterations should be documented. A clean copy of the prospectus form should be sent for PD Designee review only when the committee members have reviewed it and any revisions requested have been made by the student.

Prospectus Forms by Doctoral Program

Prospectus Forms can be found on your doctoral program's resource page .

Writing Support

Bookmark the Walden Writing Center’s Preproposal Starter Kit , which contains advice and resources to help you prepare your prospectus and transition from coursework to doctoral capstone writing. Review the Writing Center’s APA resources and Ask OASIS  for any scholarly writing questions you have. You can even make a  paper review appointment  to get writing feedback on your prospectus draft. For more intensive support, consider enrolling in SKIL’s Preproposal Doctoral Writing Workshop .

Also visit the Form and Style Page  for other capstone resources.  Students should review the Form and Style SMRTguides on Alignment ,   Formatting RQ’s and Hypotheses , and Writing the Assumptions, Limitations, and Delimitations .

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If you need help researching your problem, broadening or narrowing your topic, or searching the literature, visit the Walden Library pages: Decide on a Topic , Choosing Your Topic , or schedule a Library appointment , which allows you to have a one-on-one session with a librarian in your subject area to brainstorm and develop effective research strategies for your capstone.You may also wish to bookmark the Library’s Guide to Capstone Literature Reviews which will help as you collect your literature.

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Make a one-on-one doctoral research appointment with a ORDS statistics tutor for assistance with data analysis, SPSS, or interpretation of results. Attend Quantitative or Qualitative Methodology Office Hours with questions related to research methodology (e.g., research design, collecting data, analyzing data, writing up results).

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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  
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• History of Art and African American Studies  

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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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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 .

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.

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The dissertation prospectus is a proposal for the PhD student’s dissertation work. The purpose of the prospectus process is to help the student formulate and refine the contents of the dissertation. The faculty aim is to be constructive in considering the scope, viability, and details of the students’ planned research. An approved dissertation prospectus signifies that there is a shared understanding between the student and the committee of the scope of work that (assuming it is completed to a high quality) would result in the successful completion of a PhD.

This guide describes the components of the dissertation prospectus, and the steps that need to be completed during the prospectus process. We will also comment on the timeline of the dissertation prospectus, although there is substantial variability across students in exactly when these steps are completed.  

I. Establish Dissertation Advisory Committee (DAC).  S tudents will identify a committee of at least three faculty members to comprise their Dissertation Advisory Committee (DAC). The DAC participates in both the prospectus and dissertation processes. Additional member(s) of the DAC can be added before or after the prospectus is complete.  

The GSAS DAC guidelines can be found here . In considering committee members, the student’s primary faculty mentor is always included and will serve as the DAC Chair. At least two committee members, including the Chair, must be ladder faculty at Harvard. The third committee member may also be a non-Harvard faculty of equivalent appointment rank to Harvard ladder faculty, or a non-ladder faculty member at Harvard (such as Senior Lecturer). DACs must be approved by the DGS.   

Action item : Students should invite potential committee members to join your dissertation committee, following consultation with your primary mentor. When inviting faculty members, note that their agreement entails a) evaluating your dissertation prospectus, b) reading your dissertation and taking part in your eventual dissertation defense, and c) being available for guidance/input on your dissertation work. Please note that faculty members are not required to say yes. There are valid reasons a particular faculty member might not be available for your committee (e.g., an impending leave). If any student is having difficulty finding committee members, please consult with the Director of Graduate Studies (DGS).

Students should submit your planned committees for DGS review using this form at least two weeks before the prospectus meeting. Students will need to submit a CV for any requested non-Harvard committee members. After submitting the form, students will receive confirmation of approval or other follow-up from the DGS before the prospectus meeting. If students choose to change or add committee members post-prospectus, you should complete the form again to revise your committee composition.  

Timeline : Students must submit their planned committees for approval at least two weeks before the prospectus meeting.

II. Prepare and submit written dissertation prospectus. The prospectus itself should be in as polished form as possible, using APA journal article style. The goal of the prospectus is to provide the committee a full plan of the scope of research activities the student plans to complete as their dissertation. Students should discuss the scope of research that should comprise a dissertation with their mentor. A typical prospectus will not exceed 30 pages (excluding appendices), but the length should be sufficient to cover the steps detailed below.

• Describe the general context. How does the area of study fit into broader issues, and why are they significant? The review of literature starts here. 
• Describe the particular area in detail. This section should state the need for research in the area. 
• Pose the specific research question and hypothesize the results that will be found. 
• Describe the proposed methodology, including all important details: what needs to be controlled for, what kind of data analysis will be used, etc. Give information on the characteristics of subjects to be recruited. Any pilot data should be included here. The proposals in the methods section should be specific, rather than options; it is recognized that many changes may happen in the prospectus meeting, but committee members need to be given the student's best ideas rather than several avenues that could be taken. Include as an appendix copies of any measures planned.
• Predicted results and theoretical interpretation

Action item : Students should write a dissertation prospectus and disseminate it to their committee and to the Graduate Program. Students are welcome to seek feedback on drafts of the proposal and engage in discussions with their mentor and/or committee members (or others) as they are preparing the proposal.

Timeline : Students should submit the written proposal to their advising committee at least two weeks before their scheduled prospectus meeting (see Item III).

III. Hold prospectus meeting. Students should hold a prospectus meeting attended by their advising committee (remote attendance such as via Zoom is allowable, especially for out-of-town committee members or during COVID surges). This meeting is an opportunity for students to receive feedback from their committee about the content, quality, and scope of their dissertation. The meeting is also intended for faculty to evaluate whether the dissertation, as proposed, is well-suited for attainment of a PhD or whether it needs to be revised. Faculty will have read the written proposal before the meeting (having received it two weeks before the meeting).

The meeting starts with a short presentation by the student describing the proposed research and including any "fine tuning" that the student has done since the written prospectus was submitted. The presentation should be considered semi-formal, and students may find slides helpful. Students often bring discussion about specific questions or challenges associated with the project for committee input. Committee members often bring questions they had when reading the proposal for clarification or open discussion. Note that there is some variability in this meeting’s length and format, so students should consult their mentors on specific expectations.

At the conclusion of the meeting, the committee will judge whether the project is satisfactory for a dissertation, and what kinds of revisions the student should consider to their research plan. Since the purpose of the prospectus meeting is to help students do as high-quality research as possible, it is likely that at least some modifications will be made. In some cases, the modifications will be so extensive that the committee needs to reconvene for another meeting with the student, but it is expected that only in extreme cases will the student have to "go back to the drawing board." The committee will complete and sign a Prospectus Approval Form , which will also list any required modifications. After the meeting, the student will draft a memo of understanding describing the results of the prospectus meeting and stating how they will incorporate the modifications and suggestions made by the committee. This memo will be reviewed and signed by the student's mentor.

If a student takes a leave of absence or withdraws from graduate study after getting the prospectus approved, they should consult with the CHD to make certain that the previously approved prospectus still stands. Action item s: a. Schedule meeting. Students are responsible for scheduling the meeting and providing confirmation of the meeting’s date, time, and location. If remote participation is needed, students should coordinate that as well. Note that coordinating faculty schedules can be challenging, and faculty often schedule meetings weeks in advance. Therefore, students should work to schedule this meeting several weeks before the target meeting date.

b. Prepare for meeting. Students should speak with their mentors about the expected format for their meeting and prepare accordingly. Students are expected to answer questions about all details of their proposed project, report on its progress to date, any roadblocks, and comment on a timeline for the project’s completion. Students should also expect to receive extensive feedback from their committee which often entails revisions to the dissertation prospectus.

c. Paperwork. Students should bring the Prospectus Approval Form to the meeting and should collect their advising committee’s signatures indicating whether they “sign off” on the proposal as-is or require revisions. This form should be returned to the Graduate Program Office.

Timeline : The timeline for prospectus completion depends on the student’s planned timeline for completing the program. Many students apply for the Dissertation Completion Fellowship (DCF) to fund their final year in the program. The DCF pays full year tuition and a 10-month living stipend, typically August - May. Students must obtain dissertation prospectus approval before they can apply for the DCF. As such, the timeline for DCF application often guides students’ prospectus timelines. Note that prospectus meetings often do result in same-day approval (with or without revisions), but some meetings result in approval pending the need for more extensive revisions that would need to be re-reviewed by the committee. Students should consider this possibility when setting their dissertation prospectus timeline and should appreciate the substantial risk involved with holding their committee meetings in very close proximity to the DCF application deadline.

The deadline to apply for the DCF is typically in February of the penultimate year of study in the program. For example, if a student wishes to obtain a DCF for the 2024-2025 year and graduate in 2025 (May or November), then students will need to apply for the DCF by February 9, 2024 . Students should consult the Graduate Program or the Harvard Griffin GSAS website for the specific DCF deadline as it varies from year to year.

VI. Committee evaluation. During the prospectus meeting, after the student presentation and discussion, the committee will ask the student to leave the room and discuss the work and level of student preparedness. They will use the Prospectus Approval Form to guide this discussion. The committee can decide among the following actions:

• The prospectus is approved without required revisions.
• The prospectus is approved with required revisions, as detailed on the form. The primary mentor will be responsible for overseeing these revisions. No subsequent meetings or committee-level reviews are necessary.
• The prospectus has potential but is not approved yet as it requires major revisions, as detailed on the form. The committee will need to meet again once the revisions have been addressed by the student. At this subsequent meeting, the committee will judge the revisions and whether they have resulted in an approvable prospectus.
• The prospectus is not approved and is not on track to be approvable even if revisions were made. In this case, the Prospectus Committee Chair will work with the CHD to determine the appropriate next-steps.

If students would like to make substantive changes to the content and/or format of the dissertation after prospectus approval, they must revise their prospectus and obtain approval of the revised version from all committee members. Another meeting of the prospectus committee may be required if the changes are substantial.

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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: Jul 18, 2022 10:00 AM
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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

Dissertation Prospectus Template

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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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How to write an effective PhD Prospectus

By charlesworth author services.

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• 26 July, 2022

The PhD prospectus is an academic deliverable (document) usually demanded in American university systems . It is mostly associated with PhD programmes, but longer Master’s courses might also require one.

Importance of a PhD prospectus

Essentially, the prospectus is an extended, developed or significantly changed version of the initial research proposal . Usually around 5,000 words in length (institutions would specify exact requirements), a prospectus commonly involves considerable research and background reading . The PhD applicant will be expected to submit, and then defend, the prospectus in front of their PhD committee. Failure can lead to the need for resubmission . If, after that, the candidate fails again, they may face being dismissed from the programme. 

Stage at which to write the PhD prospectus

At the beginning of the PhD process, an applicant to a doctoral programme will initially put together an application package including a research proposal, statement of purpose , transcripts of grades, a CV and a number of references. Once accepted for a PhD course of study, students at American universities then spend their first year on further courses, often concentrating on methodology . At the end of the first year , students may be required to submit a prospectus. 

Writing the PhD prospectus

The prospectus is like other proposals in that it will ‘situate the suggested research’. There is no specified structure , although different institutions may stipulate what they are looking for. A longer prospectus should have some form of executive summary .

Here are some pointers for writing the ideal prospectus:

• It should usually start with why the topic area is of importance and why further research is warranted. It will need to review the research related to the topic and identify a specific gap or problem that needs to be addressed. 
• It should then suggest one or two specific main research questions and maybe further sub-questions that the research plans to address. 
• It will need to specify the probable direction that the research will take. Some disciplines may demand a thesis statement, or hypothesis , before the prospectus goes on to present the proposed methodology and variables if appropriate, and to justify why the approach suggested will be the most suited to the nature of the research proposed. 
• It should acknowledge possible challenges that the research might encounter and tentatively outline the solutions the researcher(s) intend to use to address them.
• It might offer a research plan for the following years that covers components of the research such as:
• What exactly will be done for the research
• When data will be collected
• When writing will start
• What is planned to be completed within what time frame and other relevant deadlines
• Possible travel and other requirements
• It could finish by stating what the research ultimately delivers and what impact it might have.
• Like all academic work, it should include a comprehensive bibliography , which could be organised thematically . This may also include a broader range of known or relevant literature rather than just the references mentioned in the prospectus and point to both primary and secondary sources .

Note : Some institutions might also demand an outline of the proposed structure of the thesis/dissertation .

Evaluation of the PhD prospectus

The PhD committee is made up of a number of professors from your discipline, but they may have quite disparate interests and very different levels of knowledge on the topic being presented. Here, we discuss the implications of this broader audience and what the committee is most interested in.

• Your prospectus should be written for this broader but academic audience , aiming to explain to them why the research is merited, and why the gap or problem is best approached in the way you suggested. You will need to gauge how specific your explanations need to be for this audience.
• You will need to address the committee’s main concerns, which will be:
• Whether they believe the research question(s) can be answered in the way you suggest
• Whether they believe the data is suitable, available, sufficient etc.
• Whether the project is feasible and appropriate for the demanded level
• The prospectus is ultimately an academic document, and you will be judged on the quality of the written presentation .

The prospectus represents an important stage in the research process of an early career researcher.

• The feedback you receive on the proposed research will play a major role in helping you to tailor and fine-tune your research further, making the next stages that much more focused and therefore more productive.
• Acceptance of the prospectus is a sign of confidence from academic experts in your discipline.

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Welcome to the on-line version of the UNC dissertation proposal collection. The purpose of this collection is to provide examples of proposals for those of you who are thinking of writing a proposal of your own. I hope that this on-line collection proves to be more difficult to misplace than the physical collection that periodically disappears. If you are preparing to write a proposal you should make a point of reading the excellent document The Path to the Ph.D., written by James Coggins. It includes advice about selecting a topic, preparing a proposal, taking your oral exam and finishing your dissertation. It also includes accounts by many people about the process that each of them went through to find a thesis topic. Adding to the Collection This collection of proposals becomes more useful with each new proposal that is added. If you have an accepted proposal, please help by including it in this collection. You may notice that the bulk of the proposals currently in this collection are in the area of computer graphics. This is an artifact of me knowing more computer graphics folks to pester for their proposals. Add your non-graphics proposal to the collection and help remedy this imbalance! There are only two requirements for a UNC proposal to be added to this collection. The first requirement is that your proposal must be completely approved by your committee. If we adhere to this, then each proposal in the collection serves as an example of a document that five faculty members have signed off on. The second requirement is that you supply, as best you can, exactly the document that your committee approved. While reading over my own proposal I winced at a few of the things that I had written. I resisted the temptation to change the document, however, because this collection should truely reflect what an accepted thesis proposal looks like. Note that there is no requirement that the author has finished his/her Ph.D. Several of the proposals in the collection were written by people who, as of this writing, are still working on their dissertation. This is fine! I encourage people to submit their proposals in any form they wish. Perhaps the most useful forms at the present are Postscript and HTML, but this may not always be so. Greg Coombe has generously provided LaTeX thesis style files , which, he says, conform to the 2004-2005 stlye requirements.

Many thanks to everyone who contributed to this collection!

Greg Coombe, "Incremental Construction of Surface Light Fields" in PDF . Karl Hillesland, "Image-Based Modelling Using Nonlinear Function Fitting on a Stream Architecture" in PDF . Martin Isenburg, "Compressing, Streaming, and Processing of Large Polygon Meshes" in PDF . Ajith Mascarenhas, "A Topological Framework for Visualizing Time-varying Volumetric Datasets" in PDF . Josh Steinhurst, "Practical Photon Mapping in Hardware" in PDF . Ronald Azuma, "Predictive Tracking for Head-Mounted Displays," in Postscript Mike Bajura, "Virtual Reality Meets Computer Vision," in Postscript David Ellsworth, "Polygon Rendering for Interactive Scientific Visualization on Multicomputers," in Postscript Richard Holloway, "A Systems-Engineering Study of the Registration Errors in a Virtual-Environment System for Cranio-Facial Surgery Planning," in Postscript Victoria Interrante, "Uses of Shading Techniques, Artistic Devices and Interaction to Improve the Visual Understanding of Multiple Interpenetrating Volume Data Sets," in Postscript Mark Mine, "Modeling From Within: A Proposal for the Investigation of Modeling Within the Immersive Environment" in Postscript Steve Molnar, "High-Speed Rendering using Scan-Line Image Composition," in Postscript Carl Mueller, " High-Performance Rendering via the Sort-First Architecture ," in Postscript Ulrich Neumann, "Direct Volume Rendering on Multicomputers," in Postscript Marc Olano, "Programmability in an Interactive Graphics Pipeline," in Postscript Krish Ponamgi, "Collision Detection for Interactive Environments and Simulations," in Postscript Russell Taylor, "Nanomanipulator Proposal," in Postscript Greg Turk, " Generating Textures on Arbitrary Surfaces ," in HTML and Postscript Terry Yoo, " Statistical Control of Nonlinear Diffusion ," in Postscript

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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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Answered By: Kristina Harris Last Updated: Jul 26, 2021     Views: 16351

Students can find sample prospectus documents in their program-specific Prospectus Guides located on the Office of Research and Doctoral Services’s Doctoral Capstone and Project Resources page. For more information on the doctoral prospectus, see the Doctoral Research Coach . You can also contact your Program Director with any program-related questions.

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The dissertation prospectus is a proposed plan for your doctoral research. It will be reviewed by your committee, who will provide constructive feedback to help shape your research plan. There are no department-level requirements for the format of the prospectus. Rather, each student should meet with their primary advisor(s) and their committee members to discuss what is expected.

Timeline for Prospectus Development and Defense

The student will develop a dissertation prospectus during the Fall semester of their third year. A final document must be submitted to the student’s current dissertation committee (consisting of at least faculty) and the DGS by December 1 st .

The student must hold a meeting with the dissertation committee by December 15 th to discuss the prospectus. Based on this meeting, the committee will make recommendations to the student for how to use the Spring semester wisely. This may entail getting started on the dissertation, expanding or reworking the prospectus, or both.

The student will hold another meeting with their committee by May 15 th of their third year to discuss their progress as it relates to the committee’s December recommendations and to plan for their fourth year.

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