1. Northcentral University The Graduate School February 2014
Introduction to Concept Paper Development and the University Review Process
Northcentral University
The Graduate School
February 2014

2. Overview of the Presentation
What is a Concept Paper?
Problem Statement Development
Research Questions
What is a “brief” literature review?
What is required in the methods section?
A note on alignment
Component resources
Available Northcentral University resources
The University Review Process: An introduction
The role of the Graduate School
How to accept and incorporate scholarly feedback
A note about multiple reviews
Satisfactory Academic Progress
Questions & Answers

3. What is a Concept Paper?
The Concept Paper (CP) is a “pre-proposal” or abbreviated proposal. A well-done CP is the basis of a strong proposal. Approval of a CP indicates that the research topic and problem are tenable and grounded in recent and key research on the topic.
A Concept Paper must:
have problem and purpose statements and research questions in near final format.
contain an articulated but not final research design.
offer an explanation of how the study will contribute to theory (PhD studies) or practice (Professional Applied Doctorates).
be well-written with proper Northcentral University and APA formatting.

4. Problem Statement Development
Articulation of a concise problem statement is key to a successful proposal/dissertation manuscript. The problem statement is a brief discussion and documentation of a problem that demonstrates the need for and importance of the study. Describe and document a problem that leads directly to the study purpose.
The problem statement should summarize what we know about an area and what we still do not know. Dissertation research aims to add to our knowledge and fill in some of the “what we still do not know” part of the problem statement. 
Present a focused problem that leads to the need for a research response.  For some degree programs (DBA, EdD) the problem identified might be a practical problem or issue.  The problem must be documented and relevant beyond any particular study site.

5. What is Required in the Methods Section?
Because the research plan is in the concept paper stage, a highly detailed research design is not expected. The concept paper, however, provides a foundation for the next step in the dissertation process, the development of the proposal. A well-conceived and well written and researched concept paper serves as a foundation or blueprint for the remainder of dissertation work.
In the concept paper include the proposed research method (quantitative, qualitative, or mixed) and present a rationale for the appropriateness of the method and design.
Include a brief discussion of why the method/design(s) is chosen over others. Discussion is not simply a listing and description of research designs; rather, elaboration demonstrates how the proposed method and design will accomplish the study goals, why the design is the optimum choice for the proposed research, and how the method aligns with the purpose and research questions.
Be sure to provide a brief description of the proposed data collection and analysis procedures. Provide appropriate foundational support for the proposed study design. Be sure to include operational definitions (fully defined), and describe the measurement.
For the PhD degree, it is the traditional expectation that doctoral research must constitute an original contribution of new and theoretically‑relevant knowledge to a topic area. That is, the research must not only contribute new data to the field, but it must also be shown that these new data comprise a distinctively new theoretical contribution to the field.
A research question for a PhD dissertation needs to have theoretical significance. This implies that it cannot merely replicate a previous study without well-articulated theoretical reasons as to why the replication is going to produce new and possibly unexpected results. Additionally, a PhD dissertation — whether involving quantitative, qualitative, or mixed methods — must involve either the collection of new data or a new analysis of previously collected data. This means that reporting on the success of a project (such as a workshop, an organizational change, etc.) will not usually meet the requirements for PhD dissertation research, unless it has both the methodological stringencies expected of scientific research and clearly articulated implications for the theorizing relevant to the topic area.
For the DBA and EdD degrees, the traditional expectations diverge from those applying to the PhD degree. The research question that elucidates a DBA or EdD dissertation should have practical, applied significance. It, however, does not necessarily require the same degree of originality. Thus, for a DBA or EdD dissertation, a replication study which is shown to have importance for the field may satisfy the degree requirements if it indeed solves a pragmatic industry problem.
At NCU, the professional doctoral curriculum is a challenging program of advanced study and research, designed explicitly to meet the needs of industry and professional groups. The predominant focus of the degree programs is to foster excellence in professional practice by developing the capacity of individuals to guide knowledge development in their professional contexts. Hence, at NCU the professional doctorate fosters collaboration across the academic and professional boundaries and provides a framework for the appropriate integration of academic inquiry and professional expertise.
Our professional doctoral curriculum consists of a combination of coursework and research. The coursework component is designed to enhance a candidates' professional expertise by illuminating leading and exigent ideas in their discipline. At NCU, research undertaken as part of the professional doctorate is focused on leading change to make a difference in the workplace and/or professional environment. As a result, our professional doctoral candidates bring the highest levels of methodical research knowledge and practice to professional projects.
Professional doctoral candidates at NCU are required to meet scholarly and university standards of research practice. Hence, our professional doctoral programs are designed to produce practitioners equipped to use research methods to resolve mounting problems of professional practice and to develop innovation in practice by relying on the best possible evidence. In so doing, the two professional doctoral degrees offered at NCU require a dissertation to be written in an applied setting. Notably, for the EdD, action research is often conducted as part of the professional doctoral dissertation.
Although the author of a dissertation in one of our professional programs is required to address a pragmatic organizational problem, the author is not required to produce an original contribution to the body of knowledge in that particular discipline. Relevance and application of the research to the professional environment is a fundamental feature and distinguishing characteristic of these programs, while focus on practice therein is integral to the learning process. In sum, the primary focus of our professional degree programs is to provide a framework for the demonstration and development of advanced professional knowledge and skills.

6. Research Questions
Research questions must address the purpose of the study. Answering the questions must accomplish the study’s purpose and contribute to addressing the problem.
One must be able to trace all the ideas in the study questions back through the purpose statement to the problem statement. The research questions and the design and method should align. Once the problem and purpose is determined, then the research questions are established.
Research questions are distinct and answerable, given the identified constructs/phenomenon and population.
Quantitative
Research questions are included and the questions, include corresponding proposed hypotheses.
Research questions and hypotheses are aligned with the problem statement.
 Qualitative
Proposed research questions that are related to the phenomenon are stated.
Proposed research questions are aligned with problem statement.
The qualitative method(s) by which the research questions will be/are answered are included.
Mixed Methods
Includes all of the above.
Discussion Notes:

7. What is a Brief Literature Review?
The goal of a literature review (even brief) is to familiarize readers with the state of the knowledge base and how this knowledge base has been developed.
When reviewing empirical research studies, it is important to provide a methodological context so that readers can evaluate the findings. This also helps readers to see what types of methodologies have been used in the empirical examination of the various topics related to your specific research topic. Further, this provides methodological foundation for the current study. Discuss the methodological context of the studies discussed in the literature review.
What is covered in the literature review is guided by the research questions and the variables/concepts that are embedded in the research questions.
Remember to synthesize. Synthesizing involves taking a group of studies and looking for areas of convergence and divergence.
In the review, at least 7 to 10 of the most important works or studies that touch upon the dissertation topic or problem are discussed.
Use scholarly and peer-reviewed sources.

8. A Note on Alignment
A note on alignment: It is essential that the main components of a dissertation be aligned.
The problem, purpose, research questions, and hypotheses should:
all include the same variables and/or key constructs
be consistent with the relationships proposed between and among variables
the proposed relationships should be consistent with theoretical framework
must reflect the study methodology
Review the NCU Doctoral Candidacy Resource Guide Appendix D for samples of aligned components.
(revision date: 2/26/2012)
Copyright 2010 Northcentral University

9. Component Resources
The Dissertation Center offers many resources for dissertation component development.
The following inform all dissertation components:
The Doctoral Candidacy Resource Guide.
The Milestone Document Templates and Guidebooks.
Institutional Review Board (IRB) information.
Differentiating PhD and Applied Doctorates
Copyright 2010 Northcentral University

10. Available Northcentral University Resources
The Northcentral University Dissertation Center
The Northcentral University Library
The Northcentral University Academic Success Center
The Northcentral University Doctoral Candidacy Resource Guide

11. The University Review Process: An Introduction
The Dissertation Process involves milestones representing significant academic accomplishments. Each milestone is a gateway toward degree completion.
The Concept Paper, Dissertation Proposal, IRB Application and Dissertation Manuscript are reviewed by your dissertation committee who will provide feedback each step of the way.
The Oral Examination is handled and approved by your dissertation committee.

12. Academic Review in The Graduate School
Concept Papers, Dissertation Proposals, and Dissertation Manuscripts are reviewed for acceptance by a doctoral dissertation committee.
The committee is led by a Dissertation Chair and includes a Subject Matter Expert (SME) and a Methodological Committee Member (MCM).
The purpose of a committee is to provide a level of checks and balances to ensure the quality of doctoral degrees.
Milestone documents may be reviewed many times by committee members and the student needs to keep in mind the dissertation process is iterative.
Copyright 2010 Northcentral University

13. A Note about Multiple Reviews
Often, when changes are made in response to a previous review, issues may be exacerbated in another area of the document. Hence, comments will not always be limited to comments in the previous review.
It is helpful to remember that scholarly research is iterative and non-linear. Making a change in a later version to correct an issue in a previous version may reveal new issues that need to be addressed in the subsequent version.
Throughout the dissertation process candidates are subject to the Satisfactory Academic Progress policy.
Copyright 2010 Northcentral University

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