1 A Complete Dissertation The Big Picture

Objectives

Chapter 1 Objectives • Provide a cursory glance at the constitution of an entire dissertation. • Offer a comprehensive outline of all key elements for each of the dissertation—that is, a precursor of what is to come, with each element being more fully developed and explained further along in the . • For each key element, explain reason for inclusion, quality markers, and frequent or common errors.

OVERVIEW FRONT MATTER

Following is a road map that briefly outlines Order and format of front matter may vary the contents of an entire dissertation. This is by institution and department. a comprehensive overview, and as such is helpful in making sure that at a glance you •• Title page understand up front the necessary elements •• Copyright page (optional) that will constitute each section of your •• dissertation. This broad overview is a prelude •• (optional) to the steps involved in each of the chapters •• Acknowledgments (optional) that are described and demonstrated in Part II. •• While certain elements are common to most •• List of tables and figures (only those in dissertations, please note that dissertation chapters, not those in appendices) requirements vary by institution. Toward that end, students should always consult 1. Title Page with their advisor and committee members to ascertain any details that might be specific The title gives a clear and concise descrip- or particular to institutional or departmental tion of the topic/problem and the scope of requirements. the study. The title page will show the title;

3 4 PART I. TAKING CHARGE OF YOURSELF AND YOUR WORK

the author’s full name; the degree to be con- The copyright symbol (©) should appear ferred; the university, department, and col- with author’s name and year centered lege in which the degree is earned; and the between the margins on the lower half of the month and year of approval. Margins for the backside of the title page. Below the copy- title page and the entire document are right line, include the statement “All Rights left—1.5 inches; right, top, and bottom— Reserved.” 1 inch. Also, the title should be in all capitals. © Carla Nicole Bloomberg

Reason All Rights Reserved The title both guides and reflects the pur- pose and content of the study, making its 3. Abstract relevance apparent to prospective readers. The abstract, limited to 350 words, is a The title is also important for retrieval pur- concise summary description of the study, poses enabling other researchers to locate it including statement of the problem, pur- through a literature search. pose, scope, research tradition, data sources, methodology, key findings, and implica- Quality Markers tions. The abstract is written after the dis- sertation is completed, and is written from A well-crafted title conveys the essence the perspective of an outside reader (i.e., not and purpose of the study. The title should “My dissertation examines” but “An exami- include the type of study (“An Analysis”) nation of . . .”). and the participants. Use of keywords will The page numbers before the text are in promote proper categorization into data- Roman numerals. The abstract page is the bases such as ERIC (the Education Resources first page to be numbered, but as iii. All Information Center) and Dissertation Roman numerals should be centered between Abstracts International. the left and right margins, and 1 inch from the bottom of the page. The title of the page, Frequent Errors “ABSTRACT,” should be in all capitals and centered between the left and right margins, Frequent title errors include the use of and 2 inches from the top. trendy, elaborate, nonspecific, or literary language, and grandiose or unrealistic expec- tations (e.g., “Finally, a Solution to . . .”). Reason The abstract’s inclusion in Dissertation Abstracts International (which mandates a 2. Copyright Page (optional) 350-word limit) makes it possible for other Copyright is the legal right of an owner of researchers to determine the relevance of this created material to control copying and own- work to their own studies. Over 95% of ership of that material. Authors of research American dissertations are included in Dis- documents who wish to protect their writing sertation Abstracts International. through copyright may do so. A student may file a claim to copyright by corresponding Quality Markers directly with the U.S. Copyright Office (Library of Congress, 101 Independence Marks of quality include conciseness and Avenue S.E., Washington, DC 20559-6000). accuracy. The abstract should also be written 1. A Complete Dissertation 5 in the third person (active voice without the The heading “TABLE OF CONTENTS” personal pronouns I and we). Generally, the is centered between the left and right mar- first sentence of an abstract describes the gins, 2 inches from the top of the page. The entire study; subsequent sentences expand on listing begins one double space below and that description. even with the left margin. Leader dots are placed from the end of each listing to the cor- responding page number. All major titles are Frequent Errors typed exactly as they appear in the text. Inclusion of irrelevant material (i.e., When a title or subtitle exceeds one line, the examples, information extraneous to the dis- second and succeeding lines are single-spaced sertation itself), exclusion of necessary mate- and indented two spaces. Double spacing is rial (i.e., problem, purpose, scope, research used between major titles and between each tradition, data sources, methodology, key major title and its subtitle. findings, and implications), and incorrect The table of contents may be followed by format are frequent abstract errors. any of the following, if needed, and any of these subsequent lists are formatted in the same manner as the table of contents: 4. Dedication and Acknowledgments (optional) •• List of tables These pages are optional, although most •• List of figures dissertations include a brief acknowledg- •• List of illustrations •• List of symbols ment of the contributions of committee members, colleagues, friends, and family members who have supported the students’ Reason research. “ACKNOWLEDGMENTS” The table of contents assists the researcher should be capitalized and should appear in organizing the material while promoting centered between the left and right mar- accessibility for the reader. gins, 2 inches from the top. Text should begin two line spaces after “ACKNOWL- EDGMENTS.” Quality Markers The dedication page is separate from the The headings and subheadings clearly and acknowledgments page. If included, the dedi­ concisely reflect the material being presented. cation text should be centered between the Headings and subheadings are parallel gram- left and right margins and between the top matically (i.e., “,” “Review of and bottom margins; it should also reflect a Literature” not “Introduction,” “Reviewing professional nature. Do not include the title the Literature”). The headings and subhead- “DEDICATION” on the dedication page. ings in the table of contents are worded exactly the same as those headings and sub- 5. Table of Contents headings in the text. An outline of the entire dissertation, list- Frequent Errors ing headings and subheadings with their respective page numbers, the table of con- Frequent errors include lack of parallelism tents lists all chapters and major sections in headings and subheadings, as well as within chapters and all back matter with wording in the table of contents that does page numbers. not match wording in text. 6 PART I. TAKING CHARGE OF YOURSELF AND YOUR WORK

DISSERTATION CHAPTERS the research setting, the sample, instrumen- tation (if relevant), and methods of data Order and format of dissertation chapters collection and analysis used. may vary by institution and department. •• Rationale and significance: Rationale is the justification for the study presented as a 1. Introduction logical argument. Significance addresses the benefits that may be derived from doing 2. Literature review the study, thereby reaffirming the research 3. Methodology purpose. •• Role of the researcher: This section explains 4. Findings the role of the researcher in planning and 5. Analysis and synthesis conducting the study. •• Researcher assumptions: This section 6. Conclusions and recommendations makes explicit relevant researcher assump- tions, beliefs, and biases (if applicable). Chapter 1: Introduction •• Definition of key terminology: Some terms may be unfamiliar to readers. Additionally, This chapter makes a case for the signifi- the meanings of certain terms can vary cance of the problem, contextualizes the depending on the context, conceptual frame- study, and provides an introduction to its work, or field of study. Making terms basic components. It should be informative explicit adds precision and ensures clarity of and able to stand alone as a document. understanding. These terms should be oper- ationally defined or explained; that is, make clear how these terms are used in your study. •• Introduction: The introduction includes an •• Organization of the dissertation: This overview of the purpose and focus of the brief concluding explanation delineates the study, why it is significant, how it was con- contents of the remaining chapters in the ducted, and how it will contribute to pro- dissertation. fessional knowledge and practice. •• Problem statement: The problem indicates the need for the study, describes the issue or Reason problem to be studied, and situates it in a broader educational or social context. The The introduction sets the stage for the problem statement includes a brief, study and directs readers to the purpose and well-articulated summary of the literature context of the dissertation. that substantiates the study, with references to more detailed discussions in Chapter 2. Quality Markers •• Statement of purpose: Describing the research purpose in a logical, explicit manner, the A quality introduction situates the context statement of purpose is the major objective or and scope of the study and informs the reader, intent of the study; it enables the reader to providing a clear and valid representation of understand the central thrust of the research. what will be found in the remainder of the •• Research question(s): Research questions dissertation. Discussion is concise and precise. are directly tied to the purpose. They should be specific, unambiguously stated, and open ended. These questions cue read- Frequent Errors ers to the direction the study will take and help to delineate the scope of the study. Errors occur when the introduction does •• Overview of methodology: This section out- not clearly reflect the study and/or its rela- lines the methodological type or approach, tionship to the proposed problem and Chapter 1. A Complete Dissertation 7 purpose, or it does not stand alone as a the study and analysis of findings. When document. appropriate, a graphic depiction of the model is included, showing the relation- ships between concepts, ideas, or vari- Chapter 2: Literature Review ables to be studied. •• Summary: A comprehensive synthesis of This chapter situates the study in the con- the literature review should complete this text of previous research and scholarly mate- section. rial pertaining to the topic, presents a critical synthesis of empirical literature according to Reason relevant themes or variables, justifies how the study addresses a gap or problem in the This chapter provides a strong theoreti- literature, and outlines the theoretical or con- cal basis for the dissertation by analyzing ceptual framework of the study. A disserta- and synthesizing a comprehensive selec- tion does not merely restate the available tion of appropriate related bodies of lit- knowledge base of a particular topic, but erature. The review of literature should adds to or augments it. build a logical framework for the research, justify the study by conceptualizing gaps •• Introduction: The introduction describes in the literature, and demonstrate how the the content, scope, and organization of the study will contribute to existing knowl- review as well as the strategy used in the edge. The review serves to situate the literature search. dissertation within the context of current •• Review of literature: This section ongoing conversations in the field. −− is clearly related to the problem state- The conceptual framework guides the ment, purpose, and research questions; research, and plays a major role in analy- −− states up front the bodies of literature sis of findings. that will be covered, and why; −− reviews primary sources that are mostly recent empirical studies from scholarly Quality Markers journals and publications, as well as A comprehensive and thoughtful selec- secondary sources; −− is logically organized by theme or sub- tion of resources that cover the material topic, from broad to narrow; directly related to the study’s purpose and −− synthesizes findings across studies and background, not the full scope of the field, compares and contrasts different is considered a mark of a quality literature research outcomes, perspectives, or review. All relevant primary sources and methods; empirical research studies are cited (these −− notes gaps, debates, or shortcomings in are preferable to secondary sources, which the literature and provides a rationale are interpretation of the work of others). for the study; and The writer adopts a critical perspective in −− provides section summaries. discussing the work of others, and provides •• Conceptual framework: The conceptual a clear analysis of all available related framework draws on theory, research, and research. Relevant literature is critiqued, experience, and examines the relationship among constructs and ideas. As such, it not duplicated, and there is a clear connec- is the structure or heuristic that guides tion between the purpose of this study and your research. In essence, the conceptual the resources included. The conceptual framework provides the theoretical and framework’s role and function are clear: methodological bases for development of The conceptual framework clearly draws on 8 PART I. TAKING CHARGE OF YOURSELF AND YOUR WORK

theory, research, and experience, providing rationale for their suitability regarding conceptual coherence to the research. addressing the research questions, and cit- Another quality marker is the correct use of ing appropriate methodological literature. American Psychological Association (APA) •• Research setting/context: This section format, citations, and references throughout. describes and justifies selection of the research setting, thereby providing the his- tory, background, and issues germane to Frequent Errors the problem. •• Research sample and data sources: This Frequent errors include insubstantial section breadth of review (i.e., insufficient number −− explains and justifies the sample used or range of resources; failure to include rel- and how participants were selected evant primary sources) and insubstantial (including population and sampling pro- depth of review (i.e., use of nonscholarly cedures); material; inability to demonstrate clear −− describes the characteristics and size of understanding of resources). Another error the sample, and provides other pertinent is that the review reads more like a catalog demographic information; and of sources than a synthesis and integration −− outlines ethical considerations pertain- ing to participants, shedding light on of relevant literature. There is also a ten- how rights of participants were pro- dency to eliminate literature that contra- tected, with reference to conventions of dicts or questions the findings of the disser- research ethics and the IRB (institutional tation’s study. Other errors include incor- review board) process. rect or insufficient citation of sources, •• Data collection methods: This section resulting in accidental plagiarism, and pre- describes and justifies all data collection sentation of a diagrammatic conceptual methods, tools, instruments, and proce- framework with no accompanying narrative dures, including how, when, where, and by explanation. whom data were collected. •• Data analysis methods: This section describes and justifies all methods and tools Chapter 3: Methodology used for analysis of data (manual and/or This chapter situates the study within a computational). • Issues of trustworthiness: This section dis- particular methodological tradition, pro- • cusses measures taken to enhance the study, vides a rationale for that approach, describes as well as credibility (validity) and depend- the research setting and sample, and des­ ability (reliability). cribes data collection and analysis methods. •• Limitations and delimitations: This section The chapter provides a detailed description identifies potential weaknesses of the study of all aspects of the design and procedures of and the scope of the study. Limitations are the study. external conditions that restrict or con- strain the study’s scope or may affect its •• Introduction: The introduction restates the outcome. Delimitations are conditions or research purpose and describes the organi- parameters that the researcher intentionally zation of the chapter. imposes in order to limit the scope of a •• Rationale for research approach: This sec- study (e.g., using participants of certain tion describes the research tradition or ages, genders, or groups; conducting the paradigm (qualitative research) and the research in a single setting). Generalizability research methodology (phenomenology, is not the goal of qualitative research; case study, action research, etc.) with a rather, the focus is on transferability—that Chapter 1. A Complete Dissertation 9

is, the ability to apply findings in similar and qualitative (narrative) data. Findings contexts or settings. are often written up in different ways depend­ ­ •• Summary: A comprehensive summary over- ing on the research tradition or genre view covers all the sections of this chapter, adopted. recapping and highlighting all the important points. Discussion is concise and precise. •• Introduction: The introduction provides a brief summary of and rationale for how Reason data were analyzed. It describes the organi- zation of the chapter according to research The study is the basis for the conclusions questions, conceptual framework, or the- and recommendations. In many ways, it is matic categories. what makes the difference between a disser- •• Findings build logically from the problem, tation and other forms of extended writing. research questions, and design. A clear description of the research sample, •• Findings are presented in clear narrative setting, methodology, limitations, and delim- form using plentiful verbatim quotes, and “thick description.” Narrative data are itations and acknowledgement of trustwor- connected and synthesized through sub- thiness issues provide readers with a basis for stantive explanatory text and visual dis- accepting (or not accepting) the conclusions plays, if applicable, not simply compiled. and recommendations that follow. Some tables and figures may be deferred to the appendices. •• Headings are used to guide the reader Quality Markers through the findings according to research A quality study achieves the purposes questions, themes, or other appropriate outlined in the introduction’s research prob- organizational schemes. lem and research questions. The relationship •• Inconsistent, discrepant, or unexpected of the research paradigm and type of data data are noted with discussion of possible collection and analysis used in this study is alternative explanations. •• Summary: This section explains in sum- clear. All relevant information is clearly mary form what the chapter has identified, articulated and presented. Narrative is and also prepares the reader for the chap- accompanied by clear and descriptive visuals ters to follow, by offering some foreshad- (charts, figures, tables). owing as to the intent and content of the final two chapters. Frequent Errors Reason Errors occur when data are not clearly presented; the study is not applicable to pur- The challenge of qualitative analysis lies poses outlined in the introduction; and meth- in making sense of large amounts of data, ods of gathering and analyzing data and reducing raw data, identifying what is sig- trustworthiness issues are insufficient or not nificant, and constructing a framework for clearly explained. communicating the essence of what the data reveal. The researcher, as storyteller, is able to tell a story that is vivid and interesting, Chapter 4: Findings and at the same time accurate and credible. This chapter organizes and reports This chapter is the foundation for the analy- the study’s main findings, including the pre- sis, conclusions, and recommendations that sentation of relevant quantitative (statistical) will appear in the next/forthcoming chapters. 10 PART I. TAKING CHARGE OF YOURSELF AND YOUR WORK

Quality Markers interpretations constitutes a second layer of interpretation. Markers of a quality findings chapter −− Issues of trustworthiness are incorpo- include clear, complete, and valid representa- rated as these relate to and are applied tion of the data that have emerged as a result throughout the analysis process. of the study and effective use of graphs, −− Discussion may include interpretation of charts, and other visual representations to any findings that were not anticipated illustrate the data. Findings are presented when the study was first described. objectively, without speculation—that is, free Establishing credibility means that you from researcher bias. Presentation and struc- have engaged in the systematic search ture in this chapter are neat and precise, for rival or competing explanations and and related to the study’s qualitative tradition interpretations. −− This section restates the study’s limita- or genre. tions and discusses transferability of the findings to broader populations or other Frequent Errors settings and conditions. Errors occur when study findings are manipulated to fit expectations from research Reason questions, or when researcher bias and/ Analysis is essentially about searching or subjectivity is apparent. Other frequent for patterns and themes that emerge from errors include poor or invalid use of visual the findings. The goal is to discover what representation, and findings not overly meaning you can make of them by compar- generalized. ing your findings both within and across groups, and with those of other studies. Chapter 5: Analysis and Synthesis Interpretation that is thoughtful and com- pelling will provide the opportunity to This chapter synthesizes and discusses the make a worthwhile contribution to your results in light of the study’s research ques- academic discipline. tions, literature review, and conceptual frame- work. Finding patterns and themes is one result of analysis. Finding ambiguities and Quality Markers inconsistencies is another. Overall, this chapter There is no clear and accepted single set offers the researcher an opportunity to reflect of conventions for the analysis and interpre- thoroughly on the study’s findings, and the tation of qualitative data. This chapter practical and theoretical implications thereof. reflects a deep understanding of what lies beneath the findings—that is, what those •• Introduction: The introduction provides an findings really mean. Interpretation is pre- overview of the chapter’s organization and sented systematically, and is related to the content. literature, conceptual framework, and inter- •• Discussion: This section provides an pretive themes or patterns that have emerged. in-depth interpretation, analysis, and A key characteristic of qualitative research is synthesis of the results/findings. −− Analysis is a multilayered approach. willingness to tolerate ambiguity. As such, Seeking emergent patterns among findings examining issues from all angles in order to can be considered a first round of analysis. demonstrate the most plausible explanations Examining whether the lite­rature corre- is an indication of high-level analysis. Integ- sponds with, contradicts, and/or deepens rity as a researcher is given credence by Chapter 1. A Complete Dissertation 11 inclusion of all information, even that which •• Recommendations support the belief that challenges inferences and assumptions. scholarly work initiates as many questions as it answers, thus opening the way for further practice and research. Frequent Errors •• Recommendations for research describe topics that require closer examination Frequent errors include analysis that is and that may generate new questions for simple or shallow. Synthesis is lacking; there further study. is no clear connection to other research litera- ture, or theory. Credibility and/or plausibility of explanations is in question. The chapter is Reason poorly structured, presented, and articulated. This chapter reflects the contribution the researcher has made to the knowledge and Chapter 6: Conclusions and practice in his or her field of study. In many Recommendations ways, it provides validation for the research- er’s entrance into the ranks of the body of This chapter presents a set of concluding scholars in the field. statements and recommendations. Conclu- sions are assertions based on findings, and must therefore be warranted by the findings. Quality Markers With respect to each finding, you are asking Clearly stated and focused concluding yourself, “Knowing what I now know, what statements reflect an integration of the study can I draw?” Recommendations findings, analysis, interpretation, and synthe- are the application of those conclusions. In sis. Recommendations must have implica- other words, you are now saying to yourself, tions for policy and practice, as well as for “Knowing what I now know to be true, I further research, and must be doable. The recommend that . . .” reasonableness of a recommendation depends on its being logically and clearly derived •• Conclusions are based on an integration of from the findings, both content and context the study findings, analysis, interpretation, specific, and most important, practical and and synthesis. •• Concluding statements end the dissertation capable of implementation. with strong, clear, concise “takeaway mes- sages” for the reader. Frequent Errors •• Conclusions are not the same as findings; neither are conclusions the same as inter- Overgeneralization of importance or rele- pretations. Rather, conclusions are essen- vance sometimes leads to grandiose state- tially conclusive statements of what you ments. Other frequent errors include the lack now know, having done this research, that of a clear link to the review of literature, or you did not know before. recommendations that have no clear useful- •• Conclusions must be logically tied to one ness for practice and future research; that is, another. There should be consistency they are not “doable.” among your conclusions; none of them should be at odds with any of the others. •• Recommendations are actionable; that is, , , or Final Thoughts they suggest implications for policy and practice based on the findings, providing This final section offers the researcher specific action planning and next steps. an opportunity to reflect on the overall 12 PART I. TAKING CHARGE OF YOURSELF AND YOUR WORK

process, review the findings that have included as an appendix is given a letter or emerged, and share any new learning and number and listed in the table of contents. insights that she or he has developed over the course of the research and writing process. How do you personally value the References research experience? What are the lessons The list of references includes all works you have learned from conducting the cited in the dissertation in alphabetical order study? What insights, knowledge, and by author and in proper APA format. All inspiration have you derived from con- sources that are quoted, summarized, or ducting this study? paraphrased, as well as all other sources of information (text, visual, electronic, personal, etc.), must be correctly cited using APA par- BACK MATTER enthetical citation format within the disserta- tion. All sources must also be correctly listed Appendices on the references page. Proper citation serves Appendices contain all research instru- several purposes: It attributes work fairly to ments used, as well as any relevant additional the author, places the dissertation within the materials such as sample interview tran- context of the literature in the field, and pro- scripts, sample coding schemes, summary vides readers with a quick resource for locat- charts, and so forth. Each item that is ing and accessing sources that were used.