UNIVERSITY OF HOUSTON-CLEAR LAKE SCHOOL OF EDUCATION

Transcription

1 UNIVERSITY OF HOUSTON-CLEAR LAKE SCHOOL OF EDUCATION DISSERTATION GUIDE Fall 2014 Version 2.14 November 24, 2014

2 SCHOOL OF EDUCATION DISSERTATION GUIDE Version 2.13 February 13, 2014 TABLE OF CONTENTS Preface...3 Appointment of Faculty Advisor...3 Appointment of Dissertation Committee Chair...3 Appointment of Dissertation Committee...4 Dissertation Hours...5 Development and Approval of the Dissertation Proposal...6 Committee for the Protection of Human Subjects Approval...7 Dissertation Defense and Approval...9 Final Editing and Submission...11 Dissertation Timeline for Graduation...11 Dissertation Format...11 Guide for the Preparation of a Dissertation...12 Sample Dissertation Format...18 Guide for the Preparation of a Dissertation Proposal...19 Dissertation Page Order...19 EdD Student/Faculty Advisor Form...21 Change of Faculty Advisor Form...22 Dissertation Chair Appointment Form...23 Dissertation Committee Appointment Form...24

3 2 Dissertation Proposal Signature Page...25 Application for the Dissertation Defense Form...26 Final Defense of the Dissertation Form...27 Sample Title Page...28 Sample Dissertation Signature Page...29 Sample Acknowledgement Page...30 Sample Abstract Page...31 Sample Table of Contents Page...32 Sample List of Tables...34 Sample First Page of a Chapter...36 Sample Definition of Terms...37 Sample Table...38 Sample Appendix...42

4 3 PREFACE This dissertation guide provides information on policies and procedures related to the dissertation process as well as material on the formatting and structure of the dissertation itself. While intended to be comprehensive, certainly there are omissions and questions that will arise. As a candidate working through the dissertation process, you should keep in close contact and clarify any questions with your dissertation chair. It is better to ask questions first, rather than having to go back and correct problems that could have been prevented. Students also are referred to the academic calendar for submission dates that may apply. APPOINTMENT OF FACULTY ADVISOR During the first year of the program, the chair of the doctoral program will work with each doctoral student to select a faculty advisor. Faculty advisors are full-time faculty in the School of Education holding a terminal degree and are assigned based on the mutual agreement of the student, the student s prospective faculty advisor, the chair of the doctoral program, and the associate dean. The EdD Student/Faculty Advisor Form (Attachment 1) must be signed by the student and the student s prospective faculty advisor, and approved by the chair of the doctoral program and the associate dean. If a need arises to change the faculty advisor, a Change of Faculty Advisor Form (Attachment 2) must be completed. APPOINTMENT OF DISSERTATION COMMITTEE CHAIR Following the successful completion of the doctoral examination the student advances to candidacy and the faculty advisor works with the doctoral candidate to select a dissertation chair and a dissertation committee. The chair of the doctoral program provides faculty advisors with a list of graduate faculty who are eligible to serve as dissertation chairs. Eligibility to serve as a dissertation committee chair requires that the faculty member have successfully served on a minimum of two doctoral dissertations, i.e., the faculty member must have served on two

5 4 dissertation committees that completed their work, not necessarily requiring dissertation completion and approval. Faculty advisors, who meet chair requirements, are encouraged to serve as dissertation chairs, but the student may select another faculty member as a dissertation chair, by mutual agreement of that faculty member and the student. Faculty advisors who do not meet the requirements to serve as a dissertation chair are encouraged to serve as co-chair on the dissertation committee. In the case of dissertation committee co-chairs, at least one of the cochairs must be eligible to serve as chair. A full-time UHCL faculty member, outside the School of Education, may serve as chair or co-chair in exceptional cases, with the approval of the Associate Dean of the School of Education. A Dissertation Chair Appointment Form (Attachment 3) must be completed to appoint a dissertation chair/co-chair. Unless someone else is approved by the associate dean, the dissertation chair or co-chair must serve as the student s faculty advisor. APPOINTMENT OF DISSERTATION COMMITTEE The dissertation committee requires a minimum of four members, but may have more, who can support the candidate in the completion of the dissertation. All but one member of the committee must be faculty from the School of Education. One of the members must be a faculty member who can support the candidate with the research design, that is, typically having strong background in statistics or qualitative research methodology. One member of the committee may be a professional from the workplace/field setting (e.g., superintendent) or can be a faculty member from another UHCL school or from another accredited university. Each member of the dissertation committee must hold a doctoral degree from an accredited university. The committee selection process should include members who bring strengths to the process, e.g., knowledge of the dissertation topic. The dissertation committee is responsible for (1) advising the candidate on the research, (2) advising/reviewing the dissertation proposal and dissertation in its entirety, (3) approving the dissertation proposal, (4) approving/disapproving the dissertation defense; (5) approving and signing off on the final dissertation, and (6) certifying

6 5 that all degree requirements have been fulfilled, and thus the candidate is entitled to be awarded the doctoral degree. A Dissertation Committee Appointment Form (Attachment 4) contains the names of the student, dissertation committee chair(s), and members of the committee. It is signed by the student and the dissertation chair(s). It is approved by the chair of the doctoral program and the associate dean. DISSERTATION HOURS Below are the rules for the dissertation hours which must be a part of the doctoral program: 1. There are two dissertation courses: EDLS 8939 and EDLS This allows a candidate to take dissertation for 3 or 6 credits, in a given semester. The decision of how many credits to be taken in a given semester is left to the dissertation chair. 2. The EdD program requires that a candidate take at least 6 hours of dissertation during the program. These hours may be completed in one or more semesters, as recommended by the dissertation chair. Based on a candidate s dissertation study, more than 6 hours of dissertation may be required, but only 6 hours will count toward the program. 3. Students cannot register for dissertation until they have been admitted to Doctoral Candidacy. To be admitted to Doctoral Candidacy, students must have passed the Doctoral Examination. 4. In order to register for dissertation, candidates must the associate dean their student identification number and the name of their dissertation chair. 5. Once registered for dissertation, candidates must maintain continuous registration in dissertation at least during long semesters until graduation. Once registered for dissertation (regardless of which course), candidates will be automatically registered for EDLS 8939 in all subsequent long semesters until graduation. If the dissertation chair decides that a candidate should register for the other dissertation course (EDLS 8969), then the candidate should drop EDLS 8939 and the associate dean requesting that EDLS 8969 be added. See 6 and 7 below for the exceptions.

7 6 6. Once registered for dissertation, registration may be waived during the summer semester if the candidate will not be using any university resources (faculty, library, computers, etc.) during the summer semester. This waiver is for the summer semester only. Candidates wishing to enroll in dissertation during the summer semester must the associate dean with the course number (EDLS 8939 or EDLS 8969), their student identification number, and the name of their dissertation chair. 7. If, for any reason, the graduation semester is delayed until after the semester in which the dissertation is completed, then registration in dissertation during the semester of graduation may be waived. The request for the waiver must be sent by the dissertation chair to the associate dean by the Friday of the week before the start of classes in the semester of graduation. The request must include an explanation of why graduation has been delayed beyond the semester in which the dissertation was approved and a statement that the candidate will not be using any university resources in the semester of graduation. DEVELOPMENT AND APPROVAL OF THE DISSERTATION PROPOSAL In the development and approval of the dissertation proposal the following steps are followed: Step 1: The candidate and dissertation chair work to focus the candidate s area of research toward developing a dissertation proposal. In advancing the process of identifying a dissertation topic, the candidate will submit to the dissertation chair a four to five page outline which describes: (1) the background or context of the proposed research study; (2) a problem statement, along with research questions or hypotheses; (3) a statement noting the significance or importance of the research topic; and (4) an outline of the methodology to be utilized. Step 2: The dissertation chair reviews the proposal, determining whether to move forward on the research topic or to have the candidate develop a new topic. Once the topic is sufficiently developed, committee members are selected who can support the candidate in the completion of the research topic. These members provide feedback on the development of the dissertation

8 7 proposal. The proposal typically consists of the first three chapters of the dissertation, with the understanding that the literature review may not be fully developed. Typically, the proposal is approximately 35 to 40 pages in length. When the committee has agreed that the candidate s proposal is sufficiently well developed, an oral defense of the dissertation proposal is scheduled. While it is preferred that all members of the committee be present at the defense, if extenuating circumstances exist, the defense may be held with one member absent. Approval of the proposal must be unanimous, although final approval may be contingent on required changes to the proposal. Any member not attending the defense must also approve the proposal before the candidate can proceed with the study. Once the committee approves the dissertation proposal, the candidate may move forward on the dissertation s development. Following the defense, a copy of Attachment 5, Approval of the Dissertation Proposal, signed by all members of the committee, is to be forwarded to the associate dean along with the copy of the approved proposal. If there is a need to change the dissertation chair or other committee members, this change, along with a rationale for the change and a recommendation for a suitable replacement, should be discussed by the candidate with the current chair(s), chair of the doctoral program or associate dean. Request for approval of the new dissertation chair or committee member is directed to the chair of the doctoral program and associate dean. A new Dissertation Committee Appointment Form (Attachment 4) will need to be completed and approved. COMMITTEE FOR THE PROTECTION OF HUMAN SUBJECTS APPROVAL Candidates are required to receive approval for their proposed research from the Committee for the Protection of Human Subjects (CPHS). The CPHS application must be completed and submitted online. Information related to the CPHS application and related forms can be obtained on the UHCL Office of Sponsored Programs website at It is essential that the steps outlined below be

9 8 followed carefully, as deviation from these steps is a violation of federal regulations and can nullify the use of data collected prior to CPHS approval. The candidate should complete the form and then submit it to the candidate s dissertation chair for review. Once the dissertation chair has approved the CPHS application, the chair will submit the application via to the chair of the School of Education Committee for the Protection of Human Subjects. The CPHS will not accept any applications directly from candidates. All instruments, approval letters and other documents mentioned in the CPHS application must be submitted to the chair of the CPHS as well. If electronic copies of supporting documents are not available, the candidate may submit paper copies to his/her dissertation chair to forward to the CPHS chair. Candidates and faculty members doing joint research prior to approval of the dissertation proposal must submit a CPHS application. This research may lead to the candidate s dissertation and the data collected would be considered archival. However, it is still expected that once the dissertation proposal is formally approved, another CPHS application will be submitted by the candidate. A copy of the proposal signature page must be submitted with the CPHS application. For candidates not involved in joint research with a faculty member the CPHS application may not be submitted to the CPHS until the dissertation proposal has been formally approved. A copy of the proposal signature page must be submitted with the CPHS application. Candidates may not proceed with their research until approval is received from the CPHS. Any work with human subjects prior to such approval will be nullified. The candidate should note that a minimum of two weeks should be allowed for the CPHS review. In addition, an application submitted to the CPHS at the end of a semester will not typically be reviewed until the beginning of the next semester so the candidate should plan accordingly. CPHS approval is for one year and if the research extends beyond one year, the candidate must let the CPHS committee know.

10 9 DISSERTATION DEFENSE AND APPROVAL To officially schedule the defense, there must be general agreement among dissertation committee members regarding the readiness of the candidate to defend the dissertation. An Application for the Dissertation Defense form (Attachment 6) must be completed and signed by the candidate and committee members, and approved by the chair of the doctoral program and the associate dean. The scheduled date of the defense must be at least 21 days after the committee s decision. The signing of the Application for the Dissertation Defense Form does not constitute approval of the dissertation. The candidate and the candidate s dissertation chair are responsible for completing the Application for the Dissertation Defense form, setting the date for the defense, scheduling the room for the defense, handling equipment needs, and so forth. The candidate must provide copies of the completed dissertation to the dissertation committee at least 14 days prior to the scheduled date of the defense. While it is preferred that all members of the committee be present at the defense, if extenuating circumstances exist, the defense may be held with one member absent. Any member not attending the defense must be afforded the opportunity to review and approve or not approve the dissertation. The dissertation defense includes a presentation of the study (not to exceed 30 minutes) and an oral examination where each committee member has the opportunity to ask questions. At an appropriate time, typically after one to two hours, the dissertation chair invites the candidate to leave while the dissertation committee deliberates on the performance of the candidate. The committee, as a whole, judges the quality of the candidate's work and recommends approval/disapproval of the dissertation. Later, the candidate returns to receive the results. The committee shall decide one of the following: 1. Pass, with minor or no editorial revisions to the written document. Revisions are to be approved by the dissertation chair. 2. Pass, with substantive revisions of the written document. Revisions are to be approved by the dissertation committee unless the dissertation committee delegates

11 10 approval to the dissertation chair, or the dissertation chair and specified members of the committee. When substantive revisions are required, the dissertation chair requests each dissertation committee member to present desired revisions, with the dissertation chair informing the candidate of the expected changes. Once the revisions have been completed, unless a different approach is recommended by the dissertation committee, the dissertation chair will either (1) contact each dissertation committee member to determine acceptance of the revisions, or (2) hold a meeting of the dissertation committee with the candidate to discuss the written revisions. If a meeting is scheduled, then the candidate must provide the dissertation committee a copy of the revised document at least 14 days prior to the scheduled meeting. 3. Fail, with major revisions necessary prior to second and final defense option, unless a second defense is not agreed upon by the dissertation committee. The dissertation committee as a whole shall handle differences of opinion, with the dissertation chair guiding the candidate on agreed upon required changes. The dissertation chair may choose to consult with the chair of the doctoral program or associate dean in resolving dissertation committee conflicts. When consensus among dissertation committee members is not possible, a candidate may pass the examination with one dissenting vote. A dissenting member has the option of not signing the dissertation approval form. It is anticipated that this option will happen rarely, since dissertation committee members will seriously attempt to resolve differences. If there is a failed oral examination, the dissertation committee may approve the scheduling of a second defense no sooner than six weeks from the time of the first oral examination and the candidate will work with the dissertation chair and other members of the dissertation committee to make required changes to the dissertation. The candidate must provide copies of the complete dissertation to the dissertation committee at least 14 days prior to the scheduled defense.

12 11 If the dissertation committee determines that a second defense will not be allowed or the candidate fails the dissertation defense a second time, the candidate may petition the dean for the opportunity to initiate dissertation work on a different topic and with a different committee. At the conclusion of the dissertation defense, a copy of Attachment 7, Final Defense of the Dissertation, is to be signed by all members of the committee and forwarded to the associate dean. FINAL EDITING AND SUBMISSION Candidates must make any changes prescribed by the dissertation committee, typically under the supervision of the dissertation chair and perhaps other members of the dissertation committee. It is the candidate s responsibility to ensure submission of completed work with sufficient time to meet a graduation deadline. Sample copies of the Dissertation Title Page, Dissertation Signature Page, Acknowledgment Page (Optional), Dissertation Abstract Page and Dissertation Table of Contents are found in Attachments 8, 9, 10, 11, and 12, respectively. DISSERTATION TIMELINE FOR GRADUATION There is a structured sequence of deadlines that must be met in order to graduate in a given semester. These deadlines relate to the defense of the dissertation, making required revisions, library review and final approval by the dean and associate dean. In general, the dissertation must be completed early in the semester in which graduation is anticipated. Students are advised to check the academic calendar for specific deadlines in a given semester and candidates should consult with their dissertation chair if there are any questions. DISSERTATION FORMAT All dissertations, abstracts and proposals developed within the School of Education are to follow the format of the American Psychological Association s (APA) (2010) Publication Manual of the American Psychological Association (6 th ed.). Additional information on the APA

13 12 Publication Manual, including tutorials, can be found on the APA website at Students are urged not to go to recent dissertations or journal articles to develop a format, but rather to purchase and follow the APA Publication Manual. GUIDE FOR THE PREPARATION OF A DISSERTATION Library. Candidates are encouraged to take full advantage of support from the Neumann Library. Library support is available throughout the proposal and dissertation process. Candidates may make appointments with reference librarians concerning search strategies and available resources. Candidates are encouraged to make appointments regarding the correct format of the dissertation. Appointments may be made in person at the Library Reference Desk or by calling Writing Center. Candidates are encouraged to consult with the Writing Center for questions they may have about writing style and for feedback on the readability of their proposals or dissertations. Appointments may be made by calling Deadlines. Consult the Academic Calendar distributed by the Office of the Associate Dean or check the library website for deadline dates related to the completion of a dissertation. Also, the candidates should check with his/her advisor or dissertation chair prior to beginning the dissertation for any additional requirements or regarding any questions not answered by this Guide or the UHCL Graduate Catalog. Once the dissertation chair and the committee have agreed that a dissertation defense may be scheduled, copies of the final dissertation to be considered for approval by the dissertation committee must be submitted to the dissertation committee at least 14 calendar days in advance of the defense. Following the successful defense of the dissertation and having made all changes required by the committee, the dissertation must be submitted to the library for a format check. It is suggested that the candidate set an appointment to meet in person to review the format. The candidate must have a formal review of the dissertation format with the library well in advance of the dissertation defense to ensure that the proper format is being followed. Candidates will

14 13 need to have another formal reference check when submitting the dissertation to the library. Appointments may be made in person at the Library Reference Desk or by calling Additional information regarding the library review of the dissertation is located at Subsequent to the format check and making any corrections that may result from this, the dissertation must be submitted for approval to the Office of the Associate Dean. Submission must take place by 11:45 a.m. on the day listed in the Academic Calendar. Upon approval by the associate dean, the dissertation will be forwarded to the dean. When approval is received from the dean and all required changes have been made, the candidate may then submit the dissertation to the library for binding. Paper. Use at least 16 to 25 pound, 8½ X 11 white bond of 100% cotton content for the required copies. In general, print and high quality electrostatic copies are acceptable means of duplication for the required copies. Note: Many brands of paper contain a watermark as an indicator of quality, though the watermark is not required. If the selected brand does contain a watermark, it should be right-side-up and consistently situated on all pages of the printed dissertation. Accompanying Pages. All dissertations must be accompanied by: 1. One extra copy of an abstract of no more than 350 words, with APA bibliographic citation should be submitted for microfilming. 2. Other forms may be required as outlined in this document. Candidates should contact their dissertation chair or the associate dean if there are questions. Fees. Pay at the Cashier s Office in the Student Services Classroom Building, SSCB Fees are subject to change. 1. $65 Required UMI fee for traditional publishing of a dissertation. 2. $60 Binding of three required university copies of dissertation. 3. $55 Optional copyright fee.

15 14 4. $95 Optional open access fee (as explained in UMI submission form). 5. $20 Fee per copy for any personal copies to be bound. You will need to bring the fee receipt, along with your copies and completed UMI submission form to the final submission appointment. There are various options for microfilming and candidates are referred to the ProQuest University Microfilms International (UMI) website for these options. Submission for Binding. A total of four (4) copies of the complete dissertation manuscripts and three (3) original signed approval pages (use at least 16 to 25 pound, 8 ½ X 11 white bond paper of 100% cotton) must be submitted to the library by 4:00 p.m. on or before the deadline date published in the Academic Calendar. Two copies are kept by the University for reference and a third copy is kept by the School of Education. The fourth copy will be forwarded to University Microfilms International for copying. The fourth copy may be submitted on regular paper, rather than bond. Candidates should check with the dissertation committee chairperson to see if additional copies are needed. Candidates wishing extra copies of the dissertation bound for themselves or for members of their dissertation committee may submit them at the time copies are submitted to the library for binding. Candidates must make an appointment with the library when submitting copies for binding to ensure that all materials are in the correct order and that university submission requirements are met. Candidates will need to show appropriate receipts for binding, microfilming, and copyright. Candidates will be notified by when the copies of the bound dissertations are ready, which will be about the middle of the following semester. Clarification of APA Style Guidelines for Dissertations. The following suggestions are recommended as clarifications to the APA Publication Manual (6 th ed.). Margins. Left, 1½" (must have 1½" left margin for binding); Right, Top and Bottom 1. Exception: On the first page of a chapter or major section the text begins five lines below the 1- inch top margin (see sample on page 31).

16 15 Title of Chapter, the word chapter and its corresponding numeral are on the first line and the chapter title is on the second line. Chapter titles are double spaced, all upper case letters, centered, and not bold. CHAPTER I INTRODUCTION Levels of headings. First level headings are centered, bold, with upper and lower case letters. Second level headings are flush left, bold, with upper and lower case letters. Third level headings are indented ½, bold, with only the first word in upper case letters, paragraph heading, and end in a period. Second Level Heading Third level heading. First Level Heading Pagination. There are two sets of page numbers in the dissertation. The preliminary pages should be numbered with Roman numerals centered at the bottom of the page, except that while counted, the title page, signature, and preface/dedication pages are not numbered. The second set of numbers, Arabic numerals, begins with the first page of Chapter I and continues throughout the paper, references, and appendices. Every page of the dissertation (except the blank cover (fly) page and the final blank page) is assigned a number, although that number may not be typed on the face of every page. In the set of Roman numerals, the title, signature, and preface/dedication pages are given numbers but the numbers do not appear on the pages. Thereafter, any division (e.g., abstract, table of contents) having only one page must show a number on that page. Any division of two or more pages must show numbers beginning with the second page.

17 16 If possible, figures should be presented on the page with the text. In the case where a figure cannot appear on the same page with the text, the figure should appear, beginning at the top of the next page. Figures exceeding one page in length should be placed in an appendix. In such cases, the figure is divided at a place deemed appropriate by the dissertation committee; for example, the figure may be presented on one page with the legend on the next page. Figures for which the non-text part exceeds one page should be reconfigured (e.g., change font size, use landscape format, use fold-out page) so that it will fit on one sheet of paper, one dimension of which is either 8½ or 11. In the set of Arabic numerals, the first page of any major division (the first page of Chapter I, the first page of Chapter II, the first page of the references, etc.) does not have the number typed on it, but the page is included in the numbering. The pages are numbered consecutively in the upper right-hand corner, using Arabic numerals. NO ARABIC NUMERALS ARE EVER SHOWN AT THE BOTTOM OF A PAGE. Page number font style and size should be consistent with text (Times New Roman, 12 pt.). Tables and Figures. Tables and figures are to appear in the text. Each table may appear on a separate page or within the paragraphs of the text. The form of the table is to follow the specifications in the APA Publication Manual. Although the size of tables will vary, formatting among tables should be consistent in terms of spacing, indentation, and alignment. All tables will be listed in a separate page titled LIST OF TABLES following the Table of Contents. This list will contain the number and descriptive title of the table, as well as the page number on which it appears. Numbering of tables or figures may be continuous or per-chapter as shown in the examples below:

18 17 List of Tables with Continuous Numbering LIST OF TABLES Table Page 1 Descriptive Statistics for ITBS Scores Univariate ANOVA Results...54 List of Tables with Per-Chapter Numbering LIST OF TABLES Table Page 4.1 Descriptive Statistics for ITBS Scores Univariate ANOVA Results...54 Each Figure is to be listed as follows in the "List of Figures" (or Illustrations). The List of Figures follows the List of Tables on a new page. Like tables, the numbering of figures may be continues or per-chapter: List of Figures with Continuous Numbering LIST OF FIGURES Figure Page 1 Flowchart of Multivariate Analysis Decisions Diagram of Hypothesized Factor Structure...37

19 18 List of Figures with Per-Chapter Numbering LIST OF FIGURES Figure Page 3.1 Flowchart of Multivariate Analysis Decisions Diagram of Hypothesized Factor Structure...37 References. The list of references follows the form suggested in the APA Publication Manual and appears at the end of the text. Use the appropriate title: "References" or "Bibliography." See the APA Publication Manual for details. A list of reference notes is generally not part of a dissertation. Appendices. Each appendix should be identified with a capital letter of the alphabet, beginning with "A." A cover sheet should be provided for each appendix with the appendix letter and title as follows, centered one-third from the top of the page (12 lines). Appendices should be paginated as a continuation of the text. Appendix title should be included above text in all caps. The page number should be included in the Appendix text but not the coversheet.

20 19 APPENDIX A RELIABILITY ESTIMATES Note that the cover page to the appendix does not have a page number typed on it, although it does have a page number assigned to it. This assigned number appears in the Table of Contents. The list of appendices appears at the end of the Table of Contents. (See sample Table of Contents, Attachment 12.) SAMPLE DISSERTATION FORMAT Outlined below is a sample format for a dissertation. The format of a dissertation will vary considerably depending on committee preferences, research topic, research method, as well as other factors. The format outlined below is therefore illustrative, not prescriptive. The candidate s dissertation chair should be consulted regarding the actual format to be followed. (See page 31 for the correct format for the table of contents.) Chapter I. INTRODUCTION Research Problem Need for the Study Theoretical Framework Hypotheses & Research Questions Chapter II. Chapter III. REVIEW OF THE LITERATURE METHODOLOGY Population and Sample Operational Definitions and Measurement of Variables Research Design Data Collection Procedures

21 20 Data Analysis Procedures Chapter IV. RESULTS Results of Data Analysis for each Hypothesis & Research Question Chapter V. SUMMARY, IMPLICATIONS, AND CONCLUSIONS Summary of Findings Implications for Theory, Research and Practice Conclusions GUIDE FOR THE PREPARATION OF A DISSERTATION PROPOSAL The dissertation proposal will parallel the format of the dissertation for the first three chapters. An example of the approval page for dissertation proposals is included in Attachment 5. In the dissertation format presented above, the proposal would essentially be the first three chapters, although it is understood that the review of the literature may not be complete. Candidates should consult their dissertation chairs regarding the actual format to be followed. Cover (fly) Page (one blank sheet of paper) DISSERTATION PAGE ORDER Title Page (show month and year of graduation). If copyrighted, copyright may be shown at the bottom of this page. Signature Page (original and copies must have the ORIGINAL signatures of the committee, the associate dean and the dean) Acknowledgment (Optional) Abstract Table of Contents List of Tables List of Figures (or Illustrations) Text

22 21 References (or Bibliography) Appendices (if applicable) Résumé (not assigned a number) (one page) Final page (one blank sheet of paper)

23 22 ATTACHMENT 1 University of Houston Clear Lake School of Education Doctor of Education Degree (EdD) in Educational Leadership Program EdD STUDENT/FACULTY ADVISOR FORM Mailing Address EdD Student (Please Print) Phone Number ID# Cohort Class EdD Student: Signature Date Faculty Advisor: Signature Date APPROVED: Doctoral Program Chair: Signature Date Associate Dean: Signature Date

24 23 ATTACHMENT 2 CHANGE OF FACULTY ADVISOR FORM University of Houston Clear Lake School of Education Doctor of Education Degree (EdD) in Educational Leadership Program Mailing Address EdD Student (Please Print) Phone Number ID# Cohort Class EdD Student: Signature Date Name of Present Faculty Advisor: Requested Faculty Advisor: Signature Date DENIED APPROVED Doctoral Program Chair Signature Date DENIED APPROVED Associate Dean Signature Date

25 24 ATTACHMENT 3 DISSERTATION CHAIR APPOINTMENT FORM Tentative Dissertation Title Candidate (Print/Type) Candidate Signature Student ID Candidate Date Chair: Co-Chair (if any): Approved: Committee Chair Signature Date Committee Co-Chair Signature Date DENIED APPROVED Doctoral Program Chair Signature Date DENIED APPROVED Associate Dean Signature Date

26 25 ATTACHMENT 4 DISSERTATION COMMITTEE APPOINTMENT FORM Tentative Dissertation Title Candidate (Print/Type) Candidate Signature Student ID Candidate Date Dissertation Committee Chair: Co-Chair (if any): Methodologist: Dissertation Name Name Name Signature Signature Signature Committee Members: Name Name Name Attach current vita for any non-school of Education committee member. Approved: Signature Signature Signature Committee Chair Signature Date Committee Co-Chair Signature Date The Dissertation Committee Chair s signature on the form signifies that the chair has confirmed that each member of the committee has agreed to serve on the committee. DENIED APPROVED Doctoral Program Chair Signature Date DENIED APPROVED Associate Dean Signature Date

27 26 ATTACHMENT 5: Dissertation Proposal Signature Page lines from top 1 margin - (depending on length of title) RESOLVING ETHICAL DILEMMAS CONFRONTING SCHOOL ADMINISTRATORS A Dissertation Research Proposal Presented Title: Cascading Waterfall by Dorothea C. Budding No degree. APPROVED BY Paul A. Wagner, PhD, Chair Denise McDonald, EdD, Committee Member Lawrence T. Kajs, EdD, Committee Member Carol A. Carman, PhD, Committee Member RECEIVED BY THE SCHOOL OF EDUCATION: Lawrence T. Kajs, EdD, Associate Dean Mark D. Shermis, PhD, Dean The top line is for the dissertation chair's signature. There should be as many lines as there are members on the committee, as well as lines for the Associate Dean and Dean, and underneath each line, the typewritten name of the signatory, and his or her highest degree. Member titles should appear as above. All signatures must be original. Duplicated signatures are not acceptable. from bottom

28 27 ATTACHMENT 6 APPLICATION FOR THE DISSERTATION DEFENSE University of Houston-Clear Lake School of Education Doctor of Education Degree (EdD) in Educational Leadership Program This application must be submitted to the Office of the Associate Dean after it has been signed by the EdD Candidate and Dissertation Committee Members. It must be submitted to the Office of the Associate Dean at least 21 days prior to the schedule dissertation defense. Candidate (Please Print): Mailing Address: Phone Number: ID#: Dissertation Defense Date: Candidate Signature: Date: Committee Signatures: The Chair signs last, but on the first line. Chair: Date: Committee Member Committee Member Committee Member Committee Member Date Received in the Associate Dean s Office: DENIED APPROVED Associate Dean Signature Date

29 28 ATTACHMENT 7 FINAL DEFENSE OF THE DISSERTATION FORM Dissertation Title Candidate Student ID Date of Final Defense: Committee Decision Pass, with minor or no editorial revisions (revisions are approved by the dissertation chair) Pass, with revisions (approved by the committee) Fail, with major revisions prior to a second and final defense option Fail, with no second defense option. The Committee Decision is Approved By: Dissertation Chair: Committee Member: Committee Member: Committee Member: Committee Member: Dissenting Vote, if any: Signature Signature Signature Signature Signature Date Committee Member: Signature

30 from top plus 5-7 lines (depending on length of title) 29 ATTACHMENT 8: Sample Title Page RESOLVING ETHICAL DILEMMAS CONFRONTING SCHOOL ADMINISTRATORS - 2 lines - by - 3 lines - Dorothea C. Budding, MS lines - Use current degree held. Title is capitalized, double-spaced and in inverted pyramid form if more than one line long. DISSERTATION Margin: 1.5 from left Presented to the Faculty of The University of Houston-Clear Lake in Partial Fulfillment of the Requirements for the Degree - 2 lines - DOCTOR OF EDUCATION lines - Name of degree does not include discipline. from right THE UNIVERSITY OF HOUSTON-CLEAR LAKE DECEMBER, 2010 Copyright 2010, Dorothea C. Budding* *All Rights Reserved from bottom *Include only if application for copyright has been submitted

31 from top plus 5-7 lines (depending on length of title) 30 ATTACHMENT 9: Sample Dissertation Signature Page RESOLVING ETHICAL DILEMMAS CONFRONTING SCHOOL ADMINISTRATORS by Dorothea C. Budding Title: Cascading Waterfall Identical to title page. Margin: 1.5 from left APPROVED BY No degree. from right Paul A. Wagner, PhD, Chair Denise McDonald, EdD, Committee Member Lawrence T. Kajs, EdD, Committee Member Carol A. Carman, PhD, Committee Member RECEIVED BY THE SCHOOL OF EDUCATION: Lawrence T. Kajs, EdD, Associate Dean Mark D. Shermis, PhD, Dean from bottom The top line is for the dissertation chair's signature. There should be as many lines as there are members as well as lines for the Associate Dean and Dean, and underneath each line, the typewritten name of the signatory, and his or her highest degree. Member titles should appear as above. All signatures must be original. Duplicated signatures are not acceptable.

32 from top plus 5 lines 31 ATTACHMENT 10: Sample Acknowledgment Page ACKNOWLEDGMENTS I am greatly indebted to the support of my family in the pursuit of my doctoral degree. Without their understanding and encouragement. Margin: 1.5 from left from right from bottom

33 from top plus 5 lines 32 ATTACHMENT 11: Sample Abstract Page ABSTRACT RESOLVING ETHICAL DILEMMAS CONFRONTING SCHOOL ADMINISTRATORS - 3 lines - Dorothea C. Budding University of Houston-Clear Lake, 2010 No degree. - 3 lines - Dissertation Chair: Paul A. Wagner, PhD Co-Chair: Felix Simieou III, PhD - 3 lines - School superintendents face a variety of ethical dilemmas in the scope of their work. How they resolve these dilemmas Abstract is double-spaced, continuous text. Margin: 1.5 from left from right The second page of the abstract through the list of figures are numbered with lowercase Roman numerals centered at the bottom margin of the page. Although not numbered, all pages in front of the second page of the abstract are counted. The second abstract page number is iv or higher, as appropriate. from bottom

34 from top plus 5 lines 33 ATTACHMENT 12: Sample Table of Contents Page Margin: 1.5 from left TABLE OF CONTENTS from right Abstract... iii List of Tables...x List of Figures... xi Chapter Page I. INTRODUCTION...1 Indent: 1/2 Purpose of Study...4 Statement of the Problem...8 Theoretical Framework...12 Hypotheses (or Questions)...16 Definitions...20 Limitations of the study...22 Basic Assumptions...24 II. REVIEW OF RELATED LITERATURE...25 Indent: 1/2 Level 1 Heading...26 Level 2 Heading Level 3 Heading Summary...52 III. METHODOLOGY...55 Indent: 1/2 Setting (Qualitative Research Only)...56 Participants...57 Site (Qualitative Research Only)...64 Research Design...75 Instruments...82 Data Collection Procedures Data Analysis Procedures Summary...87 IV. RESULTS...93 from bottom

35 from top 34 V. SUMMARY, IMPLICATIONS, AND CONCLUSIONS REFERENCES APPENDIX A (TITLE IN ALL CAPS) APPENDIX B (TITLE IN ALL CAPS) RÉSUMÉ No page number for Résumé (Note that the number of chapters and chapter titles above are for illustrative purposes only since not all dissertations will have five chapters with these identical titles.) Margin: 1.5 from left from right from bottom vii

36 from top plus 5 lines 35 ATTACHMENT 13: Sample List of Tables Margin: 1.5 from left Table LIST OF TABLES Page from right 1 High School Mathematics Course Sequence State of Texas Graduation Requirements 1998-Present Population of School District, to Demographics of School District by Percent, to Eight Grade Algebra I Enrollment in School District, to Timeline for Data Collection and Analysis Questions 1-2, Sub-questions, and Statistical Analysis Used Questions 3-4, Sub-questions, and Statistical Analysis Used Numerical Grade Ranges Corresponding to Letter Grades High School Mathematics Course Names and Variations Focus Groups Sample Size Based on Cohort and 4 4 Requirement Advanced High School Course Sequences Mathematics Courses Completed by At Least 1.0% of Students, per Grade Level Most Common Sequences of Courses Predictors of High School Mathematics Grade Average...71 from bottom viii Display page number if List of Tables is only one page

37 36 Citation: Bayard, R. (2012). Implications of eighth grade algebra on high school mathematics achievement (Doctoral Dissertation). Retrieved from ProQuest Dissertations and Theses. (Accession Order No ), ix.

38 from top plus 5 lines 37 ATTACHMENT 14: Sample First Page of a Chapter CHAPTER I INTRODUCTION Margin: 1.5 from left from right from bottom

39 from top 38 ATTACHMENT 15: Sample Definition of Terms Definition of Terms Advanced Academics: Coursework offered in public high schools with content at a higher level of rigor than on-level coursework. Autonomy: The ability and predisposition to work independently of others, possibly for advanced levels of creativity (Cain, 2013). College Bound: Students who have taken coursework in high school with the intention of completing academic requirements for entering college. College Readiness: The degree to which previous personal and educational experiences have prepared students for the expectations and difficulties encountered in college (Conley, 2007). Critical Thinking Skills: Analyzing and evaluating thinking, while improving it (Paul & Elder, 2009; Nosich, 2012) using higher-level thinking skills in Bloom s Taxonomy which go beyond knowledge, comprehension, and application to analysis, synthesis, and evaluation (Bloom, 1956) and adhere to concept-based curriculum (Erickson, 2007). Margin: 1.5 from left Citation Richardson, C. C. (2014). Examination of the relationship between students existing self-regulation skills and outcomes on an independent study mentorship final course project (Doctoral Dissertation). Retrieved from ProQuest Dissertations and Theses. (Accession Order No ), 5. from right from bottom

40 from top 39 ATTACHMENT 16: Sample Tables Small Table Sample Table 1 Participating School Districts Name Student Enrollment District A 8,628 District AEIS Rating Academically Acceptable Number of Campuses Number of PDAS Appraisers District B 773 Recognized 3 4 District C 4,889 Recognized 7 19 District D 1,188 Academically Acceptable 4 6 District E 7,818 Recognized District F 18,198 Exemplary Margin: 1.5 from left Total Note. Data based on the Texas Education Agency (TEA) District Academic Excellent Indicator System (AEIS) for the school year (TEA, 2010). from right Citation: Nixon, L. (2013). Implementation issues of a standards-based teacher evaluation system: Perceptions of Campus Administrators (Doctoral Dissertation). Retrieved from ProQuest Dissertations and Theses. (Accession Order No ), 25. from bottom

41 Margin: 1.5 from left from bottom Large Table Samples Table 8 Frequency Tables for Each Item in Multiple-Tiers of Instruction Variable Multiple-Tiers of Instruction Items M SD Freq % 1. Most or all teachers differentiate instruction % 2. What is the current level of research-based core curriculum intervention materials provided by your campus? The campus sometimes provides research-based core curriculum 36 28% The campus always provides researched-based core curriculum 95 72% 3. The core curriculum is monitored % 4. Procedures are in place to monitor the fidelity of implementation of the core curriculum % 5. The teacher rarely deviates from the materials or vendor recommendations % 6. Vertical and Horizontal Alignment of Teaching and Learning (Choose all that apply): There is no vertical or horizontal alignment of teaching and learning 9 7% 1 There is good vertical alignment of teaching and learning from one grade to another 62 47% 2 There is good vertical and horizontal alignment of teaching and learning within grade levels, so that students have similar experiences, regardless of their assigned teacher 7. School Based Professional Development Some forms of professional development are available to teachers to support continuous improvement of instructional practice, but most are not school-based and do not support continuous improvement of instructional practice 60 46% 74 57% School based professional development is established and structured so that all teachers 57 43% continuously examine, reflect on, and improve instructional practice. 8. Tier II interventions are evidence based % 9. Tier II Interventions Align with Core Curriculum Tier II intervention generally aligns with the district s core curriculum but only occasionally includes foundational skills that support the district s core curriculum and instruction % Tier II intervention aligns well with core instruction and includes foundational skills that support the district s core curriculum and instruction 79 60% from top from right 40

42 Margin: 1.5 from left from bottom Multiple-Tiers of Instruction Items M SD Freq % 10. Fidelity of Tier II Intervention There is no monitoring of Tier II intervention implementation 8 6% Procedures are in place to monitor the fidelity of implementation of Tier II 84 64% Tier II interventions are implemented most of the time with fidelity, in accordance with 39 30% developer guidelines. 11. Quality of Tier II Instruction: Well-trained staff lead Tier II interventions % 12. Intervention group size is 10 or fewer students % 13. How is Tier II related to Tier I? Tier II interventions are in addition to the core classroom instruction % 14. Tier III interventions are evidence based The Tier III interventions are not evidence-based. 5 4% Tier III interventions consist of a variety of strategies, of which only some are evidence-based 60 46% All Tier III interventions are evidence based % 15. Fidelity of Tier III Intervention Procedures are in place to monitor the fidelity of implementation of Tier III interventions % Tier III interventions are implemented most of the time with fidelity, in accordance with 30 22% developer guidelines. 16. Quality of Tier III Instruction: Well trained staff lead Tier III interventions and group sizes are 5 are % less 17. How is Tier III related to Tier I? Tier III intervention is sometimes in addition to core classroom instruction and sometimes replaces core classroom instruction % Tier III interventions are in addition to the core classroom instruction % from top from right 41

43 Margin: 1.5 from left Margin: 1 from bottom Table 10 Frequency Tables for Each Item in Data-Based Decisions Component Variable Data-Based Items M SD Freq % 1. The campus RTI Committee provides a written intervention plan with specific, targeted objectives % 2. The campus RTI Committee involves the student s teacher, interventionists and/or campus % administrator. 3. The campus RTI Committee is data driven and based on validated methods % 4. Decision-Making school-based meetings are held to review the student s intervention plan % 5. Decision-Making Tools: Choose all that Apply There is no progress monitoring conducted between BOY, MOY, and EOY STAR Screeners. The campus progress-monitoring tool is the STAR Screener. The campus progress-monitoring tool has at least nine different forms of equal and controlled difficulty. The campus progress-monitoring tool provides benchmark data for minimum acceptable end of year performance The campus progress-monitoring tool provides reliable and valid information for the performance level score % % % % % Citation: Cornwell, K. W. (2014). How various levels of implementation of the multi-tiered framework affect student performance (Doctoral Dissertation). University of Houston Clear Lake, Houston, Texas. (Note that when using landscape mode, margins and placement of page numbers must be kept consistent with portrait mode; thus, a top margin in landscape mode is treated as a left margin in portrait mode and should be set to 1½.) from right from top 42