GUIDE
TO THE
DISSERTATION PROCESS
AT
SARASOTA CAMPUS
5250 17th Street
Sarasota, Florida 34235
Revised September 2003
TABLE OF CONTENTS
Computer Software and Submission Requirements for the Documents………………. 3
Planning and Budgeting for the Process…………………………………………………………. 3
THE DISSERTATION PROCESS…………………………………………………………………….. 6
Components of the Process…………………………………………………………………………… 6
Dissertation Grades………………………………………………………………………………… 7
The Prospectus and Formation of the Committee…………………………………………….. 7
Summary of the Steps……………………………………………………………………………… 8
PHASE ONE: THE PROPOSAL ……………………………………………………………………… 11
Introduction………………………………………………………………………………………………… 11
CHAPTER ONE: THE PROBLEM AND ITS COMPONENTS…………………………… 12
Introduction………………………………………………………………………………………………… 12
Problem Background……………………………………………………………………………………. 12
Literature Review………………………………………………………………………………………… 12
Purpose of Study…………………………………………………………………………………………. 13
Limitations/Delimitations……………………………………………………………………………… 14
Definitions………………………………………………………………………………………………….. 14
Importance of the Study……………………………………………………………………………….. 15
CHAPTER TWO: REVIEW OF THE LITERATURE…………………………………………. 16
CHAPTER THREE: METHODOLOGY……………………………………………………………. 18
Introduction…………………………………………………………………………………………………. 18
Research Design…………………………………………………………………………………………… 18
Selection of Participants………………………………………………………………………….. 18
Instrumentation………………………………………………………………………………………. 19
Assumptions or Limitations……………………………………………………………………… 19
Procedures 19
Data Processing and Analysis………………………………………………………………………… 20
Revising Chapter Three…………………………………………………………………………………. 20
The Institutional Review Board……………………………………………………………………… 21
The Oral Defense of the Proposal: Completion of Phase One……………………………. 21
PHASE TWO: CONDUCTING THE RESEARCH/EVALUATION ……………………. 24
CHAPTER FOUR: FINDINGS…………………………………………………………………………. 26
CHAPTER FIVE: SUMMARY, CONCLUSIONS AND RECOMMENDATIONS. 27
Summary ………………………………………………………………………………………………….. 27
Conclusions…………………………………………………………………………………………………. 27
Recommendations……………………………………………………………………………………….. 27
MAKING THE DOCUMENT WHOLE: THE FINISHING TOUCHES………………. 28
The Final Defense of the Dissertation……………………………………………………………… 29
Bindable Copies: The Completion of Phase Two……………………………………………… 30
CONCLUSION……………………………………………………………………………………………….. 31
Appendix A: Permission for Release of Dissertation and Copying……………….. 32
Appendix B: Dissertation Registration Plan ………………………………………………. 34
Appendix C: Petition for Establishing Candidacy/Dissertation Committee……. 36
Appendix D: Sample Signature Page for the Proposal…………………………………. 39
Appendix E: Sample Table of Content for the Proposal………………………………. 42
Appendix F: Sample Signature Page for the Dissertation…………………………….. 44
Appendix G: Sample Dissertation Title Page……………………………………………… 46
Appendix H: Sample Table of Contents for the Dissertation……………………….. 48
Appendix I: Sample Abstract for the Dissertation……………………………………… 52
INTRODUCTION TO THE DISSERTATION PROCESS
Purpose of the Guide
The dissertation is the culminating activity of your formal academic career, and represents your original contribution to the literature in your field. The type of dissertation you choose to engage in is determined by the literature in your field, the subject matter to be investigated, and your personal interests. No matter which type of dissertation you choose to write, there will need to be a formal structure. This document is designed to assist you in completing and presenting your dissertation at Argosy University/Sarasota. You and your committee are being provided with a set of standards and with a starting place for decisions to be made on the writing, printing, presentation, use of assistance, submission, and planning necessary for this project to reach completion. All doctoral candidates must refer to this guide and follow its direction whenever submitting materials to their committees. Though much of this guide is specifically aligned with quantitative research designs, other appropriate formats are encouraged including qualitative formats, action research projects, evaluation studies, case studies, narrative inquiries, biographies, etc. The committee chair has the ultimate authority on these matters and is the person responsible to the University for the structure, content, and final submission of the document for binding.
The dissertation tests many of the talents expected of doctoral candidates, including but not limited to, writing style, research ability, knowledge of the field, design and analysis skills, organization, and verbal presentation. There are many aids available to you, but in the final analysis you are earning the degree; therefore, you are responsible for defending (in writing and orally) every word, concept, result, article reviewed, and conclusion in your document.
The decision as to whether you have demonstrated the necessary qualifications to earn the degree rests with the committee. The selection and working relationship with the committee is crucial to the successful outcome of the dissertation process. How you use this guide, other available resources, the input of the committee, and your own talents and motivation will determine whether the degree is achieved. The Research Committee of Argosy University/Sarasota hopes that this document will assist you in this very important journey and looks forward to the completion of a document that you, your committee, and the University can be proud to say represents the best we have to offer.
Writing Style, The APA Manual (5th ed.) and Rule Clarification
The fundamental guide for the writing style of Argosy University/Sarasota is the Publication Manual of the American Psychological Association [5th ed], (the most recent APA Manual, or APA). This reference is primarily designed for the submission of manuscripts to be reviewed and edited for publication, and frequently contains suggestions, [i.e. running heads, page numbering, and spacing], that are not applicable to the publication of the dissertation. Where there are differences, the committee will resolve them. It is your responsibility to become familiar with the APA Manual and to make sure that anyone assisting in the typing of the dissertation follows the APA’s rules.
The APA Manual also includes directions for the reporting of numbers, construction of tables and figures, structure of headings, use of sexist terms, preferred language, the expression of ideas and writing style suggestions. You must become familiar with these sections. Writing for research or publication demands a higher level of dedication and compliance to rules than papers written for submission in a regular classroom setting. You must demonstrate greater writing and researching abilities in order to join the community of publishers in professional literature.
Computer Software and Submission Requirements
Argosy University/Sarasota has adopted the Microsoft Office software bundle as the standard for its operations whenever there is a requirement for submitting files or disks of student work. In addition to the printed forms for dissertation documents described at the end of this guide, you will also be required to submit a copy of the final dissertation on disk/cd, using Microsoft Word, with permission for the university to reprint copies as requested (See Dissertation Publication Permission form in Appendix A). You may also be requested to submit electronic copies of your raw data, either in an Excel spreadsheet format, or the Statistical Package for Social Sciences (SPSS) program.
Always submit well-written copies to your committee members for feedback. Following your final defense, your dissertation must be submitted on white, 20 lb., 25%, rag content (cotton fiber) paper. After the successful defense of your dissertation, you will make any necessary corrections and submit two final copies for binding to the committee chair. One of these copies is for you, and one is for the university’s library. The cost of binding two copies is included in your dissertation binding fee charges, as part of your graduation fees. Additional copies to be bound can be requested for an additional charge.
Planning and Budgeting of the Dissertation Process
The dissertation is a major undertaking, and there are several general considerations and expenses for which you must plan. These extra considerations include time, money and additional skills (such as test administration or statistical analysis) that you may need to learn in order to complete your research. In addition, you may wish to hire typists, data entry persons, editors, or research assistants. Tuition for the minimum of fifteen credits is only one of the many financial challenges that you will face. You are advised to begin your financial planning as soon as possible. If you are a financial aid recipient, please contact the campus Student Finance Office to discuss your Dissertation Registration Plan (See Appendix B).
Rates vary by availability, skill level, and geography; however, it would not be unusual for a good word processor to charge at least .00 or more per page for text work, more for tables and references, and at least .00 per hour for editing. For a two hundred-page document that has been revised at least two times, it is easy to estimate typing charges alone can cost anywhere between 00.00 and 00.00. It is always in your best interest to turn in the best possible copy for word processing.
The selection of a word processor is also important, since skilled people are in high demand, and the turn-around time they may be able to offer you will add to the time it takes to finish your dissertation. You must know the word processor’s ability, editing skills, workload and familiarity with dissertation work using the APA format before you decide to hire someone to assist you.
Create a realistic time management plan for the completion of your dissertation. You will be coordinating your own efforts, the word processor’s work, university deadlines, and the submittal of revisions to committee members. Normally, a committee member should be allowed three weeks (that includes four weekends) in order to critique and return comments on your submissions. This time frame can take longer during intersessions and graduating periods, so it is important for you to keep faculty schedules in mind when submitting materials for review. The committee will decide when the document is ready to defend based on your work and on other priorities.
The Use of Assistance in the Dissertation Process
It is not unusual for doctoral candidates to enlist the assistance of others in the course of dissertation research and document preparation. Some tasks are best handled by others because of their expertise, (i.e. word processing, test administration), and/or due to a need related to the research design, (i.e. presenting treatments or training, quality or integrity checks, control for threats to validity). Although you must make decisions on how to best utilize your time and when to use others’ skills, you never relinquish the responsibility for the process or the product of the research.
You are responsible for knowing every aspect of the research. You are answerable to your committee for the procedures, accuracy, interpretation and integrity of results. Be prepared to describe and explain every aspect of your research. You must also be able to demonstrate that you have personally checked all work for accuracy. Again, you are in control of the project if experts or hired assistants are used. You remain solely responsible for understanding the reasons certain procedures were used and the appropriate interpretation of the results.
THE DISSERTATION PROCESS
Components of the Process
The dissertation process at Argosy University/Sarasota can be thought of as having three major components; (a) the prospectus and the formation of the committee; (b) Phase One, the proposal and the defense of the proposal; and (c) Phase Two, the conducting of the research/evaluation, the defense of your dissertation, and the submission of your dissertation for binding. A description for each of these components follows.
Registration for Dissertation
You begin the dissertation at the beginning or midpoint of a term. When you are ready to begin, contact the Argosy University/Sarasota Student Services Department and complete the registration process. You will be required to complete a Dissertation Registration Plan Form (See Appendix B) and submit it to the Student Services Department.
All doctoral level dissertations require a minimum of fifteen semester credit hours for completion. Automatic registration begins with the first term of enrollment and commences with completion of all dissertation requirements. You will automatically be enrolled for a portion of those credits (typically three) at the beginning of each term from the start of the dissertation process until passing your final defense. If your dissertation is completed in fewer than five terms, you must still register for the required minimum of fifteen credits before a final grade for the dissertation will be granted. In other words, if you finish in fewer than five terms, you will need to register for more credits in order to earn the fifteen-credit minimum. If you take longer than five terms to complete your dissertation, you will be required to register for three additional credits of dissertation classes each term until passing your final defense. If you take more than six terms to complete your dissertation, you will need the written permission of the dean of your school to continue.
Dissertation Grades
At the end of each term, the dissertation chair will issue a grade of “PR”(progressing) indicating that you are progressing toward completion of the dissertation, or a grade of “NC”(no-credit) indicating that you have not progressed adequately and should receive no credit for dissertation that term. All “PR” grades will be changed to “CR”(credit) once you have successfully completed all dissertation requirements. Any grade of “NC” will be permanent and will not count toward the fifteen credit hour requirement for completion of your dissertation.
The Prospectus and Formation of the Committee
After you have completed the required course work and passed the department’s comprehensive examination, you are ready to begin the dissertation process. The first step is to discuss dissertation requirements with your faculty advisor, seek guidance about using this Dissertation Guide, and request a dissertation committee (See Appendix C). Your dissertation committee will consist of three people; either a chair, a committee member and a reader; or two co-chairs and a reader. The reader will be either the dean of your school or her/his designee.
You will be required to prepare a 5-10 page prospectus for potential faculty to review in deciding whether or not to serve on your committee. The prospectus provides a brief statement about the nature of the your probable research topic area, your experience or ability to conduct the research or evaluation, what reading you have already completed related to the study, along with enough additional information to allow the faculty committee nominees to ask questions before agreeing to serve on your committee. In addition to the narrative, attach a bibliography of past related reading, a suggested literature review outline that includes data bases and key words related to the research topic, and a “best guess” at a timeline for completion of the next two phases.
The prospectus identifies the focus of the study for the potential committee members and marks the first step in formalizing your dissertation topic. Your advisor is responsible for assisting you through the committee formation process, however, it is not a requirement that your advisor be on your committee. Once your petition has been approved, your committee formed and your chair/co-chairs assigned, you are admitted to doctoral candidacy. You are required to register for three or more hours of dissertation work. Once registration is complete, you may begin working on Phase I with your committee.
Summary of Steps for Dissertation Process
(a) If the committee is DISAPPROVED for any reason, your advisor and dean will meet to discuss alternative assignments. Your advisor will then talk with you to discuss changes to the composition of the committee and to discuss alternatives, which may include new appointments or prospectus.
Return to Step 2.
(b) When the committee is APPROVED, your dean will forward the signed petition to the Student Services Department for processing. The Student Services Department will send you a copy of the approved form and a Dissertation Registration Plan form.
PHASE ONE: THE PROPOSAL
Introduction
Phase One of the dissertation process is called the proposal. This portion of the scholarly work consists of three parts; Chapter One, the research problem and related parameters; Chapter Two, the review of literature; and Chapter Three, the methodology employed in the dissertation. The three chapters follow a specific structure and format. Deviations on structure may occur, but only with the consent and approval of your committee. Because the research has not yet been conducted, chapters should be written in future tense except for Chapter 2. A sample signature page for the proposal, typing instructions for the proposal cover sheet, and a sample of table of contents for the proposal can be referenced in Appendices D and E.
Your committee will provide a critique as each chapter is submitted. The chair determines the order in which these three chapters should be prepared. The specific kind of information expected to be in each of the chapters is provided in the following sections, followed by the instructions necessary to complete Phase One.
CHAPTER ONE: THE PROBLEM AND ITS COMPONENTS
Introduction
Chapter One of the proposal begins with a clear, succinct and general presentation of the problem area or need to be addressed in the research. The statements should orient the committee’s thinking to your topic. After reading the problem section, committee members must be satisfied that a case is made for the existence of a problem, and it is clearly delineated and the problem has intellectual merit worthy of dissertation research.
Problem Background
This section provides the historical, social, and theoretical contexts for the problem addressed. It is a distillation or summary of the background literature most relevant to the research/problem focus. After reading this section, committee members should be able to understand how the problem has evolved over time, the contexts of the problem, and what theories support the research area to be explored.
Literature Review
The bulk of the review of the literature, a critical developmental component in the entire dissertation process, will be completed in Chapter Two. The literature references in Chapter One are not nearly as extensive, either in the number of articles included or the extent to which each article is described, as found in Chapter Two. The references cited within Chapter One provide a selective and analytical summary of ideas and theories essential to the research, and must be presented in a logical manner to support the merit of your inquiry. After reading the review section, your committee members must clearly understand the patterns of inquiry presented in the literature and be convinced that the essential literature supports the existence of the problem. They must also be confident that your proposed methodological directions are appropriate and effective for the problem area.
Purpose of the Study
This section of the chapter is brief but important. The focus and intentions of your research effort must be stated clearly and succinctly. All previous writing must be directed toward this specific and concise statement of the purpose of your dissertation. All subsequent chapters illuminate, support, or describe efforts to implement a design and interpret findings related to this specific purpose. There may be several subgoals of the dissertation stated along with the purpose. After reading these statements the committee should be able to give support to the worthiness of the study. The committee also needs to have a clear understanding of the essential goals or products of the dissertation while also seeing an interrelationship between the problem statement, the background and essential literature, as well as the statement of the purpose.
Research Questions or Research Hypotheses
In order to accomplish the stated purpose of the study, there are several conceptual questions or hypotheses developed whose answers will allow the researcher to interpret their results in relationship to the reason(s) for the study. These are often general questions that are later operationalized with specific measures and statistical parameters that may take the form of null hypotheses. After reading the research questions or hypotheses, the committee should be able to understand what is being asked or explored by your research, and see the clear link between the questions and the statement of the purpose.
If the dissertation is a qualitative study, the general research questions will be
stated, followed with brief statements of the qualitative tradition (or approach) to be used. You will present a detailed description of the qualitative design and its components in Chapter Three.
Limitations/Delimitations
This section is designed to identify the limitations and delimitations of the dissertation. The statement of limitations is based on assumptions about the conditions that are anticipated and are often related to measurement, design, and other issues frequently related to internal validity or other appropriate criteria. The statement of delimitations describes “self-imposed” limits, often related to temporal or sample size issues and is frequently related to the generalizability of the findings. After reading this section, the committee should be able to judge whether the limitations are too restrictive to be useful in reaching the purpose of the study, whether they are realistic, completely described, or too broad, and to ascertain whether the delimitations threaten the quality of the research or evaluation, thereby nullifying the value of the project.
Definitions
Key terms must be clearly understood among committee members so that all of the contributors to the dissertation process and all subsequent readers understand your intended meaning. Often there is new terminology related to a current research problem. There are also terms or constructs that have different meanings depending on the context or theoretical orientation of the author. The section of definitions develops a fundamental agreement about what is meant when a particular term is used in the dissertation. This alphabetical listing is introduced by a brief explanation of the reason for the definitions in the chapter, and each definition is supported by a reference.
The definition statement should also include terms operationalized with a scale, score, or specific product. After reading the definitions, the committee should be able to clearly understand and comprehend each definition, judge that the definitions are consistent with research standards and the literature of the field, and be able to reach agreement on the appropriateness of each definition for the present study.
Importance of the Study
Sometimes referred to as the “significance statements,” this section is where you reveal what potential impact your study will have on the current thinking about the dissertation’s research questions, its potential for contributing to existing theory, its application to other venues, and/or its potential for bringing about change in existing practice. The committee must decide if the importance of the study is congruent with scholarly expectations, and that you have a realistic and clear view of the potential impact of the results from this study.
The chapter closes with a summary. This brief (only one or two paragraphs) outline description about the remainder of the document serves as a transition to Chapter Two.
CHAPTER TWO: REVIEW OF THE LITERATURE
The review of relevant literature is the foundation of the research undertaken for your dissertation. The topic comes from the literature; the relevant theory is found in the literature, and the methodological and measurement considerations are described in the professional literature. The review of the literature is exhaustive.
The evaluation of pertinent issues is presented according to the guidelines in the APA Manual. The sources for the review include government documents, appropriate databases, books, professional journals, and other information about previous investigations and theories that form the rationale for the current undertaking.
Information must be thoroughly evaluated, meaningfully interpreted, properly referenced and logically presented in order to build an argument for the importance of the research, as well as the correctness of the methods used in the dissertation to add new and original information to existing knowledge of the subject explored. The review of the literature is the content of Chapter Two.
It is possible that during the course of the dissertation process, conducting the research, or explaining the results, additional literature review may be necessary, and some of this may be appropriate to add to Chapter Two before the completion of the final document. If no additional areas for research or literary review are discovered after examining this initial effort, this phase of the dissertation process will be concluded. Before agreeing that Chapter Two is complete, your committee will want to see, at a minimum, that your review;
1. is exhaustive and relevant,
2. includes contrary or controversial opinions fairly,
3. includes past studies, theory, methodology and measurement issues,
4. is well organized and written to provide a framework for the proposed study,
5. is analytical and not just a presentation of what has been done by others,
6. and provides a historical context for the current investigation.
Concluding Chapter Two is usually accomplished through the development of outlines, identification of reference sources, the submission of drafts, the receipt of feedback and the revision of drafts. If your progress is deemed insufficient, at the discretion of your committee chair, a face-to-face or teleconference meeting may be necessary.
CHAPTER THREE: METHODOLOGY
This chapter of the proposal presents the design, procedures, and analysis plan for carrying out the study. When it is revised for the final dissertation, this chapter will include in replicable detail all aspects of the methodology, both proposed and what actually occurred during the course of the research. Although there will be different headings for studies of various approaches, the following are examples of sections most commonly found in quantitative, qualitative, and mixed model dissertations.
Introduction
The chapter may begin with a brief introduction, which can include the general type of methodology employed in the research or evaluation, (i.e., experimental, survey, descriptive, case study, action research, etc.), and a brief restatement of the nature and purpose of the study. This section of the chapter does not necessarily require a distinct heading.
Research Design
This section describes the specific design used in your study. Variables and classifications are clearly spelled out and consistent with the definitions in Chapter One. This section will often have several subsections or subheadings.
Selection of Participants
Provide a complete description of the participants (subjects), their location, how participants are (for the proposal) or were (for the dissertation) selected for the sample, and the population they represent.
Instrumentation
This section presents a complete description of the instruments, tests, surveys, questionnaires, observational protocols, or measures used in the study, including information on their reliability, validity, origin, and appropriateness or rationale for use in your study. Any instruments used or created for the study will be included in an appendix. Information in the methods section on the testing of the instrument in a pilot study, associated approvals granted for use, or previous research should also be included.
Assumptions or Limitations
Include any fundamental assumptions about the methodology employed in the study, or threats to validity that have an impact on interpretation that may not have been adequately controlled due to design problems.
Procedures
The procedures section of Chapter Three must be very detailed, since the work done for your dissertation must be replicable. It must include all of the information necessary for others to implement this same research such as securing institutional permission to conduct the investigation (if necessary), the first contact with participants, instructions or materials used in the study, setting of the study, development of special instruments, conducting pilot studies, and any other information that would take the reader from start to finish. Additional replicable information includes field observations, classroom instruction, laboratory experiments and interview processes used. If a lesson plan, protocol, or training manual is followed, a copy of it must appear in an appendix. This section will also include information about data gathering and recording procedures organized under subheadings.
Data Processing and Analysis
This part of the chapter is often called the “statistical analysis” section, although some studies may not involve the collection of quantitative data or may use a combination of data that includes both quantitative and qualitative data analysis. Information must be collected, processed, and analyzed according to acceptable standards with appropriate tools or techniques in order to provide the information necessary to answer the research questions stated in Chapter One.
Of course, in the proposal phase of writing, not all conditions can be anticipated. As you revise Chapter Three, state what is intended to be answered for the proposal. Report what was actually done, any deviations from the original analysis plan, and why these decisions were made in the revisions of Chapter Three. This section also includes any supplemental analysis decisions once the data were gathered and after any preliminary analysis was undertaken.
The Institutional Review Board
Before you can defend the proposal (Chapters One, Two and Three) to the dissertation committee, Argosy University/Sarasota’s Institutional Review Board (IRB) must review a summary of the proposal. There are no exceptions to this policy; this is a federally mandated requirement. The IRB will review the summary documents for the ethical treatment of human subjects, the maintenance of confidentiality of records, test scores, and other materials. When all requirements are met, the IRB will sign a form that indicates its approval of the proposal. This form will be included with the proposal as the second sheet of the document following the signature cover page. Any change in procedures or instrumentation that results from either the proposal defense or the conducting of the research must be reviewed by the IRB. Refer to the Institutional Review Board Guide prepared for Argosy University/Sarasota students for information detailing the appropriate procedures and forms.
The Oral Defense of the Proposal: Completion of Phase One
By now, the dissertation committee has in its possession the three reviewed and revised Chapters of Phase One that form the content of the proposal, and the IRB Approval Form. These documents include all cover sheets, reference lists, appendices, and supplemental materials necessary for the committee to adequately judge the merits of the study. The time has come for the oral defense of the proposal, and the completion of the first phase of dissertation work. A face-to-face meeting with your dissertation committee is the preferred method for your proposal defense. However, due to the geographic dispersion of Argosy University/Sarasota’s student body, a teleconference defense may be permitted at the discretion of the committee chair when the quality of your previous work and demonstrated ability clearly indicate that this format will not interfere with the successful presentation of the proposal defense.
The defense of the proposal is not just a formality, even though most major issues should have been resolved during the writing and feedback process of the first three chapters. There may be several issues that require clarification or decisions that need to be supported. You are expected to demonstrate both a mastery of your proposed study and the related literature that supports it, as well as adequately answer questions your committee has about the practical implementation of the study and its likelihood of successful completion.
Referenced below is a very short list of potential proposal questions that may help prepare you for your oral defense:
1. Does the design clearly relate to the purpose of the study?
2. Does the design adequately address the research questions?
3. What are the data sources? Are they useful, reliable, and sufficient?
4. Is the design feasible within the stated limitations and delimitations?
5. Does the design attend to the protection of human subjects?
6. Is a realistic timeline established?
7. Is the sample clearly defined?
8. Does the methodology reflect the literature?
9. Is this a valid research design for the study and the subject area?
10. Is the procedure cogently presented with adequate detail, thus allowing for replication?
If the proposal is successfully defended, the Student Services Department will be notified of the completion of Phase One by the chair of your committee. A record of this completion will be entered into your student file. Signatures of approval must be secured before moving to the next phase of your dissertation (See Appendix F).
The defense may also be considered a “qualified success” if there are only minor changes that the committee requires to be included prior to signing off on the proposal’s completion. In such a case, the same process for completion notification will be followed after you make the necessary changes to the documents.
A failure to defend the proposal may be due to several factors, some related to the document and some related to your responses. Whatever the reason, a successful defense is a prerequisite to moving forward in terms of conducting your research or evaluation. Under no circumstance may you collect any data prior to a successful proposal defense and approval from the Institutional Review Board (IRB). Collection of data prior to a successful proposal defense will result in disciplinary action, up to and including expulsion from Argosy University.
PHASE TWO: CONDUCTING THE RESEARCH/EVALUATION AND COMPLETING FINAL REQUIREMENTS
You can proceed to implement the investigation as designed and agreed upon by your committee after the successful defense of the proposal. Since Phase Two cannot be started until the committee approves your proposal, and time commitments often have to be arranged for subject availability, school year calendars, and researcher/trainer/data collection schedules, you are advised to carefully plan and create contingency plans that account for possible delays in implementation.
It is your responsibility to implement the study as presented in the proposal, but there may be times when it is necessary to make rational adjustments from your original plans. It is also possible that something may occur over which you have little or no control. These incidents must be carefully recorded; keep the committee informed of their occurrence. Committee approval must precede any planned changes.
In the first three chapters of the dissertation you present the problem, what the literature has to report related to this problem, and what you are going to do to add to the knowledge of this problem. Then you propose a design to conduct the research or evaluation for your dissertation, which includes the collection of data.
Three of the remaining five tasks require that you; (1) gather and present accurate data (Chapter Four); (2) summarize and interpret the data as it relates to the previous literature, draw conclusions and make recommendations for future research (Chapter Five); and (3) complete the dissertation document (abstract, appendices, table of contents, transition paragraphs, etc.). These tasks are described in this part of the guide. The final document must be written in past tense except for Chapter 2. The final defense of the dissertation and the completed, bound copy of the document (tasks 4 and 5) will be presented in the final sections of this guide.
CHAPTER FOUR: FINDINGS
The results of the data collection and the statistical analysis of the data are presented in Chapter Four. There are several methods for presenting this information. The one thing in common for all data in Chapter Four is that it is factually presented and free of interpretation. Data may be presented in charts, graphs, tables, or in any combination of these methods, following the guidelines in the APA Manual. The language of this section can only be functional in nature. Only the findings are reported. No interpretative or directive statements can be made in this chapter.
Chapter Four begins with a brief restatement of the purpose of the study, and an introduction to the content of the chapter. Present the data in the order the research questions appear in Chapter One. The research questions provide the best guidance as to the number, level, and title of subheadings within this chapter. Analyses that are included subsequent to the initial planning of the research are typically given their own headings following the initial presentation of the research questions. Each section presents the question and hypothesis, the analysis or graphic display, and the results, before moving on to the next question. The chapter concludes with a summary of all the findings, often as a table, and provides a transition paragraph to the final chapter of the dissertation.
CHAPTER FIVE: SUMMARY, CONCLUSIONS AND RECOMMENDATIONS
Summary
Begin this chapter with a brief summary of what was presented in Chapters One, Two, Three and Four. This includes a brief and accurate statement of the problem, methodology, and the findings.
Conclusions
Discuss what you can accurately conclude from the findings, how these conclusions relate to your hypotheses, and discuss the implications of these results on future research in your field. Also consider making relevant conclusions about the design, measurement or other methodological considerations that were a focus of your study. Selected key ideas in the review of literature can be included, particularly if they parallel or contrast with the results of your study.
Recommendations
In this portion of Chapter Five, present your recommendations for future research or the application of your evaluation related to the topic of your dissertation. Your committee will be particularly interested in the extent to which you (a) summarize clearly and comprehensively, (b) provide the implications related to your procedures and findings, (c) make practical recommendations and a logical extension of your completed research, and (d) produce future research recommendations presented in the broader context of the previous literature.
MAKING THE DOCUMENT WHOLE: THE FINISHING TOUCHES
Before the dissertation is ready for your committee and your final defense, several revisions and additions may be required. Word processing requirements and the APA format must be particularly precise at this time. The only difference between the final, bindable copy and the final defense copy of the dissertation is the quality of the paper. A final review includes the following:
1. Review of Chapter One.
3. Review and completion of Chapter Three, including the addition of any conditions that affected the proposed implementation of the methodology after the defense of the proposal.
4. Review of Chapter Four, including all tables or figures.
5. Review of Chapter Five, making sure that all research hypotheses are addressed.
6. Preparation of the signature page (Appendix F), cover page (Appendix G), page numbering, reference list, table of contents (Appendix H), abstract (Appendix I), list of tables, and all appendices that conform to the document’s requirements. Any reprints or copies that are included in the appendices must be accompanied by the appropriate written permissions. A sheet that is page numbered corresponding to the table of contents, which contains the name (in all capital letters) and title of the appendix (in upper and lowercase letters) separates each appendix. The name and title are centered and eight spaces (four double-spaces) from the top margin. Each page of the appendix possesses a dissertation page number, and must be reduced in size as necessary in order to maintain appropriate margins for the document once the page number is added.
The Final Defense of the Dissertation
The final defense of the dissertation is a formal proceeding and should be approached with the seriousness and dignity due to the culminating event of your doctoral academic career. The committee chair coordinates the meeting. The meeting is open to the public. Procedures for conducting the defense may vary slightly from committee to committee.
Generally speaking, the defense is the opportunity for you to present your dissertation and to answer questions from your committee. Questions may relate directly to the research or evaluation conducted, may involve theoretical probing, or be of a more general nature to test your qualifications to receive the doctoral degree. The committee chair will moderate the presentation of the questions and delineate the protocol and format for the meeting. Also, it would not be unusual for the committee chair to open the questioning to the audience after the committee has completed its initial rounds of questions.
You will be excused after the questioning, so that the committee can deliberate privately. There can be several results from these deliberations, which include the following:
1. You “passed.” Make minor editing changes to the document before presentation for binding and submit your changes to the committee.
2. You receive a “provisional pass,” pending the submission of changes, review, and approval by the committee. You will not be required to defend again.
3. You “failed.” You must meet with your committee to develop a plan to be completed before the resubmission of the document and the rescheduling of a final defense.
The successful defense of the dissertation concludes the work of the committee, and committee members will sign off to indicate it is satisfied with your work. However, the work of your committee’s chair is not complete until the signed, two bindable copies of the dissertation have been delivered to the Argosy University/Sarasota Student Services Department.
Bindable Copies: The Completion of Phase Two
Two bindable copies, prepared according to the APA Manual and signed by the dissertation committee members, must be delivered to the Argosy University/Sarasota Student Services Department before you are considered to have completed Phase Two. A disk or CD must accompany these copies with the dissertation in Word 6.0 (minimum) format, along with the permission form allowing the University to reprint your work as necessary and requested for educational purposes. Individual schools or departments may have additional requirements for the publication of dissertations that must be met, and you must consult with your committee concerning the impact of these requirements on your completion of Phase Two. The Student Services Department will release any records confirming the completion of your doctoral status only after the completion of all of these processes.
If you have met all of your obligations with Argosy University, and completed Phase Two with the delivery of copies for binding, you are then permitted to use the title “Doctor,” and should proceed with making all necessary arrangements related to the graduation ceremony and receipt of your diploma. It is advisable to contact the Student Services Department early in this final phase in order to ascertain submission deadlines and graduation dates.
CONCLUSION
It is our hope that this Dissertation Guide provides you with the necessary tools and resources to successfully guide you through the dissertation process at Argosy University/Sarasota. We wish you much success as you embark upon a dissertation that coincides with your research style, serves as a culmination of your academic career, and demonstrates that you are indeed entitled to the title of “Doctor.”
Appendix A
Permission for Release of Dissertation and Copying
Argosy University-Sarasota
5250 17th Street
Sarasota, FL 34235
(941) 379-0404 Fax: (941) 379-9464
(800) 331-5995
Permission for Release of Dissertation and Copying
Student Section
Please complete the following section and return it to the School Secretary along with two bindable copies of your final dissertation and CD or disk copy of final dissertation. Please print clearly.
Name: SS#: Date:
Address:
Home Phone: Work Phone: E-Mail:
Title of Dissertation:
College (check one): Department (check one):
q Business q Business (DBA) q Leadership (EdD)
q Education q Counseling (EdD) q HSA (EdD)
q Psychology & Behav. Sciences q Curriculum& Instruction (EdD) q Pastoral Community Counseling
I hereby grant Argosy University permission to reserve my dissertation in electronic and hard copy format in the University Library. I also grant unlimited permission for the electronic copy to be printed, shared, distributed and copied by Argosy University for any purpose the University deems appropriate.
Signature Date
Appendix B
Dissertation Registration Plan
Sarasota Campus
5250 17th Street, Sarasota, FL 34235
941-379-0404 / 800-331-5995 / Fax: 941-371-8910
DISSERTATION Registration
ID/SS# NAME CHAIR:___ ____ ______
DATE ________ PROGRAM ________ __COURSE # ___ _____
DAYTIME PHONE Fax#_____________________________________
I grant permission to be automatically registered for dissertation for the following terms and credits:
Term 1
Term 2
Term 3
Term 4
Term 5
Term 6
Semester
Summer 03
Fall 03
Spring 04
Summer 04
Fall 04
Spring 05
Term Code
Part of Term
qD-Beg
qD1-Mid
q D-Beg
q D1-Mid
q D-Beg
q D1-Mid
q D-Beg
q D1-Mid
q D-Beg
q D1-Mid
q D-Beg
q D1-Mid
# of Credits
Office Use:
Registered
Payment Processed
Check one of the following:
q I give permission for my credit card to be billed
q Five days before the first day of each term.
q By payment plan for ¼ of tuition due for the term five days before the beginning of each month.
q Visa* q MasterCard q Discover q American Express
Card Number: Exp. Date:
*Visa requires you to provide us with your full mailing address and three-digit security code from the back of the card. Please write it in the space above if you are paying with a VISA card.
Debit Card payments cannot be accepted. Argosy University cannot independently confirm whether or not a credit card presented is a debit card. Should you provide a debit card for payment, you hereby accept full responsibility for any funds withdrawn from the account and specifically accept complete liability for any overdraft, fees and charges attendant thereto.
q I will pay with a personal check prior to the first day of each term.
q I am approved for financial aid and will pay with a personal check after receipt of my financial aid refund. I understand that I am required to pay for at least 6 credits of dissertation out of each financial aid disbursement. If I accelerate through the dissertation process in less than 5 terms or receive a grade of NC for any term, I may be required to pay for more than 6 credit hours out of each financial aid disbursement. Acceleration through this process may impede my ability to receive the maximum amount of financial aid that could be available to me in the normal 20-month dissertation period.
I understand that if I have not completed the final defense of my dissertation within five terms and/or 15 credits, I will be required to register for each subsequent term, with the Dean’s permission to continue, until I complete the requirements. I understand that if the dissertation is completed in less than five terms, I must still register, pay, and successfully complete the required minimum of 15 credits before final grade will be granted. Grades of NC do not count towards the 15 credit minimum.
Signature of Student: ________________________________________ Date: ______________
Appendix C
Petition for Establishing Candidacy and a Dissertation Committee
Argosy University-Sarasota
5250 17th Street
Sarasota, FL 34235
(941) 379-0404 Fax: (941) 379-9464
(800) 331-5995
Petition for Establishing Candidacy and a Dissertation Committee
Student Section
Please complete the following section and return it to the Student Records Office. Questions about this form and selection of committee members should be addressed to your Academic Advisor. Please print clearly.
Name: SS#: Advisor:
Address: ________
Home Phone: Work Phone: E-Mail:
College (check one): Department (check one):
q Business q Business (DBA) q Leadership (EdD)
q Education q Counseling (EdD) q HSA (EdD)
q Psychology & Behav. Sciences q Curriculum& Instruction (EdD) q Pastoral Community Counseling
I have consulted with my Academic Advisor and discussed my tentative research topic. I have nominated three potential individuals to serve on my committee and have informed them of their nomination. I understand that the Dean approves the final committee in consultation with my faculty advisor and that my approved committee may be different from the individuals nominated. A copy of the Prospectus is attached and will be forwarded to each approved committee member and a copy is attached to this Petition.
Signature Date
The Student Records Office will forward this Petition to the Academic Advisor to secure the initials of the nominees indicating their willingness to serve on the committee. The Program Dean will initial the names of the faculty members who have been assigned to the committee and return the Petition to the Student Records Office. The Program Dean will consult with the Academic Advisor if the proposed committee is disapproved.
Name of Nominee Faculty Sign Dean Sign
qChair qCo-Chair :__________________ ________________ __
qChair qCo-Chair qMember:__________________ ________________ ______________
qChair qCo-Chair qMember:__________________ ________________ ______________
qChair qCo-Chair qMember:__________________ ________________ ______________
Reader (Dean of School will assign reader): ___________________________
General Topic or Title of Proposed Study:
The above student has completed all of the requirements to be admitted to candidacy and begin dissertation research with the assigned committee.
Program Dean Date
Cc: Student, Academic Advisor, Committee Members, Student file
Page 1 of 2
Student Records Office
Student Name:
Student Records Office will print the transcript & financial ledger history to be sure all is order.
Student Status___________________ Satisfactory Academic Progress____________________________
Number of Argosy Course Credits: Balance Due on Account:
Number of Transfer Credits: Date Comprehensive Exam Passed:
Grand Total of Credits on Record: GPA:
q Student is cleared to proceed with the dissertation petition process.
q Student is not eligible to proceed with the dissertation petition process at this time.
Comments:
Signature of Student Records Office & Date:
The Student Records Office will receive the completed and signed paperwork, will send a copy to student along with a registration form, and will forward copies to the Dissertation Chair and each Committee member, along with a copy of the prospectus.
Date Sent to Student:
Student:
Once you are in receipt of the signed copy of your Petition for Dissertation Committee form, please contact a Registration Coordinator to complete the registration process and enroll for Dissertation.
Our Librarian and Faculty will be available to assist with research resources, computer equipment and guidance.
Please feel free to contact the Student Services Office if you have any questions.
cc Completed Form: Student
Dissertation Chair
Dissertation Committee Member
Page 2 of 2
Appendix D
Sample Signature Page for Proposal
THE TITLE SHOULD SUCCINCTLY DESCRIBE THE STUDY, CONTAIN THE
SAMPLE, THE MAJOR VARIABLES, AND MEASURES
ALL CAPITALS CENTERED TIMES NEW ROMAN
A Dissertation Proposal
Submitted to the
Faculty of Argosy University/Sarasota
in partial fulfillment of
the requirements for the degree of
Doctor of Something
by
Your Full Name
Argosy University/Sarasota
Sarasota, Florida
Month Year
Dissertation Committee Approval:
Chair or Co-Chair, degree date
Co-Chair or Member, degree date
Reader, degree date
THE TITLE SHOULD CONTAIN THE SAMPLE
THE MAJOR VARIABLES AND MEASURES
ALL CAPITALS, CENTERED, TIMES NEW ROMAN, 12-POINT
A Dissertation Proposal
Submitted to the
Faculty of Argosy University/Sarasota
in partial fulfillment of
the requirements for the degree of
Doctor of Something
by
Your Full Name
Argosy University/Sarasota
Sarasota, Florida
Month Year
Dissertation Committee Approval:
Chair or Co Chair, degree date
Co Chair or Member, degree date
Reader, degree date
Sample Table of Contents for the Proposal
PROPOSAL TABLE OF CONTENTS
Page
CHAPTER ONE: PROBLEM
The Problem…………………………………………………………………………………………………………. 2
Problem Background…………………………………………………………………………………………….. 4
Literature Review…………………………………………………………………………………………………. 6
Heading of a Subsection……………………………………………………………………………… 8
Heading of a Subsection……………………………………………………………………………. 14
Purpose of the Study…………………………………………………………………………………………… 16
Research Questions……………………………………………………………………………………………… 19
Limitations/Delimitations…………………………………………………………………………………….. 22
Definitions…………………………………………………………………………………………………………. 25
Importance of the Study………………………………………………………………………………………. 26
CHAPTER THREE: METHODOLOGY……………………………………………………………… 28
Research Design…………………………………………………………………………………………………. 29
Selection of Participants……………………………………………………………………………. 30
Instrumentation………………………………………………………………………………………… 31
Assumptions……………………………………………………………………………………………. 36
Procedures…………………………………………………………………………………………………………. 37
Data Processing and Analysis……………………………………………………………………………….. 38
Appendices………………………………………………………………………………………………………… 45
Appendix A: The Name of the First Appendix…………………………………………….. 48
Appendix B: The Name of the Second Appendix ……………………………………….. 56
Appendix F
Sample Signature Sheet for the Dissertation
REMEMBER THAT THE LEFT MARGIN
FOR DISSERTATIONS IS A HALF AN INCH LARGER
BEFORE YOU CENTER FOR TYPING
A Dissertation
Submitted to the
Faculty of Argosy University/Sarasota
in partial fulfillment of
the requirements for the degree of
Doctor of Something
by
Your Full Name
Argosy University/Sarasota
Sarasota, Florida
Month, Year
Dissertation Committee Approval:
___________________________________
Chair or Co-Chair, degree date
___________________________________
Member or Co-Chair, degree date
___________________________________
Reader , degree date
Appendix G
Sample Dissertation Title Page
ALSO REMEMBER THAT THE TYPE
IS TO BE TWELVE POINTS IN SIZE AND
THERE IS NO BOLDING PLEASE
A Dissertation
Presented to the
Faculty of Argosy University/Sarasota
In Partial Fulfillment of
The Requirements for the Degree of
Doctor of Something
by
Your Full Name
Month Year
APPENDIX H
Sample Table of Contents for the Dissertation
TABLE OF CONTENTS
Page
Abstract……………………………………………………………………………………………………………… iii
Copyright Page……………………………………………………………………………………………………. iv
Acknowledgements………………………………………………………………………………………………. v
List of Tables…………………………………………………………………………………………………….. viii
List of Figures……………………………………………………………………………………………………… ix
CHAPTER ONE: THE PROBLEM……………………………………………………………………….. 1
Problem Background…………………………………………………………………………………………….. 3
Literature Review…………………………………………………………………………………………………. 6
Subsection Heading……………………………………………………………………………………. 8
Subsection Heading………………………………………………………………………………….. 15
Next level if there is one…………………………………………………………………. 18
Subsection Heading………………………………………………………………………………….. 22
Purpose of the Study…………………………………………………………………………………………… 25
Research Questions……………………………………………………………………………………………… 27
Limitations/Delimitations…………………………………………………………………………………….. 32
Definitions…………………………………………………………………………………………………………. 33
Importance of the Study………………………………………………………………………………………. 36
CHAPTER TWO: REVIEW OF THE LITERATURE……………………………………………. 37
Introduction……………………………………………………………………………………………………….. 37
First Main Heading……………………………………………………………………………………………… 38
Subsection Heading………………………………………………………………………………….. 41
Subheading Heading………………………………………………………………………………… 45
Second Main Heading…………………………………………………………………………………………. 52
Third Main Heading……………………………………………………………………………………………. 60
CHAPTER THREE: METHODOLOGY………………………………………………………………. 68
Research Design…………………………………………………………………………………………………. 68
Selection of Participants……………………………………………………………………………. 70
Instrumentation………………………………………………………………………………………… 74
Measure #1……………………………………………………………………………………. 74
Measure #2……………………………………………………………………………………. 77
Assumptions……………………………………………………………………………………………. 80
Procedures…………………………………………………………………………………………………………. 82
Data Processing and Analysis……………………………………………………………………………….. 89
CHAPTER FOUR: FINDINGS…………………………………………………………………………… 92
Restatement of the Purpose………………………………………………………………………………….. 92
Research Question One……………………………………………………………………………………….. 94
Research Question Two……………………………………………………………………………………….. 97
Research Question Three……………………………………………………………………………………. 101
Subquestion A……………………………………………………………………………………….. 102
Subquestion B………………………………………………………………………………………… 104
CHAPTER FIVE: SUMMARY, CONCLUSIONS, & RECOMMENDATIONS 105
Summary………………………………………………………………………………………………………….. 105
Conclusions………………………………………………………………………………………………………. 107
Major question related to purpose…………………………………………………………….. 110
Major question related to purpose…………………………………………………………….. 114
Implications for Practice…………………………………………………………………………………….. 120
Implications for Research…………………………………………………………………………………… 126
Recommendations…………………………………………………………………………………………….. 132
List of References……………………………………………………………………………………………… 140
Appendices
Appendix A: Name of Appendix……………………………………………………………… 142
Appendix B: Name of Appendix……………………………………………………………… 143
APPENDIX I
Sample Abstract of the Dissertation
Abstract of Dissertation Presented to the
Graduate School of Argosy University/Sarasota
in Partial Fulfillment of the Requirements for the
Degree of Doctor of (your appropriate degree)
THE NAME OF THE DISSERTATION GOES HERE
IN ALL CAPITAL LETTERS JUST AS IT IS ON ALL
OTHER SHEETS
by
Your Name Goes Here
Year
Chair or Co-chair: Dr.
Co-chair or Member: Dr.
Reader: Dr.
Department: Name of your school goes here (e.g. School of Business, School of Education, or School of Psychology and Behavioral Sciences)
The purpose of the abstract is to present the salient features of the dissertation in approximately 300 words or less. This should include a brief statement of the purpose, a description of the sample, measures, and the methodology, a summary of the main findings, and other information that represents a distillation of the entire document. Be sure to reference APA for details on how to prepare an abstract of your dissertation.
Credit:ivythesis.typepad.com
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