CPP15

Updated 4.5.2021

Implemented: Summer 2021

GRADUATE SCHOOL

DOCTORAL RESEARCH HANDBOOK

DISSERTATION HANDBOOK 2

Table of Contents

Introduction ................................................................................................................................................... 3

Doctoral Program and Research Process .................................................................................................. 3

Purpose of the Handbook .............................................................................................................................. 3

Doctoral Research Committee ...................................................................................................................... 3

Choosing Committee Members ................................................................................................................ 3

Committee chair responsibilities. .......................................................................................................... 4

Responsibilities of other committee members ...................................................................................... 5

Candidate Responsibilities ........................................................................................................................ 5

Doctoral Research Guidelines ....................................................................................................................... 6

Choosing a Research Topic ...................................................................................................................... 6

Doctoral Research Timeline ..................................................................................................................... 6

Doctoral Research Probation Process ................................................................................................... 7

Doctoral Research Style ............................................................................................................................ 8

Quantitative Research ............................................................................................................................... 9

Traditional Five Chapter Quantitative Dissertation ........................................................................................... 9

Applied Research: Doctoral Project................................................................................................................... 9

Qualitative Dissertations ........................................................................................................................... 9

Mixed-Methods Dissertations ................................................................................................................. 10

Final Document ....................................................................................................................................... 10

Doctoral Research Approval Process ...................................................................................................... 10

Oral Defense ........................................................................................................................................... 11

Graduation............................................................................................................................................... 12

Appendix A: Quantitative Dissertation (Traditional Five Chapter Format) ............................................... 13

Appendix B: Doctoral Project (Quantitative: Applied Research Format) .................................................. 15

Appendix C: Qualitative Dissertation Format ............................................................................................ 17

Appendix D: Qualitative (Historical) and Mixed Methods Dissertation Information ................................ 19

Appendix E: Doctoral Research Evaluation Rubric.................................................................................... 20

DISSERTATION HANDBOOK 3

Introduction

Doctoral Program and Research Process

The Graduate School at the University of the Cumberlands offers Doctor of Business

Administration, Doctor of Education, and Doctor of Philosophy degrees. The doctoral research,

designed to evaluate the candidate’s capabilities as a scholar, is the final academic requirement

of the DBA, EdD, and PhD programs. Candidates complete the doctoral research during

professional research courses (DSRT 736, 839, 930, 931), which are the last four courses taken

during the program. This handbook sets forth the guidelines for completing the dissertation or

doctoral project process.

Purpose of the Handbook

The purpose of this handbook is to guide candidates through the doctoral research

process, including developing the research, the oral defense, and final document submission.

The handbook outlines candidate and committee member responsibilities, defines writing

guidelines, identifies required sections for each chapter, and provides printing guidelines for the

final dissertation document. The handbook is to be used by instructors, dissertation chairs, and

committee members to ensure high standards related to the form and appearance of dissertations.

Doctoral Research Committee

Doctoral research committees are made up of three members, including the chair, and

two committee members. Each member has specific responsibilities, as outlined below.

Choosing Committee Members

While enrolled in DSRT 930, the candidate and the chair will identify instructors to serve

on his/her dissertation committee. The DSRT course instructor will serve as the chair. Other

members are to be instructors teaching at the graduate level at the University of the

DISSERTATION HANDBOOK 4

Cumberlands. These members should be chosen based on doctoral research topic expertise and

candidate needs. The academic department will provide candidates with a list of instructors

available to serve on committees. The committee member request form is submitted to the

academic department, and any committee changes must be resubmitted to the academic

department.

Committee chair responsibilities.

Responsibilities of the committee chair include:

 Advising the candidate through the doctoral research process.

 Guiding the candidate in the selection of two additional committee members.

 Assisting the candidate in meeting deadlines for completion of the doctoral research.

 Assisting the candidate in navigating the IRB approval process.

 Guiding the candidate in achieving a high level of technical and ethical quality in

doctoral research.

 Advising the candidate in the selection of methods/procedures for data collection and

analysis.

 Advising the candidate in proper APA style.

 Determining when a document is ready for review by the committee and communicate

such with committee members. The candidate should avoid consulting the full committee

for feedback without prior approval of the chair.

 Advising the candidate in preparation for the doctoral research defense.

 Notifying the department chair of the date, time, and location of all doctoral research

defense meetings.

DISSERTATION HANDBOOK 5

 Submitting the defense scoring rubric from committee members to the department chair

promptly after the defense.

 Submitting a print-ready copy of the doctoral research to the department chair before the

anticipated graduation date of the candidate.

Responsibilities of other committee members

Responsibilities of other committee members include:

 Providing subject matter expertise as requested by the chair or candidate.

 Reading drafts and providing meaningful feedback.

 Corresponding with the chair and candidate as needed for clarification and resolution of

methodological issues during the doctoral research process.

 Immediately notifying candidate and doctoral research chair when major flaws that are

likely to result in a candidate’s unsuccessful defense are identified.

 Signing the signature page promptly.

Candidate Responsibilities

Responsibilities of the doctoral research candidate include:

 Coordinating with the chair to select committee members based on expertise in the

doctoral research topic area. The candidate is encouraged to select at least one member

with expertise in data collection and analysis.

 Completing the IRB process to obtain approval for research before collecting data.

 Choosing a topic, submitting proofread drafts of materials to the chair, preparing

adequately for consultations, and communicating regularly with the chair.

 Contacting the chair in the event of any significant change in the personal or professional

situation which may interfere with program completion.

DISSERTATION HANDBOOK 6

 Successfully defending research.

 Submitting an error-free, print-ready copy of the dissertation as a pdf document to the

dissertation chair and the academic department promptly after a successful defense.

Doctoral Research Guidelines

Choosing a Research Topic

Candidates begin thinking about doctoral research topics when applying for admission to

the program. The doctoral research topics must be grounded in theory, related to program goals,

and have implications for practitioners. Candidates are encouraged to choose research topics of

personal relevance and significance. When opportunities arise in coursework, candidates should

begin researching these topics in the form of literature reviews and other assignments that allow

for research. The research topic will be narrowed to a research study and approved by the

department chair/director when candidates enroll in the first doctoral research course, DSRT 736.

The academic department provides a link for topic approval in the DSRT 736 course.

Doctoral Research Timeline

Candidates submit the topic approval form in 736, and the academic department

coordinates the topic approval process with the 736-course professor. Candidates complete the

review of the literature (Chapter Two) while enrolled in DSRT 736. Completing DSRT 736 is a

requirement for enrolling in DSRT 839. While enrolled in DSRT 839, candidates complete

Chapter One, the introduction to the dissertation or project, and Chapter Three, the methodology

section. Candidates must apply for approval for their doctoral dissertation or project from the

Institutional Review Board while enrolled in DSRT 839. IRB approval is required before

collecting any data or developing the project.

DISSERTATION HANDBOOK 7

A completed Chapter One, Two, and Three are required before candidates enroll in

DSRT 930. Candidates complete Chapter Four, which presents their doctoral dissertation or

project findings, while enrolled in DSRT 930. Once enrolled in DSRT 931, candidates complete

Chapter Five. In Chapter Five, candidates interpret their findings, discuss implications of those

findings, present recommendations for further study and action, and discuss how their study fills

a gap in the literature and contributes to the field of study. The doctoral research committee, and

Graduate School Quality Review representative will recommend the doctoral dissertation or

project for oral defense when it meets the Graduate School Guidelines. Candidates orally defend

their doctoral research while enrolled in DSRT 931-932, which is the final step in the doctoral

research process. After a successful defense, candidates submit a pdf of the approved dissertation

or project with the signature sheet to the academic department. At that time, the Program

Director recommends the candidates for graduation.

The DBA, EdD, and PhD programs are designed for dissertations or projects to be

completed in four courses. Candidates needing additional time may enroll in additional courses

providing the total time in the program does not exceed five years. Department chairs or

Program Directors must approve enrollment in courses beyond DSRT 931.

Doctoral Research Probation Process

To protect the doctoral research timeline, the following probation process is proposed. This

follows our academic probation process. A “missed deadline” occurs when a student does not

satisfactorily pass any dissertation course and is forced to repeat the course OR when a student

does not complete the dissertation or project in the prescribed timeline and begins taking

additional courses toward degree completion (DSRT 932).

1st missed deadline – Student is placed on academic probation.

DISSERTATION HANDBOOK 8

2nd missed deadline – Student is removed from and prohibited from participating in CPT.

3rd missed deadline – Student is dismissed from the program.

Doctoral Research Style

Ultimately, the doctoral research will fall into one of the following broad outlines: a

quantitative, qualitative, or mixed-methods study. The seventh edition of the Publication Manual

of the American Psychological Association (APA) is the style manual to be used in writing the

doctoral research. Candidates should follow all APA guidelines.

Doctoral students may choose between writing a doctoral dissertation following a

quantitative, qualitative, or mixed-methods design, or developing a doctoral project following a

quantitative applied research design. Both types of doctoral research are grounded in theory,

related to program goals, and have implications for practitioners. Candidates are encouraged to

choose a dissertation or project topic of personal relevance and significance.

The doctoral dissertation, a scholarly document, is written for professionals in the field.

The research questions at hand primarily determine the dissertation style. For instance, a student

may utilize an existing database to evaluate their hypotheses. Access to the database as

originally published is highly encouraged. Alternatively, they could build a novel testing or

survey instrument to gather data needed for their study. Another example may employ an in-

depth comparative case study.

The doctoral project will present a new tool, model, or program as determined through

the literature review of existing items in the academic discipline. The doctoral project can center

on the development of a piece of software or business model that addresses a significant need or

issue in the literature or industry. The doctoral project may also be a new educational program

addressing a significant need or issue based on a review of current programs.

DISSERTATION HANDBOOK 9

Quantitative Research

There are two options for the quantitative research: Traditional five chapter dissertation

or Applied Research Project.

Traditional Five Chapter Quantitative Dissertation

The traditional quantitative dissertation follows a five-chapter format and a deductive

approach. The required sections for the five chapters of the quantitative dissertation are located

in Appendix A. While there is no set number of pages, quantitative research typically includes

approximately 100 pages. This word requirement applies to the text of the dissertation only; it

does not cover the title page, acknowledgments, table of contents, or other non-content related

pages.

Applied Research: Doctoral Project

Students who select the doctoral project will follow the Applied Research Option. This

design extends or applies research through the development of a doctoral project for the DBA,

EdD, and PhD programs. The applied research option, doctoral project, may include software or

application development; business model, or educational program. Candidates complete the

Applied Research during professional research courses (DSRT 736, 839, 930, 931), which are

the last four courses taken during the program (See Appendix B). There is no set number of

pages due to the nature of the doctoral project.

Qualitative Dissertations

Unlike the quantitative dissertations, which follow a five-chapter format, the qualitative

dissertation is not bound by those requirements. Rather, the qualitative dissertation should be

approximately 45,000 words. This word requirement applies to the text of the dissertation only; it

does not cover the title page, acknowledgments, table of contents, or other non-content related

DISSERTATION HANDBOOK 10

pages. Thus, with a small indulgence in tautology, the dissertation should be as long as it needs

to be, as long it meets the minimum word requirement (See Appendix C).

Mixed-Methods Dissertations

The program director must approve the mixed-methods dissertation methodology, and the

dissertation committee will provide guidance and expertise on the formatting requirements for this

type of dissertation (See Appendix C).

Final Document

The final doctoral research document must be submitted while enrolled in the last

research course, typically DSRT 931. The candidates submit an error-free, print-ready copy final

doctoral research documents after the successful oral defense. The final doctoral research must

include all committee members, Graduate School Quality Control representative, and APA editor

recommended edits in the final pdf document. The copy is to be submitted electronically to the

academic program. If a candidate would like bound doctoral research copies, then he or she may

submit two printed copies (using white, 24 lb. résumé paper) of the doctoral research to the

academic program office before the designated semester deadline. After having those copies

bound, the UC Binding Department will return the two copies to the candidate. If the candidate

wishes to request more than two bound copies, he/she should submit the number desired. The

Binding Department will bill the student for the additional copies at a minimal cost per copy.

Doctoral Research Approval Process

Approval for conducting doctoral research should be obtained while enrolled in DSRT

839 and is a pre-requisite to piloting, developing a project, or gathering research. The

Institutional Review Board application to conduct research, and all supporting documents must

be submitted to the IRB chair. Students should self-register for the IRB and Research

DISSERTATION HANDBOOK 11

Organization in iLearn for forms, tutorials, supporting materials, and links for IRB submission.

The doctoral research chair will review the document, and then the student should submit the

documents to the IRB chair following the links in the IRB and Research Organization.

Candidates will receive an IRB Approval Letter once the research has been approved. No

research is to be executed until IRB approval is granted, and all necessary consents (adults) and

assents (minors) are secured from participants. The IRB Approval Letter is to be placed in the

doctoral research as Appendix A.

Oral Defense

While enrolled in the final doctoral research course, candidates must present an oral

defense of their dissertation or project. This oral defense is presented after the committee chair,

and all committee members have given feedback, and all edits have been made to the doctoral

research. The academic department will schedule the defense session after the Graduate School

completes a Quality Check of the doctoral research (defense ready file). All three committee

members must be present for the oral defense. The oral defense session normally takes 45-60

minutes. The committee members and chair ask questions and offer comments. The committee

dismisses the candidate for committee deliberation. Once the committee and chair have

deliberated and reached a decision, the candidate is invited to re-join the group for the committee

decision. The committee makes one of the following decisions:

 approved with no revisions,

 approved with minor revisions,

 provisionally approved with major revisions, or

 not approved with the recommendation to write new doctoral research.

DISSERTATION HANDBOOK 12

If one of the first two decisions is determined, the committee chair works with the candidate to

get the final document ready to send to the department chair for review. If the committee

decision requires major revisions or a new doctoral research, the candidate enrolls in another

research course to complete the revisions or rewrite. The defense must be successfully

completed by the department defense deadline for the semester. The doctoral research chair and

committee evaluate the candidate using the department rubric (see Appendix D).

Graduation

Candidates should apply for graduation at the beginning of the semester in which they

plan to graduate. The application for graduation is located at

https://inside.ucumberlands.edu/academics/registrar/graduation_application.php. Once the

research has been successfully defended, and copies of the doctoral research are received by the

department chair, then the department chair notifies the registrar that the candidate has

completed all program requirements and is eligible to graduate. Commencement ceremonies are

held in May. Candidates are hooded during the commencement.

DISSERTATION HANDBOOK 13

Appendix A: Quantitative Dissertation (Traditional Five Chapter Format)

Title Page

Signature Page

Acknowledgments

Abstract

Table of Contents

List of Tables

Chapter One (Introduction) (DSRT 839)

Overview

Background and Problem Statement

Purpose of the Study

Significance of the Study

Research Questions

Theoretical Framework

Limitations of the Study

Assumptions

Definitions

Summary

Chapter Two (Review of Literature) (DSRT 736)

Introduction

Subsections based on a deductive approach

Summary

Chapter Three (Procedures and Methodology) (DSRT 839)

Introduction

DISSERTATION HANDBOOK 14

Research Paradigm (quantitative)

Research Design

Sampling Procedures and or/

Data Collection Sources (reference Informed Consent and IRB approval placed in

Appendices)

Statistical Tests

Summary

Chapter Four (Research Findings) (DSRT 930)

Introduction

Participants and Research Setting

Analyses of Research Questions (one at a time)

Supplementary Findings (if any)

Summary

Chapter Five (Summary, Discussion, and Implications) (DSRT 931)

Introduction

Practical Assessment of Research Questions

Limitations of the Study

Implications for Future Study

Summary

References

Appendices (This section contains any tables, figures, and possible data sources that could not

be placed in the text of the paper due to its size, as well as copies of consent forms and IRB

letters).

DISSERTATION HANDBOOK 15

Appendix B: Doctoral Project (Quantitative: Applied Research Format)

Title Page

Signature Page

Acknowledgments

Abstract

Table of Contents

List of Tables

Chapter One (Introduction) (DSRT 839)

Overview

Background and Problem Statement

Purpose of the Project

Significance of the Project

Research Questions

Theoretical Framework

Limitations of the Project

Assumptions

Definitions

Summary

Chapter Two (Review of Literature) (DSRT 736)

Introduction

Subsections based on a deductive approach

Summary

Chapter Three (Procedures and Methodology) (DSRT 839)

Introduction

Research Paradigm (quantitative)

Research Project Design

DISSERTATION HANDBOOK 16

Sampling Procedures and or/ Data Collection Sources (reference Informed Consent and IRB

approval placed in Appendices)

Statistical Tests (if applicable)

Summary

Chapter Four (Research Findings) (DSRT 930)

Introduction

Participants and Research Setting (if applicable)

Project Analysis

Analyses of Research Questions (one at a time)

Supplementary Findings (if any)

Summary

Chapter Five (Summary, Discussion, and Implications) (DSRT 931)

Introduction

Practical Assessment of Project Analysis

Limitations of the Study

Implications for Future Study

Summary

References

Appendices (This section contains any tables, figures and possible data sources that could not be placed

in the text of the paper due to its size, as well as copies of consent forms and IRB letters.)

DISSERTATION HANDBOOK 17

Appendix C: Qualitative Dissertation Format

Title Page

Signature Page

Acknowledgments

Abstract

Table of Contents

List of Tables

Chapter One (Introduction) (DSRT 839)

Overview

Background and Problem Statement

Purpose of the Project

Significance of the Project

Research Questions

Theoretical Framework

Limitations of the Project

Assumptions

Definitions

Summary

Chapter Two (Review of Literature) (DSRT 736)

Introduction

Subsections based on a deductive approach

Summary

Chapter Three (Procedures and Methodology) (DSRT 839)

Introduction

Research Project Design

DISSERTATION HANDBOOK 18

Sampling Procedures and or/ Data Collection Sources (reference Informed Consent and IRB

approval placed in Appendices) – Interviews, Surveys/Questionnaires, Document Analysis, Focus

Groups, Observations,

Data Analysis

Summary

Chapter Four (Research Findings) (DSRT 930)

Introduction

Participants and Research Setting (if applicable)

Project Analysis

Analyses of Research Questions (one at a time)

Supplementary Findings (if any)

Summary

Chapter Five (Summary, Discussion, and Implications) (DSRT 931)

Introduction

Practical Assessment of Project Analysis

Limitations of the Study

Implications for Future Study

Summary

References

Appendices (This section contains any tables, figures and possible data sources that could not be placed

in the text of the paper due to its size, as well as copies of consent forms and IRB letters.)

DISSERTATION HANDBOOK 19

Appendix D: Qualitative (Historical) and Mixed Methods Dissertation Information

Title Page

Signature Page

Acknowledgments

Abstract

Table of Contents

Chapter One (DSRT 736)

Additional Chapters (DSRT 839, 930, 931)

References

Appendices

*Specific formatting guidelines will be specified by program director, dissertation chair, and

committee.

Updated 4.5.2021

Implemented: Summer 2021

Appendix E: Doctoral Research Evaluation Rubric

Criterion 100(Expert) 90 (Proficient) 80 (Fair) 70 (Poor) I.

Critical and reflective thinking

capable of facilitating

institutional, informational

technology, or business related

problem-solving or school/

college improvement.

Critically analyzed the topic.

Discussion of the topic was

extensive and anchored in fact

and reason. Information about

significant aspects of the topic

were analyzed from the

perspective of key related

concepts. Meaning of the analysis

was summarized.

Critically analyzed the topic.

Discussion of the topic was

anchored in fact and reason.

Information about significant

aspects of the topic were

analyzed from the perspective of

key related concepts.

Either the analysis or summary

lacked some level of detail.

Somewhat critically analyzed the

topic. Discussion of the topic was

minimally anchored in fact and

reason. Information about

significant aspects of the topic

were somewhat analyzed from the

perspective of key related concepts.

Analysis and summary included

but lacks a significant level of

analysis and discussion.

Minimally discussed the

topic without supporting

facts and reasons. Poor

organization of the

information and limited

level of detail.

II.

Consideration for the impact of

leadership, information

technology, or business on

institutional constituents.

Demonstrates an extensive

understanding of the topic’s

relationship to leadership,

information technology, or

business.

Demonstrates a good

understanding of the topic’s

relationship to leadership,

information technology, or

business.

Demonstrates a fair understanding

of the topic’s relationship to

leadership, information technology,

or business.

Demonstrates a minimal

understanding of the topic’s

relationship to leadership,

information technology, or

business.

III.

Effective analytical and

communication skills.

Demonstrates a professional level

of skills associated with

formatting, grammar, spelling,

syntax, and use of numbers.

Demonstrates acceptable skills

associated with formatting,

grammar, spelling, syntax, and

use of numbers.

Needs minor improvement in skills

associated with formatting,

grammar, spelling, syntax, and use

of numbers.

Needs significant

improvement in skills

associated formatting,

grammar, spelling, syntax,

and use of numbers. (

IV.

Knowledge of genres,

paradigms, theories or trends in

business, criminal justice,

education, English, health

sciences, history, information

technology, math, nursing,

psychology, religion, or student

personnel services.

Subject is identified, realistic, and

grounded in a recognized genre,

paradigm, theory, or trend.

Subject is identified and is

realistic, but it lacks grounding

in a recognized genre, paradigm,

theory, or trend.

Subject is identified but is not

realistic or grounded in a

recognized genre, paradigm,

theory, or trend.

Subject area is not

established.

V. Required Components of

Dissertation based on the

dissertation handbook.

All required components are

included for this portion of the

dissertation based on the outline

and requirements in the

dissertation handbook.

Minor information is missing

from the required components

for this portion of the

dissertation based on the outline

and requirements in the

dissertation handbook.

Significant information is missing

from the required components for

this portion of the dissertation

based on the outline and

requirements in the dissertation

handbook.

This portion of the

dissertation lacks the detail

needed to meet the

requirements for the

components outlined in the

dissertation handbook.