(revision date: 02/25/2014) Introduction to Concept Paper Development and the University Review Process Northcentral University The Graduate School February 2014 Overview of the PresentationWhat is a Concept Paper?Problem Statement DevelopmentResearch QuestionsWhat is a “brief” literature review?What is required in the methods section?A note on alignmentComponent resourcesAvailable Northcentral University resourcesThe University Review Process: An introductionThe role of the Graduate SchoolHow to accept and incorporate scholarly feedbackA note about multiple reviewsSatisfactory Academic ProgressQuestions & Answers * 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. * Problem Statement DevelopmentArticulation 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. * 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 ...

1. (revision date: 02/25/2014)
Introduction to Concept Paper Development
and the University Review Process
Northcentral University
The Graduate School
February 2014
Overview of the PresentationWhat is a Concept Paper?Problem
Statement DevelopmentResearch QuestionsWhat is a “brief”
literature review?What is required in the methods section?A
note on alignmentComponent resourcesAvailable Northcentral
University resourcesThe University Review Process: An
introductionThe role of the Graduate SchoolHow to accept and
incorporate scholarly feedbackA note about multiple
reviewsSatisfactory Academic ProgressQuestions & Answers
*

2. 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.
*
Problem Statement DevelopmentArticulation 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.

3. *
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

4. 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

5. 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.
Research QuestionsResearch questions must address the purpose
of the study. Answering the questions must accomplish the

6. 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.
QuantitativeResearch questions are included and the questions,
include corresponding proposed hypotheses. Research questions
and hypotheses are aligned with the problem statement.
QualitativeProposed 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 MethodsIncludes all of the above.
*
Discussion Notes:
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

7. 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.
*
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 constructsbe
consistent with the relationships proposed between and among
variablesthe proposed relationships should be consistent with
theoretical frameworkmust 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
*

8. 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
*
Available Northcentral University ResourcesThe Northcentral
University Dissertation Center The Northcentral University
LibraryThe Northcentral University Academic Success
CenterThe Northcentral University Doctoral Candidacy
Resource Guide
*

9. The University Review Process: An IntroductionThe
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.
*
Academic Review in The Graduate SchoolConcept 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
*
A Note about Multiple ReviewsOften, when changes are made

10. 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
*
Thank you for viewing this presentation!
*