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INSTRUCTIONS Dissertation Research Plan QUANTITATIVE STUDIES ONLY SoBT Proficient - 85% Criteria Purpose The purpose of this document is to provide insight into expectations for successful completion...

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INSTRUCTIONS
Dissertation Research Plan
QUANTITATIVE STUDIES ONLY
SoBT Proficient - 85% Criteria
Purpose
The purpose of this document is to provide insight into expectations for successful completion of Milestone 5. Specific instructions about using the Quantitative Dissertation Research Plan form are found in the form itself. Expectations of performance ratings are detailed in each section of the document. Sections in this document correspond directly to sections in the Quantitative Dissertation Research Plan form. At the end of this document you will find the 16 evaluation criteria including performance rating descriptions at each level (Non-Performance, Basic, Proficient, and Distinguished).
Scientific Merit
Overall scientific merit of the Dissertation Research Plan (DRP) based on three overarching criteria:
1. Advances the scientific knowledge base.
2. Makes a contribution to research theory.
3. Meets certain “hallmarks” of good research methodology.
The specifics of scientific merit are further described in the DRP Rubric.
DRP Rubric
The DRP Rubric is used to determine whether the research plan meets the scientific merit criteria. Each performance level is described for each “core” criteria in the rubric.
**All Rubric criteria must be assessed at the “Proficient” 85% level or greater to obtain approval.
DRP Rubric Scale:
Non- performance Basic Proficient Distinguished
0% 70% 85% 100%

Based on the rubric, the reviewer will designate the DRP as one of the following: Approved or Not Approved. Reviewers provide feedback specific to each criterion marked Non-performance or Basic. Learners will also find other helpful resources in the feedback document.
Reviewers will use the SoBT Proficient – 85% Criteria in this document to help them define the “minimum” requirements for each DRP section.
Milestone 5 (SMR approval) is achieved with a rubric score of 85% and all performance criteria marked Proficient or Distinguished.
SoBT Proficient - 85% Criteria
This document is a “supplement” to the DRP Rubric by providing additional details on the “definition” of Proficient - 85% for each DRP Section in the DRP template. The 85% criteria are intended to “assist” both SoBT learners and faculty in assessing a DRP to ensure it meets the “minimum” requirements of scientific merit.
Resource Documents
Programs of Research
SoBT PhD Dissertation Guidebook
16 Criteria for Evaluating the DRP
**Note – This document describes the criteria for QUANTITATIVE DRPs. If you are proposing a qualitative study use the SoBT Proficient – 85% Criteria for qualitative studies.
Section 1. Topic Endorsement
1.1 Research Topic (2 paragraphs)
FIRST PARAGRAPH: Describe the specific topic to be studied.
SECOND PARAGRAPH: describe the significance of this topic to your program/field (e.g., Psychology, Counseling, Business, Technology, Public Service Leadership, Education, etc.) AND your specialization within your program.
The Research Topic should be correctly formed:
  • The Research Topic should be appropriate for the specialization.
  • The Research Topic should use appropriate language for key concepts/phenomena.
  • Relationships between/among the concepts should be clearly specified (e.g., correlation).
  • The target population should be named
  • The concepts should be appropriately focused.
·Use current (within 5-7 years), scholarly, PRIMARY resources to support statements.
  • Use APA style in citing all resources.
 Proficient – 85% Criteria
  • The topic falls within the learners’ specialization field
    • Key constructs are identified
    • Key relationships among the constructs are identified
    • Identifies the target population
    • Discussion is supported with current peer reviewed references (last 5 to 7 years).

What this section should provide is a clear, concise and coherent but brief (ideally 2 paragraphs but no more than 3 paragraphs of 5-6 sentences each) summary, with a view from the balcony, of the extant research on the topical area within which the proposed research fits. The view from the balcony means that the content is not descriptive of the various scholarly research but rather the content describes the general threads of research speaking to the constructs as well as the interrelationships among constructs researched by scholars over the last 5 to 7 years. So this is not simply a series of citations or a bulleted list of researchers but rather a narrative depicting/describing the background of the topical area of the proposed research
1.2 Research Problem (1 Paragraph)
Write a brief statement that fully describes the problem being addressed.
In simplified terms, the research problem should take this form: “The research literature on _________ indicates that we know ________, we know __________, but we do not know ______________.”
The Research Problem should be correctly stated:
  • Existing literature and key findings should be summarized
  • Gaps or problems in the existing literature should be clearly formulated
  • The Research Problem should be explicitly stated, not implied.
• Use current (within 5-7 years), scholarly, PRIMARY resources to support statements.
• Use APA style in citing all resources.
Proficient – 85% Criteria
  • What is currently known from the scholarly research in the peer reviewed literature is made evident
    • Discussion of existing knowledge must be supported with solid peer reviewed references including both seminal and current citations
    • The symptoms of the problem in organizations/population must be supported with solid peer-reviewed references
  • What is not yet known, the specific gap in knowledge concerning relationship among variables in the peer reviewed literature is identified
    • A lack of research for a particular population, by itself, is not a theory gap
    • A lack of research for a particular management practice, by itself, is not a theory gap
    • The theory gap has to be specific enough to allow the reader to identify the research questions
  • The symptoms of the problem in organizations/population must be clear.
    • The theory gap preventing us from solving the problem must be supported with solid peer-reviewed references

The content in this section is a more granular and detailed discussion –no longer from the balcony but a ground level view—explaining what is known as a result from specific researchers. This includes not only current but also seminal scholarly research in the topical area of the proposal that touches proposed research issue/problem. Establishing what is known (especially in regards to relationships among variables for quantitative proposals and subjective experiences in regards to related phenomenon/processes/events for qualitative proposals) from the peer reviewed scholarly literature on the issue brings to the surface what is not known—it is only by identifying the known can we uncover what is not known, the knowledge that needs to be created in order to fill a gap in the knowledge landscape on the topic. This is again is to be concise—2 paragraphs but no more than 3 paragraphs -- brief yet complete in its characterization of what is known.
Section 2. Research Overview
2.1 Research Problem Background (3 paragraphs) Provide a brief SUMMARY of your review of the research literature on the topic. This should include citations from at least 10 articles, but should indicate that you have performed a full review of the literature (minimum of 75 articles) on the topic. This should be demonstrated by providing a statement about the body of existing literature on the topic, then, summarizing recent research findings on the topic, highlighting the findings that are most relevant to your proposed study, demonstrating how your proposed research could add to the existing literature on the topic. Be sure to provide appropriate in text citations and include references in the reference section. • Use current (within 5-7 years), scholarly, PRIMARY resources to support statements.
• Use APA style in citing all resources. • This will not be your full dissertation literature review but an initial foundation. You will continue to add to your literature review throughout your dissertation process.
Proficient – 85% Criteria
  • A coherent scholarly discussion is presented
  • Discussion identifies and summarizes current, most relevant and significant research on the topic/issue under study
  • Presents a logical credibly supported argument connecting findings in this brief review of the literature to the research problem

This is a Reader’s Digest (executive summary) version of a literature review on the topic of this research, thus contains that research (both qualitative and quantitative) directly relevant to the research issue of what is being proposed. It is a coherent descriptive narrative of the most pertinent research informing what is being proposed.
2.2 Research Question(s)
List the primary Research Question and any Sub-Questions that the proposed study will address.
Your Research Question (s) should be correctly formed:
  • The Research Question(s) should be aligned with your Research Problem, the Research Topic, and the Dissertation Title.
  • There should be separate Research Question(s) and/or subquestions identified for each intended analysis.
  • The Research Question(s) should be phrased in a way that it can be answered by the intended methodology and analyses.

• Use current (within 5-7 years), scholarly, PRIMARY resources to support statements.
• Use APA style in citing all resources.
Proficient – 85% Criteria
  • Questions are appropriate for the knowledge gap and current state of knowledge
  • Questions are cast using the variables under study, not constructs
    • The variables in the question(s) are identical to the variables discussed in the problem and specific theory gap.
    • Questions need to ask about two or more variables.
  • Questions are explicit in naming the type of relationship under study
  • When answered, questions will make a contribution to theory. Specifically the contribution to theory that is needed to help fill the theory gap identified in the problem statement (1.2 and 2.1)
  • Nature/kind of relationship among variables in each question is consistent with the methodological design as stated in the purpose

The questions must 1st follow directly from the research purpose and 2nd must explicitly name the variables under study and the very type of relationship among those variables and 3rd must align with the methodological approach identified in the research purpose.
The contribution to the academic field, to the theory, must speak to how the relationship among the variables addresses the knowledge gap previously identified. Hence from 2.1 the argument in this section must be quite clearly and logically expected.
2.3 Purpose of the Study
State the purpose of the study. The purpose of the study will be to answer the research question in order to solve the research problem and to contribute information about the wider social or community problem to a specific audience or audiences.
Note:
Describe the purpose using the language of your specific study, topic, research problem, and research question.
Proficient – 85% Criteria
  • Type of study is identified (e.g., exploratory, explanatory, experimental)
  • Basic purpose is identified (e.g., test theory ____)
  • Key variables and relationships being being studied are identified and defined
  • Participants, groups, organizations, and locations or sites are identified
  • The expected contribution of the study (theory and practice) is described and aligned with the problem (2.1) and research questions (2.2)
  • Supported with peer-reviewed references specific to the theories and methods
The purpose statement should be provided following/using the template (adapted from Creswell):
The purpose of this quantitative _________________ (correlational, ex post facto comparative, explanatory/predictive, causal/experimental) research will apply the theory/ies of ____________________that relates (specify the type of relationship) the_________________________________________ (construct as measured by ______name the instrument ; or variable/s) to the______________ ( construct as measured by ______name the instrument ; or variable/s), for ____________________ (participants) from ___________________ (target population). If causal or predictive research then: The independent variable/s will be defined as (or measure by) _________________ (provide a definition or survey instrument as appropriate). The dependent variable(s) variable/s will be defined as (or measure by) _________________ (provide a definition of the variable or survey instrument as appropriate). And the control and intervening variable/s will be defined as ______________________ (provide a definition).
2.4 Methodology and Basic Design Overview
Provide an overview of the research methodology and design that you are proposing
  • State your rationale for studying the Research Problem with a QUANTITATIVE RESEARCH METHODOLOGY.
  • State your study’s RESEARCH DESIGN (non-experimental, experimental, quasi-experimental, etc.), and the rationale for selecting that design (why the design is appropriate for answering the Research Question).
  • Briefly describe the data collection, statistical models, and analysis that will be used to conduct the study.
• Use current (within 5-7 years), scholarly, PRIMARY resources to support statements.
• Use APA style in citing all resources
Proficient – 85% Criteria
  • Research method and specific design are identified
    • Methodological approach is specific and precise—the umbrella term of “quantitative” is inappropriate for the methodological approach (e.g. correlational study and not non-experimental quantitative study)
  • The methodological approach is consistent with the nature of the relationship under study as stated in the purpose
  • Method and design are supported with peer-reviewed research methods references specific to that methodology and design
  • The type of sampling (simple random, stratified etc.) is clearly stated
  • The time span of the study is identified (cross-sectional, longitudinal etc.)
  • The means of data collection (survey, secondary data, etc.) is clearly stated
  • Statistical methods and models are identified
  • Note – the specific methodology/design identified must be followed throughout the DRP.
This explanation must be specific to the research that is being proposed—to the research purpose, research question and aligned methodological approach. It is not sufficient/acceptable to simply provide general statements/citations about quantitative research—avoid generic statements on research methods. The content here must provide the researcher’s own understanding of the rationale for the methodology and design of what is being proposed, appropriately supported. Citations are to support not supplant the researcher’s voice.
  1. Dissertation Title
Your Dissertation Title should be correctly formed:
  • Dissertation Title should be aligned with your Research Problem (1.4) and Research Question (1.5), (use the same terminology for all).
  • The Dissertation Title should reflect the key variables or constructs to be studied.
  • The Dissertation Title should reflect the method to be employed in the research.
  • The Dissertation Title should be concise (12 words or less).
Proficient – 85% Criteria
  • Identifies the topic
    • Title is reflective of the nature of the relationship among variables under study
  • Identifies the methodology as specified in 2.3
  • Identifies the population/sample

Section 3. Research Theory
3.1 Theoretical Foundations
Briefly describe the primary theoretical basis for the study. Describe the major theory (or theories) that will serve as the lens through which you will view the research problem and research questions and provide any corresponding citations.
NOTE: The theoretical foundation should be a theory from your discipline that supports your topic. In doing so, certain constructs (explanatory ideas) from that theory would be used to support the research focus.
• Use current (within 5-7 years), scholarly, PRIMARY resources to support statements.
• Use APA style in citing all resources.
Proficient – 85% Criteria
  • Scholarly explanation of the theories informing the research is provided
    • Identifies and describes the key theories that provide the foundation for the study.
    • Theories are specialization and topic relevant
  • The connection between the theories and the constructs and their associated variables is made clear
  • Discussion is supported with peer-reviewed references
  • Theoretical framework is aligned with the research questions 2.2 and the hypotheses 5.5

The theoretical foundation underlies the connection of the constructs (of Section 1) with variables (Section 2) and the hypothesized relationship among variables under study. From theory emerges constructs and variables are the established measures of aspect of the constructs. The researcher must demonstrate, provide evidence, of this understanding in this section. A series of citations alone will not be sufficient or acceptable.
3.2 Contributions to Theory
Describe how your study will contribute to theory in your field by meeting one or more of these four criteria.
  1. The study should generate new theory.
  1. The study should refine or add to an existing theory.
  1. The study should test to confirm or refute a theory.
  1. The study should expand theory by telling us something new about application or processes
• Use current (within 5-7 years), scholarly, PRIMARY resources to support statements.
• Use APA style in citing all resources.
Proficient – 85% Criteria
  • Describes how this research on the specific relationship among the variables advances understanding of the theory itself and/or understanding of the interplay of the foundational theories of this research
    • Aligned with the specific theory gap identified in the problem statement 1.2
    • Discussion is supported with peer-reviewed references related to the specific theories

The content here and in the next section must explicitly speak to how the relationship among the variables under study addresses the knowledge gap in the literature within the topical area
3.3 Theoretical Implications
Describe the theoretical implications you believe your study could have for your field AND your specialization area. This will be the theoretical framework(s) to be used in conceptualizing the study and analyzing the data.
• Use current (within 5-7 years), scholarly, PRIMARY resources to support statements.
• Use APA style in citing all resources.
Proficient – 85% Criteria
  • Describes the specific contribution to theory (generation, refinement, testing, etc.) and the significance of that contribution
  • Describes how the specific relationship among the variables under study relates to the theoretical framework that informs the study
  • Implications are consistent with—do not extend beyond--the statistical method of analysis (e.g. correlation analysis does not allow for statements regarding prediction or impact/causal effect)
  • Discussion is supported with peer-reviewed references related to the specific theories
3.4 Practical Implications
Please describe the specific practical implications that may result from this research that can be used by any or all of the following stakeholders: the population being studied, professionals for whom this topic pertains, and/or the wider community itself.
• Use current (within 5-7 years), scholarly, PRIMARY resources to support statements.
• Use APA style in citing all resources.
Proficient – 85% Criteria
  • Identifies how the contribution will help address the symptoms in the problem identified in 1.2
  • Identifies what practitioners will be able to do, or do better, once they have the benefit of the new insights described in 3.1 and 3.2
When speaking to the practical implications, whatever implications are discussed must not extend beyond the scope and sample of the research. If the proposed study is correlational or even explanatory then practical implications can’t speak to impact/causal effects.
If there are indirect or tangential applications, not derivable directly or solely from the study itself but from the synthesis of this study’s findings with other research, then such a discussion can also be offered.

Section 4. Research Methodology
4.1 Research Design
Describe the research design you will use.
Start by specifically stating the type of quantitative research design you will use (non-experimental, quasi-experimental, experimental), include the exact name or type of design to be used, and describe the exact method(s) (archival, survey, observations) you will use to collect the data. Briefly describe how the study will be conducted.
Briefly describe the research philosophy underlying your study and the ontological, epistemological, axiological, and methodological assumptions of your design.
  • The Research Design should be clearly identified.
  • The Research Design should be appropriate to the Research Question.

• Use current (within 5-7 years), scholarly, PRIMARY resources to support statements.
• Use APA style in citing all resources.
Proficient – 85% Criteria
  • Why/how the specifically named (experimental, quasi-experimental, and non-experimental, etc.) quantitative approach fits the stated purpose of the study (2.3)
  • Why/how the statistical method is appropriate for and corresponds with the nature of the relationship among the variables under study
  • Specific step-by-step methodology described
  • Step-by-step methodology is consistent with the specific model identified in 2.4.
The content must represent the researcher’s understanding/grasp of the proposed methodology in relation to the purpose of the proposed research. Offering a series of citations speaking in general about quantitative research is not acceptable; citations are to support not supplant the researcher’s explanation. Again it is imperative to avoid generic statements/arguments.
4.2 Population and Sample
Describe the characteristics of the larger population from which the sample (study participants) will be drawn. Include specific data/statistics.
State the estimated sample size and your method of determining the sample size needed for the study.
State the sampling strategy (probability or non-probability), the specific method (random, purposive, convenience, etc.), then describe the sample inclusion and exclusion criteria.
• Use current (within 5-7 years), scholarly, PRIMARY resources to support statements.
• Use APA style in citing all resources.
Proficient – 85% Criteria
  • The larger target population is named and described
  • An estimated total size of the population is provided
  • The sample frame used to identify & access potential participants from the population is described—unit of analysis must be clearly evident.
  • Sample must be based on a probability sampling approach.
    • The method of sampling (e.g. simple random, stratified, cluster, systematic) is described and is consistent with the research purpose, questions and hypotheses
  • Inclusion/exclusion sampling criteria is described and supported
  • The estimated sample size is calculated using a credible sample calculator (e.g. GPower 3 or other statistical power approach specific to the statistical methods proposed)
    • Effect size used in sample size calculation is identified and rationale provided (e.g., previous research).
    • Minimum sample size is identified and rationale provided.
This must be consistent with the stated purpose (using the template noted in section 2.3).
4.3 Ethical Considerations
Describe any ethical considerations given the sample, population, and/or topic.
Please explain as fully as possible (i.e., How do you plan to protect human participants while identifying the sample, while collecting the data, while analyzing the data, after data are collected, and during data storage?) Is the proposed population or research topic greater than minimal risk?
Yes No
If yes, has the researcher had a consultation with the IRB office?
Yes No
If yes, please paste the IRB’s e-mail response or a summary of the response here.
• Use current (within 5-7 years), scholarly, PRIMARY resources to support statements.
• Use APA style in citing all resources.
Proficient – 85% Criteria
  • Identifies the risks to the participants
    • Sample and data source ethical issues are addressed including respect for persons and justice.
    • Data collection issues of participant and organization anonymity and/or confidentiality are addressed with specific issues identified and specific procedures identified to address those issues
  • Describes the mitigation of the risks
  • Data collection issues of participant and organization anonymity and/or confidentiality are addressed with specific issues identified and specific procedures identified to address those issues – respect for persons and beneficence.
  • Data storage and security issues specific to this study are identified and procedures to address those issues are described.
  • Data analysis and reporting issues are identified including participant and organization anonymity and/or confidentiality and specific procedures identified to address those issues
  • Quality and credibility of the research is discussed and addresses the principle of beneficence.
The content must be specific to the research methodology and design as proposed above and therefore general statements about ethics are not sufficient.
Section 5. Research Data
5.1 Constructs
A construct is an idea—an intangible concept that we want to measure. We must then define the construct in terms of a variable (something which can be measured), and then we must provide an operational definition as to how that variable will be measured for this particular study. For example:
Construct: Intelligence
Variable: IQ
Operational definition: WAIS-IV score
Define each construct required by the research question and title. Provide citations showing your theoretical framework. Number each construct.
• Use current (within 5-7 years), scholarly, PRIMARY resources to support statements.
• Use APA style in citing all resources.
Proficient – 85% Criteria
  • Constructs are logically connected to theoretical foundation/framework
  • Constructs are credibly defined/described
    • Describes and defines all the constructs associated with the variables under study
    • Constructs and their definitions are supported with peer-reviewed references.
The distinction between constructs and variables must be clear. In this section the credible definition of constructs noted in Section 1 is all that is expected
5.2 Variables (Definitions of Constructs as variables)
Define each construct (in Item 5.1) as a variable. Provide citations to theoretical framework or previous research supporting the selection of variable type.
• Use current (within 5-7 years), scholarly, PRIMARY resources to support statements.
• Use APA style in citing all resources.
Proficient – 85% Criteria
  • Distinction between constructs and variables is made clear
  • Variables are identified for each construct identified in 5.1
  • Variables are consistent with the constructs in the theoretical foundation 3.1
  • Variables is credibly supported by reference to previous peer reviewed research
In this section only variables associated with constructs are credibly defined, not the constructs. Variables are measureable facets/aspects of constructs and as such they are not synonymous—the two are related but different and must not be confused.
A definition of a variable is a measurable aspect of the construct the variable is intended to reflect. Hence the definition of the variable cannot be the same as that of the construct since constructs are intangible and non-measurable. Variable are quantifications of constructs, and thus represent the extent to which or how much something is present/evident.
5.3 Operational Definitions
Present an operational definition for each construct you will measure (with citations for published measures). How will this variable be measured in this study?
• Use current (within 5-7 years), scholarly, PRIMARY resources to support statements.
• Use APA style in citing all resources.
Proficient – 85% Criteria
  • An operational definition is described for each variable.
    • An unambiguous description of precisely how each variable is measured/calculated
    • The process followed for calculating the various variables that are derived in the use of the instrument is described
  • Operational definitions are supported with peer-reviewed references
Operational definitions are unambiguous descriptions of how each variable is measured/calculated; it is not the instrument that is used but it is the process followed for calculating the various variables that are derived in the use of the instrument. Each of the variables (derived from the instrument) must be operationally defined. Generally survey instruments produce variables that are each unique linear combinations of select set of items. An operational definition would provide clear and unambiguous instructions so that a reasonable person would be able to calculate or measure each variable. In conducting research we most often stand on the shoulders of others, that is we extend the research that has come before. In quantitative research to do this we must fully understand precisely (unambiguously) how researchers before us measured, calculate and/or manipulated variables. Since quantitative research is specifically designed to study the relationship among measured/calculated variables, describing the processes for measuring and/or calculating each and every variable under study is paramount in quantitative research as it prefigures the appropriate inferential statistical methods
5.4 Measures/Instruments
Describe in detail all data collection instruments and measures (tests, questionnaires, scales, interview protocols, and so forth). Also include any demographic information you plan to collect.
For each measure include:
(A) citation for published measure/instrument
(B) description of the measure/instrument
(C) data type(s)/levels of measurement for variable(s) measured by the instrument
(C) available psychometric information (including normative data and validity & reliability coefficients for each measure/instrument.)
Attach a copy of each instrument you plan to use as an appendix to your Research Plan. If permission is required to use the instrument, please attach a copy of documentation showing that you have permission to use the instrument.
• Use current (within 5-7 years), scholarly, PRIMARY resources to support statements.
• Use APA style in citing all resources.
Proficient – 85% Criteria
  • All instruments are attached in the appendix
  • Each instrument’s connection to theoretical framework is evident
  • The variables measured by each instrument are clearly identified
  • The development and testing of the instrument is described including the validation methods used (e.g., Confirmatory Factor Analysis – CFA) for each instrument.
  • Each instrument’s reliability and validity is credibly established and is supported by peer-reviewed references.
  • Note: SOBT guidelines do not allow for the development of an instrument for dissertation research. Proposed studies must used previously developed and validated instruments that have been published in peer reviewed journals
5.5 Research Hypotheses
For each quantitative question and sub-question in Item 1.5, list hypotheses for their investigation. Give nulls and alternates for each sub-question. Use appropriate nomenclature for the hypotheses.
Proficient – 85% Criteria
  • Hypotheses are presented as paired sets, null and alternative
  • Hypotheses are specific in identifying the precise nature of the relationship tested for statistical significance
  • Hypotheses are phrased using the specific variables, not constructs
  • Hypotheses and research questions are in one-to-one correspondence
Hypotheses are statistical inferential statements; therefore they must be phrased as such using the specific relationship among variables and presented in pairs, null (no statistical significance) and alternative (statistical significance).
5.6 Type(s) of Data
Complete the table rows for each Research Question, indicating the variables, whether they are Independent Variables (IV) or Dependent Variables (DV), and what data type they are (Ordinal, Ratio,
 Proficient – 85% Criteria
  • Type of data (nominal, ordinal, interval, or ratio) is identified for each variable in the hypotheses identified in 5.5
  • Each variable’s level of data is explained
  • The determination of the level is credibly statistically established and connected to the variable’s operational definition
In exploratory correlational research there can be no distinction or categorization of variables as independent and dependent.
RQ Variables IV/DV Data Type
1
2
3
4
5.7 Data Collection -Sampling Procedures
Describe in detail each step that you will take from the beginning of recruitment to consent from the participants to participate. You must provide specific details and present the details in the order in which they will occur. You must include all of the following (if applicable):
  • The recruitment site(s), acknowledgement of any permissions needed from the sites, and if there is an IRB at any of the sites.
  • All of the means by which recruitment will occur (i.e., flyers, e-mails, social media)
  • How potential participants will contact you.
  • How the potential participants will be screened and how you will proceed if they do qualify and if they do not qualify for the study.
• Use current (within 5-7 years), scholarly, PRIMARY resources to support statements.
• Use APA style in citing all resources.
Proficient – 85% Criteria
  • The major steps of the recruitment and sampling process are outlined
    • Step-by-step procedures in sequence are described for the entire process from participant recruitment to informed consent. Details are sufficient for someone to replicate.
    • Permissions from organizations (sites) are obtained and included in the appendix
    • All media used to recruit participants is described and included in the appendix.
    • Participant contact and selection procedures are described in enough detail for someone to replicate the process
5.8 Data Collection Procedures
Data collection begins at the time of informed consent and continues until the data is collected.
Describe the exact procedure that will be used to collect the data. This is a step-by-step description of exactly how the research will be conducted. This should read like a recipe for the data collection procedures to be followed in your study. Be sure to include all the necessary details so that someone else should be able to follow this to replicate the study.
Proficient – 85% Criteria
  • Step-by-step procedures are included for each data collection method (survey, direct measurement, etc.)
  • Data collection is specific and detailed enough to replicate without additional information beyond the DRP
  • Data collection follows the guidelines in the chosen methodology references.
  • Description is supported with references specific to the methodology identified in 4.1 and 2.4
5.9 Data Analyses
List the research question and sub-questions, followed by the null and alternative or research hypotheses for each research question. Then describe all methods and all procedures for data analysis including:
(a) types of data to be analyzed,
(b) organizing raw data,
(c) managing and processing data,
(d) preparation of data for analysis (transforming, recoding, etc.),
(e) the actual data analyses to be conducted to answer each of the research questions and/or to test each hypothesis, including descriptive statistics, any hypothesis tests and any post-hoc analyses (complete the table),
(f) storage and protection of data
Proficient – 85% Criteria
  • Describes in detail the data analysis procedures based on the selected methodology identified in 2.4
    • Clear description of how the data is prepared for analysis
    • Statistical analytical method/model described is consistent with the methodological approach and relationship under study as established in the purpose, research questions and hypotheses and supported by appropriate scholarly references
    • Describes the assumptions of statistical analytic method/model and what happens if those assumptions are not met
    • Statistical analytical method for each variable is appropriate for the level of data (data type) of the variable
  • The specific Quantitative Data Analysis software that will be used is identified (e.g., SPSS, R, LISREL…) and is appropriate for the analysis proposed
  • Description is detailed enough for replication

The statistical inferential analytical method must follow directly from the nature of the relationship among the variables under study as well as the exact type of measures/data each variable represents (parametric or non-parametric statistical methods).
(a)
(b)
(c)
(d)
(e)
RQ# Type of Analysis Descriptive Stats Hypothesis Testing Posthoc Analysis

(f)
5.10 Expected Findings
Describe the expected results of the data analysis. Discuss the expected outcome of each of the hypotheses and discuss whether or not your expectations are consistent with the research literature on the topic. Provide in-text citations and references in the reference section.
Proficient – 85% Criteria
  • The expected contribution is described and connected to the original problem and theory gap
    • the anticipated findings are identified in relation to the hypotheses
  • Expected findings are supported by peer-reviewed references.
Section 6. References
In the field below, provide your references for the research about your topic, and key theorists/researchers associated with the selected methodology. You will continue to build on this list of references for your Chapter 1 Background of the Problem, Chapter 2 Literature Review and Chapter 5, where you will discuss your findings in the context of the literature. ·Use APA style for all references.

Proficient – 85% Criteria
  • The topic areas including conceptual framework must be supported with 20 to 25 solid peer reviewed references.
  • Of those topic related references, 15 must be dated last 5 to 7 years at the time of DRP submission for approval.
  • The research methodology sections must be supported with 10 to 15 solid peer reviewed or research method specific references.
  • The most recent versions should be cited.
16 Criteria
# RP Criteria Non-performance Basic Proficient Distinguished Criterion
Proficiency Wrights > 0.00 3.50 4.25 5.00 Wt
1 Topic Endorsement The research topic is appropriate for the specialization and correctly formed: Key concept(s) or phenomena are stated in appropriate language; Relationships between/among the concepts are clearly specified (e.g., correlation, etc.). The target population is named; the concepts are appropriately focused.
DRP (1.1)		 One or more elements of the topic statement are incorrectly formed. Topic not endorsed by learner's specialization. All elements of the topic statement are correctly formed, but one or more elements is unclear or too broadly focused. Topic not endorsed by learner's specialization. The research topic is appropriate for the specialization and correctly formed: Key concept(s) or phenomena are stated in appropriate language; Relationships between/among the concepts are clearly specified (e.g., correlation, etc.). The target population is named; the concepts are appropriately focused.
DRP (1.1)		 All elements are exceptionally well-formed, eloquently stated and appropriately focused; and there are no errors in APA-compliant grammar, usage or spelling. Topic endorsed by learner's specialization. 7%
2 The research problem is correctly stated; Existing literature and key findings are summarized; Gaps or problems in the existing literature are clearly formulated; The research problem is explicitly stated, not implied.
DRP [1.2, 2.1]		 The research problem statement lacks either a summary of what is known or a summary of what is not known, or the research problem itself is not explicitly stated. Both key findings and gaps or problems in the existing are stated, but the research problem itself is not explicitly stated. The research problem is correctly stated; Existing literature and key findings are summarized; Gaps or problems in the existing literature are clearly formulated; The research problem is explicitly stated, not implied.
DRP [1.2, 2.1]		 The research problem is eloquently stated; Existing literature and key findings are summarized and well supported; Gaps or problems in the existing literature are clearly formulated; The research problem is explicitly stated, not implied, and there are no errors in APA-compliant grammar usage, or spelling. 7%

3 Research Overview The research questions are correctly formed: The research questions are aligned with the research problem, the research topic, and the title; Separate research questions and/or subquestions are identified for each intended analysis; The research questions can be answered by the data derived from the intended analysis.
DRP [2.2]		 The research questions are not aligned with the research problem, research topic, title, and/or analyses. The research questions are aligned with one or more, but not all of the other elements of the study (research problem, research topic, title, and/or analyses). The research questions are correctly formed: The research questions are aligned with the research problem, the research topic, and the title; Separate research questions and/or subquestions are identified for each intended analysis; The research questions can be answered by the data derived from the intended analysis.
DRP [2.2]		 The research questions are exceptionally well-formed: The research questions are aligned with the research problem, the research topic, and the title; Separate research questions and/or subquestions are identified for each intended analysis; The research questions can be answered by the data derived from the intended analysis, and there are no errors in APA-compliant grammar usage, or spelling. 13%
4 The basic methodology is named and is correctly selected for the research problem and question.
DRP [2.3]		 The basic methodology is unnamed. The methodology is named but is incorrect for the research problem and question. The basic methodology is named and is correctly selected for the research problem and question.
DRP [2.3]		 The basic methodology is named and is correctly selected for the research problem and question, and its selection s logical and well supported. 7%
5 The title is correctly formed: It is aligned with the research question, it reflects the key variables or constructs to be studied, it reflects the method to be employed in the research, and it is concise (12 words or less).
DRP [2.4]		 One or more elements of the title are incorrectly formed. All elements of the title are correctly formed, but one or more elements is not aligned with the other elements of the study. The title is correctly formed: It is aligned with the research question, it reflects the key variables or constructs to be studied, it reflects the method to be employed in the research, and it is concise (12 words or less).
DRP [2.4]		 The title is exceptionally well-formed, eloquently stated, and fully aligned with the research question; It reflects the key variables or constructs to be studied; It reflects the method to be employed in the research, and it is concise (12 words or less). 3%
6 Research Theory The contribution to the field, including theoretical and practical implication, is articulated clearly.
DRP [Qual XXXXXXXXXX, Quant XXXXXXXXXX]		 The contribution is not articulated and both theoretical and practical implications are missing. The contribution is articulated clearly but either theoretical or practical implications are missing; or both implications are included, but the contribution is not articulated clearly. The contribution to the field, including theoretical and practical implication, is articulated clearly.
DRP [Qual XXXXXXXXXX, Quant XXXXXXXXXX]		 The contribution to the field, including theoretical and practical implications, is articulated clearly and completely. 7%
7 The theoretical framework is articulated clearly and is appropriate for the specialization and topic.
DRP [Quant 3.1]		 The theoretical framework is not articulated. The theoretical framework is articulated clearly and is appropriate for the specialization and topic. (Quant 3.1) The theoretical framework is articulated clearly and is appropriate for the specialization and topic.
DRP [Quant 3.1]		 The theoretical framework is clearly and fully articulated, and is appropriate for the specialization and topic. 13%
8 Research Method The research design is clearly identified and is appropriate to the research question.
DRP [4.1]		 The design is either not clearly identified or it is inappropriate for the question. The design is clearly identified OR is appropriate for the question, but not both. The research design is clearly identified and is appropriate to the research question.
DRP [4.1]		 The research design is clearly identified and is appropriate to the research question, is logical and well-supported. 7%
9 The sampling plan is stated fully, including the design, its method, and estimate sample size.
DRP [Quant 4.2, 4.3]		 The sampling plan is missing. The sampling plan is incomplete, or it is complete, but at least one element is incorrect or inappropriate for the research design or question. The sampling plan is stated fully, including the design, its method, and estimate sample size.
DRP [Quant 4.2, 4.3]		 The sampling plan is stated fully, including the design, its method, estimate sample size, how the sample size was estimated, and includes a recruitment plan. 7%
10 The ethical challenges related to the specified sampling plan are discussed fully.
DRP [Quant 4.4]		 The ethical challenges in the sampling plan are not discussed. The ethical challenges related to the specified sampling plan are discussed in a general way, but the challenges are not directly applicable to the proposed study. The ethical challenges related to the specified sampling plan are discussed fully.
DRP [Quant 4.4]		 The ethical challenges related to specified sampling plan are discussed fully, providing specific examples and well thought out strategies for addressing them. 7%
11 Research Data Data collection methods are described, are appropriate to the design, will provide the data necessary to answer the research question, and are supported by appropriate references.
DRP [Qual XXXXXXXXXX, Quant 5.8]		 Data collection methods are not described. Data collection methods are either insufficiently described, are not appropriate for the design, or will not provide data necessary to answer the question. Data collection methods are described, are appropriate to the design, will provide the data necessary to answer the research question, and are supported by appropriate references.
DRP [Qual XXXXXXXXXX, Quant 5.8]		 Data collection methods are described in detail, are appropriate to the design, will provide the data necessary to answer the research question, and are supported by appropriate references. 7%
12 Data analysis methods are described, are appropriate to the design, will allow the research question to be answered, and are supported by appropriate references.
DRP [Qual 5.5, Quant 5.10]		 Data analysis methods are not described. Data analysis methods are described, but are not appropriate to the design or will not answer the research question. Data analysis methods are described, are appropriate to the design, will allow the research question to be answered, and are supported by appropriate references.
DRP [Qual 5.5, Quant 5.10]		 Data analysis methods are clearly described and well documented, are appropriate to the design, will allow the research question to be answered, and are supported by appropriate references. 7%
13 Refs The reference list is correctly formatted according to APA 6th edition. (6.0) The reference list contains less than 25 entries and/or is not correctly formatted according to APA 6th edition. The reference list contains a minimum of 25 citations and/or is not correctly formatted according to APA 6th edition. The reference list is correctly formatted according to APA 6th edition. (6.0) The reference list is comprehensive, within scope, and correctly formatted according to the APA 6th edition and has no errors. 3%
14 All Sources are correctly cited using APA 6th edition. Sources are not correctly cited using APA 6th edition. Sources are inconsistently cited according to APA 6th edition format standards, containing more than two errors. Sources are correctly cited using APA 6th edition. he reference list contains a minimum of 75 entries and is correctly formatted according to the APA 6th edition and has no errors. 3%
15 The writing in each item is sufficiently scholarly in tone, and contains few editorial or mechanical (grammar, usage, typography, etc.) errors. The writing is insufficiently scholarly in tone, and contains more than two editorial or mechanical errors per page. The writing is sufficiently scholarly in tone and contains fewer than two editorial or mechanical errors per five pages. The writing in each item is sufficiently scholarly in tone, and contains few editorial or mechanical (grammar, usage, typography, etc.) errors. The writing in each item, is sufficiently scholarly in tone and in, and contains no editorial or mechanical (grammar, usage, typography, etc.) errors. 3%
16 The Research Plan form is complete: Study information is filled out, all the items have been completed, and there is a reference list. The Research Plan form is Incomplete, lacking more than half of the required items. The Research Plan form is incomplete, lacking no more than four items. The Research Plan form is complete: Study information is filled out, all the items have been completed, and there is a reference list. The Research Plan form is complete; Study information is filled out; all items have been completed, and there is a reference list. Ideas presented are exceptionally well thought out, well-supported, and has no errors in APA compliant grammar, usage, or spelling. 1%
TOTAL % 100%
005_uucazo-e2jklkqm.doc 005_ivkcazo-wztalozy.doc
Answered Same Day Dec 26, 2021

Solution

David answered on Dec 26 2021
130 Votes
INSTRUCTIONS
Dissertation Research Plan
QUANTITATIVE STUDIES ONLY
SoBT Proficient - 85% Criteria
Purpose
The purpose of this document is to provide insight into expectations for successful completion of Milestone 5. Specific instructions about using the Quantitative Dissertation Research Plan form are found in the form itself. Expectations of performance ratings are detailed in each section of the document. Sections in this document co
espond directly to sections in the Quantitative Dissertation Research Plan form. At the end of this document you will find the 16 evaluation criteria including performance rating descriptions at each level (Non-Performance, Basic, Proficient, and Distinguished).
Scientific Merit
Overall scientific merit of the Dissertation Research Plan (DRP) based on three overarching criteria:
1. Advances the scientific knowledge base.
2. Makes a contribution to research theory.
3. Meets certain “hallmarks” of good research methodology.
The specifics of scientific merit are further described in the DRP Ru
ic.
DRP Ru
ic
The DRP Ru
ic is used to determine whether the research plan meets the scientific merit criteria. Each performance level is described for each “core” criteria in the ru
ic.
**All Ru
ic criteria must be assessed at the “Proficient” 85% level or greater to obtain approval.
DRP Ru
ic Scale:
    Non- performance
    Basic
    Proficient
    Distinguished
    0%
    70%
    85%
    100%
Based on the ru
ic, the reviewer will designate the DRP as one of the following: Approved or Not Approved. Reviewers provide feedback specific to each criterion marked Non-performance or Basic. Learners will also find other helpful resources in the feedback document.
Reviewers will use the SoBT Proficient – 85% Criteria in this document to help them define the “minimum” requirements for each DRP section.
Milestone 5 (SMR approval) is achieved with a ru
ic score of 85% and all performance criteria marked Proficient or Distinguished.
SoBT Proficient - 85% Criteria
This document is a “supplement” to the DRP Ru
ic by providing additional details on the “definition” of Proficient - 85% for each DRP Section in the DRP template. The 85% criteria are intended to “assist” both SoBT learners and faculty in assessing a DRP to ensure it meets the “minimum” requirements of scientific merit.
Resource Documents
Programs of Research
SoBT PhD Dissertation Guidebook
16 Criteria for Evaluating the DRP
**Note – This document describes the criteria for QUANTITATIVE DRPs. If you are proposing a qualitative study use the SoBT Proficient – 85% Criteria for qualitative studies.
    Section 1. Topic Endorsement
    1.1 Research Topic (2 paragraphs)
FIRST PARAGRAPH: Describe the specific topic to be studied.
SECOND PARAGRAPH: describe the significance of this topic to your program/field (e.g., Psychology, Counseling, Business, Technology, Public Service Leadership, Education, etc.) AND your specialization within your program.
The Research Topic should be co
ectly formed:
· The Research Topic should be appropriate for the specialization.
· The Research Topic should use appropriate language for key concepts/phenomena.
· Relationships between/among the concepts should be clearly specified (e.g., co
elation).
· The target population should be named
· The concepts should be appropriately focused.
· Use cu
ent (within 5-7 years), scholarly, PRIMARY resources to support statements.
· Use APA style in citing all resources.
     The proposed dissertation topic is “Impact of Enterprise Risk Management (ERM) implementation in the Banking Sector.” The financial crisis of 2008 – 2009 showed how the failure of individual components can disrupt the whole financial sector and hence damage the economy. Thus, identification and measurement of risks in the financial sector is an important issue. Of particular importance is how the failure of an individual financial institution can lead to system-wide contagion effects.
In all business functions and activities there are different types and levels of inherent risks. It is important for a business to identify and manage these risks in a way that adds value to economic stakeholders (Strebulaev & Whited, 2012). Failure to implement adequate risk management systems potentially leads to significant financial and other economic losses (Bromiley et al., 2015). It is therefore important for every business enterprise to endeavor to predict and measure risks, and analyze their potential impacts in order to take cost-effective actions to reasonably avoid significant losses (Gatzert & Martin, 2015).
An effective ERM process shall make sure that the risks pursued by the bank are compensated with commensurate levels of reward (Soltanizadeh et al, 2016). The emphasis of this paper shall be measurement of risk specific to the lending business of banks. Many banks are cu
ently integrating risk factors by creating a common structure to assess and monitor all types of risks through ERM. This integrated framework aids in the delivery of tangible forms of benefits. (Soltanizadeh et al, 2016). The process of risk management turns out to be robust on account of data structure as well as technology architecture being common and aiding the overall process (Soltanizadeh et
    1.2 Research Problem (1 Paragraph)
Write a
ief statement that fully describes the problem being addressed.
In simplified terms, the research problem should take this form:
“The research literature on _________ indicates that we know ________, we know __________, but we do not know ______________.”
The Research Problem should be co
ectly stated:
· Existing literature and key findings should be summarized
· Gaps or problems in the existing literature should be clearly formulated
· The Research Problem should be explicitly stated, not implied.
• Use cu
ent (within 5-7 years), scholarly, PRIMARY resources to support statements.
• Use APA style in citing all resources.
     The popularity of ERM as a component of business strategy is increasing in recent years (Hoyt and Liebenberg, 2011). The reason for the same is that risks of varied and diverse nature have over years gained significant potential to disrupt businesses, and, further advancements in the field of risk management studies have determined scientific and practical ways to manage these risks. ERM is one such approach to take a holistic approach in evaluating and managing business organizations’ risks. In this approach, ERM uses a business organization’s tools for risk to decide if some of the risks can be accepted, avoided, or reduced (Hoyt and Liebenberg, 2011).
In recent years, little academic research has been done on ERM even though many companies have begun to use ERM as a strategic management tool. Specifically, the 2008-2009 economic crisis which seems to be have been caused largely by ineffective risk management processes within lending practices in US banking institutions and elsewhere (Nelson & Katzenstein, 2014; Kolb, 2010) has not yet been examined from the perspective of ERM implementation (Arena et al., 2010). My research is intended to provide scholarly insight into the effects of ERM in lending practices within US based banking institutions during the 2008-2009 financial crises in terms of risk within the lending business of banks. As recent as 2008, Standard and Poor’s (S&P) started using enterprise risk management in the processing of global credit rating. Although ERM has, in some sense, basically been required in the US since 2002 (Bargeron et al., 2010).
Although risk is generally considered a deviation from what is considered the expected outcome, business organizations major focus is on negative outcomes. According to Paape & Speklè (2012), the role of risk management is to mitigate or remove risk factors that are costly in the sense that they destroy value. These negative outcomes are mostly negative cash flow shocks and negative earnings. In most instances they come with both direct costs and indirect costs. Direct costs are usually the outcomes of financial distress and bankruptcy including payment to lawyers, losses to creditors, and the costs of the courts.
    Section 2. Research Overview
    2.1 Research Problem Background (3 paragraphs)
Provide a
ief SUMMARY of your review of the research literature on the topic. This should include citations from at least 10 articles, but should indicate that you have performed a full review of the literature (minimum of 75 articles) on the topic. This should be demonstrated by providing a statement about the body of existing literature on the topic, then, summarizing recent research findings on the topic, highlighting the findings that are most relevant to your proposed study, demonstrating how your proposed research could add to the existing literature on the topic. Be sure to provide appropriate in text citations and include references in the reference section.
• Use cu
ent (within 5-7 years), scholarly, PRIMARY resources to support statements.
• Use APA style in citing all resources.
• This will not be your full dissertation literature review but an initial foundation. You will continue to add to your literature review throughout your dissertation process.
    Literature Review
Research conducted by Lundqvist (2014) is an exploratory study that identifies four different elements of implementing ERM. The first two elements deal with the control functions of the business organization including its general environment. The third element deals with identifying those functions pertaining to risk management of the business organization, and the fourth element deals with the definition attributes of the implementation of ERM. For a business organization to fully implement ERM, all four of these elements must be implemented. The impact of implementing the four elements of ERM will lead to the appropriate identification and measurement of ERM.
There is a need for future study to further analyze the four elements of ERM to determine which ones, if any, is responsible for creating value in the business organization. This will create knowledge on which element is more responsible value in the business organization. Furthermore, these elements need to be tested to determine if they are applicable to other countries and regions.
Another issue that needs further investigation is that if these elements can be found in information that is publicly available without making any changes that will impact the measurement of the elements and ERM.
The evidences from studies that have been ca
ied out previously tend to signal mix evidences on how ERM relates to the performances of business organizations.
A study that was conducted by Quon et al. (2012) indicated that when ERM is implemented, it enhances the performances of business organizations but is dependent upon five factors namely, competition, size of the business organization, uncertainty related to the environment, the complexity of the business organization, and the board of directors of the business organization. This study examines 112 business organization in the United States in 2005 from 10Ks and 10Qs data that were filed with the United States Securities and Exchange Commission.
The study conducted by Hoyt and Liebenberg (2011) establishes that ERM implementation and business organization’s value have a positive relationship. This study was an examination of 117 United States insurance companies where ERM has been implemented. The measurement was based upon the period of its implementation. This study has the backing of Waweru and Kisaka (2013) whose study investigated the degree to which ERM was implemented with business organizations trading on the Nairobi Stock Exchange.
Gates, Nicholas, and Walker (2012) ca
ied out a survey by measuring eight ERM elements such as the setting of objectives, monitoring of risk factors, identifying risk factors, control activities, assessing risk, internal environment, responding to risk, and informing and communicating about risk. This leads to the conclusion that:
· There is relationship between delighted management and observed performance is positive;
· There is willingness on the part of management to implement ERM to enhance performance;
· There is visible enhancement of risk management in small to medium business organizations; and
· The ability of management to meet strategic goals, increase profitability while reducing vitality in earnings is enhanced.
A case study conducted by Wu & Olson (2011) demonstrates how an organization was able to successfully use ERM in its strategic control process. In the organization’s strategic framework, it uses application of value at risk (VAR), objective setting, risk identification and assessment to demonstrate how prudent and practical the recommendations of Beasley et al. (2010) framework including the Turnbull report are to integrate risk management as a logical approach to organizational performance and corporate governance.
The work of Petruzzi and Loyear, (2016) is an exploration of the basics of Enterprise Security Risk Management (ESRM) philosophy and life cycle. According to their work, an organization can achieve higher levels of resilience when it implements a risk-based security management model and comes to grasp with ESRM philosophy. The ESRM cycle contains (1) assets identification and prioritization, (2) assets risks identification and prioritization, (3) risks mitigation planning or acceptance, and (4) the continuity of improvement.
In their article, the authors (Steinhoff et al., 2016) explore ten steps that lead to sustainable enterprise risk management in government. They argue that these ten steps can help managers of government, through the implementation of ERM concepts, better maneuver in times of uncertainty. These ten steps include:
(1) Establish clear “ownership” by top leadership and cascade ownership down the chain of command, so everyone understands their responsibility.
(2) Appoint a chief risk off​icer (CRO).
(3) Establish the risk appetite, and make it part of day-to-day program and operational management.
(4) Incorporate ERM in strategic planning.
(5) Include ERM in the agency’s formal governance process.
(6) Embed fraud risk management in ERM.
(7) Identify risks and then look for mitigating controls.
(8) Understand the nature and potential impact of long-tail and emerging risks.
(9) Make risk remediation a critical component of management expectations.
(10)View this as a continuous marathon and not sprint, and by all means, get started.
In this article, the authors (Kiselitsa and Shilova, 2016) examine how Russian business organizations were approaching the implementation of ERM. After the examination of how far global management decision-making techniques are being implemented, the low level of support for risk management information process, and the level of readiness for these business organizations to work in unstable economic conditions, the authors proposed five groups of risk management techniques. These five predetermined risk management techniques are intended to be actions that should be taken in the face of possible potential damage.
The article by Krokhmal et al. (2011) emphasizes the limitations of what the author refers to as traditional “enterprise centric” views of enterprise risk management. According to the author, these views overlook inherent risks from business and supply chain partners. In other word, ERM application has enabled business organizations (especially those in supply chain management) to give new meaning to the boundaries of risk that auditors need to look at when conducting financial audit.
    2.2 Research Question(s)
List the primary Research Question and any Sub-Questions that the proposed study will address.
Your Research Question (s) should be co
ectly formed:
· The Research Question(s) should be aligned with your Research Problem, the Research Topic, and the Dissertation Title.
· There should be separate Research Question(s) and/or subquestions identified for each intended analysis.
· The Research Question(s) should be phrased in a way that it can be answered by the intended methodology and analyses.
• Use cu
ent (within 5-7 years), scholarly, PRIMARY resources to support statements.
• Use APA style in citing all resources.
    The primary research question is, “What is the impact of ERM implementation in reducing risks in lending business at banking institutions across United States?”
The above primary research question shall be addressed by pursuing the following research questions
1. What are the trends in risk levels at banking institutions specific to in lending business in United States prior to implementation of ERM?
2. What are the trends in risk levels at banking institutions specific to in lending business in United States post the implementation of ERM?
3. What are the impact levels of reduction in risk at banking institutions specific to in lending business in United States quantified in dollar terms using risk trends data collected?
    2.3 Purpose of the Study
State the purpose of the study. The purpose of the study will be to answer the research question in order to solve the research problem and to contribute information about the wider social or community problem to a specific audience or audiences.
Note:
Describe the purpose using the language of your specific study, topic, research problem, and research question.
     The purpose of this quantitative research is to determine the relationship between ERM implementation and risk minimization in the banking sector. This research will apply the theories of risk management pertaining to the domain of ERM. Banking institutions of varied size and scope shall be the target population of this study and the relevant data for this study shall be obtained from S&P portal.
Many of the banks at present are seeking to integrate risk management as well as control processes by way of ERM and consequently creating the common structure to assess and monitor all types of risks. This integrated framework aids with delivery of tangible forms of benefits with respect to costs affiliated with that of compliances as well as offer better illustration of risks that are faced within the specific bank (Soltanizadeh et al, 2016). The process of risk management turns out to be robust on account of data structure as well as technology architecture being common and aiding the overall process (Soltanizadeh et al, 2016).
In this context, the purpose of the study best illustrated in the following points gains significance and critical relevance – (i) Determining the trends in risk levels at banking institutions specific to in lending business in United States prior to implementation of ERM, (ii) Determining the trends in risk levels at banking institutions specific to in lending business in United States post the implementation of ERM, and (iii) Determining the impact levels of reduction in risk at banking institutions specific to in lending business in United States quantified in dollar terms using risk trends data collected.
    2.4 Methodology and Basic Design Overview
Provide an overview of the research methodology and design that you are proposing
· State your rationale for studying the Research Problem with a QUANTITATIVE RESEARCH METHODOLOGY.
· State your study’s RESEARCH DESIGN (non-experimental, experimental, quasi-experimental, etc.), and the rationale for selecting that design (why the design is appropriate for answering the Research Question).
· Briefly describe the data collection, statistical models, and analysis that will be used to conduct the study.
• Use cu
ent (within 5-7 years), scholarly, PRIMARY resources to support statements.
• Use APA style in citing all resources
    The research method for this study is quantitative. Multivariate Regression Analysis will be used to analyze the data. As the research purpose is to determine the impacts of ERM implementation and risk minimization in banking sector, the target population concerns all banks based in United States who are involved in lending business. The sampling method that shall be used for identifying sample shall be a simple systematic sampling. The estimated sample size is calculated using GPower 3. The size of the bank shall be ranked based on their overall lending assets as on the latest available balance sheet data. This will ensure that the banks are placed in suitable categories. The criterion to select the largest banks is on the basis of the rationale that what happens in these banks is what is important both to the banking industry and the economy in general.
The rationale for selecting Multivariate Regression Analysis is that risk minimization in banking is necessarily a multivariate decision problem. The major banking risks of interest (rate risk, credit risk, and liquidity risk) are all inte
elated.
Data Collection / Variables
The primary aim of the research objective is in determining the risk levels, the trends in terms of changes of these risk levels and assessment of overall impacts.
The variables, which reflect the risk levels at the bank in terms of lending business, is best reflected through interest rate risk, credit risk and liquidity risk.
The following dependent variables which represent the risk levels shall be measured by way of the various measurements that banks report as part of BASEL norms in their balance sheets / annual reports / published BASEL disclosures,
Interest Rate Risk
1. Earnings at Risk ("EaR")
2. Economic Value of Equity ("EVE")
Credit Risk
1. NPA Ratios - Gross NPA / Gross Advances & Net NPA / Net Advances
2. Credit Exposures that ca
y risk weight greater than 100 per cent
Liquidity Risk
1. Liquidity Coverage Ratio
2. Net Stable Funding Ratio
Measurement Objectives
1. Prediction: how does the outcome change, if on one or several predictors vary?
2. Cause analysis: how strong is the influence of the predictors on the outcome?
3. Time series analysis: how does the outcome change over time (predictors ceteris paribus)
    2.5 Dissertation Title
Your Dissertation Title should be co
ectly formed:
· Dissertation Title should be aligned with your Research Problem (1.4) and Research Question (1.5), (use the same terminology for all).
· The Dissertation Title should reflect the key variables or constructs to be studied.
· The Dissertation Title should reflect the method to be employed in the research.
· The Dissertation Title should be concise (12 words or less).
    The Impact of Enterprise Risk Management (ERM) implementation in the Banking Sector.
    Section 3. Research Theory
    3.1 Theoretical Foundations
Briefly describe the primary theoretical basis for the study. Describe the major theory (or theories) that will serve as the lens through which you will view the research...
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