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Dissertation Research Plan: QUALITATIVE STUDIES ONLY
Research Plan Process
You will use this form in obtaining approval for Milestones 2-5. The goals of this process are to: (1) facilitate the planning of the details of your dissertation research study, (2) allow for scientific merit review and (3) facilitate your progress through the dissertation. You must obtain approval of your Research Plan before seeking IRB approval, collecting data, and writing your full dissertation or any of your chapters. Approval of the Research Plan satisfies dissertation milestone 5, indicating that the Dissertation Research Plan has passed the “scientific merit review,” part of the IRB process.
Scientific Merit Criteria for the Research Plan
Advances the scientific knowledge base.
Makes a contribution to research theory.
Meets certain “hallmarks” of good research methodology.
**Obtaining Scientific Merit approval for your Research Plan does not guarantee you will obtain IRB approval. A detailed ethical review will be conducted during the process of IRB approval.
How to Use This Form
This Research Plan form is intended to help you plan the details of your dissertation. It provides a space for you and to work out all the details of your design. Once you have obtained Research Plan approval, you should be able to easily expand on the information you have submitted here and write the dissertation chapters because these sections follow the outline of the Dissertation Chapters 1-3. It is recommended that you use this form in a step-by-step way to help you deign your study. Expect that you will go through several revisions before obtaining approval this form. Research Planning is an iterative process, each revision often sparking the need for further revisions until everything is aligned. These iterations and revisions are a necessary and customary part of the research process.
Do’s and Don’ts
Do use the correct form! This RESEARCH PLAN is for QUALITATIVE designs. For a QUANTITATIVE design, use that form.
Don’t lock the form. That will stop you from editing and revising within the form.
Do complete the “Learner Information” and Section 1 first.
Don’t skip items or sections. If an item does not apply to your study, type “NA” in its field.
Don’t delete the descriptions in the left column!
Do read the item descriptions carefully. Items request very specific information. Be sure you understand what is asked.
Do use primary sources to the greatest extent possible as references. Textbooks are NOT acceptable as the only references supporting methodological and design choices. Use textbooks to track down the primary sources.
Do submit a revised Research Plan if, after approval, you change your design elements. It may not need a second review, but should be on file before your IRB application is submitted.
GENERAL INSTRUCTIONS
Complete the following steps to request Scientific Merit Review (SMR) approval for your dissertation:
Residency Learners: Your Residency Instructor will facilitate this process.
Dissertation Learners: Your Mentor will facilitate this process.
Milestone 1
Milestone 2
Talk with your Residency Instructor or Mentor about your ideas for your dissertation topic and a possible methodological approach. Collaborate with your Residency Instructor or Mentor to refine your topic into a specific research project that will add to the existing literature on your topic.
Residency Learners:
1. Complete Section 1 of the Research Plan form.
Complete Section 1, “Topic Endorsement,” addressing the Research Topic and Research Problem and submit the form to your Residency Instructor for approval. Follow the instructions carefully.
Collaborate with your Residency Instructor until you have approval for the Section 1, “Topic Endorsement.” After you have received their approval for Section 1, your Residency Instructor will submit this section to your Specialization Chair or Designee for Topic Endorsement via email using the Topic Endorsement Rubric form.
The Specialization Chair or Designee will notify you and your Residency Instructor of their decision and a copy of the decision will be sent to .
2. Complete Sections 2, 3 and 4 of the Research Plan form.
3. Submit Research Plan form for evaluation by your Residency Faculty for Final Project in Track 2.
Dissertation Learners:
1. Complete Section 1, “Topic Endorsement” and Section 2, “Research Overview” and submit the form to your Mentor for approval. Follow the instructions carefully.
2. Collaborate with your Mentor until you have approval for the Section 1, “Topic Endorsement” and Section 2, “Research Overview.” After you have received their approval for Section 1 and 2, your Mentor will submit this section to your Specialization Chair or Designee for Topic Approval via an email to .
3. The Specialization Chair or Designee will notify of their decision and your mentor will be informed so they can communicate the decision to you.
4. If your Topic is deferred by the Specialization Chair or Designee, work with your Mentor to address the concerns and resubmit per process above.
5. If your Topic is approved by the Specialization Chair or Designee, Milestone 2 is achieved. Proceed to Milestone 3.
Milestones 3, 4 and 5
Residency Learners:
1. Work with your Track 3 Residency Instructor to make any necessary refinements to sections 2, 3, and 4 of the Research Plan, then complete Section 5 and 6 of the Research Plan. Make sure all sections are aligned—changes in one section could necessitate changes in another section.
2. After you have a polished version, you should review the SMR criteria from the rubric for each section, to ensure you have provided the requisite information to demonstrate you have met each of the scientific merit criteria.
3. Submit the completed form to your Residency Instructor for approval at the end of Track 3.
***Residency Instructors are also SMR Reviewers. If your Residency Instructor approves your Dissertation Research Plan, and you meet the grading criteria for Track 3 (85 in the course, 85 on the final assessment, and “Proficient” on each item on the rubric for the final assessment), you have achieved Milestones 3, 4, and 5. When you start Dissertation after Comprehensive Exam, you will work with your assigned Mentor to gain IRB approval of your study. You may begin working on your IRB application in preparation for the next steps of your Dissertation.
Dissertation Learners:
1. Complete sections 3, 4, 5, and 6 of the Research Plan. Make sure all sections are aligned—changes in one section could necessitate changes in another section.
2. After you have a polished version, you should review the SMR criteria from the rubric for each section, to ensure you have provided the requisite information to demonstrate you have met each of the scientific merit criteria.
3. Submit the completed form to your Mentor for approval.
4. After you have obtained Mentor approval (Milestone 3) of the completed Dissertation Research Plan form, your Mentor will submit the completed form to your Dissertation Committee for approval. Expect that you will go through several revisions before attaining approval of your Dissertation Research Plan.
***Mentor and Dissertation Committee approval does not guarantee SMR Committee approval. Each review is independent and serves to ensure that your Dissertation Research Plan demonstrates research competency.
SMR Review Process
The scientific merit reviewer will review each item against a rubric to determine whether you have met each of the criteria. You must meet all the criteria at a level of “Proficient” or greater to obtain reviewer approval. The reviewer will designate your Dissertation Research Plan as one of the following:
Approved
Deferred for minor or major revisions
Disapproved
Not ready for review
If the Dissertation Research Plan has been deferred:
The SMR reviewer will provide feedback on any criteria that you have not met.
You are required to make the necessary revisions and obtain approval for the revisions from your Mentor.
Once you have Mentor approval for your revisions, your Mentor will submit your Dissertation Research Plan for a second review.
You will be notified if your Dissertation Research Plan has been approved, deferred for major or minor revisions, or disapproved.
Up to three attempts to obtain Scientific Merit Review (SMR) approval are allowed. Researchers, Mentors, and Reviewers should make every possible attempt to resolve issues before the Dissertation Research Plan is deferred for the third time. If a researcher does not pass the scientific merit review on the third attempt, then the case will be referred to the Research Chair and/or Program Chair in your School for review, evaluation, and intervention.
While you await approval of your Dissertation Research Plan, you should be working to complete your IRB application and supporting documents.
Once you have gained SMR approval (Milestone 5), you are ready to submit your IRB application and supporting documents for review by the IRB Committee.
Milestone 6
IRB Approval:
Once you obtain SMR approval, complete your IRB application and accompanying materials.
Consult the Research and Scholarship area within iGuide for IRB forms and detailed process directions.
You are required to obtain scientific merit approval (SMR) before you may receive IRB approval. Obtaining SMR approval does not guarantee that IRB approval will follow.
Milestone 7
7. Complete the Pre-Data Collection Conference call:
Once you have gained approval by the IRB, you are ready to schedule your Pre-Data Collection Conference Call. You may not proceed to data collection until you have completed this call.
Work with your Mentor and Dissertation Committee to set a date for the conference call.
Upon successful completion of the Pre-Data Collection Conference Call, your mentor will mark Milestone 7 complete, and you may proceed with data collection.
PRELIMINARY INFORMATION
Learners, please insert your answers directly into the expandable boxes that have been provided!
For Residency Learners:
Submit completed form to your Residency Faculty for review.
For Dissertation Learners:
Mentor: This form must be approved by all Dissertation committee members prior to submission for SMR Committee review. Please send completed and approved Dissertation Research Plan to for SMR Committee review.
Dissertation Mentor Signature: _________________________________________________
Dissertation Committee Member Signature: ______________________________________
Dissertation Committee Member Signature: ______________________________________
APPENDIX (as needed)
