UNIVERSITY OF CONNECTICUT SCHOOL OF SOCIAL WORK. PhD PROGRAM DISSERTATION AND PROPOSAL GUIDELINES

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1 UNIVERSITY OF CONNECTICUT SCHOOL OF SOCIAL WORK PhD PROGRAM DISSERTATION AND PROPOSAL GUIDELINES May 2013

2 University of Connecticut School of Social Work PhD Program PROCEDURES AND GUIDELINES RELATED TO THE DISSERTATION PROPOSAL General Guidelines of the University of Connecticut Graduate School A dissertation proposal, describing the student s intended focus of her/his dissertation research, must be submitted for final review by the School of Social Work Doctoral Program Committee at least six (6) months prior to the student s expected date of degree completion. If human subjects are to be involved in the proposed research, the student is required to obtain approval from the University of Connecticut Institutional Review Board (IRB) as part of the dissertation proposal review and approval process. IRB approval is required before the dissertation proposal may be forwarded for final review and approval by the Graduate School. Final approval of the Dissertation Proposal from the University of Connecticut Graduate School must be received at least six (6) months prior to the scheduled date of the student s Oral Defense of the Dissertation. Procedures of the School of Social Work Doctoral Program By the end of their second semester, students will have selected a Major Advisor and, in consultation with the Major Advisor, convened an Advisory Committee consisting of not less than two additional members (see policy on Advisory Committees) with expertise relevant to either the student s substantive area of interest and/or anticipated research methodology. Throughout their second year of study, students will engage in ongoing exploration and consultation with members of the Advisory Committee, as well as with other faculty, to identify and clarify the substantive area and focus of their proposed dissertation research. In addition, students will complete a minimum of two course electives at the Graduate level (5000 level or above). One of the electives, relevant to the student s research interest, must be taken in a core social science discipline (i.e., anthropology, economics, political science, psychology, or sociology). The other is based on the student s dissertation area or substantive area of interest. (see policy on Electives). During the summer (or term) following completion of all required course work, students are expected to initiate study for their qualifying exams (which are scheduled in August and can be administered under special circumstances in January). One element of the exam is production of an Integrating Specialization Essay (see policy on General Examination). One purpose of the specialization essay is to provide students an opportunity to examine and develop an integrative framework (based on knowledge obtained through coursework and independent study) to their dissertation proposal. The Integrating Specialization Essay may serve as the student s first formalized step in examining the literature and areas of potential research inquiry for the dissertation proposal. In the fall semester of each year, a Dissertation Seminar is convened for all students who have successfully completed the required coursework and passed all elements of the general examination by the start of the seminar. The Dissertation Seminar is designed to assist each student in further clarifying a suitable dissertation topic and in developing an appropriate methodological approach for her/his research. Satisfactory completion of the dissertation seminar requires students to produce a complete first draft of their dissertation proposal and a comprehensive written review of published literature relevant to their topic of interest. Students are encouraged to consult with their Major Advisor and members of their Advisory Committee throughout this semester long process. Although some students may have worked on development of the dissertation proposal at different points throughout their course of study, the proposal may not be submitted for review and approval by the student s Advisory Committee until the student has successfully completed this seminar. 5/31/2013 2

3 Upon successful completion of the dissertation seminar, students begin the formalized process of meetings and consultations with their Major Advisor and members of their Advisory Committee for the purpose of finalizing the Dissertation Proposal. Specific consultation arrangements and requirements (e.g., frequency, participants, etc.) are cooperatively determined by the student and Major Advisor. Guidelines for the Dissertation Proposal Students, in consultation with members of their Advisory Committee, will prepare a page (excluding cover page, abstract, table of contents, references, and appendices) dissertation proposal describing the research problem, relevant literature, and methodology. Specific content guidelines, suggested formats and instructions for completion of the proposal may be found in Appendices 1-3. Dissertation proposals are reviewed with the following questions in mind: 1. Is the proposal well written, well organized and well argued? 2. Does the proposal describe a project of appropriate scope? 3. Does the student demonstrate knowledge of the subject and an understanding of the proposed method of investigation? 4. Does the student show awareness of relevant Social Work and other research? 5. Does the student consider how the proposed investigation, if successful, will contribute to Social Work knowledge? Dissertation Proposal Defense The dissertation proposal must be forwarded to the doctoral director at least two weeks prior to the defense date. The proposal will be distributed to the Doctoral Program Committee members. Dissertation proposal defense dates may be scheduled anytime between the first week of September and May 15 th of each year; no proposal defense dates may be scheduled in June, July or August. It is strongly recommended that students participate in a Mock Defense, prior to the formal defense, at which they may present their proposal for review and feedback from doctoral students and faculty. The mock defense is purely consultative in nature. The student and major advisor will determine how (if at all) feedback will be incorporated. Members of the Doctoral Program Committee and all members of the student s Advisory Committee will be in attendance for the Dissertation Proposal Defense. The defending student may request 1) inclusion of one support person, selected by the student, throughout the defense; 2) exclusion from participation of doctoral student representatives to the Doctoral Program Committee; and/or 3) opening the proposal defense to all doctoral students as silent observers. The Defense will be chaired by the Director of the Doctoral Program, unless the Director is on the student s Advisory Committee; in that event, the Defense will be chaired by the senior ranking member of the Doctoral Program Committee. The Defense will begin with a15-20 minute summary presentation by the student of the Dissertation Proposal. The student will be expected to include within that summary 1) an overview of the proposal; 2) a description of any changes made or intended as a result of the Review and 3) a rationale or defense of decisions made relative to feedback received (e.g., why suggested changes were or were not made). Each member of the student s Advisory Committee and the Doctoral Program Committee will then be invited to question the student. When the Chair has ascertained that there are no further questions, all students in attendance are asked to leave the room for the Committee s deliberations. The Chair will request a vote by all members present (to include all members of the student s Advisory Committee and any Doctoral Committee members present) to determine the outcome of the defense. 5/31/2013 3

4 A simple majority of voting members will determine the outcome of the proposal defense. After the outcome has been determined, the student is invited to return and is informed by the Chair of the results. The Committee (Advisory and Doctoral) is limited to one of four options in making a determination about the Dissertation Proposal: to Accept; Accept with Minor Revisions; Accept with Significant Revisions, or Not Accept the proposal as submitted. If Accepted, the student may proceed with the dissertation research. If Accepted with Minor Revisions, the student will make the necessary revisions and resubmit the proposal to her/his Advisory Committee for review. The student s Major Advisor will notify the Doctoral Program Director of the student s satisfactory completion of the required revisions. After all revisions have been made, the Advisory Committee will approve the proposal and the student may proceed with the dissertation research after receiving IRB approval (if required). If accepted with Significant Revisions, the student will make the necessary revisions and resubmit the proposal to her/his Advisory Committee as well as the Doctoral Director for review. After all revisions have been made, the proposal has been approved, the student may proceed with the dissertation research after receiving IRB approval (if required). If the original proposal is Not Accepted, the student will be required to rewrite the proposal and, with Advisory Committee approval, resubmit it for a second review and defense with the full Doctoral Program Committee. At the conclusion of a successful defense, the Doctoral Dissertation Coversheet must be signed, in triplicate, by the student, by all members of the student s Advisory Committee, and by the Chairperson of the Defense. The form will be held by the Doctoral Program Office to be submitted to the Graduate School with the final proposal and IRB approval when received. Dissertation Proposal Consultation The Doctoral Committee developed a mechanism for a major advisor to seek a consultation prior to a student proposal defense. The major advisor forwards an electronic copy of the full proposal (including completed IRB application materials) to the Doctoral Program Director, who will forward it to all members of the Doctoral Program Committee. At the earliest possible date, the Program Director will schedule a meeting between members of the Doctoral Program Committee and members of the student s Advisory Committee without the student present. The Review meeting will serve as a consultation between members of the respective committees. Doctoral Committee members will provide feedback to Advisory Committee members pertaining to their perceptions of the relative merits and areas for potential enhancement of the Proposal. In general, areas on which the consultation will focus include: theory and conceptualization; methodology; significance of the contribution to social work and social welfare; and feasibility as well as the five questions listed on page 3 under the Guidelines for the Dissertation Proposal. Following the consultation, the Major Advisor and/or Advisory Committee members will meet with the student to discuss the feedback received and together they will determine what, if any, modifications will be made to the proposal. If time constraints mitigate a joint meeting, the doctoral director will solicit feedback from doctoral committee members and provide a composite of the Committee members perceptions. IRB Review and Approval Immediately following the Defense and satisfactory completion of any required revisions, the student must submit her/his approved proposal for IRB review and approval (if human subjects are involved). After IRB approval is received, the student should forward the IRB approval with a copy of the final dissertation proposal to the Doctoral Program Office. Three complete copies of the proposal, with the Dissertation Proposal form attached, and IRB approval (or exception) will be forwarded to the Graduate School for final approval. After signing by the Graduate School, one copy of the proposal will be returned to the student and one to the student s Major Advisor; one copy will be retained by the Graduate School. Upon receipt of the approval by the Graduate School, the Major Advisor should send a copy to the Doctoral Program Office to be kept in the student s file. 5/31/2013 4

5 PROCEDURES AND GUIDELINES RELATED TO COMPLETION OF THE DISSERTATION Candidacy and Dissertation Preparation Upon acceptance of the Dissertation Proposal by the Executive Committee of the Graduate School, the student becomes a candidate for the degree of Doctor of Philosophy. Prior to this event, the student must have passed the General Examination as well as completed any remaining courses on the plan of study and fulfilled both the supporting-area and residence requirements of the doctoral program. A letter of candidacy is sent to all students successfully completing all requirements for the degree except the dissertation and its oral defense. Focus and Conduct of Dissertation Research A dissertation representing a new and significant contribution to social work theory, policy or practice knowledge is a primary requirement for completion of the Doctor of Philosophy Degree in Social Work. The dissertation must present the results of an independent investigation by the student into a topic or question not previously examined. The student assumes responsibility as the Primary Investigator (PI) of the research proposed and approved within the Dissertation Proposal. Any research design, including quantitative, qualitative and mixed methods approaches, may be considered acceptable for dissertation research. Students should select a research methodology appropriate to the overall research question and the current state of knowledge within the content area that is the focus of study. Selected research approaches must adhere to accepted standards for scientific rigor and the ethical conduct of research. As PI, the student assumes primary responsibility for all tasks associated with all phases of the research endeavor. Students must assume an active and instrumental role in recruitment and screening of research subjects, in conducting interviews and carrying out all data collection strategies, in data entry (including transcription of interviews if narrative data is collected), and in data analysis. In some limited circumstances, students may obtain assistance with or be exempt from carrying out some specific research tasks. For example, circumstances that might occur include: 1) A student affiliates with a senior researcher in the conduct of a larger research project from which the student carves out an independent investigation 2) A student designs an agency-based research project in which employees of that agency are primary agents of data collection. 3) A student identifies an existing, large dataset on which she/he may conduct a secondary analysis. In general, any tasks related to the research endeavor on which the student may receive assistance or which may be carried out by someone other than the student should be specified in advance within the dissertation proposal and receive approval from the Advisory Committee. Role of the Major Advisor and the Advisory Committee The preparation of the dissertation is under the immediate and continuous supervision of the student s Advisory Committee and must meet all standards prescribed by the Advisory Committee and by the Graduate School. It is the student s responsibility to be certain that the dissertation conforms exactly to the specifications prescribed by the Graduate School. Technical specifications for preparation of 5/31/2013 5

6 the Doctoral Dissertation can be found online at the Graduate School website (excerpts of which are attached as Appendix 4). The Major Advisor is the student s primary contact and consultant throughout the dissertation process. Students may also meet and consult individually with other members of the Advisory Committee as needed, at the request of the student or the Major Advisor. The Major Advisor oversees and coordinates the student s progress in initiating and carrying out the research, in conducting the data analysis, and in writing the final dissertation document. The Major Advisor will periodically schedule meetings between the student and all members of her/his Advisory Committee. The Major Advisor, in consultation with the Advisory Committee will set a date for completion of the dissertation. The PhD Program director in consultation with the Major advisor will set a date for the dissertation defense (final examination). The dissertation defense may be scheduled only between the first week of September and April 15 th of each year. The scheduled date of completion will be set to allow time for each advisor to make suggestions for revision; the date for the dissertation defense (final examination) will be set to allow time for the student to make revisions and to submit a complete preliminary or working copy of the dissertation to the Graduate School at least two weeks before the dissertation defense (final examination). When submitted to the Graduate Records Office, the complete preliminary or working copy of the dissertation must be accompanied by a tentative approval form. Although this form does not need to be signed by all members of the Advisory Committee, the student must consult with each member and affirm that you have done so. Following the examination, the student must: submit two copies of the final, fully-revised dissertation, one electronically submitted through Digital Commons and one hard copy to the Homer Babbidge Library. For specific instructions and requirement for electronic and hard copy submission, please refer to Please note: Once a dissertation has been submitted, it cannot be changed. Complete online Survey of Earned Doctorates. Print a copy of the online submission confirmation. Apply for graduation through StudentAdmin. Submit to the Graduate School: Completed Dissertation Submission Checklist, a signed approval page, and a copy of the online submission confirmation. (A copy of the Report on the Final Examination for the Doctoral Degree will have already been forwarded to the Graduate School by the Doctoral Program Office.) In some cases, revision of the dissertation is required by the Advisory Committee as a result of the dissertation defense. Final approval of the dissertation following the defense is indicated by the presence of original signatures of all members of the Advisory Committee on the final approval page. If no revisions are necessary the final approval pages must be submitted to the Graduate Records Office soon after the student has been examined. In any case, the final approval pages (and the revised dissertation, if changes are required) must be received at the Graduate Records Office by the conferral period deadline in August, December, or May. In addition, it is the student s responsibility to supply a copy of the dissertation to the School of Social Work PhD Program. Dissertation defense (final examination) The dissertation defense (final examination) is oral and under the jurisdiction of the advisory committee. The defense is chaired by the PhD Program Director, unless she/he is a member of the student s Advisory Committee; in that event, the defense will be chaired by the most senior member of the Doctoral Committee in attendance. The examining committee consists of a minimum of five members - the student s Advisory Committee and one or two additional examiners chosen from the faculty of the UConn School of Social Work. The defense will deal mainly with the subject matter of the dissertation. It is strongly recommended that students present a Mock Defense prior to the formal 5/31/2013 6

7 defense, at which they may present their dissertation for review and feedback from doctoral students and faculty. The student will be allowed 15 to 20 minutes for presentation of her/his research. After the presentation, guests will be asked to leave. The chair will then invite members of the Advisory Committee to initiate questioning. At the conclusion of questions from Advisory Committee members, the additional Examining Committee members will be given the opportunity to ask questions, followed by questions from doctoral committee members, and, subsequently, from members of the general audience. Questioning will conclude within approximately one hour at which time the defending student and all other students will be asked to leave the room. The Advisory Committee, in consultation with Examining and Doctoral Committee members, will vote on the outcome of the defense. The decision regarding whether a candidate has passed, conditionally passed, or failed the examination rests solely with the Advisory Committee, which will take into account the opinions of other participating faculty members and other experts. The vote of the advisory committee must be unanimous. At the conclusion of these deliberations, the director of the doctoral program (or chair) will invite the student (and support person) to return to the room for more detailed feedback and will inform the student of the outcome. Immediately following the defense (examination), the PhD Program Office sends the official report on the examination to the Graduate Records Office. The dissertation defense (examination) is to be held no sooner than two weeks after the tentative approval form and a working copy of the complete dissertation has been submitted to the Graduate School. The student should an electronic copy of their tentative approval form and working copy of their dissertation to the PhD Program Office, who will submit it to the Graduate School. Invitation to participate in the examination is issued to the School of Social Work community by the PhD Program Office, although any and all members of the faculty may attend. It is required that notification of the time and place of the defense (examination) be posted at least two weeks prior to the defense on the University s Web-based events calendar. Instructions for posting the announcement are available at The defense (examination) should also be advertised widely through the University mail and/ or other means at least seven days prior to the defense (examination). Checklist of Steps Required for Dissertation Defense and Graduation TIME FRAME ACTION NEEDED WHO IS RESPONSIBLE? At least 2 Months 1. Set date for completion of 1. Major Advisor before defense date working copy of dissertation At least 6 weeks before defense date At least 1 month before defense date 2. Set date for dissertation defense Provide copy of working dissertation draft to all Advisory Committee members Receive suggested revisions from Advisory Committee members 2. Major Advisor in consultation with Advisory Committee and PhD Program Director Student Student, Major Advisor 5/31/2013 7

8 At least 2 weeks before defense date At least 1 week before defense date 1. Post time and place of defense on University s web-based events calendar 2. Submit an electronic working copy of dissertation and Tentative Approval form to Doctoral Program Office 3. Identify 4 th and 5 th members of Examining Committee (to include all Advisory Committee members plus additional faculty needed to reach 5 Examining Committee members) 4. Forward working dissertation and Tentative Approval form to Graduate School and the equivalent to PhD office 5. Forward working dissertation to Examining Committee members 6. Extend invitation to Advisory Committee and other Faculty to attend scheduled defense 1. Conduct a mock defense at doctoral student seminar (strongly recommended) 1. Student 2. Student 3. Doctoral Director (or designee) in consultation with Major Advisor 4. PhD Program Office 5. PhD Program Office 6. PhD Program Office 1. Student Day of Defense Within 3 days following defense Prior to Graduation (consult Graduate Records Office for required submission 1. Conduct defense 2. Furnish at least three copies of the Approval Page for original signatures by Committee members 3. Determine outcome of examination 4. Notify student of outcome 5. Furnish two copies of the Report on Final Examination for the Doctoral Degree for original signatures by Committee members Send official report of the examination to the Graduate Records Office (original signatures of Advisory Committee members required) 1. Review and print Dissertation Submission Checklist found on the Graduate School website 1. Student, Advisory/Examining Committee, Doctoral Committee 2. Student/Advisory Committee 3. Advisory Committee 4. PhD Program Director/ Chairing member of Doctoral Committee 5. PhD Program Office PhD Program Office 1. Student 5/31/2013 8

9 dates based on date of planned graduation) May of the year in which the defense was completed 2. Apply for Graduation online through Student Admin account 3. Submit a printed unbound copy with a signed approval page to the library according to directions found on the Graduate School website. Have the library sign your submission checklist. 4. Review electronic submission guidelines provided by Digital Commons 5. Submit dissertation electronically to Digital Commons 6. Submit to the Graduate School: a. online submission confirmation of Survey of Earned Doctorates; b. Approval page with Advisory Committee Signatures; and c. Completed Submission Checklist. Inclusion of student in SSW Recognition Ceremony 2. Student 3. Student 4. Student 5. Student 6. Student PhD Program Office 5/31/2013 9

10 APPENDIX 1: GUIDELINES FOR WRITING THE DISSERTATION PROPOSAL 1 General Instructions: The text of the dissertation proposal should be no more than 25 pages in length, double-spaced. Use a 12-point font with 1-inch margins; citations and references should follow APA format. Each proposal should include, in addition to the text, a brief 1/2 to 1-page summary or abstract of the proposal. A title page and table of contents should be placed at the front of the proposal. All key areas, as outlined below, need to be addressed. These components apply equally to all research designs that may be used in completion of the dissertation. Proposal Outline: I. Introduction/Problem Statement Provide a clear and concise statement of the problem, a very brief outline/summary of research supporting the problem description, and the purpose of your proposed research. II. Literature Review Provide a detailed description of the background, significance and rationale for your proposed research. This section should include each of the following elements: Develop a conceptual framework. This section should identify the major theoretical ideas that will guide your study. Provide a concise review of relevant literature. Place the study in the context of existing research. Summarize your literature review, identify gaps and/or limitations in the existing literature, and develop a rationale for the proposed study. Include within this rationale an answer to the so what? question, i.e., why your proposed research is important and/or relevant to social welfare/social work practice. III. Methodology Provide a complete description of your proposed study, including the sampling plan. Begin this section with a statement of your research question and/or hypotheses. Describe your research design. Be sure to address issues and concerns that are appropriate to the design selected. Describe your sampling plan. Provide a rationale for the plan selected. Describe the data collection strategies, and instrumentation, you plan to use. Provide nominal (conceptual) and operational definitions of each of your major independent and dependent variables (if quantitative); describe major conceptual areas to be examined (if qualitative). Include a discussion of the validity and reliability of any measurement instruments to be used. 1 Last amended 09/04/08 5/31/

11 Describe your plan to obtain University of Connecticut IRB approval for your proposed research. Specify your plan to protect confidentiality or anonymity of research subjects (when appropriate). A draft of your IRB application form should be attached as an appendix. Identify conditions (you might anticipate) that may affect your ability to carry out your research design. Describe your plan to deal with these concerns. IV. Data analysis plan This description of your data analysis section should be guided by your hypotheses/research questions. For each hypothesis/research question, specify the dependent and independent variables and describe what statistical analytic procedures you plan to use. If a qualitative design is proposed, specify the analytic approach that will be used (e.g, constant comparative method, content analysis, thematic analysis, etc.) and what, if any, QDA software will be employed. Describe briefly the limitations your study will have in terms of generalizability, reliability, validity, etc. At the conclusion of this section, provide a (relatively) brief summary discussion of anticipated outcomes of your study. V. Provide a summary of your proposed research (in no more than 300 words). This is another chance to argue importance, relevance to social welfare, potential implications for practice, etc. VI. List of all cited references (no page limit). VII. Appendices to be included (no page limit). Copy of your C.V. Time and effort chart (what will you do when) Copies of recruitment materials and an informed consent form (if human subjects are involved), IRB form and approval, letters of agreement, interview guides, questionnaires and other instruments, and other relevant documents should be included as appendices. DO NOT INCLUDE AS APPENDICES ANY ADDITIONAL MATERIALS INTENDED TO EXPLAIN OR ILLUSTRATE CONTENT CONTAINED WITHIN THE TEXT OF THE PROPOSAL. 5/31/

12 APPENDIX 2: SAMPLE FORMAT DISSERTATION PROPOSAL COVER PAGE TITLE By STUDENT FULL NAME Dissertation Proposal Submitted in partial fulfillment of the requirements for completion of the Degree of Doctor of Philosophy in Social Work, in the Graduate School of Social Work, University of Connecticut Date Submitted 5/31/

13 APPENDIX 3: SAMPLE FORMAT DISSERTATION PROPOSAL TABLE OF CONTENTS TABLE OF CONTENTS (USE SECTION HEADINGS FROM TEXT AS TABLE OF CONTENTS CATEGORIES) ABSTRACT... Problem Statement... Literature Review... Conceptual Framework... Significance, Rationale and Justification... Methodology... Research Question... Research Design... Sampling... Data Collection... Protection of Human Subjects... Potential Challenges to conduct of study Data Analysis... Data Management... Validity/Reliability;Evidence of Scientific Rigor... Study Limitations... Anticipated Outcomes... Summary... References... APPENDICES (listed in order of presentation within text)... 1 Recruitment Materials 2 Screening Materials 3 Instruments/Interview Guides 4 Informed Consent 5 Timeline 6 Budget CURRICULUM VITAE. INSTITUTIONAL REVIEW BOARD APPLICATION /31/

14 Appendix 4: University of Connecticut Graduate School Dissertation Guidelines THE UNIVERSITY OF CONNECTICUT Specifications for Preparation of the Doctoral Dissertation Abstract -- An abstract is required. The body of the abstract may not exceed 350 words in length. Please see the sample abstract page for the format. Minimum Margins -- The minimum acceptable margins for all pages of the dissertation and the abstract are 1 inch on the left, top, bottom, and right. Paper Requirement -- All pages submitted to the Library and the Approval page submitted to the Graduate School must be printed on 8.5 x 11 inch white paper that is at least 25% cotton and 20 or 24 lb. weight. This is known as bond or fine-business paper. The UConn Co-op stocks paper of acceptable quality. Font and Point Size -- Recommended fonts include Arial, Times New Roman, and Helvetica with a point size of either 11 or 12. Printing -- Either laser printing or photocopying is acceptable. Inkjet printing is not acceptable as it is water soluble. Double-sided printing is acceptable. Printing should be clear, clean and dark-no shadows or stray marks. Spacing -- The text of the dissertation should be double spaced. Long quotations, footnotes, appendices, and references may be single spaced. Photographs and Graphics -- Photographs and graphics in the dissertation should be printed or photocopied directly on the paper as high quality images. Scanned images must print clearly. If color must be used, only color laser or color photocopy printing is acceptable (hint: please use contrasting colors for better visibility). Use of materials copyrighted by others -- Any material included that goes beyond fair use requires written permission of the copyright owner. See specifications on Digital Commons. It may be useful to include these in the dissertation as an appendix. Pagination -- Preliminary pages (i.e., the approval page, acknowledgments, table of contents, and the like) are to be numbered consecutively using lower case Roman numerals. All pages of the text, appendices (if any), and references must be numbered consecutively using Arabic numerals. Landscape pages -- The top of a landscape page should be at the left margin and the bottom at the right margin. The page number is to be in the same relative position as on the portrait pages. An easy way to apply page numbers to landscape pages is to run them through the printer twice once for the text, table, or figure (landscape orientation) and once for the page number (portrait orientation). Sequence of the main components of the dissertation -- The appropriate order of the major sections of the dissertation follows: the abstract, the title page, the copyright page (if needed), the approval page, acknowledgments, table of contents, the text, appendices (if 5/31/

15 any), and the references. The order of the appendices and the references may be reversed if the appendices are lengthy. Footnotes, Endnotes, and References -- The format that is accepted in your discipline or that is prescribed by your advisory committee should be followed. Photocopied journal articles in the dissertation -- When appropriate, photocopied articles already published in journals may be included in a dissertation. Photocopying must conform to the margins noted above. An original letter from each journal granting permission for the inclusion of the photocopied article in the dissertation is necessary to assure that there are no permission issues or violations of copyright. In requesting a letter of permission, it is important to tell the journal that Digital Commons will be posting the dissertation to third party search engines. The journal usually will require that the journal be the first publisher of the article. Please retain a copy of all permissions granted for your personal file. Submit to the Graduate School: One original signed approval page with original signatures on the proper paper (white, 25% cotton, 20 or 24 lb. weight paper), one completed and signed Report on the Final Examination for the Doctoral Degree, the Survey of Earned Doctorates online submission confirmation, and the completed Dissertation Submission Checklist. The Graduate School requires submission of one printed final copy of the dissertation (with an originally-signed approval page) and four final copies of the abstract and one electronic final copy. The printed copy should be unbound, on the required paper and given to the Fred Rick Library. The electronic copy should be submitted though Digital Commons. Follow the Guidelines link of the Author Corner. It is the student s responsibility to see that all copies of the final dissertation (one electronic and one printed) are equivalent. It is recommended that you use your full legal name on the abstract, the title page, the copyright page (if appropriate), and on the approval page. Please make certain that your name appears exactly the same way in all places. Prior to entering into the publishing agreement with Digital Commons, discuss embargo periods with your major advisor. Each department may have specific suggestions for the author designated embargo periods and agreement with your major advisor should be made in advance. Available options for the embargo period are: 0 or no embargo requested, 6 months, 1 year up to 10 years. Submission of the dissertation to Digital Commons is mandatory and will not be included in the ProQuest Dissertation Publishing database. If a student desires to be published in ProQuest, the student may contact ProQuest independently to obtain a publishing agreement to electronically submit the dissertation. Please contact Author Relations or and click on Products and Services. 5/31/

16 Quantitative APPENDIX 5: SAMPLE TABLE OF CONTENTS FOR DISSERTATION Section headings and page numbers are illustrative only although they do reflect the overall organization of the final dissertation document. Section headings are picked up in the table of contents so that a clear outline of each section of the dissertation is made visible to the reader in a way that illuminates its organization. Table of Contents ABSTRACT i ACKNOWLEDGEMENTS ** ii APPROVAL PAGE.. iii TABLE OF CONTENTS.....iv LIST OF FIGURES AND TABLES v Introduction/Overview...1 Chapter One: Literature Review... Subheading A: Theoretical/Conceptual Framework... Subheading B: Research Questions and Related Hypotheses... Chapter Two: Methodology... Subheading A: Design and Rationale... Subheading B: Sampling... Subheading C: Instruments... Subheading D: Data Collection / Context. Subheading E: Data Analysis.... Subheading F: Verification. Subheading G: Ethical Considerations Chapter Three: Results (Number of results chapters may vary depending upon research methodology) Subheading A: Findings related to Hypothesis 1... Subheading B: Findings related to Hypothesis 2... Chapter Four: Discussion.... Subheading A... Subheading B... Chapter Five: Implications..... Subheading A... Subheading B... References... List of Appendices Appendix A... Appendix B, etc... ** Acknowledgements Page should not be included until after the candidate has successfully completed the Defense. See ( for samples of the Abstract, the Title Page, the Copyright Page, and the Approval Page 5/31/

17 QUALITATIVE Table of Contents ABSTRACT i ACKNOWLEDGEMENTS ** ii APPROVAL PAGE.. iii TABLE OF CONTENTS.....iv LIST OF FIGURES AND TABLES v Introduction/Overview...1 Chapter One: Literature Review... Subheading A: Theoretical/Conceptual Framework... Subheading B: Research Questions and Related Hypotheses... Chapter Two: Methodology... Subheading A: The Qualitative Paradigm / Rationale for the Research Design Subheading B: Qualitative Methods / Approach to Data Collection.. Subheading C: The Researcher's Role / Subjectivity of the Study Subheading D: Data Sources.. Subheading E: Instruments.. Subheading F: Data Collection / Context Subheading G: Data Analysis.. Subheading H: Verification Subheading I: Ethical Considerations Chapter Three: Results (Number of results chapters may vary depending upon research methodology) Subheading A: Findings related to Research Question 1 or Hypothesis 1... Subheading B: Findings related to Research Question 2 or Hypothesis 2... Chapter Four: Discussion.... Subheading A... Subheading B... Chapter Five: Implications..... Subheading A... Subheading B... References... List of Appendices Appendix A... Appendix B, etc... ** Acknowledgements Page should not be included until after the candidate has successfully completed the Defense. See ( for samples of the Abstract, the Title Page, the Copyright Page, and the Approval Page 5/31/

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