15 to 17 pages

Department of Counseling and

Human Services

DISSERTATION HANDBOOK

Revised Feb. 2007

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Dear Doctoral Student: Congratulations on your transition into the final stage of your doctoral education. We encourage you to carefully read through this guide, which Dr. Dan Ratliff so graciously compiled for your use. As our intention is to support students in every facet of the dissertation process, this letter serves to prepare you for the shifts many students experience in their professional identity, work ethic expectations and emotional well- being during the dissertation process. Simply put, the dissertation is writing intensive. At best, the process serves as the foundation on which your identity as a writer is formed. With this in mind, even professional writers have days that are more or less productive than others. Expecting that you will “crank out” a predetermined number of pages during any structured writing time is a set up for unnecessary stress. Because all writers go through periods of varied productivity, young writers (like those working on their dissertations) are vulnerable to emotional hardship when they devalue aspects of the process that don’t involve the production of actual “page numbers.” For example, compiling the literature review requires an inordinate amount of reading. Often times students will report feeling discouraged because they “haven’t been working on their dissertations” when in fact they have spent several weeks pouring over the literature. We encourage you to give yourself credit for every step in the process and to avoid the trap of negative self-evaluation. Social isolation during the dissertation process is a well documented phenomenon that can sometimes become debilitating for students. We encourage you to initiate ongoing and regular contact with your Dissertation Director, to stay professionally active and to take advantage of all opportunities you might have to spend time with other students, family and loved ones. This is also a nice way to give yourself a break, to recharge your creativity and is a good alternative to staring blankly into your computer screen on those “less productive” days. We wish you the best and always let us know what we can do to facilitate this phase of your education. The Faculty of the Department of Counseling and Human Services

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TABLE OF CONTENTS

Types of Dissertations .................................................................................2

Key Roles in the Dissertation Process .........................................................3

Doctoral Program Advisor ...............................................................3

Dissertation Chair ............................................................................4

Dissertation Committee ...................................................................5

Prerequisites for Membership ..............................................5

Non-Eligibility .....................................................................6

Responsibilities ....................................................................6

Meetings of the Committee ..................................................7

Required Forms ....................................................................7

Changes in the Committee ...................................................7

The Dissertation Process ..............................................................................7

Enrollment in CN 8390 ....................................................................8

Pre-Proposal Meeting.......................................................................9

Document Format ................................................................9

Required Forms ..................................................................11

Dissertation Proposal Meeting .......................................................11

Criteria for Evaluating Proposal ........................................11

Editor Review ...................................................................11

Changes to Proposal ...........................................................12

Review by Institutional Review Board ..........................................12

Certificate of Training ........................................................12

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IRB Policies .......................................................................13

Departmental IRB Procedures ...........................................13

The Dissertation and IRB ...................................................15

Final Defense of the Dissertation ...................................................17

The Final Written Dissertation ...........................................17

The Oral Defense of the Dissertation .................................18

Evaluating the Dissertation ............................................................19

Pass ....................................................................................19

Fail .....................................................................................20

Academic Misconduct .......................................................20

Reporting Results of the Final Defense .........................................21

Dissertation Time Line ..................................................................23

Necessary Elements of the Dissertation .....................................................26

Preliminary Pages ..........................................................................26

Title Page ...........................................................................26

Approval Page ....................................................................26

Acknowledgement Page .....................................................26

Table of Contents ...............................................................28

List of Tables .....................................................................28

List of Figures ....................................................................28

Abstract ..............................................................................28

Chapter I- The Problem and Justification of the Study ..................29

Introduction ........................................................................29

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Statement of the Problem ...................................................30

Research Questions ............................................................31

Rationale or Justification for the Study .............................32

Limitations .........................................................................32

Definitions of Terms ..........................................................33

Chapter II- Review of Literature ....................................................33

Chapter III- Research Methods ......................................................34

Quantitative Methods .........................................................34

Research Design .....................................................34

Subjects ..................................................................35

Measuring Instruments...........................................35

Materials ................................................................36

Procedure ...............................................................36

Statistics .................................................................37

Qualitative Methods ...........................................................37

Research Design .....................................................37

Assumptions and Rationale for Design..................37

Participants and Role of Researcher ......................37

Data Collection Procedures ....................................38

Data Analysis Procedures ......................................38

Methods for Verification ........................................39

Chapter IV- Results........................................................................40

Results ................................................................................40

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Discussion ..........................................................................41

Chapter V- Summary, Implications, & Recommendations ...........41

Summary ............................................................................41

Implications........................................................................41

Recommendations ..............................................................42

References ................................................................................42

Appendices ................................................................................42

Dissertation Review Checklist ...................................................................44

Grammar and Formatting ...........................................................................46

Verb Voice and Tense ....................................................................46

Heading Levels ..............................................................................46

Two Level Headings ..........................................................47

Three Level Headings ........................................................47

Front Matter and Final Submission ............................................................49

References cited ................................................................................54

Appendix 1: Dissertation Forms ................................................................56

Dissertation Committee Declaration Form ....................................57

Dissertation Title Form ..................................................................58

Dissertation Review Checklist .......................................................59

Dissertation Proposal Approval Form ...........................................61

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LIST OF TABLES

Table 1. IRB Proposal Review and Dissertation ............................. 16

Table 2. Necessary Elements of the Dissertation .............................. 27

Table 3. Example of Two Level Headings ....................................... 47

Table 4. Example of Three Level Headings ..................................... 48

Dissertation Handbook - 1 –

The dissertation is the culmination of the doctoral education experience. It demonstrates

the skills and competencies developed during the doctoral program and contributes to the state

of knowledge in the candidate’s professional field. The doctoral dissertation is an original and

independent scholarly work which creates new knowledge or connects knowledge across

disciplines.

Dissertation research is a less structured experience of research and writing than the

previous years of classroom work. It demonstrates proof that the candidate has the skills,

passion, and persistence to create independent scholarship that addresses some need in the

profession. In completing the dissertation, the candidate has learned to identify significant

problems, conduct an original investigation, relate the findings to known concepts in the field,

and communicate conclusions and implications to other professionals in a clear,

comprehensive scholarly product.

The purpose of this manual is to provide an overview of what is expected of the doctoral

candidate throughout the dissertation process. It addresses aspects of the required forms and

processes of the dissertation, clarifies what information should be covered in each section of

the dissertation, and previews how the dissertation will be evaluated. By understanding more

clearly what is expected of the dissertation process, we hope that this manual will help doctoral

candidates complete the dissertation in a timely manner and with a quality scholarly product.

Dissertation Handbook - 2 –

In preparing this manual, we consulted the following sources for guidance and

clarification of the dissertation process. We encourage students to consult these as guides to

help in the dissertation process.

American Psychological Association (2001). Publication Manual of the American Psychological Association (5th Ed.). Washington, D. C.: American Psychological Association.

Boyer, E. (1990). Scholarship Reconsidered: Priorities of the Professoriate. The Carnegie Foundation for the Advancement of Teaching. San Francisco: Jossey- Bass Inc.

Cresswell, J. W. (1998). Qualitative Inquiry and Research Design: Choosing among Five Traditions. Thousand Oaks, CA: Sage Publications.

Galvan, J. L. (2006). Writing Literature Reviews: A Guide for Students of the Social and Behavioral Sciences. Glendale, CA: Pyrczak Publishing.

Goodchild, L. F., Green, K. E., Katz, E. L., Kluever, R. C. (Eds.). (1997). Rethinking the Dissertation Process: Tackling Personal and Institutional Obstacles. New Directions for Higher Education, no. 99. Volume XXV, number 3. San Francisco, CA: Jossey-Bass Inc.

Krathwohl, D. R. (1998). Methods of Educational and Social Science Research: An Integrated Approach. Long Grove, IL: Waveland Press.

LeCompte, M. D. & Preissle, J. (1993). Ethnography and Qualitative Design in Educational Research (2nd Ed.). San Diego, CA: Academic Press.

Mauch, J. E. & Birch, J. W. (1993). Guide to the Successful Thesis and Dissertation: A Handbook for Faculty and Students. (3rd Ed.). New York: Marcel Dekker, Inc.

Mertler, C. A. & Vannatta, R. A. (2005). Advanced and multivariate statistical methods: Practical application and interpretation (3rd ed). Glendale, CA: Pyrczak.

Meyers, L. S., Gamst, G., & Guarino, A. J. (2006). Applied multivariate research: Design and interpretation. Thousand Oaks, CA: Sage.

Rudestam, K. E. & Newton, R. R. (2007). Surviving Your Dissertation: A Comprehensive Guide to Content and Process (3rd Ed.). Thousand Oaks, CA: Sage.

Types of Dissertations

Ernest Boyer (1990) has identified four types of scholarship that broaden the scope of

scholarly activity to include discovering original investigations, making connections among

areas of knowledge, building bridges between theory and practice, and communicating

knowledge to consumers. These four basic types of scholarship are called the scholarship of

discovery, integration, application, and teaching.

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The scholarship of discovery is defined by the St. Mary’s University Faculty

Handbook based on Boyer’s (1990) work:

The Scholarship of Discovery encompasses those scholarly activities which extend the stock of human knowledge through the discovery or collection of new information. Such scholarship seeks to confront the unknown, and typically exhibits a dedication to free inquiry, disciplined investigation, and the pursuit of knowledge for its own sake. The Scholarship of Discovery includes, but is not limited to, what is sometimes referred to as “basic” or “original” research.

It is the expectation of the Department of Counseling and Human Services that most dissertations

will fall in the first category, scholarship of discovery or empirical investigations. Exceptions to

this rule may be made upon occasion; however, clearance for such a variance must be obtained

from the Dissertation Committee and the Graduate School.

Key Roles in the Dissertation Process

Doctoral Program Advisor

At the beginning of your doctoral program, you were assigned a faculty member as a

Doctoral Program Advisor. The DPA’s primary role is to assist you in developing a degree plan

that will complete all the required coursework in a timely manner. The DPA also serves as the

chair of you Comprehensive Exam Committee. A third role of the DPA is to assist the student in

selecting a dissertation topic and forming a dissertation committee.

Students need to discuss dissertation ideas early in their doctoral program so that the

DPA can help the student identify resources the department or university offers, such as elective

courses or faculty expertise. While the DPA assists the student in forming the Comprehensive

Exam committee and dissertation committee, it is not necessary to include the DPA as a chair or

member of the dissertation committee.

Dissertation Handbook - 4 –

Dissertation Adviser

The dissertation committee is a focal group in the development of a new doctorate. The

key person on this committee is the Dissertation Adviser, who serves as a guide for the student

through the successful completion of his/her dissertation. This is an intimate relationship,

addressing a difficult task, so the choice is necessarily very important. The student is

encouraged to get to know all of the faculty prior to making this choice, so that she/he can

choose appropriately. In general, the student selects the chair first, then consults with the chair

in selecting other committee members.

The Dissertation Adviser must be a member of the full-time core faculty of the

Department of Counseling and Human Services. The Dissertation Adviser is a member of the

Dissertation Committee and has primary responsibility for guiding the student through all phases

of the dissertation process. The Dissertation Adviser carries out any administrative or liaison

functions necessary to process the dissertation through all stages from the proposal to the final

completed manuscript. has responsibility for determining that the student’s product is ready to

present to the dissertation committee for review at each stage of the dissertation process: pre-

proposal, proposal, and final defense. The Dissertation Adviser serves as chair of the committee

meetings, assuring that dissertation procedures are followed, and ensuring that both student’s and

faculty members’ rights and privileges are not compromised.

Different faculty members have different ways of functioning as a Dissertation Adviser.

Check with other students and spend some time with your prospective chair to see that your

styles of working are compatible. You will work very closely with this person on one of the

most important projects of your life, so spend some time on this decision.

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Dissertation Committee

Given the size of the Ph.D. program and the nature of the dissertation process, it is never

too early to begin work on the dissertation. Once a topic or general area of study is identified,

the student can begin forming his or her committee.

The Dissertation Committee is composed of three members, one of which is the

Dissertation Adviser. The three members of the committee consist of two faculty members from

within the Department of Counseling and Human Services, and one person from outside the

department. The student is responsible for selecting and contracting with each member of his or

her committee.

Prerequisites for Membership

Committee members may be formed from the core faculty of the department, from the

adjunct and part-time faculty of the department, from the university community, or from the

professional community. In the case of a non-affiliated professional, evidence of specific

knowledge or expertise in the student's area of interest must be produced prior to inclusion on the

committee. Petition for such approval is made to the Dissertation Adviser and approved by the

Graduate Council.

All members of the Dissertation Committee must have Graduate Faculty or Associate

Graduate Faculty (adjunct) status, which include the following requirements:

a. Hold terminal degree in Counseling or Marriage and Family Therapy or a related field that has relevance for the particular dissertation topic

b. Demonstrated potential for sustained scholarly productivity c. Demonstrated graduate-level teaching skills d. Demonstrated student advising skills

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All members of the Dissertation Committee should be available to consult with the student

throughout the course of the dissertation and to attend required meetings of pre-proposal,

proposal, and oral examination. Members of the dissertation Committee must uphold the quality

standards of the university and department.

All members of a student's committee must hold an earned doctorate in Counseling or a related

field that has relevance for the particular dissertation topic, and have demonstrated research

competence. In situations where a non-terminal degree holder has expertise or knowledge vital

to the dissertation and unavailable elsewhere, exceptions to this rule may be made via petition to

the departmental faculty.

Non-Eligibility

Due to the nature of the dissertation process, certain persons are automatically ineligible

for membership on the individual's committee due to conflict of interest. These would include:

a. The personal therapist of the candidate,

b. employers of the candidate,

c. business associates of the candidate,

d. employees of the candidate, and

e. relatives of the candidate.

Responsibilities

The dissertation committee members should supplement the chair person so that among

them there are balanced resources in subject matter, method, and skill in the supervision of

research. Students are encouraged to select committee members so that such a balance is

obtained. Responsibilities of committee members include:

a. Playing an active role in the entire dissertation process,

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b. Approving the dissertation proposal,

c. Serving as a member of the examining committee at the oral examinations, and

d. Approving and signing the final dissertation.

Upon signing, each committee member individually assumes responsibility for

certifying the adequacy of the entire dissertation. Such certification should not be

made unless fully satisfied with the quality of the dissertation in its form.

Meetings of the Committee

Dissertation Committee members must participate in at least three specific committee

meetings: the Pre-Proposal meeting, the formal Proposal Meeting and the Oral Defense of the

Dissertation. The student, the chairperson, or any other member of a dissertation committee may

call a committee meeting at any time to solve problems and maintain a systematic and orderly

progression of the dissertation process. Professionals who agree to appointment on a committee

should know of this possibility, and know that they are giving consent to be available for this

purpose.

Required Forms

Once the Dissertation Committee has been selected by the student, the student completes

the Dissertation Committee Declaration form and secures the signatures of all committee

members. Students must submit the Dissertation Committee Declaration form with the

Dissertation Title form after the Pre-Proposal. Students submit these forms to the Graduate

Program Director for approval by the Graduate Council.

Changes in the Committee

Once a dissertation committee has been appointed and approved, its composition is

considered fixed and permanent. The student may petition for a change only under extreme

Dissertation Handbook - 8 –

circumstances. The petition will be considered only with the approval of the remaining members

of the committee. Changes in Committee membership are approved by Graduate Council.

The Dissertation Process

The dissertation is developed across three mandatory meetings of the Dissertation

Committee: the Pre-Proposal, the Proposal, and the Final Defense:

a. The pre-proposal meeting, where the preliminary dissertation is discussed and

approved;

b. The formal proposal meeting where the formal dissertation proposal is reviewed and

approved; and

c. the oral defense of the dissertation, where the final approval of the project is garnered.

The student’s pre-proposal meeting is usually during the second year of study. After the

student has completed the Comprehensive Exams and has the formal Dissertation Proposal

approved, the student will be admitted to candidacy and permitted to continue with the research.

Enrollment in CN 8390

The student must register for CN8390 Dissertation Direction the semester in which the

Formal Proposal Meeting occurs. It is expected that students will work on developing their

dissertation ideas with their Dissertation Chair and Committee Members for some time before

taking CN8390. Consult with your Dissertation Chair about when to take CN8390 Dissertation

Direction.

Once doctoral students enroll in CN8390, the student must enroll in at least three

dissertation hours each semester until the successful completion of the oral defense. A minimum

of six semester hours of dissertation credit is mandatory, and only six hours of credit may be

Dissertation Handbook - 9 –

counted toward the doctoral degree requirement. No maximum limit is placed on the number of

dissertation hours for which the student can register.

Students who have finished their academic course work and are enrolled in CN8390 will

be classified as full-time students. This recognizes the amount of time involved in research and

writing during the dissertation stage. Students who have completed their academic coursework

but are unable to schedule a Dissertation Proposal Meeting may take CN8320 Research

Practicum.

Pre-Proposal Meeting

The purpose of the preliminary proposal is to refine the dissertation idea and to receive

input from the dissertation committee, faculty, and interested graduate students. The Preliminary

Dissertation Proposal meeting should be scheduled after the student has chosen a definitive

direction for the dissertation and has selected members of the committee.

Document Format

The Preliminary Dissertation Proposal is an idea paper intended to define the focus of the

investigation and summarize the existing knowledge about the topic. The proposal should be 10

to 15 double-spaced typed written pages using APA style and format guidelines. The Pre-

Proposal should address the following necessary elements (see section below, Necessary

Elements of the Dissertation):

1. Chapter One: Introduction

a. The introduction summarizes the problem to be investigated, the importance of

the topic and its usefulness.

b. Statement of the Problem: states the purpose of the study and the research

question(s).

Dissertation Handbook - 10 –

2. Chapter Two: Literature Review

a. At the Pre-Proposal meeting the literature review should summarize a few articles

that you find especially relevant to the topic.

b. The Literature Review at the Pre-Proposal can be as few as 5 pages in length.

The Committee will suggest other areas of research that are necessary to link your

study to prior literature.

3. Chapter Three: Methodology

This is the most preliminary draft section of the proposal. Communicate your best

guess at the methods and procedures that you think will address the research problem

that you have identified in Chapter 1.

a. Research Design: specify whether you plan a qualitative or quantitative design

and justify why that design is the best tool for the problem.

b. Subjects: Describe from whom you plan to gather evidence that will address your

research problem.

c. Data Collection Strategy: If qualitative study, describe the type of information to

be collected, the methods of collecting information (i.e. setting, participants, and

nature of researcher-participant interaction) and the rationale for the procedures. If

quantitative study, describe the instruments the research will use to collect data, any

prior reliability and validity studies using the instruments, and how the instruments

are scored.

4. References

a. References should be listed in APA format

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The more information the candidate can provide in the pre-proposal, the more productive the

pre-proposal meeting can be.

Required Forms

After the Dissertation Pre-Proposal meeting the student should submit the Dissertation

Committee Declaration Form and the Dissertation Title Form to the Departmental Graduate

Program Director for approval by the Graduate Council.

Dissertation Proposal Meeting

The purpose of the Dissertation Proposal Meeting is to provide formal approval of the

doctoral dissertation by the Dissertation Committee. The Dissertation Proposal consists of the

first three chapters of the dissertation in final form (see section below, “Necessary Elements of

the Dissertation”). The necessary elements of the dissertation should be identified through the

use of headings (see section below, “Use of Headings in the Dissertation”) and should appear in

the Table of Contents.

Criteria for Evaluating Proposal

The Dissertation Checklist (see below) contains the criteria for evaluating the

Dissertation Proposal and the Final Dissertation. The Dissertation Committee monitors student

progress through the conduct of the research project and assures that the completed dissertation

meets the quality standards of the university. The final approval of the dissertation is based

exclusively on the merits of the final product. Acceptance of the proposal does not imply or

guarantee the acceptance of the finished dissertation.

Editor Review

The Department requires that you find an editor to review your dissertation before you

submit it to the committee before the proposal and after the final defense of the dissertation.

Dissertation Handbook - 12 –

Reimbursement for this expense is limited to $300.00 (original receipts required) and will be

paid once the final dissertation is sent to the Graduate Dean for signature.

Changes to Proposal

Once the proposal has been approved by the Dissertation Committee, all subsequent

changes in research methodology must be approved in advance of their implementation by the

full Dissertation Committee. Changes in procedures and methodology usually result in review

by the IRB Human Subjects Committee as well.

If a student wishes to change the topic of the dissertation, the student must complete the

complete dissertation approval process, including the three mandatory meetings of the

Dissertation Committee: the Pre-Proposal, the Proposal, and the Final Defense. In this case, a

student may petition for a change of dissertation committee with the approval of the remaining

members of the committee.

Review by Institutional Review Board

All students doing research with human subjects must go through an Institutional Review

process before any type of subject recruitment or data collection can begin. For students, this

process officially begins after the dissertation or thesis proposal is approved by the committee. It

is essential that you familiarize yourself with the human subjects’ policies and procedures

(available on the St. Mary's IRB Website:

http://academicgrants.stmarytx.edu/pages/resources/special_research/human/index.htm) before

you construct your methodology section (Chapter 3) and proceed with your proposal.

Certificate of Training

Before students submit the application for review by the IRB, they must present a

certificate of training in ethical use of human subjects from the Health Resources and Services

Dissertation Handbook - 13 –

Administration, U.S. Department of Health and Human Services. The on-line training module

takes approximately 90 minutes to complete and is available at

http://www.hrsa.gov/humansubjects/. When you have completed the training module the St.

Mary’s Institutional Review Board has a ten item test to complete to serve as the training

certification of record. Students turn in the 100% accurate, completed test to the Academic

Grants office. Students will receive a letter confirming your certification from the IRB

Administrator.

IRB Policies

Students also need to read the St. Mary's University Policies and Procedures

for Research Involving Human Subjects to familiarize themselves with the specific policies that

we operate under. Students should pay particular attention to the sections on Review Procedures

and Criteria for Approval, Informed Consent, and Appropriateness of Research Topic. This

material is available on-line at:

http://academicgrants.stmarytx.edu/pages/resources/special_research/human/policy/index.

html

The IRB Request for Proposal Review is available on the St. Mary's University IRB

website, which offers extensive information regarding each step of this process. It is important to

keep in mind that the national Institutional Review Board process takes, on average, 6 months to

complete. While the St. Mary’s IRB committee attempts to review all applications in a timely

manner, please remain flexible in your planning as to avoid any unnecessary frustrations.

Departmental IRB Procedures

Once the dissertation or thesis proposal has been completed, submit the first draft of your

IRB Request for Proposal Review and supporting materials to Dr. Dana Comstock, the Area

Dissertation Handbook - 14 –

Representative for the Department of Counseling and Human Services. It is preferred that you

submit both hard copies and electric/digital files. Hard copies can be dropped off to our

Departmental Secretary, Mr. Francis Farrell, on the third floor of Chaminade Tower and

electronic files may be submitted to [email protected].

The IRB Request for Proposal Review should include the following documentation:

• Completed ALL sections of the Request for Proposal Review Form (A through O)

• Cover page is complete and all signatures required are original

• Attached the Human Subjects Assurance Training certifications for each researcher

• Attached the Informed Consent form(s) you will use

• Included the Biographical Sketch or CV of any Subject Matter Experts required for

this project

• Attached written permissions from non-St. Mary’s sites to conduct the proposed

research

• Signed and dated the Proposal Review Checklist and other forms as indicated

Once the editorial phase with the Area Representative has been completed, the timeline

of which varies from study to study, you will be asked to submit:

1. One (1) copy of the final draft of your proposal that is in perfect APA format and

includes ALL recommended changes from your proposal meeting AND reflects any

changes in procedure that might have been adjusted during the IRB editorial process.

Unnecessary edits at this phase can add up to six weeks to the IRB review process, and

subsequently delay the implementation and completion of your study as well as your

projected graduation date.

Dissertation Handbook - 15 –

2. Ten (10) copies of the final draft of your IRB Request for Proposal Review (with

signatures) and all other supporting materials. Supporting materials might include

approval to do research within any cooperative institutions such as school districts,

medical facilities or community agencies.

3. The “Proposal Review Checklist,” which is found on the last page of the

” Request for Proposal Review” file.

The St. Mary’s University IRB website is very explicit and comprehensive so read through each

link carefully before proceeding with the creation of the methodology for your study and your

IRB process and application.

The Dissertation and IRB

The elements of the IRB Request for Proposal Review should be explicit in the necessary

elements of the dissertation. Table 1 compares where in the dissertation one is expected to find

the relevant information for the sections of the IRB Request for Proposal Review.

Dissertation Handbook - 16 –

Table 1.

Comparison of IRB Request for Proposal Review and Necessary Elements of Dissertation

Section of IRB Request for Proposal Review

Corresponding Section of Dissertation

F. Location, laboratories, and facilities to be used

Chapter 3 e. Procedures

G. Subjects Chapter 3 b. Subjects

H. Purpose, Methods, Procedures Chapter 1 b. Statement of Purpose Chapter 3 Quantitative c. Measuring Instruments d. Materials e. Procedures

Qualitative c. Role of Researcher d. Data Collection Procedure f. Methods for Verification

I. Risk Chapter 3 b. Subjects

J. Benefits Chapter 1 d. Justification for Study

K. Risk/ Benefit Ratio L. Costs to Subjects Chapter 3

b. Subjects M. Consent by Subjects Appendix N. Confidentiality Chapter 3

b. Subjects e. Procedures d. Data Collection

Procedures

Dissertation Handbook - 17 –

Final Defense of the Dissertation

The Final Defense of the Dissertation is a public, oral defense of a written document.

The written document should be comprehensive, well-expressed, innovative, and potentially

influential.

The Final Written Dissertation

The candidate should work closely with his or her Dissertation Chair to complete the

final draft of the results and discussion of findings. Once the draft has been approved by the

Dissertation Chair, the draft should be disseminated to the committee members for review and

revision. After the candidate receives feedback from the committee, she or he should meet with

the Dissertation Chair to integrate comments and suggestions. The candidate should expect that

the final document will be revised at least three times before submission of the final draft to the

committee.

The Department requires that you find an editor to review your dissertation before you

submit it to the committee before the proposal and after the final defense of the dissertation.

Reimbursement for this expense is limited to $300.00 (original receipts required) and will be

paid once the final dissertation is sent to the Graduate Dean for signature.

At least two weeks prior to the scheduled Oral Defense of the Dissertation, the candidate

should provide the dissertation committee members with the final draft of the dissertation. No

changes should be made to the document once the Oral Defense is set and the final draft has been

distributed.

The final draft of the dissertation should be in complete and final form, with few changes

after the Dissertation Defense. If more than minor copy editing is necessary, the committee

Dissertation Handbook - 18 –

should give a rating of “Deferred Decision” and schedule a second oral defense once the

necessary changes have been made.

The Oral Defense of the Dissertation

The final oral defense serves three purposes. The dissertation committee examines and

assesses the quality of the dissertation. It tests the competence and presence of the candidate to

respond in a public setting to a careful and thoughtful evaluation of his or her work. It provides

an opportunity for the candidate to share his or her work with the university community. The

Oral Defense gives the candidate the opportunity to defend the way the study was done, the

validity of the findings, and the importance of the conclusions.

The candidate should demonstrate full responsibility for all aspects of the dissertation

research, especially all phases of the data analysis and interpretation. Students must demonstrate

that they understand and can justify all data collection and analytic procedures, and be able to

substantiate the accuracy of the results. Candidates should be prepared to submit raw data,

computational output, and data analysis products at the request of the dissertation committee

members. Ideally, these matters related to the conduct of the study are addressed before the Oral

Defense by working closely with committee members throughout the study.

The Oral Defense includes all members of the committee. The doctoral candidate should

arrange a mutually agreeable time and place for the Oral Defense with the Dissertation

Committee members. All committee members must be present for the Oral Defense or the

meeting will have to be rescheduled. The Oral Defense should be scheduled on campus during

regular office hours. Room reservations may be scheduled through the department office, for

departmental conference rooms, or through the Registrar’s Office for other space on campus.

Dissertation Handbook - 19 –

The Oral Defense of the Dissertation is publicly announced and open to the university

community. Graduate students, university faculty, and interested professionals are invited to

participate in this public transition from student to productive scholar. Once a time and place

have been determined, the candidate needs to provide the information to the Departmental

Secretary, along with a copy of the final draft of the dissertation, the Dissertation Abstract, and

biographical information. The Departmental Secretary will publish the information on the Oral

Defense to the Graduate Dean and other deans on campus.

Evaluating the Dissertation

Pass. The dissertation committee will evaluate the dissertation in one of four ways:

1. Pass: Manuscript is accepted as submitted with no corrections.

2. Pass with Minor Modifications: Manuscript is accepted with minor copy editing,

additions, deletions, or changes in emphasis. No substantive revisions required.

Specific modifications and conditions will be stated at the conclusion of the Oral

Defense. Once these modifications and conditions have been met, the dissertation

is passed.

3. Deferred Decision: Revisions are necessary beyond minor copy editing,

additions, deletions, or changes in emphasis. Committee members withhold

approval until major revisions are completed. These revisions may include

review of additional literature, re-writing important segments of the dissertation,

or additional analysis of existing data. The candidate will schedule a second Oral

Defense after all committee members have reviewed and approved the revised

manuscript.

Dissertation Handbook - 20 –

Fail. This is the fourth of the options that the committee can evaluate the dissertation. It

is expected that this will be a rare occasion to render this evaluation.

4. Fail: Committee members find that the dissertation is too deficient for remediation.

Deficiencies that warrant this action can include:

a. The dissertation does not meet the quality standards of the department and the university.

b. Major conclusions are not supported by the data. c. Data incorrectly analyzed. d. Results grossly misinterpreted. e. Failure to carry out the proposal effectively. f. Contaminated results or biased interpretations which may invalidate the

conclusions. g. Collection of additional data is necessary before inferences can be drawn.

A rating of Fail indicates that the Candidate did not meet remediation requirements or that the

product was too deficient for remediation. With a rating of Fail, the Candidate must reform the

committee and pursue a different research topic.

Academic Misconduct. A grade of Fail is mandatory if the committee finds evidence of

tampering with data, plagiarism, unauthorized assistance with the conduct of the research or

writing the dissertation, or unethical research practices. In addition, if the committee finds these

types of deficiencies, the matter will be referred to the Dean of the Graduate School as a charge

of Academic Misconduct (see Article 1, Academic Conduct and Procedures, Student Handbook,

pages 17-18). With a rating of Fail under these circumstances, the ability of the Candidate to

complete the degree is subject to the findings of the Dean’s academic misconduct inquiry.

The Student Handbook defines cheating, plagiarism, and fabrication as follows (see page

13-14, Student Handbook):

16. The term "cheating" means an act or attempted act of deception by which a student seeks to misrepresent information. Examples include, but are not limited to:

a. Copying from another student’s test paper. b. Allowing another student to copy from your test paper.

Dissertation Handbook - 21 –

c. Using textbooks, notes and other unauthorized materials during a test. Updated 06/2006 14 d. Collaborating with others during a test or on a project where collaboration is not permitted. e. Taking a test for someone else or permitting someone else to take a test for you.

17. The term "plagiarism" means the inclusion of someone else's words, ideas or data as one's own work. Examples of plagiarism include but are not limited to:

a. Quoting another person's word, complete sentences or paragraphs, or whole works without acknowledgements of the source. b. Using another person's ideas, opinions or theories without acknowledgement of the source. c. Borrowing facts, statistics or other illustrating material without acknowledgement of the source. d. Copying another person's essay test answer. e. Copying or allowing another person to copy computer files that contain another student's assignments and submitting it either in part or in full as one's own work. f. Working together on an assignment or sharing computer files and submitting that assignment as one's own individual work.

18. The term "fabrication" means the intentional use of invented information or the falsification of research or other findings. Examples of fabrication include but are not limited to:

a. Citation of information not taken from the source listed. b. Listing sources in the bibliography that was not directly used in the exercise. c. Submission of a paper, lab reports or research activity that is falsified, invented or fictitious data or evidence. d. Submitting work prepared totally or in part by another as your own.

Reporting Results of the Final Defense

The results of the oral and written dissertation defense shall be reported to the Graduate

School as Pass or Fail by the committee. Once the candidate has completed all modifications

and conditions, the dissertation committee signs the dissertation cover sheet. In signing the final

dissertation document, each committee member individually assumes responsibility for

certifying the adequacy of the entire dissertation. Such certification should not be made unless

fully satisfied with the quality of the dissertation in its form.

Dissertation Handbook - 22 –

The completed and approved dissertation is submitted to the Dean of the Graduate School

who has final approval authority. When the dissertation is finalized, submit a letter of transmittal

through your dissertation chair to accompany the two copies deposited in the Graduate Dean’s

Office. Include a statement certifying that the dissertation is free of grammatical and format

errors. If the research involved human subjects, include a statement that the research proposal

was reviewed and approved by the Human Subjects Committee, or was exempt from review. If

exempt, cite the paragraph authorizing the exemption, and the date of the exemption.

Please note that the completed and approved dissertation with the letter of transmittal

must be submitted to the Dissertation Chair no later than March 21st for May graduation, July 1st

for August graduation, and November 1st for December graduation, as established by the

department.

Dissertation Handbook - 23 –

Dissertation Time Line

The following summarizes the major steps in the process of completing the dissertation.

Required actions are noted in bold print. Required forms and sequences are noted in columns.

Students are encouraged to fill in the Time Estimate column based on consultation with their

Dissertation Chair.

Actions Required Forms Required Sequence Time Estimate

Exploration of topic; analyze literature review

Selection of Dissertation Chair

Submission of potential topic(s) to advisor

Selection of committee members

Draft of Pre-Proposal to Chair; revisions

Pre-Proposal draft cleared by Chair

Meetings with individual committee members for comment & revisions

Pre-Proposal Meeting After Pre-Proposal: Dissertation Committee Declaration Form and the Dissertation Title Form

Must submit draft to committee at least two weeks prior to meeting

Inclusion of committee and Chair suggestions in proposal.

Approval of Proposal draft by Chair

Submit Proposal to committee.

Publication of Formal Proposal Meeting

Must submit proposal to committee at least two weeks prior to meeting. Provide copy of proposal and invitation to departmental office five days prior to meeting

Approval of proposal

Submission of Dissertation Title form and Dissertation Committee form to Graduate Council

Submit after Proposal approval for approval be Graduate Council

Dissertation Handbook - 24 –

Submission of Proposal to Institutional Review Board

IRB Proposal form Must submit after Proposal has been approved and before data collection begins

Beginning of study After approval by Dissertation Committee and IRB

Adjustments in study procedure approved by dissertation committee and IRB

IRB Revisions form

Completion of study

First draft of completed study

Review of first draft with CHAIR; revisions

Corrected draft approved by CHAIR

Draft of final dissertation submitted to Graduate Editor and committee members

Must occur before final draft is submitted to committee for Oral defense

Meetings with individual committee members for comment; revisions

Discussion with CHAIR to integrate committee & Graduate Editor comments

CHAIR approval of final draft of dissertation

Submit final draft of dissertation to committee

Publication of time and place of Final Dissertation Defense

Must occur at least two weeks prior to final oral defense

Oral defense meeting

Corrections as specified by committee

Submission of dissertation to Dissertation Chair two weeks prior to Graduate School deadline: For example dissertation must to the Dissertation Chair by July 1st for July 15th deadline. November 1st for November 15th deadline and March 21st for April 1st deadline.

Letter of transmittal certifying Dissertation meets Graduate School criteria

Final Approval Must occur by deadlines established by the Graduate School.

Consultation with CHAIR about publication

Optional

Dissertation Handbook - 25 –

Revision of study for journal publication.

Submission to professional journal

Dissertation Handbook - 26 –

Necessary Elements of the Dissertation

This section communicates the expectations of what each section of the dissertation is

intended to accomplish. Table 2 summarizes the necessary elements of the three phases of the

dissertation: pre-proposal, proposal, and final document. Each necessary element should be

denoted in the Table of Contents and through the use of headings in the document (see APA

¶3.30).

Preliminary Pages

Title Page

The Title Page (APA ¶ 5.15) includes five elements: the title, a statement of purpose, the

author’s name, the place, and the date. The Pre-proposal only needs to have the title, author’s

name and date. See section on “Front Matter and Final Submission” for specific details.

The title should be descriptive of the major variables of interest and indicate the method

used to investigate the topic. The title should avoid jargon and controversial terms.

Approval Page

The format of the Approval Page, also called the Signature Page, are noted in the section

titled Front Matter and Final Submission.

Acknowledgement Page

The purpose of Acknowledgments is to give credit for professional assistance. Personal remarks,

especially those with emotional overtones are more appropriately made in thank you notes,

correspondence, or in personal statements to the individual. The date the dissertation is submitted

to the committee appears at the end of the acknowledgments.

Dissertation Handbook - 27 –

Table 2

Necessary Elements of the Dissertation

Pre- Proposal

Proposal Final

Title page y Approval Page (Signature Page) y Acknowledgement Page y Table of Contents y y List of Tables y List of Figures if

needed Abstract y y

1. Chapter I- The Problem and Justification of the Study y y y

a. Introduction (not in TOC) y y y b. Statement of the Problem y y y c. Research Questions y y d. Justification for Study y y e. Limitations y y f. Definition of Terms y y

2. Chapter II- Review of Literature y y y 3. Chapter III- Methods y y y

Quantitative Qualitative a. Research Design

a. Research Design Assumptions and Rationale for Design

y y y

b. Subjects b. Participants and Role of Researcher

y y y

c. Measuring Instruments

c. Data Collection Procedures y y y

d. Materials y y e. Procedures y y f. Statistics d. Data Analysis Procedures y y f. Methods for Verification y y

4. Chapter IV- Results y

a. Results y b. Discussion y

5. Chapter V- Summary, Implications, & Recommendations y

a. Summary y b. Implications y c. Recommendations y

References y y y Appendices y y y

Dissertation Handbook - 28 –

Table of Contents

The Table of Contents should include all necessary elements and page numbers where the

reader may find the specific contents. All headings used in the document should be listed in the

Table of Contents (see Headings below).

List of Tables

The List of Tables should include the table numbers, titles, and page numbers of all

tables included in the document (see APA §3.62-§3.74 for standards for constructing tables).

List of Figures

The APA Manual indicates that tables are preferred for the presentation of qualitative

data, but are sometimes useful to illustrate a pattern of complex results (§3.75). Figures may

also be used to illustrate the relationship among concepts in the Research Design, Literature

Review, or the presentation of qualitative data.

The List of Figures should include the figure numbers, titles, and page numbers of all

figures used in the document (see APA §3.75-3.86 for standards for figures).

Abstract

The Abstract should be a comprehensive summary, not to exceed 350 words, of the

purpose, rationale, methods, and findings of the research study (APA ¶ 1.07). The Abstract

should accurately reflect the content of the manuscript, beginning with the most important

information, usually the purpose or the findings. The Abstract should list all instruments used in

the study, and instrument names should not be abbreviated. The Abstract is non-evaluative and

should not add to what is in the body of the manuscript.

Dissertation Handbook - 29 –

Use active, not passive, voice in the Abstract. Avoid sentences that do not convey

information (e.g. “Results are discussed” or “This study examined the effectiveness of a clinical

intervention designed to increase client engagement in therapy.” We’d rather know if you found

the intervention effective or not.)

Chapter I- The Problem and Justification of the Study

The goal of the first chapter is to describe the need for your research in such compelling

terms that your dissertation committee with be begging for you to finish it. The first chapter

contains a description of what you plan to do and why it is important to the profession. This

chapter should be persuasive and factual. The reader should have an idea of what you plan to do

and why it is important by the end of the first paragraph.

The first chapter should introduce the reader to the problem to be investigated, the

unresolved issues, an explanation of the general topic, the importance of the topic and its

usefulness.

Because the research problem and justification is built on the related research, the first

chapter should be written after the literature review is completed. However, to complete the

literature review, students need to have a clear focus statement, which will eventually become

the rationale for the study.

Introduction

The Introduction presents the specific research problem that the study hopes to address

and the general research strategy. Because the introduction is identified by its position in the

document, it is not identified with a heading (APA ¶ 1.08). A good introduction uses a paragraph

Dissertation Handbook - 30 –

or two to preview the purpose of the study, address the importance of the problem, and develop

the background of the study.

Statement of the Problem

This section states the purpose of the research study, relating that purpose to the state of

knowledge in the literature and practical needs of the profession. The Statement of the Problem

should be brief, at minimum three paragraphs:

1. The purpose of the study and why that is important

This is a concise summary of the argument elaborated in the Rationale or

Justification for Study

2. The link to the literature: Relate the research study to any gaps in the current state of

knowledge of the profession. This is a concise summary of the argument

developed in the literature review.

3. The practical importance: Identify practical needs in the profession that the research

hopes to address.

In addition to the purpose, link to prior literature, and practical importance, qualitative

researchers need to address additional issues in the Statement of the Problem section.

Qualitative purpose statements, because of their naturalistic and inductive approach, often use

words such as discover, describe, or understand. The purpose statement should clearly define

the central concept that is being investigated in the study so that the readers clearly understand

what you wish to understand and why that understanding is important. The purpose statement

should preview the data collection strategies, analytic methods, and research context; a concise

statement on each will let the reader know what you wish to do. In this section, qualitative

Dissertation Handbook - 31 –

researchers disclose the assumptions of the qualitative paradigm and how the methodology and

emerging design is consistent with those assumptions (Cresswell, 1994).

Research Questions

Quantitative and Qualitative studies will address this section differently. In quantitative

studies, this section is a statement of the relationships among variables of interest that guides

your study. The Research Questions section should conclude with the specific hypotheses that

the study will examine.

The Research Questions tell what you are looking for; the hypothesis tells what specific

evidence you will examine (Krathwol, 1998). Based on how much you know about the topic,

which will be demonstrated in the Literature Review section, and how you plan to gather your

evidence, which will be detailed in the Methods section, you can state the hypothesis as a

relationship or a prediction. The hypotheses should be expressed consistent with the statistical

analysis strategy that you will detail in the Methods section. For example, regression strategies

can examine relative influence questions, while ANOVA strategies can examine differences

between groups (see a current research methods text for more information about the relationship

between statistical methods, research questions, and hypotheses).

In qualitative studies, this section will address the Grand Tour Question that orients the

research strategy and any sub-questions that the naturalistic research intends to address. The

Grand Tour Question is a statement of the issue to be addressed in the study in its most general

form. Consistent with the emergent assumptions of qualitative research, this question defines the

boundaries of the research in such a way as to not limit the inquiry (Cresswell, 1994). The sub-

questions narrow the focus of the study and become topics that the researcher specifically

explores in the interviews or observations. Qualitative Research Questions should have one or

Dissertation Handbook - 32 –

two Grand Tour Questions followed by no more than 12 sub-questions. Since qualitative designs

allow and encourage research questions to evolve as the data collection and analysis unfolds, it is

expected that the student will refine the sub-questions between Proposal and Defense, not the

Grand Tour Questions.

Rationale or Justification for the Study

The rationale for the study elaborates on why your strategy to solving the research

problem is important. You should demonstrate the importance of the research, linking it to the

larger context of the literature, professional practices, and/or priorities in the profession. You

should state how the research project can contribute to theory and knowledge of the topic under

investigation. In asserting the importance of your research, avoid unfounded or grandiose

generalities, as these may indicate the scope or focus of the project is too broad. Demonstrate

how your project is manageable and “do-able,” yet will contribute something of value to the

profession.

Limitations

This is not the place for confession and absolution of your personal failings in completing

the dissertation. This section recognizes that all research makes choices that limit the scope and

generalizability of the findings. Limitations may be due to institutional constraints such as what

intrusion a busy clinic will allow; ethical constraints such as limitations to experimental designs

based on use of human subjects; social constraints such as how subjects may react to sensitive or

taboo topics; or resource constraints such as the time and resources to conduct longitudinal

research may be beyond the researcher’s means.

Dissertation Handbook - 33 –

Definitions of Terms

This section should discuss the operational definitions of the major variables of interest.

In Qualitative research, the section should define the major concepts found in the title. The

section should be written in narrative style with paragraphs and complete sentences, not bulleted

like a dictionary. Write it so that a hurried reader can understand the purpose and strategy of the

research simply from reading definitions of the key terms in the title. Use headings, which

should also appear in the Table of Contents, to draw attention to each term that you define.

Chapter II- Review of Literature

The Review of the Literature shows how your research is grounded in the current state of

the knowledge. This demonstrates that the research problem is related to past work and how it

moves beyond that work. The final section of the Literature Review should address how the

research study contributes to the state of knowledge or practical application.

Since the sections of the Literature Review should reflect the topics in the literature, no

mandatory headings are suggested. However, the heading levels of this chapter should indicate

the progression of ideas in the literature under review.

The Literature Review should show the foundation of scholarly work and the state of the

art of your topic. Students should identify the most important articles related to your topic. The

review should encompass the most recent literature of peer-reviewed professional journals in

both content and method. The greatest emphasis should be given to empirical studies that have

examined the phenomena or tested propositions about variables related to the topic of interest.

Clinical application articles (i.e. “how to treat…”), case studies, and clinical theory should be

Dissertation Handbook - 34 –

addressed in separate sections of the literature review, and should form a background to the

empirical studies under review.

Organize your articles according to sub-themes in the literature and in such a way as to

support your Statement of the Problem. The most important articles should be presented first in

the Literature Review. Chronological presentation is only appropriate if the point of your paper

is the sequential historical development of an idea. You will have to make choices about which

articles are foreground to your study and which are background. Thoroughly summarize those

articles that form the basis of the rationale for your study; other background articles can be

summarized more concisely.

Summarize each foreground article in sufficient depth that the reader can understand the

major findings relevant to your study and how they came up with those findings (method,

instrument, subjects). Provide a critical analysis of each foreground article that identifies any

methodological flaws, lack of generalization, or limitations of the study.

Chapter III- Research Methods

The Methods section is concerned with translating the research problem developed in the

first and second chapters into specific activities to gather evidence to learn about that problem.

Because of the differing assumptions, quantitative and qualitative researchers will address

different elements in this section.

Quantitative Methods

Research Design. The research design describes the overall structure of the study. The

research design usually uses terms such as experimental, quasi-experimental, ex post facto,

correlational, meta-analytic, observational, or descriptive to describe the strategy in which

evidence is gathered that helps us learn about the research problem. The purpose of the research

Dissertation Handbook - 35 –

design is to protect the study from alternative explanations of the observed findings (Krathwol,

1988). The design insures the integrity of the study’s logic of reasoning, which is evident in the

literature review, statement of the problem, and justification of the study. These previous

sections promise what the design can (or cannot) deliver.

The Research Design section should not only specify what design is being used, but also

address internal validity. Internal validity justifies how the design makes the best possible use of

the evidence (i.e. subjects, data) available and eliminates confounding alternative explanations.

Subjects. This section describes from whom do you plan to gather evidence that will

address your research problem. You should describe the population from whom you plan to

select subjects, and the methods by which you plan to select subjects to participate in the

research project. Intended sample size, setting characteristics, and procedures should be

described here as well (see research methods textbooks to determine how to estimate sample

size). Any risks to human subjects and procedures to minimize those risks should be explained

here. Issues of voluntary participation and informed consent should be addressed in this section.

Measuring Instruments. This section describes the instrumentation by which data will be

collected and justifies their appropriateness for the research problem. The operational definitions

of the instrumentation should be consistent with the statement of the problem and definitions in

chapter 1. The reader should find all variables mentioned in the title and statement of the

problem measured in some manner in this section.

To justify the appropriateness of the measures, the proposal needs to address issues of

reliability (consistency of the measurement), construct validity (what the instrument measures),

and any other evidence of validity. The proposal needs to describe scoring methods and how the

scores are interpreted, for example, clinical cut-off scores or “what score indicates a problem?” If

Dissertation Handbook - 36 –

existing instruments are not available, are unreliable, or do not operationalize the variable in the

manner that this research does, the study will need to justify why a newly developed instrument

will do what no one else has been able to do. This may indicate that the research problem of

instrument development and validation needs to be solved before other useful research problems

can be addressed.

Observational or rating methods need to address the reliability of the measurements

through an inter-rater reliability procedure and statistical test.

Students will have to request permission to use published instruments from the authors.

In some cases such permission is only granted for a per instrument fee. Students need to have

obtained permissions to use instruments before the proposal meeting.

Materials. This refers to any materials used in the course of the study, such as laboratory

equipment, tape recordings, audio or videotape, or the use of any stimulus such as reading a

passage or watching a video. If the research project does not use any of these types of materials,

then this section may be omitted.

Procedure. This is a detailed action plan of what you plan to do (or in the case of the

defense, did) with your subjects. The specificity of the work plan indicates how carefully and

realistically the research project has been developed.

This section also describes the settings in which data collection occurs. Any standardized

procedures to control extraneous variance should be discussed. If you are planning to use others,

such as agency staff or research collaborators, to collect data, you should provide a description of

how you will train them to collect data, and, if they collect interview or observational data, some

procedure to evaluate rater reliability.

Dissertation Handbook - 37 –

Statistics. This section should describe which statistical techniques you plan to use and

why those statistics are appropriate for the research problem. Indicate which statistical software

you intend to use. The reader should have a clear sense of the work plan for the statistical

analysis from data input, data clean-up, descriptive statistics, to the inferential statistics that

address your hypotheses.

Qualitative Methods

Research Design. Indicate the specific methodology you intend to use, its historical

roots, and how that approach influences data collection, analysis, and reporting findings.

Assumptions and Rationale for Design. First, discuss why the research problem is well

suited to a qualitative design, then discuss the underlying assumptions of the qualitative

methodology that you intend to use.

Participants and Role of Researcher. This addresses where and how the researcher

intends to gather information that will answer the research questions. Locating the site, gaining

access and establishing rapport, and selecting participants for the data collection process are key

steps in the qualitative research process (Creswell, 1998). The dissertation needs to describe the

relationship of the researcher to the subjects and how the researcher gains entry into the subjects’

social environment for data collection. One aspect of gaining entry is how the researcher will

gain consent or permission to study the subjects, especially in naturalistic studies.

Because qualitative research is interpretive research, it is important to disclose how the

identity of the researcher influences the data collection and interpretation. Qualitative researchers

commonly disclose previous experiences, biases, values, and identity inclusions to demonstrate

the role of the researcher.

Dissertation Handbook - 38 –

Data Collection Procedures. This section addresses the type of information to be

collected, the methods of collecting information (i.e. setting, participants, and nature of

researcher-participant interaction) and the rationale for the procedures. The type of information

can range from observational notes, to open-ended interviews, researcher journal, key informant

journals, collect artifacts, or videotaped observations (Cresswell, 1994). The data collection

methods can be interactive, such as interviews, surveys or participant observation, or can be

noninteractive, such as detached observation, video-recordings, artifact collection, or archival

materials (LeCompte & Priessle, 1993). The proposal should describe any transcription of

audio- or video-tape recordings.

The rationale for the data collection procedures addresses the strengths and weaknesses

of alternative data collection procedures, and how the chosen procedures best address the

research problem.

Data Analysis Procedures. While the Research Design section addressed the historical

tradition in which your research is grounded, and how that tradition shapes the data analysis, this

section describes a concrete action plan for data analysis in as much detail as possible. Each

tradition of qualitative research has some method for reduction and interpretation of data; this

needs to be applied to how you see this working with the data you will generate. If you plan to

use a coding scheme to reduce the information to themes and categories, describe how the coding

scheme was developed. This section also describes any plans for allowing the ongoing analysis

of data to shape subsequent data collection or refocus the sub-questions.

In the final version of the dissertation, describe what actually occurred as the data

collection and analysis emerged. It is common in qualitative research to adjust, expand or

modify data collection strategies based on what the researcher encounters in the field.

Dissertation Handbook - 39 –

Methods for Verification. Because of the interpretive nature of qualitative inquiry, the

researcher needs to provide means of assessing the accuracy of the data and the interpretation.

This is traditionally referred to as validity and reliability, redefined in qualitative contexts as

trustworthiness and authenticity. This section needs to describe how the research will address

the issue of whether the information and interpretation matches reality. Qualitative researchers

choose from among triangulation, participant confirmation, or expert consensus methods to

establish internal validity.

Dissertation Handbook - 40 –

Chapter IV- Results

This chapter communicates the specific evidence that the study generated to address the

research problem. In quantitative studies, this entails a presentation of statistical tables, while in

qualitative inquiry, this is a presentation of themes and categories of the interpretation of data.

Results

The first part should include any descriptive data of the subjects involved in the research.

The remaining results sections should be organized similar to the logic of the research questions

section of chapter 1. Use sub-headings to draw attention to the various components, such as

descriptive statistics and tests of hypotheses, or themes of the results.

In quantitative analysis, tables allow the researcher to present a large amount of

information in a smaller space (APA ¶3.62). The meaning of a table should be obvious in how

the components are arranged and the table title should reflect that meaning. Tables should

support the flow of ideas in the narrative, so reference each table in the text and sumarize what is

significant about that table. Each table, however, should be understood on its own without

reference to the text. The format for table numbering, titles, and format is specified in the APA

Manual (2001). Tables should be placed at an appropriate point that is convenient to the reader,

usually on the same page as its reference in the text or the next page (APA ¶6.03). Tables should

not break over the page; a long table that requires more than one page should start on a separate

page.

Figures can convey the overall pattern of the results better than statistical tables, but

tables can communicate the specific details better. In general, the style standards prefer not to

use figures. If the figure duplicates the text, it is not necessary; if the figure eliminates lengthy

Dissertation Handbook - 41 –

discussion, it may be best. The APA Manual (¶ 3.76; 2001) provides standards to evaluate if

figures are necessary.

Discussion

The final section of the Results chapter ties together the findings in relation to theory,

previous literature, or the rationale for the study. With unexpected findings, the researcher

should discuss why this may have occurred and what the researcher learned about the

phenomena under analysis.

Chapter V- Summary, Implications, & Recommendations

This chapter is a review of the entire study, highlighting the major findings and their

implications for theory, clinical practice, and future research.

Summary

This section summarizes the entire study, from the research problem, to the justification

of the study, research methods, and major findings. This should take enough length, several

paragraphs, to address the major issues in the research. This section should not be redundant

with the Abstract; the Abstract will further summarize this overview of the research.

Implications

In this section you are concerned with the “so what” of the findings. How does this study

add to the state of knowledge of the phenomena of interest or inform clinical practice? The

implications of the study need to be consistent with the stated limitations and threats to validity

discussed in earlier sections.

Dissertation Handbook - 42 –

Recommendations

Based on the findings of this research, what are the recommendations for future research

or clinical practice? The final section of this chapter should recommend actions that logically

flow from the research findings.

References

All references cited in the text should appear in the reference list, and each entry in the

reference list should appear in the text. All references should be in APA form. At the final

defense, students should give their dissertation chair evidence that they have verified the

agreement between citation and reference list.

Students should avoid using secondary citations. A secondary citation is a work that you

read about in another book or article. If it is important enough to influence your study, it is

important enough to read. However, it may be appropriate to use secondary citation for rare

documents or out of print books. Discuss this with your dissertation adivisor.

Appendices

Students should determine if appendices are necessary through careful discussion with

the Dissertation Chair. In grant proposals, appendices are used to provide copies of letters

indicating support for the study or access to a site, copies of unfamiliar tests or assessment

instruments, descriptions of unfamiliar research procedures, or samples of materials used in the

research (Krathwol, 1988). Including copies of published research instruments may violate

copywrite laws.

The APA Manual (¶ 6.02) indicates the following materials as appropriate for an

appendix: Verbatim instructions to participants, original scales or questionnaires, unpublished or

Dissertation Handbook - 43 –

rare instruments, raw data, or informed consent forms. Consult with your dissertation chair to

decide relevant materials for the appendix.

Dissertation Review Checklist

The Necessary Elements of the Dissertation has been summarized into a checklist that

students and faculty can use in reviewing the dissertation document.

Dissertation Handbook - 44 –

Dissertation Review Checklist

Department of Counseling

Title: Date: Student: Evaluator: CRITERIA COMMENTS The Title describes the major variables of interest and the method of study

The Table of Contents includes all necessary elements and page numbers.

The Abstract provides a comprehensive summary of the purpose, rationale, methods, and findings of the study.

1. Chapter I- The Problem and Justification of the Study a. The Introduction presents the specific research problem and the general research strategy.

b. Statement of the Problem states the purpose of the research study, relating that purpose to the state of knowledge in the literature and practical needs of the profession.

c. Research Questions state the relationships among variables of interest that guides the study (Quantitative). Research Questions define the boundaries of the research and narrow the focus of the study (Qualitative).

d. Justification for Study demonstrates the importance of the study related to prior literature, professional practices, and/or theoretical development.

e. Limitations are stated. f. Definition of Terms: important terms are well-defined.

2. Chapter II- Review of Literature Shows how the research is grounded in the current state of knowledge.

Review of the literature is efficiently summarized. Priority is given to empirical studies related to the topic.

3. Chapter III- Methods Quantitative

a. Research Design: section describes the data collection strategy.

Research Design: section describes how the study handles threats to validity.

b. Subjects: describes the population from whom study plan to select subjects

Describes the sampling or selection methods Discusses costs to subjects, risks to subjects, and means of managing risks.

Provides for confidential means of handling data. Addresses informed consent issues.

c. Measuring Instruments: operational definitions of the instruments is consistent with the Statement of the Problem.

All variables in title are measured in some manner Discusses reliability and validity of each instrument Describes scoring methods for each instrument

Dissertation Handbook - 45 –

d. Materials: Describes any experimental materials used in the

study.

e. Procedures: Describes the work plan of the research project Addresses informed consent issues. Describes standardized procedures to control variance Describes the settings in which data collection will occur.

f. Statistics: Describes the statistical methods to analyze data Statistics are appropriate for the research problem

Qualitative a. Research Design: Indicates how the methodology selected

influences data collection, analysis, and reporting findings.

Assumptions and Rationale for Design: discusses why the research problem is suitable for qualitative design

Explains underlying assumptions in the qualitative methodology selected for the study

b. Participants and Role of Researcher: describes the setting and issues of access.

Discusses how the researcher gains entry into the subjects’ social environment

Discusses costs to subjects, risks to subjects, and means of managing risks.

Discusses how the identity of the researcher may influence data collection and interpretation.

Provides for confidential means of handling data. Addresses informed consent issues.

c. Data Collection Procedures: describes type of information to be gathered.

Describes methods of data collection Discusses strengths and weaknesses of data collection procedure

d. Data Analysis Procedures: describes the data interpretation method of the study

Data Analysis Procedures are consistent with research tradition defined in Research Design.

e. Methods for Verification: Study has means for assessing the accuracy of the data and its interpretation.

4. Chapter IV- Results a. Results are presented clearly

Tables communicate the results clearly, b. Discussion: Major findings are summarized clearly and

related to previous research

5. Chapter V- Summary, Implications, & Recommendations a. Summary: efficiently summarizes the research problem, the justification of the research, research methods, and major findings.

b. Implications: describes how the study adds to the state of knowledge or practice.

c. Recommendations: suggests further research or changes in clinical practice based on major findings.

References: References are in APA format Citations and reference list agree.

Dissertation Handbook - 46 –

Grammar and Formatting

Verb Voice and Tense

As noted in the APA Manual (¶ 2.06), active voice is preferred in communicating the

dissertation ideas. In the Proposal, future tense is often used to describe what in planned in the

research. In the Final Dissertation, these future tense statements need to be changed to past tense

to describe what happened in the research.

In reviewing the existing literature, be consistent in the use of verb tense (¶ 2.02). Past

tense or present perfect tense are appropriate for describing what prior research has shown.

In describing the results of the research, use past tense. However, present tense is

appropriate for discussing the results and presenting conclusions in Chapter V. (see APA,

¶2.02).

Heading Levels

The use of heading levels organizes the dissertation and reveals the outline of the

document’s argument of ideas. The use of heading levels makes it easier for the reader to move

to relevant sections and cross-check dimensions of the study. The APA Style Manual provides

guidance on the format of heading levels (APA ¶ 3.31) based on the section of the document that

breaks into the lowest level of sub-headings. Most dissertations will consist of two or three

heading levels.

Do not use the heading format of this Dissertation Manual as a guide for your dissertation

headings. This document uses the appropriate format for a five level heading.

Dissertation Handbook - 47 –

Two Level Headings

If the document only uses two levels of headings, the chapter title should be centered,

uppercase heading, and the section titles should be flush left, italicized, upper and lower case

side headings. Table 3 summarizes the Heading Format for two levels.

Table 3.

Example of Two Level Headings

CHAPTER I

THE PROBLEM AND JUSTIFICATION OF THE STUDY

Statement of the Problem

Because of the paucity of research in the area of blah blah blah…

Research Questions

This research will address the following questions:

Three Level Headings

On occasion one chapter will use sub-headings down to three levels. For example the

themes of the literature review will be organized in a three level outline, or the Methods section

will use a mixed method or qualitative and quantitative data collection strategies. The chapter

title should be centered, uppercase heading; the first heading level should be should be flush left,

italicized, upper and lower case side headings; and the second heading level should be a

paragraph header, indented, italicized, lowercase paragraph heading ending with a period (see

Table 4).

Dissertation Handbook - 48 –

Table 4

Example of Three Level Headings

CHAPTER III

METHODS

Research Design

Subjects

Quantitative Measures

Dyadic Adjustment Scale. This instrument measures the quality of the relationship….

Relationship Styles Questionnaire. This instrument measures the participants’ perceptions of…

Demographic Questionnaire. This instrument was designed for this research to determine…

Qualitative Data

Open-Ended Interviews. After completing the quantitative measures, subject will be asked…

Observations of interaction. The researcher will record field notes of observations of the…

Students needing more than three levels of headings in the dissertation should discuss this

with their Dissertation Chair.

Dissertation Handbook - 49 –

Front Matter and Final Submission

These instructions are from the Graduate School regarding the preliminary pages and

final submission of the dissertation.

1. Pagination a. Preliminary Pages. Use lowercase Roman numerals for the preliminary pages such as the abstract, preface, and table of contents. Page numbers do not appear on the title-fly or the title-page, although both are included in the counting. Begin the numbering with iii on the abstract. Numbers are centered at the bottom of the page. b. Text and Remaining Pages. Use Arabic numbers for the remainder of the dissertation. The page number does not appear on the first page of Chapter 1 although it is included in the counting. Except for Chapter 1, center the number ½ inch from the bottom edge of the first page of each chapter. Number all other pages ½ inch from the top right edge of the sheet. 2. Paper. Type or print the dissertation on 25% - 100% white, cotton, bond paper with a minimum paper weight gauge of 20 lbs. Onion skin or easy-erase types of paper are unacceptable. 3. Preface (or Acknowledgments). Introduce the dissertation with the preface. Include the reasons for making the study, its background, scope, purpose, and acknowledgment of the assistance received. You may think that all significant remarks are covered in the main body of the dissertation. If so, acknowledge the assistance received and entitle the remarks Acknowledgments rather than Preface. The purpose of Acknowledgments is to give credit for professional assistance. Personal remarks, especially those with emotional overtones are more appropriately made in thank you notes, correspondence, or in personal statements to the individual. The date the dissertation is submitted to the committee appears at the end of the preface or acknowledgments.

Dissertation Handbook - 50 –

4. Printing. Print the dissertation on one side of the paper in black print using a laser jet printer or a printer that produces laser print quality. A printer is available in the library for this purpose. Before printing the dissertation, obtain approval of a printed page from the Director of the Library or his representative. Spacing.

Double space the text. As an exception, place prose quotations over three lines in block quote (that is, single spaced, indented on the left only). 5. Quality. The finished dissertation is treated as a book. It is an index of the ability and character of its author. The final copy must be correct in spelling, punctuation, and grammatical form. 6. Submission Dates. Submit two copies of the dissertation to the Graduate School Dean for binding. Submit an extra copy of the abstract and a check for $55.00, to UMI, University Microfilm, Inc., Dissertation Services. The $55.00 pays for the publication of your abstract in Dissertation Abstracts International. If you wish UMI to apply for copyright on your behalf, an additional $45.00 fee is required. Place each dissertation copy in a "500 count" stationary box (or similar box). 7. Binding. The library pays for binding the two copies that are retained by the University. A cataloged copy is kept in the general collections for use by students. A permanent archival copy is kept in the library's Special Collections. Students may submit additional copies to the library for binding. Only the two copies kept by the library require signatures. The student must pay for personal copies. Binding takes approximately four weeks. 8. Publication. The Library submits a copy of your dissertation to UMI Dissertation Services. An abstract of the dissertation will appear in Dissertation Abstracts International and the dissertation will be available through UMI Dissertation Services.

Dissertation Handbook - 51 –

(Sample Title Fly)

PROPERTIES OF GASES FROM AN IRREVERSIBLE EXPANSION

APPROVED:

Dissertation Adviser

APPROVED: Dean of the Graduate School Date (i - number is counted but not printed on the page)

Dissertation Handbook - 52 –

(Sample Title Page)

PROPERTIES OF GASES

FROM AN IRREVERSIBLE EXPANSION:

A

DISSERTATION

Presented to the Faculty of the Graduate School of

St. Mary's University in Partial Fulfillment

of the Requirements

for the Degree of

DOCTOR OF PHILOSOPHY

in

Counseling

by

Gloria Ann Doe, B.A.

San Antonio, Texas

August 1988 (ii - number is counted but not printed on the page)

Dissertation Policies and Procedures - 1 –

ABSTRACT PROPERTIES OF GASES FROM AN IRREVERSIBLE EXPANSION Gloria Ann Doe St. Mary's University, 1988 Dissertation Adviser: Joseph Rudolph, S. M.

There are many elaborate methods used to find the properties of

gases, such as viscosity, heat capacity, . . .

iii (this is the first printed number)

Dissertation Policies and Procedures - 2 –

VITA

CENSUS: Gloria Ann Doe was born on June 6, 1940, in San

Antonio, Texas. Her parents are Mr. and Mrs. Joe Doe. She is married and has one child.

TRAINING: Gloria Ann Doe graduated from Brackenridge High

School, San Antonio, Texas, May 1962. She received her Bachelor of Arts degree from St. Mary's University of San Antonio, Texas, 1984.

EXPERIENCE: From 1963-1967 she was employed at Kelly Air Force

Base, San Antonio, Texas, as an Education Specialist. She held secretarial positions in Oklahoma City, Oklahoma, Montgomery, Alabama, Laredo, Texas, and San Antonio, Texas from 1968-1981. She has been an Instructor of Biology at St. Mary's University since 1986.

(Include publications, if applicable, and similar achievements.)

ADDRESS: 201 Leigh Street San Antonio, Texas TYPIST: Joyce Stuart 6818 Twinspur San Antonio, Texas

Dissertation Policies and Procedures - 3 –

References cited

American Psychological Association (2001). Publication Manual of the American

Psychological Association (5th ed.). Washington, D.C.: American Psychological

Association.

Boyer, E. (1990). Scholarship Reconsidered: Priorities of the Professoriate. The

Carnegie Foundation for the Advancement of Teaching. San Francisco: Jossey-

Bass Inc.

Cresswell, J. (1994). Research Design: Qualitative and Quantitative Approaches.

Thousand Oaks, CA: Sage Publications

Cresswell, J. (1998). Qualitative Inquiry and Research Design: Choosing among Five

Traditions. Thousand Oaks, CA: Sage Pub.

Krathwol, D. (1988). How to Prepare a Research Proposal. Syracuse, NY: Syracuse

University Press.

Krathwol, D. (1998). Methods of Educational and Social Science Research: An

Integrated Approach. New York: Addison-Wesley Educational Publishers

LeCompte, M. D. & Priessle, J. (1993). Ethnography and Qualitative Design in

Educational Research (2nd Ed.). San Diego, CA: Academic Press, Inc.

Dissertation Policies and Procedures - 4 –

Appendix 1:

Dissertation Forms

Dissertation Policies and Procedures - 5 –

ST.MARY’S UNIVERSITY GRADUATE SCHOOL

DISSERTATION COMMITTEE DECLARATION

Submit the original and two copies of this form to the Graduate Program Director once you have obtained all necessary signatures. Students must submit the Dissertation Committee Declaration form with the Dissertation Title form after the Pre-Proposal. Once a dissertation committee has been appointed and approved, its composition is considered fixed and permanent. The student may petition the Graduate Council for a change under extreme circumstances. Student Name _________________________________________________________________ Anticipated Graduation Date ____________________________________________________ (Please type or print names in the spaces provided) COMMITTEE CHAIR:_______________________________________________________ (PRINT NAME) _________________________ Signature Date

COMMITTEE MEMBER: ___________________________________________________ (PRINT NAME) _______________________________________ Signature Date COMMITTEE MEMBER: ____________________________________________________ (PRINT NAME) __________ __________________________ Signature Date

REV: 02/07

CN-P-08

ST.MARY’S UNIVERSITY GRADUATE SCHOOL

DISSERTATION TITLE

Name: ID: PhD Program (CES or MFT.): Request approval of the following dissertation title: Expected date of graduation (month and year): FOR OFFICE USE ONLY DISSERTATION ADVISER: Recommendation (enter approve or deny): GRADUATE PROGRAM DIRECTOR: Recommendation (enter approve or deny): GRADUATE COUNCIL ACTION (enter approved or denied): DEAN GRADUATE SCHOOL: Date:

REV 2/07

Dissertation Review Checklist Department of Counseling

Title: Date: Student: Evaluator: CRITERIA COMMENTS The Title describes the major variables of interest and the method of study

The Table of Contents includes all necessary elements and page numbers.

The Abstract provides a comprehensive summary of the purpose, rationale, methods, and findings of the study.

1. Chapter I- The Problem and Justification of the Study a. The Introduction presents the specific research problem and the general research strategy.

b. Statement of the Problem states the purpose of the research study, relating that purpose to the state of knowledge in the literature and practical needs of the profession.

*

c. Research Questions state the relationships among variables of interest that guides the study (Quantitative). Research Questions define the boundaries of the research and narrow the focus of the study (Qualitative).

*

d. Justification for Study demonstrates the importance of the study related to prior literature, professional practices, and/or theoretical development.

*

e. Limitations are stated. f. Definition of Terms: important terms are well-defined.

2. Chapter II- Review of Literature Shows how the research is grounded in the current state of knowledge.

Review of the literature is efficiently summarized. Priority is given to empirical studies related to the topic.

3. Chapter III- Methods Quantitative

a. Research Design: section describes the data collection strategy.

Research Design: section describes how the study handles threats to validity.

b. Subjects: describes the population from whom study plan to select subjects

*

Describes the sampling or selection methods * Discusses costs to subjects, risks to subjects, and means of managing risks.

*

Provides for confidential means of handling data. * Addresses informed consent issues. *

c. Measuring Instruments: operational definitions of the instruments is consistent with the Statement of the Problem.

*

All variables in title are measured in some manner * Discusses reliability and validity of each instrument * Describes scoring methods for each instrument *

d. Materials: Describes any experimental materials used in the study.

*

e. Procedures: Describes the work plan of the research project * Addresses informed consent issues. * Describes standardized procedures to control variance * Describes the settings in which data collection will occur. *

f. Statistics: Describes the statistical methods to analyze data Statistics are appropriate for the research problem

Qualitative a. Research Design: Indicates how the methodology selected

influences data collection, analysis, and reporting findings.

Assumptions and Rationale for Design: discusses why the research problem is suitable for qualitative design

Explains underlying assumptions in the qualitative methodology selected for the study

b. Participants and Role of Researcher: describes the setting and issues of access.

Discusses how the researcher gains entry into the subjects’ social environment

Discusses costs to subjects, risks to subjects, and means of managing risks.

Discusses how the identity of the researcher may influence data collection and interpretation.

Provides for confidential means of handling data. Addresses informed consent issues.

c. Data Collection Procedures: describes type of information to be gathered.

Describes methods of data collection Discusses strengths and weaknesses of data collection procedure

d. Data Analysis Procedures: describes the data interpretation method of the study

Data Analysis Procedures are consistent with research tradition defined in Research Design.

e. Methods for Verification: Study has means for assessing the accuracy of the data and its interpretation.

4. Chapter IV- Results a. Results are presented clearly

Tables communicate the results clearly, b. Discussion: Major findings are summarized clearly and

related to previous research

5. Chapter V- Summary, Implications, & Recommendations a. Summary: efficiently summarizes the research problem, the justification of the research, research methods, and major findings.

b. Implications: describes how the study adds to the state of knowledge or practice.

c. Recommendations: suggests further research or changes in clinical practice based on major findings.

References: References are in APA format Citations and reference list agree. * relevant to IRB review

ST.MARY’S UNIVERSITY GRADUATE SCHOOL

DISSERTATION PROPOSAL APPROVAL

Student Name: Title: Date of Proposal: Date of Approval: Evaluation Initials of

committee Pass, no corrections needed

Pass with minor modification

Deferred Decision

Fail

Note any deficiencies or modifications needed:

REV 2/07