School of Leadership and Church Ministry

Each candidate for the Ed.D. or Ph.D. in Leadership must successfully complete a dissertation based on the candidate's own systematic inquiry into an area of advanced research in leadership. The dissertation is intended to: 1) demonstrate the student’s competency in research methodology, 2) to demonstrate the student’s ability to think critically and systematically, and 3) to make a significant contribution to the literature base of the field of leadership and church ministry.

9.1 Preparations for Writing the Dissertation Prospectus

The process of writing the dissertation is not a sudden enterprise, but a progressive investigation of a line of empirical inquiry begun in the research seminars. Students first encounter the empirical research model in the first term during the Critical Inquiry and Research Design course. Through seminar course work, students continue to identify potential research questions.

In the Empirical Research Methods seminar, the student receives formal training in research methodologies. In the Advanced Focused Research seminars, students will develop their study of the literature base related to their intended dissertation topic.  In the Analysis of Empirical Research course students gain skills in instrument design and the selection of statistical techniques.

After completing comprehensive exams (one of which is dissertation related), the student develops a dissertation Prospectus that will present the student’s research questions and strategy. The student’s Dissertation Committee supervises the dissertation writing process including the writing of the Prospectus. The student defends the Prospectus in an open hearing. The student cannot begin dissertation research until the Dissertation Committee and the seminary faculty accept the Prospectus.

Research methods utilized for the dissertation must be appropriate to the type of research being conducted by the student.  Qualitative and/or quantitative social science research methodologies appropriate for the dissertation include: descriptive research, ethnographic research, historiographic research, and experimental methodologies and their variants. On-campus, individual consultations are required of the student during the writing of the dissertation.

Worthy topics for dissertation research generally will arise out of a specific relational or conceptual problem in reference to human development; theory and praxis of teaching and learning; organizational management; leadership; decision-making; or other social-interactional dimensions of ministry leadership and Christian education ministry broadly defined.

The doctoral student is expected to become fully acquainted with the design parameters and requirements of the research method chosen for the dissertation.

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9.2 Formation of the Dissertation Committee

Doctoral students are assigned a dissertation supervisor and second reader at the beginning of the second year of study.

Appointments to the student's dissertation committee are made based upon several criteria including the faculty member's area of expertise, the faculty member's dissertation load, the research interests of the faculty member and the desires of the student.  Students will be surveyed for their preferences in the configuration of their dissertation committee. While student preferences are honored whenever possible, other criteria must take priority.  The final decision regarding appointment of the committee is made by the Associate Dean for Doctoral Studies in consultation with the faculty members and the student. 

It is inappropriate for doctoral students to approach any faculty member and ask him or her to serve on their dissertation committee.

If the dissertation supervisor does not have sufficient expertise in the research methodology chosen by the student but was chosen for expertise in the subject area, the second reader should be chosen with the intent that he or she will serve as the methodology expert in the writing of the dissertation.

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9.3 Use of External Readers

If an external reader is required, the qualified external reader becomes a third member of the committee. The dissertation supervisor serves as chair. The following standards apply to the selection of external readers:

1.      The external reader must hold an earned research doctorate in the appropriate field of expertise;

2.      The external reader must be a current graduate faculty member at an accredited academic institution, or hold equivalent status if the person is currently serving in a non-academic position;

3.      An external reader should be used only when the content of the dissertation warrants the feedback of an outside expert; external readers should not be honorary roles for former mentors or colleagues;

4.      The external reader must be approved by the Research Doctoral Studies Committee before the Associate Vice President for Doctoral Studies formally invites the external reader to serve on the Dissertation Committee. The student does not invite the external reader to serve as a consultation on the Dissertation Committee.

5.      An external reader who serves as a member of the student's Dissertation Committee will be paid a $500 honorarium by the student at the completion of the dissertation. This honorarium is sent to the external reader through the LEAD School Office with a letter of appreciation from the student. The honorarium is paid only to persons not employed by Southern Seminary.

6.   The external reader honorarium must be paid by the student in order to graduate, even if the honorarium is waived by the external reader.

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9.4 Supervision Roles and Protocols

The dissertation provides an opportunity for the student to demonstrate a range of acquired research skills including the ability to work independently, to formulate a proposal and to carry it through to fruition in the form of a dissertation.   The dissertation is the STUDENT'S work, not the supervisor's. The supervisor advises, guides, critiques and encourages, but does not manage the work. That is the role of the doctoral student.  It is important to remember that the responsibility for the research and writing of the dissertation is the student's.

9.4.1 Supervisor's Role (also known as the First Reader)

The onus of responsibility in the supervision of the development of the prospectus and the dissertation falls to the dissertation supervisor (first reader).  The dissertation supervisor provides authoritative oversight to the research process and is the chairman of the dissertation committee.   

Supervisors:

·        Give advice about the nature of the dissertation (viability of the study, clarification of seminary policies and protocols)

·        Assist in developing the dissertation title

·        Discuss a general strategy for the design of the research

·        Discuss avenues for literature search and review

·        Suggest helpful literature and other sources

·        Oversee the planning of the prospectus and dissertation

·        Set and maintain the standard of work expected

·        Offer input for improvements to draft chapters 

·         Discuss possible research methods

·         Advise on dealing with outside agencies

·        Warn of major problems

·         Give feedback on argument, analyses, quality and progress

·         Encourage, support, and acknowledge progress

Supervisors DO NOT:

·        Act as proof-reader of the student’s work including the correction of spelling, grammar, punctuation etc

·        Read the whole of the final draft submission since they have read early drafts and provided input throughout the process and can expect that the student has made appropriate revisions and corrections.

·         Come up with a detailed topic or proposal (although individual supervisors may encourage particular areas)

·         Make decisions for you

·         Tell you what to write

·         Accept any draft for detailed comment less than two working weeks before the deadline

9.4.2 Second Reader's Role 

Second readers function in a consult role.  While they receive copies (and third readers when assigned) of the prospectus as it is developed, they are not are required to comment on those copies to the student.  Rather, all input from the second reader is channeled through the supervisor to the student unless otherwise agreed upon by the supervisor. 

With the permission of the Dissertation Supervisor (first reader), the role of the second reader may be expanded to an ongoing consulting role with the student during the development of the prospectus and dissertation.  When this occurs, the Dissertation Supervisor must be informed of these consultations and of any changes made to the prospectus or dissertation as a result of these consultations. 

In general then, doctoral students should not ask second readers or external readers to read draft editions of individual chapters or the dissertation without the prior approval of the Dissertation Supervisor.  Second readers and external readers are only to be consulted on the defense-ready version of the completed prospectus and/or completed dissertation unless arrangements are made with the supervisor.

9.4.3 Phone Calls and Meetings 

Students are to make phone appointments in the discussion of dissertation material, rather than making impromptu phone calls or writing lengthy e-mails with numerous imbedded questions. Prior to scheduled phone appointments, students should e-mail the dissertation supervisor with a list of the primary questions to be discussed, attaching an electronic copy of the chapter(s)/section(s) of the dissertation under discussion. The more context information that is provided, the more accurate the response will be.

Quick e-mailed questions are appropriate from time to time. However, if numerous questions need to be discussed, a phone appointment should be scheduled instead.

Impromptu phone calls are discouraged, as the dissertation supervisor may not be able to devote full attention to the questions if other classroom commitments or appointments are in progress at the time of the call or immediately pending.

Students are responsible for keeping dissertation supervisors frequently informed of progress made in the research and writing of the dissertation.

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9.5 Preparing the Prospectus

9.5.1 Timeline

A timeline for the development of the prospectus will be distributed to students in the 96850 Analysis of Empirical Research seminar. 

The prospectus serves as the contract between the student and the institution and guides the evaluation of the defense copy of the dissertation. The prospectus must follow all matters of style as required for the final copy of the dissertation. Therefore, the prospectus must consist of all preliminary pages, chapters and referential matters that will appear in the final copy of the dissertation, but many of these pages will be placeholders for proposed content. The student vitae and an abstract must also be included as required. Detailed information on the format and order of these pages can be found in The Southern Seminary Manual of Style. Particular care should be given to the title of the dissertation, since a change of an approved title requires several levels of committee and faculty approval.

Because the prospectus proposes future research, future tense should be used in describing the research design.

In the EDD, two copies of a working version of the prospectus is sent to the dissertation supervisor through the LEAD Office by May 15th in preparation for a July oral defense. Dissertation supervisors then return the working version to the doctoral students by June 1st. The EDD student then has three calendar weeks (typically June 21) to submit the requisite number of defense copies of the prospectus through the LEAD Office for the oral defense open hearing.

In the Cohort PhD (CPhD) program, two copies of a working version of the prospectus is sent to the dissertation supervisor through the LEAD Office by January 15th in preparation for a March oral defense. Dissertation supervisors then return the working version to the doctoral students by Febuary 1. The CPhD student then has three calendar weeks (typically February 21) to submit the requisite number of defense copies of the prospectus through the LEAD Office for the oral defense open hearing in March.

In the Resident PhD program, the working version of the prospectus is sent to the dissertation supervisor through the LEAD Office during the semester the comprehensive exams are taken. The PhD student negotiates a completion schedule for the prospectus directly with the dissertation supervisor with the following provision: the defense copies of the prospectus must be submitted to the Dissertation Committee through the LEAD Office at least two weeks prior to the oral defense open hearing.

9.3.2 Prospectus Content

Essentially, the Prospectus is written in future tense and is comprised of the first three chapters of the dissertation plus an overview of chapters four and five.  The content of the Prospectus is detailed in the checklists available below.  Specific differences between the Dissertation and the Prospectus are described at the bottom of each checklist.

Social Science Research Checklist

Humanities Research Checklist

9.5.3 Copies Required

The number of defense copies printed on regular paper is as follows:

1.      One copy for the Dissertation Committee Chair;

2.      One copy for the Second Reader; and

3.      One copy for style checking.

Failure to submit sufficient copies of the prospectus at least two weeks prior to the oral defense open hearing will result in the cancellation of the prospectus hearing, possibly delaying graduation.

Once the defense copies of the prospectus are submitted, no further changes can be made to the document.

Students who discover minor changes that are needed in the prospectus after the defense copies are submitted should make note of the changes and identify them during the open hearing.

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9.6 The Prospectus Hearing

9.6.1 General Information about the Hearing and Presentation

The oral defense of the prospectus is an open hearing that includes the student, the Dissertation Committee, student colleagues, and other SBTS faculty. During open hearings, students take 20 minutes to present the rationale for the study and describe the proposed research design. This presentation is then followed by a 30 minute dialogue with the Dissertation Committee and others attending the open hearing. The purpose of this dialogue is to help students refine, delimit, and/or clarify the research design.

The prospectus defense hearing must include the use of a PowerPoint slideshow (or equivalent) or color overhead transparencies. The style of the presentation is formal (business formal dress) and professional (quality of presentation materials).

PowerPoint slides and color overhead transparencies must use 30 point minimum font size, and no more than six lines of text per slide or overhead transparency.

In the case of computer or projector hardware failure or glitches, the presentation must be made using the a presentation handout.

9.6.2 Presentation Content

The prospectus presentation must consist of the following slides or color overhead transparencies common to all research designs, appearing in the following order:

1.      Dissertation Title (15-17 words maximum) followed by the Research Purpose Statement or Research Thesis as appropriate to the research design;

2.      Delimitations of the Study;

3.      Research Questions, Hypotheses, or Focus Statements as appropriate to the research design;

4.      Terminology;

5.      Research Assumptions.

Social Science Research Designs

For social science research designs (descriptive research, ethnographic research, historiographic research, or experimental methodologies and their variants), add the following slides or color overhead transparencies to the first five common slides arranged in the following order:

6.      Abbreviated reference list of the most significant literature to the research design, both theologically and educationally—correct citation format required;

7.      Population and Sample;

8.      Delimitations of the Sample and Limitations of Generalization;

9.      Synopsis of the Research Process;

10. Proposed Instrumentation and Protocols;

11. Proposed Statistical Measures and Data Displays; and

12. Value of Conducting the Research (anticipated contribution to the literature of the field).

Humanities Research Designs

For humanities research designs, add the following slides or color overhead transparencies to the first five common slides arranged in the following order:

6.      Synopsis of each proposed chapter in the dissertation, outlining the theological presuppositions and education and leadership assumptions to be explored in each chapter; and

7.      Value of Conducting the Research (anticipated contribution to the literature of the field).

The Dissertation Committee will recommend necessary changes to the prospectus and/or the research design during the open hearing rather than in a closed session including or excluding the defending student.

Doctoral students are required to bring a tape recorder to the open hearing in order to free themselves to interact with the Dissertation Committee rather than focusing on taking notes on changes to the research design made during the hearing.

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9.7 Submission of the Revised Prospectus and Research Profile

Once the prospectus is defended in open hearing, students document any required changes in a revised version of the prospectus. Style corrections are to be reflected accurately in the revised version.

In addition to submitting three copies of the revised prospectus to the LEAD Office, students must also submit a single-spaced Research Profile in hardcopy consisting of the following sections from the designated chapters:

1.      Title Page from the Preliminary Matters;

 

2.      Research Purpose Statement or Research Thesis from Chapter;

 

3.      Delimitations of the Study from Chapter 1;

 

4.      Research Questions, or Hypotheses, or Focus Statements from Chapter 1;

For students conducting a social science research design, add the following:

5.      Design Overview from Chapter 3;

6.      Population from Chapter 3;

7.      Samples and Delimitations from Chapter 3;

8.      Limitations of Generalization from Chapter 3;

9.      Instrumentation from Chapter 3;

10. Reference List from Referential Matters;

11. Abstract from Referential Matters; and

12. Vitae from Referential Matters.

For students conducting a humanities research design, add the following:

5.      An outline of each chapter in the study beginning with Chapter 2;

6.      Reference List from Referential Matters;

7.      Abstract from Referential Matters; and

8.      Vitae from Referential Matters.

Three copies of the revised prospectus and the research profile is due in the LEAD Office August 15th (EdD), November 15th (Fall PhD), or April 15th (Spring PhD and CPhD) in order for the appropriate faculty approvals to be completed during the term of the defense.

EdD students who do not defend the prospectus in July must come to campus to defend the prospectus in open hearing during Fall or Spring semester. EdD defense hearings cannot be scheduled during November or March EdD seminars, January term, or immediately prior to or following Fall or Spring semester.

PhD students must defend the prospectus during the semester no later than October 15th (Fall) or March 15th (Spring). CPhD students must defend by March 31st as scheduled by the LEAD School Office. PhD defense hearings cannot be scheduled during January or Summer terms. PhD defense hearings cannot be scheduled during November or March EdD seminars, or immediately prior to or following Fall or Spring semester.

The prospectus hearing and dissertation hearing cannot occur in the same semester.

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9.8 Prospectus Approvals

Once the revised prospectus is approved by the dissertation supervisor, the prospectus and Research Profile are then forwarded to the Associate Vice President for Doctoral Studies for approval. If the prospectus is approved by the Associate Vice President, the dissertation title and the name of the dissertation supervisor are presented to the seminary faculty. If the dissertation title is approved, the prospectus is then considered the official contract between the Dissertation Committee and student in the completion of the dissertation.

If the Dissertation Committee, the Associate Vice President for Doctoral Studies, and/or the seminary faculty require modification in the research topic and/or the dissertation title, the prospectus may need to go back through one or more levels of the approval process.

Once the seminary faculty have accepted the prospectus title, no changes can be made to the dissertation title or research design without the approval of the Dissertation Committee, the Associate Vice President for Doctoral Studies, and the seminary faculty.

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9.9 Using Expert Panels in the Validation of Instrumentation

Some research designs will require the use of an expert panel of consultants for purposes of compilation or evaluation of research data. The following guidelines were approved by the full faculty of the seminary and must be followed carefully:

1.      Any outside contact that may represent The Southern Baptist Theological Seminary, including consultation with outside academics or professionals, the formation of expert panels, contact with research subjects and volunteers, the distribution of data gathering protocols, etc., must be approved by the appropriate associate dean and monitored by the doctoral supervisor.

2.      The persons to be contacted must be approved by the doctoral supervisor and reported to the appropriate associate dean.

3.      The actual letters, forms, materials, and protocols to be sent to individuals must be approved by the doctoral supervisor.

4.      A cover letter must be included that states clearly what is being requested of the individual, what time will be involved, and what use will be made of the research.

5.      Materials should be clear and concise so that the time and involvement of the individual is respected and maximized, e.g., forms should be easy to read and complete, and questions should be direct and clear.

6.      Academics and professionals who participate in the research should receive a letter of appreciation from the student, and a summary of the findings at the conclusion of the study. Both the letter of appreciation and the research summary are to be sent through the appropriate associate dean's office.

7.      Acknowledgement of the participation of academics, professionals and volunteers must be made in the dissertation as appropriate and as directed by the doctoral supervisor.

The purpose of these guidelines is to protect professionals from being overly used as consultants, or being consulted prematurely in the research design process.

By action of the Council of Seminary Presidents, seminary presidents and seminary trustees cannot be used as expert panelists in the validation of instrumentation, and cannot be surveyed, polled, interviewed, or otherwise included as human subjects in the gathering research data.

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9.10 Research Ethics with Human Subjects

Instrumentation used to gather research data from human subjects (interview, questions, surveys, inventories, etc.) must be approved by the Research Ethics Committee before distribution for field testing or data collection.

The current protocols for securing permission to use human subjects in dissertation research can be found online at http://leadership.sbts.edu/ethics.

Distribution of research instrumentation before approval of the Research Ethics Committee will result in immediate termination from the program of studies.

Field testing or gathering data with instrumentation prior to the prospectus hearing will result in immediate termination from the program of studies.  Contact your supervisor to discuss field testing options.

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